diff --git a/.gitignore b/.gitignore
index e43b0f9889..fdfa176628 100644
--- a/.gitignore
+++ b/.gitignore
@@ -1 +1,7 @@
.DS_Store
+
+# Proprietary files not to be propagated
+vault
+
+*/working/**/*.pdf
+
diff --git a/OSCAL-dev.xpr b/OSCAL-dev.xpr
new file mode 100644
index 0000000000..4aef0e8c3e
--- /dev/null
+++ b/OSCAL-dev.xpr
@@ -0,0 +1,2280 @@
+
+
+
+
+
+
+
+
+ scenario.associations
+
+
+
+ working/doc/schema/oscal-docs-html.xsl
+
+
+
+ Run schema production pipeline
+
+
+
+
+ XPROC
+
+
+
+
+
+ working/doc/schema/oscal-oscal.xml
+
+
+
+ Run schema production pipeline
+
+
+
+
+ XPROC
+
+
+
+
+
+ working/SP800-53/SP800-53-OSCAL-refined.xml
+
+
+
+ SP800-53 to OSCAL XProc (convert and refine)
+
+
+
+
+ XPROC
+
+
+
+
+
+ working/lib/XSLT/html-to-markdown.xsl
+
+
+
+ Run schema production pipeline
+
+
+
+
+ XPROC
+
+
+
+
+
+ working/lib/util/utility.xq
+
+
+
+ Run XQuery
+
+
+
+
+ XQUERY
+
+
+
+
+
+ working/lib/XSD/oscal-interim.xsd
+
+
+
+ Run schema production pipeline
+
+
+
+
+ XPROC
+
+
+
+
+
+ working/SP800-53/Tuneup-SP800-53-oscal.xsl
+
+
+
+ SP800-53 to OSCAL XProc (convert and refine)
+
+
+
+
+ XPROC
+
+
+
+
+
+ working/lib/XSD/schema-production.xpl
+
+
+
+ Run schema production pipeline
+
+
+
+
+ XPROC
+
+
+
+
+
+ working/lib/XSLT/OSCAL-finalize.xsl
+
+
+
+ ISO 27002 to OSCAL XProc (convert and refine)
+
+
+
+
+ XPROC
+
+
+
+
+
+ working/SP800-53/profile-mockup.xml
+
+
+
+ Produce OSCAL profile
+
+
+
+
+ XSL
+
+
+
+
+
+ working/SP800-53/SP800-53-extraction.xpl
+
+
+
+ SP800-53 to OSCAL XProc (convert and refine)
+
+
+
+
+ XPROC
+
+
+
+
+
+ working/lib/XSD/oscal-oscal.xml
+
+
+
+ OSCAL simple XSLT (open)
+
+
+
+
+ XSL
+
+
+
+
+
+ working/ISO-27002/Convert-ISO-epub-to-OSCAL.xsl
+
+
+
+ ISO 27002 to OSCAL XProc (convert and refine)
+
+
+
+
+ XPROC
+
+
+
+
+
+ working/SP800-53/SP800-53-OSCAL-param.xml
+
+
+
+ SP800-53 to OSCAL XProc (convert and refine)
+
+
+
+
+ XPROC
+
+
+
+
+
+ working/ISO-27002/ISO-27002-extraction.xpl
+
+
+
+ ISO 27002 to OSCAL XProc (convert and refine)
+
+
+
+
+ XPROC
+
+
+
+
+
+ working/ISO-27002/Enhance-ISO-27002-oscal.xsl
+
+
+
+ ISO 27002 to OSCAL XProc (convert and refine)
+
+
+
+
+ XPROC
+
+
+
+
+
+ working/SP800-53/Convert-SP800-53-to-oscal.xsl
+
+
+
+ SP800-53 to OSCAL XProc (convert and refine)
+
+
+
+
+ XPROC
+
+
+
+
+
+ working/lib/XSL/OSCAL-finalize.xsl
+
+
+
+ ISO 27002 to OSCAL XProc (convert and refine)
+
+
+
+
+ XPROC
+
+
+
+
+
+ working/ISO-27002/iso-27002-OSCAL-safe.xml
+
+
+
+ Produce digest page (HTML)
+
+
+
+
+ XSL
+
+
+
+
+
+ working/ISO-27002/iso-27002-OSCAL.xml
+
+
+
+ Produce digest page (HTML)
+
+
+
+
+ XSL
+
+
+
+
+
+ working/lib/utility.xq
+
+
+
+ Run XQuery
+
+
+
+
+ XQUERY
+
+
+
+
+
+ working/COBIT5/profile-cobit5.xml
+
+
+
+ Produce OSCAL profile
+
+
+
+
+ XSL
+
+
+
+
+
+ working/lib/profile-mockup.xml
+
+
+
+ Produce OSCAL profile
+
+
+
+
+ XSL
+
+
+
+
+
+ working/lib/profile-cobit5.xml
+
+
+
+ Produce OSCAL profile
+
+
+
+
+ XSL
+
+
+
+
+
+ working/ISO-27002/iso-27002toOSCALmapping.xml
+
+
+
+ OSCAL simple XSLT (open)
+
+
+
+
+ XSL
+
+
+
+
+
+ working/SP800-53/SP800-53-handmade.xml
+
+
+
+ OSCAL simple XSLT (open)
+
+
+
+
+ XSL
+
+
+
+
+
+ working/lib/make-xslt.xq
+
+
+
+ Run XQuery
+
+
+
+
+ XQUERY
+
+
+
+
+
+ working/SP800-53/SP800-53-enhanced.xml
+
+
+
+ OSCAL simple XSLT (open)
+
+
+
+
+ XSL
+
+
+
+
+
+
+ scenarios
+
+
+
+
+
+
+ OSCAL simple PDF
+
+
+
+
+
+
+
+
+ pdf
+
+
+ Apache FOP
+
+
+
+
+
+ ${pdu}/working/lib/OSCAL-simple-fo.xsl
+
+
+ ${currentFileURL}
+
+
+ false
+
+
+ true
+
+
+ XSL
+
+
+ true
+
+
+ true
+
+
+ ${cfn}-simple.pdf
+
+
+ ${cfn}-simple.pdf
+
+
+ false
+
+
+
+
+
+ false
+
+
+ false
+
+
+ false
+
+
+ false
+
+
+ false
+
+
+ true
+
+
+
+
+
+
+
+
+ Saxon-EE
+
+
+
+
+
+
+
+
+
+
+ OSCAL simple XSLT (open)
+
+
+
+
+
+
+
+
+ pdf
+
+
+ Apache FOP
+
+
+
+
+
+ ${pdu}/working/lib/XSLT/oscal-basic-display.xsl
+
+
+ ${currentFileURL}
+
+
+ false
+
+
+ false
+
+
+ XSL
+
+
+ true
+
+
+ true
+
+
+ ${cfn}.html
+
+
+ ${cfn}.html
+
+
+ false
+
+
+
+
+
+ false
+
+
+ false
+
+
+ false
+
+
+ false
+
+
+ false
+
+
+ true
+
+
+
+
+
+
+
+
+ Saxon6.5.5
+
+
+
+
+
+
+
+
+
+
+ Produce OSCAL profile
+
+
+
+
+
+
+
+
+ pdf
+
+
+ Apache FOP
+
+
+
+
+
+ ${pdu}/working/lib/produce-oscal-profile.xsl
+
+
+ ${currentFileURL}
+
+
+ false
+
+
+ false
+
+
+ XSL
+
+
+ true
+
+
+ false
+
+
+
+
+
+
+
+
+ false
+
+
+
+
+
+ false
+
+
+ false
+
+
+ true
+
+
+ false
+
+
+ false
+
+
+ true
+
+
+
+
+
+
+
+
+ Saxon-PE
+
+
+
+
+
+
+
+
+
+
+ Produce digest page (HTML)
+
+
+
+
+
+
+
+
+ pdf
+
+
+ Apache FOP
+
+
+
+
+
+ ${pdu}/working/lib/oscal-digest.xsl
+
+
+ ${currentFileURL}
+
+
+ false
+
+
+ false
+
+
+ XSL
+
+
+ true
+
+
+ true
+
+
+ ${cfn}-digest.html
+
+
+ ${cfn}-digest.html
+
+
+ false
+
+
+
+
+
+ false
+
+
+ false
+
+
+ true
+
+
+ false
+
+
+ false
+
+
+ true
+
+
+
+
+
+
+
+
+ Saxon-PE
+
+
+
+
+
+
+
+
+
+
+ Run XSLT on OSCAL docs (oscal)
+
+
+
+
+
+
+
+
+ pdf
+
+
+ Apache FOP
+
+
+
+
+
+ ${currentFileURL}
+
+
+ ${pdu}/working/doc/schema/oscal-oscal.xml
+
+
+ false
+
+
+ false
+
+
+ XML
+
+
+ false
+
+
+ false
+
+
+
+
+
+
+
+
+ false
+
+
+
+
+
+ false
+
+
+ true
+
+
+ true
+
+
+ false
+
+
+ false
+
+
+ true
+
+
+
+
+
+
+
+
+ Saxon6.5.5
+
+
+
+
+
+
+
+
+
+
+ source
+
+
+
+ ${pdu}/vault/ISO/Untitled-43.html
+
+
+
+
+
+
+
+
+
+ _A_converted
+
+
+
+
+
+ true
+
+
+
+
+ _B_enhanced
+
+
+
+
+
+ true
+
+
+
+
+ _C_tuned
+
+
+
+
+
+ true
+
+
+
+
+ final
+
+
+ ${pdu}/working/ISO-27002/iso-27002-OSCAL-refined.xml
+
+
+ true
+
+
+
+
+
+
+
+
+
+
+
+ parameters
+
+
+
+
+
+
+
+ *
+
+
+
+
+
+
+
+
+
+
+
+ ISO 27002 to OSCAL XProc (convert and refine)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ${pdu}/working/ISO-27002/ISO-27002-extraction.xpl
+
+
+
+
+
+ false
+
+
+ false
+
+
+ XPROC
+
+
+ false
+
+
+ false
+
+
+
+
+
+
+
+
+ false
+
+
+
+
+
+ false
+
+
+ false
+
+
+ true
+
+
+ false
+
+
+ false
+
+
+ false
+
+
+
+
+
+
+
+
+ Calabash XProc
+
+
+
+
+
+
+
+
+
+
+ source-xsd
+
+
+
+ ${pdu}/working/lib/XSD/oscal-interim.xsd
+
+
+
+
+
+
+
+
+
+ _0_input
+
+
+
+
+
+ true
+
+
+
+
+ documented-xsd
+
+
+ ${pdu}/working/lib/XSD/oscal-documented.xsd
+
+
+ true
+
+
+
+
+ html-docs
+
+
+ ${pdu}/working/doc/schema/oscal-tag-library.html
+
+
+ true
+
+
+
+
+ markdown-docs
+
+
+ ${pdu}/working/doc/schema/oscal-tag-library.md
+
+
+ true
+
+
+
+
+
+
+
+
+
+
+
+ oscal-doc-file
+
+
+
+
+
+
+
+
+
+
+
+ parameters
+
+
+
+
+
+
+
+ *
+
+
+
+
+
+
+
+
+
+
+
+ Run schema production pipeline
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ${pdu}/working/lib/XSD/schema-production.xpl
+
+
+
+
+
+ false
+
+
+ false
+
+
+ XPROC
+
+
+ false
+
+
+ false
+
+
+
+
+
+
+
+
+ false
+
+
+
+
+
+ false
+
+
+ false
+
+
+ true
+
+
+ false
+
+
+ false
+
+
+ false
+
+
+
+
+
+
+
+
+ Calabash XProc
+
+
+
+
+
+
+
+
+
+
+ source
+
+
+
+ ${pdu}/sources/800-53/800-53-controls.xml
+
+
+
+
+
+
+
+
+
+ _A_converted
+
+
+
+
+
+ true
+
+
+
+
+ _B_enhanced
+
+
+
+
+
+ true
+
+
+
+
+ _C_tuned
+
+
+
+
+
+ true
+
+
+
+
+ final
+
+
+ ${pdu}/working/SP800-53/SP800-53-OSCAL-refined.xml
+
+
+ true
+
+
+
+
+
+
+
+
+
+
+
+ parameters
+
+
+
+
+
+
+
+ *
+
+
+
+
+
+
+
+
+
+
+
+ SP800-53 to OSCAL XProc (convert and refine)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ${pdu}/working/SP800-53/SP800-53-extraction.xpl
+
+
+
+
+
+ false
+
+
+ false
+
+
+ XPROC
+
+
+ false
+
+
+ false
+
+
+
+
+
+
+
+
+ false
+
+
+
+
+
+ false
+
+
+ false
+
+
+ true
+
+
+ false
+
+
+ false
+
+
+ false
+
+
+
+
+
+
+
+
+ Calabash XProc
+
+
+
+
+
+
+
+
+
+
+ Run XQuery
+
+
+
+
+
+
+
+
+ pdf
+
+
+ Apache FOP
+
+
+
+
+
+ ${currentFileURL}
+
+
+
+
+
+ false
+
+
+ false
+
+
+ XQUERY
+
+
+ true
+
+
+ false
+
+
+
+
+
+
+
+
+ false
+
+
+
+
+
+ false
+
+
+ false
+
+
+ true
+
+
+ false
+
+
+ false
+
+
+ true
+
+
+
+
+
+
+
+
+ Saxon-PE XQuery
+
+
+
+
+
+
+
+
+ validation.scenario.associations
+
+
+
+ working/doc/mappings/iso-27002toOSCALmapping.xml
+
+
+
+ OSCAL links
+ OSCAL strict
+ OSCAL working RNC
+
+
+
+
+ Validation_scenario
+ Validation_scenario
+ Validation_scenario
+
+
+
+
+
+ working/doc/mappings/cobit5-mapping.xml
+
+
+
+ OSCAL working RNC
+ OSCAL strict
+ OSCAL links
+
+
+
+
+ Validation_scenario
+ Validation_scenario
+ Validation_scenario
+
+
+
+
+
+ working/doc/schema/oscal-oscal.xml
+
+
+
+ OSCAL strict
+ OSCAL working RNC
+
+
+
+
+ Validation_scenario
+ Validation_scenario
+
+
+
+
+
+ working/SP800-53/SP800-53-OSCAL-demo.xml
+
+
+
+ OSCAL against (documented) XSD
+ OSCAL strict
+ Validate assignments in OSCAL
+
+
+
+
+ Validation_scenario
+ Validation_scenario
+ Validation_scenario
+
+
+
+
+
+ working/SP800-53/SP800-53-OSCAL-refined.xml
+
+
+
+ OSCAL links
+ OSCAL strict
+ OSCAL working RNC
+ OSCAL against (documented) XSD
+
+
+
+
+ Validation_scenario
+ Validation_scenario
+ Validation_scenario
+ Validation_scenario
+
+
+
+
+
+ working/COBIT5/cobit5-selection-oscal.xml
+
+
+
+ OSCAL strict
+ OSCAL working RNC
+ OSCAL links
+
+
+
+
+ Validation_scenario
+ Validation_scenario
+ Validation_scenario
+
+
+
+
+
+ working/ISO-27002/iso-27002-OSCAL-refined.xml
+
+
+
+ OSCAL working RNC
+ OSCAL strict
+
+
+
+
+ Validation_scenario
+ Validation_scenario
+
+
+
+
+
+ working/ISO-27002/iso-27002-OSCAL-auto.xml
+
+
+
+ OSCAL against its declarations
+ OSCAL working RNC
+
+
+
+
+ Validation_scenario
+ Validation_scenario
+
+
+
+
+
+ working/SP800-53/SP800-53-OSCAL-as-comp.xml
+
+
+
+ OSCAL strict
+ OSCAL working RNC
+
+
+
+
+ Validation_scenario
+ Validation_scenario
+
+
+
+
+
+ working/SP800-53/SP800-53-OSCAL-test.xml
+
+
+
+ OSCAL against its declarations
+ OSCAL working RNC
+ OSCAL strict
+
+
+
+
+ Validation_scenario
+ Validation_scenario
+ Validation_scenario
+
+
+
+
+
+ working/ISO-27002/iso-27002-OSCAL-enhanced.xml
+
+
+
+ OSCAL against its declarations
+ OSCAL strict
+ OSCAL working RNC
+
+
+
+
+ Validation_scenario
+ Validation_scenario
+ Validation_scenario
+
+
+
+
+
+ working/SP800-53/SP800-53-controls-OSCAL-enhanced.xml
+
+
+
+ OSCAL against its declarations
+ OSCAL strict
+ OSCAL working RNC
+
+
+
+
+ Validation_scenario
+ Validation_scenario
+ Validation_scenario
+
+
+
+
+
+ working/lib/XSD/oscal-oscal-safe.xml
+
+
+
+ OSCAL against its declarations
+ OSCAL strict
+ OSCAL working RNC
+ OSCAL links
+
+
+
+
+ Validation_scenario
+ Validation_scenario
+ Validation_scenario
+ Validation_scenario
+
+
+
+
+
+ working/ISO-27002/iso-27002-OSCAL-safe.xml
+
+
+
+ OSCAL against its declarations
+ OSCAL working RNC
+ OSCAL strict
+
+
+
+
+ Validation_scenario
+ Validation_scenario
+ Validation_scenario
+
+
+
+
+
+ working/ISO-27002/iso-27002-OSCAL.xml
+
+
+
+ OSCAL against its declarations
+ OSCAL working RNC
+ OSCAL strict
+
+
+
+
+ Validation_scenario
+ Validation_scenario
+ Validation_scenario
+
+
+
+
+
+ working/COBIT5/cobit5-tuned-declarations.xml
+
+
+
+ OSCAL working RNC
+
+
+
+
+ Validation_scenario
+
+
+
+
+
+ working/SP800-53/800-53-controls-OSCAL.xml
+
+
+
+ OSCAL working RNC
+ OSCAL against its declarations
+
+
+
+
+ Validation_scenario
+ Validation_scenario
+
+
+
+
+
+ working/COBIT5/cobit5-oscal.xml
+
+
+
+ OSCAL working RNC
+ OSCAL strict
+ OSCAL against its declarations
+
+
+
+
+ Validation_scenario
+ Validation_scenario
+ Validation_scenario
+
+
+
+
+
+ working/COBIT5/cobit5-blank-oscal.xml
+
+
+
+ OSCAL working RNC
+ OSCAL strict
+
+
+
+
+ Validation_scenario
+ Validation_scenario
+
+
+
+
+
+ working/COBIT5/cobit5-oscal-safe.xml
+
+
+
+ OSCAL working RNC
+
+
+
+
+ Validation_scenario
+
+
+
+
+
+ working/SP800-53/800-53-controls.xml
+
+
+
+ OSCAL working RNC
+
+
+
+
+ Validation_scenario
+
+
+
+
+
+ working/SP800-53/800-53A-controls-OSCAL.xml
+
+
+
+ OSCAL working RNC
+
+
+
+
+ Validation_scenario
+
+
+
+
+
+ working/SP800-53/SP800-53-mockup.xml
+
+
+
+ OSCAL working RNC
+
+
+
+
+ Validation_scenario
+
+
+
+
+
+ working/lib/SP800-53-mockup.xml
+
+
+
+ OSCAL working RNC
+
+
+
+
+ Validation_scenario
+
+
+
+
+
+ working/lib/XSD/oscal-oscal.xml
+
+
+
+ OSCAL strict
+ OSCAL working RNC
+
+
+
+
+ Validation_scenario
+ Validation_scenario
+
+
+
+
+
+
+ validation.scenarios
+
+
+
+
+
+
+
+
+ text/xml
+
+
+
+
+ ${currentFileURL}
+
+
+
+
+ <Default engine>
+
+
+ true
+
+
+
+
+ true
+
+
+
+
+
+
+
+
+
+
+
+
+
+ 2
+
+
+ ${pdu}/working/lib/XSD/oscal-documented.xsd
+
+
+
+
+
+
+
+ Validation_scenario
+
+
+ OSCAL against (documented) XSD
+
+
+
+
+
+
+
+
+
+ text/xml
+
+
+
+
+ ${currentFileURL}
+
+
+
+
+ <Default engine>
+
+
+ true
+
+
+
+
+ true
+
+
+
+
+
+
+
+
+
+
+
+
+
+ 7
+
+
+ ${pdu}/working/lib/Schematron/oscal-as-declared.sch
+
+
+
+
+
+
+
+ Validation_scenario
+
+
+ OSCAL against its declarations
+
+
+
+
+
+
+
+
+
+ text/xml
+
+
+
+
+ ${currentFileURL}
+
+
+
+
+ <Default engine>
+
+
+ true
+
+
+
+
+ true
+
+
+
+
+
+
+
+
+
+
+
+
+
+ 7
+
+
+ ${pdu}/working/lib/Schematron/oscal-links.sch
+
+
+
+
+
+
+
+ Validation_scenario
+
+
+ OSCAL links
+
+
+
+
+
+
+
+
+
+ text/xml
+
+
+
+
+ ${currentFileURL}
+
+
+
+
+ <Default engine>
+
+
+ true
+
+
+
+
+ true
+
+
+
+
+
+
+
+
+
+
+
+
+
+ 7
+
+
+ ${pdu}/working/lib/Schematron/oscal-strict.sch
+
+
+
+
+
+
+
+ Validation_scenario
+
+
+ OSCAL strict
+
+
+
+
+
+
+
+
+
+ text/xml
+
+
+
+
+ ${currentFileURL}
+
+
+
+
+ <Default engine>
+
+
+ true
+
+
+
+
+ true
+
+
+
+
+
+
+
+
+
+
+
+
+
+ 3
+
+
+ ${pdu}/working/lib/oscal-working.rnc
+
+
+
+
+
+
+
+ Validation_scenario
+
+
+ OSCAL working RNC
+
+
+
+
+
+
+
+
+
+ text/xml
+
+
+
+
+ ${currentFileURL}
+
+
+
+
+ <Default engine>
+
+
+ true
+
+
+
+
+ true
+
+
+
+
+
+
+
+
+
+
+
+
+
+ 7
+
+
+ ${pdu}/working/lib/Schematron/oscal-parameters.sch
+
+
+
+
+
+
+
+ Validation_scenario
+
+
+ Validate assignments in OSCAL
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
\ No newline at end of file
diff --git a/README.md b/README.md
index 7ea49d4304..d83fb6617a 100644
--- a/README.md
+++ b/README.md
@@ -1,33 +1,36 @@
-# OSCAL
-Open Security Controls Assessment Language (OSCAL)
+# Open Security Controls Assessment Language (OSCAL)
-The Cloud First policy established by the U.S. Federal CIO in December 2010, mandates that agencies take full advantage of cloud computing benefits to maximize capacity utilization, improve IT flexibility and responsiveness, and minimize cost. By 2012, a subsequent report to Congress showed that more than half of all federal agencies had adopted cloud computing for at least one application. The rapid adoption of cloud computing under this mandate is not voiding any of the agencies’ FISMA requirements for adequate security and privacy protection of data.
-
-NIST is proposing the development of the Open Security Controls Assessment Language, or OSCAL, a hierarchical, formatted, XML-based (and JSON translation) schema that provides a standard for encoding different categories of information pertaining to the security controls’ implementation and assessment process.
+NIST is proposing the development of the Open Security Controls Assessment Language, or OSCAL, a hierarchical, formatted, XML-based (and JSON translation) schema that provides a standard for representing different categories of information pertaining to the publication, implementation, and assessment of security controls.
OSCAL aims to:
-1. Standardize the description of a control based upon the standard used (NIST SP 800.53, ISO/IEC 27001/2, PCI, SOX, etc),
-2. standardize the reporting format of a security control implementation for a particular ‘technology’ (cloud computing, cyber physical systems, mobile, etc.) – for an Overlay (see NIST SP 800-53 R4 for more details) - or for a particular ‘scope’ or 'purpose' for which the control is implemented (e.g. the control is implemented for physical access or logical access to a, b, c layers).
-3. standardize the format of the documented assessment criteria,
-4. standardize the format of the metrics and measurements for the continuous monitoring of the control, and
-5. other custom information standardization.
+1. Standardize control, implementation, and assessment information using open, machine-readable formats.
+1. Normalize the semantics of controls and profiles/baselines/overlays across multiple control catalogs (e.g., NIST SP 800-53, ISO/IEC 27001/2, COBIT 5).
+1. Provide interoperable formats to ensure that OSCAL information is used by tools in consistent ways.
+1. Promote adoption of OSCAL by tool developers by ensuring that OSCAL information is easy to create, use, and customize.
+
+OSCAL consists of a number of layers:
+
+
+
+Starting from the bottom on the left, the OSCAL layers are:
+ * __Catalog__: Defines a set of security controls (e.g., NIST SP 800-53 Appendix F); may also define objectives and methods for assessing the controls (e.g., NIST SP 800-53A).
+ * __Profile__: Defines a set of security requirements, where meeting each requirement necessitates implementing one or more security controls; also called a _baseline_ or _overlay_.
+ * __Implementation__: Defines how each profile item is implemented for a given system component (System Security Plan).
+ * __Assessment__: Describes how the system assessment is to be performed.
+ * __Assessment Results__: Records the findings of the assessment.
+
+OSCAL will also integrate with:
+ * __Metrics__: Defines metrics and measurements for understanding the effectiveness of the system’s security.
+ * __Mechanism__: Describes methods used to monitor the system’s current security state (e.g., Security Content Automation Protocol (SCAP)).
--------------
-General Notes, 20170313:
-Most recent additions are example xml file and schema extensions for a system-implementation. (MI - ?)
-The system-implementation example includes tags from FedRAMP template and links to another hypothetical document that contains an enumerated list of system components. (MI - ?)
-The component list is included in "attachment 13" of the FedRAMP template; referred to as a component inventory. (MI - ??)
-I am trying (for expedience) to (re)use structures already defined in the OSCAL-core schema. (MI - ?)
-In system-implementation, statements defined for security control catalog are reused as statements for implementing the security controls. (MI - ?)
-
-NOTES on schema:
-OSCAL-core contains the information structures that are most highly developed
-OSCAL-common contains link definitions and some additional structures to facilitate human readability (MI - ?)
-OSCAL-extensions define information structures outside the core that are unique to specific catalogs or other specifications.
-
-NOTES on processing of guidance information:
-Since the function of profile (overlay) xml documents is to select, augment, and sometimes overwrite requirements/controls, schemas and XML examples require further development in terms of explicit methods for reconciling specific tags that come from multiple sources. The OSCAL-core schema document defines a RationaleChangeType information object that includes restrictions for augmenting, changing, or scoping-out (eliminating) text.
-
-NOTES on (re)use of authorization bodies of evidence (MI - ?):
-System implementation documents should include a method to capture links to pre-existing bodies of evidence (e.g. a component ID with links to a FedRAMP authorization number) referring that a system or system component has been assessed before. When accessible, such links are associated with increased levels of trust in the component. The scope of an assessment process may be greatly reduced by accepting pre-existing bodies of assessment evidence and focusing on assessment of new (untested) or modified components. Closely related, are component links or aliases to CPE names, SWID names, and other standardized identifiers; which may be associated with known vulnerabilities (e.g. CVEs).
+
+This repository consists of the following directories pertaining to the OSCAL project:
+ * [docs](docs): Documentation graphics, prose, and presentation slides
+ * [working](working): Development artifacts (e.g., XML, XSLT, CSS, script, Markdown, and sample files, plus supporting files); additional documentation is posted under [working/doc](working/doc):
+ * [sources](sources): Resources used to produce OSCAL artifacts that are not maintained by the OSCAL project (e.g., a copy of the NIST SP 800-53 control data feed schema)
+
+## Update August 10th, 2017
+
+As the result of a new OSCAL initiative undertaken starting in mid-May, this repository has been updated. With this effort, we are stressing the agile development of a *minimal* format that is both generic enough to capture the breadth of data in scope (controls specifications), while also capable of ad-hoc tuning and extension to support peculiarities of both (industry or sector) standard and new control types.
diff --git a/deprecated/src/main/resources/xml/nist/oscal/2.0/catalog_CSF.xml b/deprecated/src/main/resources/xml/nist/oscal/2.0/catalog_CSF.xml
deleted file mode 100755
index d657bfbd31..0000000000
--- a/deprecated/src/main/resources/xml/nist/oscal/2.0/catalog_CSF.xml
+++ /dev/null
@@ -1,101 +0,0 @@
-
-
- IPDR2
- IPDR2
- 2
- TBD
-
-
-
-
-
-
-
-
-
-
- requirement
- Identify
- Function: Identify
-
- The Framework Core consists of five concurrent and continuous Functions:
- Identify, Protect, Detect, Respond, Recover. When considered together,
- these Functions provide a high-level, strategic view of the lifecycle of an o
- rganization’s management of cybersecurity risk. The Framework Core then identifies
- underlying key Categories and Subcategories for each Function
-
-
-
-
- requirement
- ID.AM
- Asset Management
-
- The data, personnel, devices, systems, and facilities that enable
- the organization to achieve business purposes are identified
- and managed consistent with their relative importance to business
- objectives and the organization’s risk strategy.
-
-
- #Identify
-
-
- requirement
- ID.AM-1
- Physical devices and systems
- within the organization are inventoried
-
- #ID.AM
-
-
- requirement
- ID.AM-2
- Software platforms and
- applications within the organization are
- inventoried
-
- #ID.AM
-
-
- requirement
- ID.AM-3
- Organizational communication
- and data flows are mapped
-
- #ID.AM
-
-
- requirement
- ID.AM-4
- External information systems
- are catalogued
-
- #ID.AM
-
-
- requirement
- ID.AM-5
- Resources (e.g., hardware, • COBIT 5 APO03.03, APO03.04, BAI09.02
- devices, data, and software) are prioritized • ISA 62443-2-1:2009 4.2.3.6
- based on their classification, criticality, and • ISO/IEC 27001:2013 A.8.2.1
- business value
-
- #ID.AM
-
-
- requirement
- ID.AM-6
- Cybersecurity roles and
- responsibilities for the entire workforce and
- third-party stakeholders (e.g., suppliers,
- customers, partners) are established
-
- #ID.AM
-
-
-
\ No newline at end of file
diff --git a/deprecated/src/main/resources/xml/nist/oscal/2.0/catalog_CSF.xml_pd b/deprecated/src/main/resources/xml/nist/oscal/2.0/catalog_CSF.xml_pd
deleted file mode 100755
index ba2037522f..0000000000
--- a/deprecated/src/main/resources/xml/nist/oscal/2.0/catalog_CSF.xml_pd
+++ /dev/null
@@ -1,96 +0,0 @@
-
-
- IPDR2
- IPDR2
- 2
- TBD
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- requirement
- Identify
- Identify
-
- ???
-
-
-
- requirement
- ID.AM
- Asset Management
-
- The data, personnel, ...
-
- #Identify
-
-
- requirement
- ID.AM1
- ???
- #ID.AM
-
-
- control-enhancement
- AC-2(1)
- AUTOMATED SYSTEM ACCOUNT MANAGEMENT
-
- The organization employs automated mechanisms to support the management of information system accounts.
-
-
-
-
- The use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using telephonic notification to report atypical system account usage.
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/src/main/resources/xml/nist/oscal/2.0/catalog_PCI.xml b/deprecated/src/main/resources/xml/nist/oscal/2.0/catalog_PCI.xml
deleted file mode 100644
index 38638d1fe9..0000000000
--- a/deprecated/src/main/resources/xml/nist/oscal/2.0/catalog_PCI.xml
+++ /dev/null
@@ -1,67 +0,0 @@
-
-
- PCIv3_2ver01a_req1
- Build and Maintain a Secure Network
- 1
- TBD
-
-
-
-
-
-
-
-
-
-
- requirement
- 1
- Install and maintain a firewall configuration to protect cardholder data
-
- Firewalls are devices that control computer traffic allowed between an entity’s networks (internal) and untrusted networks (external), as well as
-traffic into and out of more sensitive areas within an entity’s internal trusted networks. The cardholder data environment is an example of a more sensitive area within an entity’s trusted network.
-A firewall examines all network traffic and blocks those transmissions that do not meet the specified security criteria.
-All systems must be protected from unauthorized access from untrusted networks, whether entering the system via the Internet as e-commerce, employee Internet access through desktop browsers, employee e-mail access, dedicated connections such as business-to-business connections, via wireless networks, or via other sources. Often, seemingly insignificant paths to and from untrusted networks can provide unprotected pathways into key systems. Firewalls are a key protection mechanism for any computer network.
-Other system components may provide firewall functionality, as long as they meet the minimum requirements for firewalls as defined in Requirement 1. Where other system components are used within the cardholder data environment to provide firewall functionality, these devices must be included within the scope and assessment of Requirement 1.
-
-
-
- control
- 1.1
-
- Establish and implement firewall and router configuration standards that include the following:
-
-
-
-
- control
- 1.1.1
-
- A formal process for approving and testing all network connections and changes to the firewall and router configurations
-
-
-
-
- control
- 1.1.2
-
- Current network diagram that identifies all connections between the cardholder data environment and other networks, including any wireless networks
-
-
-
-
- control
- 1.1.3
-
- Current diagram that shows all cardholder data flows across systems and networks
-
-
-
-
-
-
diff --git a/deprecated/src/main/resources/xml/nist/oscal/2.0/catalog_assessmentObjectives_sp800-53a.xml b/deprecated/src/main/resources/xml/nist/oscal/2.0/catalog_assessmentObjectives_sp800-53a.xml
deleted file mode 100755
index 664dd455b4..0000000000
--- a/deprecated/src/main/resources/xml/nist/oscal/2.0/catalog_assessmentObjectives_sp800-53a.xml
+++ /dev/null
@@ -1,178 +0,0 @@
-
-
- SP800-53A
- SP 800-53A rev 4
- 4
- TBD
-
-
-
-
- Examine
- Interview
- Test
-
-
-
-
-
-
-
-
-
-
-
-
-
- objective
- AC-1
-
- Determine if the organization:
-
- AC-1(a)(1)
-
- AC-1(a)(1) [1]
- develops and documents an access control policy that addresses:
-
- AC-1(a)(1)[1][a]
- purpose;
-
-
- AC-1(a)(1)[1][b]
- scope;
-
-
- AC-1(a)(1)[1][c]
- roles;
-
-
- AC-1(a)(1)[1][d]
- responsibilities;
-
-
- AC-1(a)(1)[1][e]
- management commitment;
-
-
- AC-1(a)(1)[1][f]
- coordination among organizational entities;
-
-
- AC-1(a)(1)[1][g]
- compliance;
-
-
-
- AC-1(a)(1)[2]
- defines personnel or roles to whom the access control policy are
- to be disseminated;
-
-
- AC-1(a)(1)[3]
- disseminates the access control policy to organization-defined
- personnel or roles;
-
-
-
- AC-1(a)(2)
-
- AC-1(a)(2)[1]
- develops and documents procedures to facilitate the
- implementation of the access control policy and associated
- access control controls;
-
-
- AC-1(a)(2)[2]
- defines personnel or roles to whom the procedures are to be
- disseminated;
-
-
- AC-1(a)(2)[3]
- disseminates the procedures to organization-defined personnel
- or roles;
-
-
-
- AC-1(b)(1)
-
- AC-1(b)(1)[1]
- defines the frequency to review and update the current access
- control policy;
-
-
- AC-1(b)(1)[2]
- reviews and updates the current access control policy with the
- organization-defined frequency;
-
-
-
- AC-1(b)(2)
-
- AC-1(b)(2)[1]
- defines the frequency to review and update the current access
- control procedures; and
-
-
- AC-1(b)(2)[2]
- reviews and updates the current access control procedures with
- the organization-defined frequency.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- objective
- AC-3 (1)
-
- Incorporated into AC-6
-
-
-
- objective
- CA-2 (1)
-
- Determine if the organization:
-
- CA-2(1)[1]
- defines the level of independence to be employed to conduct security control
- assessments; and
-
-
- CA-2(1)[2]
- employs assessors or assessment teams with the organization-defined level of
- independence to conduct security control assessments.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
diff --git a/deprecated/src/main/resources/xml/nist/oscal/2.0/catalog_controls_sp800-53.xml b/deprecated/src/main/resources/xml/nist/oscal/2.0/catalog_controls_sp800-53.xml
deleted file mode 100755
index 9b7f694266..0000000000
--- a/deprecated/src/main/resources/xml/nist/oscal/2.0/catalog_controls_sp800-53.xml
+++ /dev/null
@@ -1,711 +0,0 @@
-
-
- SP800-53
- SP 800-53 rev 4
- 4
- TBD
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control
- AC-1
- ACCESS CONTROL POLICY AND PROCEDURES
-
- The organization:
-
- AC-1a.
- Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
-
- AC-1a.1.
- An access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
-
-
- AC-1a.2.
- Procedures to facilitate the implementation of the access control policy and associated access controls; and
-
-
-
- AC-1b.
- Reviews and updates the current:
-
- AC-1b.1.
- Access control policy [Assignment: organization-defined frequency]; and
-
-
- AC-1b.2.
- Access control procedures [Assignment: organization-defined frequency].
-
-
-
- NIST Special Publication 800-12
- NIST Special Publication 800-100
-
- ACCESS CONTROL
- P1
-
- This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
-
-
-
-
-
- control-enhancement
- AC-2
- ACCOUNT MANAGEMENT
-
- The organization:
-
- AC-2a.
- Identifies and selects the following types of information system accounts to support organizational missions/business functions: [Assignment: organization-defined information system account types];
-
-
- AC-2b.
- Assigns account managers for information system accounts;
-
-
- AC-2c.
- Establishes conditions for group and role membership;
-
-
- AC-2d.
- Specifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;
-
-
- AC-2e.
- Requires approvals by [Assignment: organization-defined personnel or roles] for requests to create information system accounts;
-
-
- AC-2f.
- Creates, enables, modifies, disables, and removes information system accounts in accordance with [Assignment: organization-defined procedures or conditions];
-
-
- AC-2g.
- Monitors the use of information system accounts;
-
-
- AC-2h.
- Notifies account managers:
-
- AC-2h.1.
- When accounts are no longer required;
-
-
- AC-2h.2.
- When users are terminated or transferred; and
-
-
- AC-2h.3.
- When individual information system usage or need-to-know changes;
-
-
-
- AC-2i.
- Authorizes access to the information system based on:
-
- AC-2i.1.
- A valid access authorization;
-
-
- AC-2i.2.
- Intended system usage; and
-
-
- AC-2i.3.
- Other attributes as required by the organization or associated missions/business functions;
-
-
-
- AC-2j.
- Reviews accounts for compliance with account management requirements [Assignment: organization-defined frequency]; and
-
-
- AC-2k.
- Establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.
-
-
-
- ACCESS CONTROL
- P1
-
- Information system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-enhancement
- AC-2(1)
- AUTOMATED SYSTEM ACCOUNT MANAGEMENT
-
- The organization employs automated mechanisms to support the management of information system accounts.
-
-
-
-
- The use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using telephonic notification to report atypical system account usage.
-
-
-
-
- control-enhancement
- AC-2(2)
- REMOVAL OF TEMPORARY / EMERGENCY ACCOUNTS
-
- The information system automatically [Selection: removes; disables] temporary and emergency accounts after [Assignment: organization-defined time period for each type of account].
-
-
-
-
- This control enhancement requires the removal of both temporary and emergency accounts automatically after a predefined period of time has elapsed, rather than at the convenience of the systems administrator.
-
-
-
-
- control-enhancement
- AC-2(3)
- DISABLE INACTIVE ACCOUNTS
-
- The information system automatically disables inactive accounts after [Assignment: organization-defined time period].
-
-
-
-
- control-enhancement
- AC-2(4)
- AUTOMATED AUDIT ACTIONS
-
- The information system automatically audits account creation, modification, enabling, disabling, and removal actions, and notifies [Assignment: organization-defined personnel or roles].
-
-
-
-
-
-
-
-
-
-
- control-enhancement
- AC-2(5)
- INACTIVITY LOGOUT
-
- The organization requires that users log out when [Assignment: organization-defined time-period of expected inactivity or description of when to log out].
-
-
-
-
-
-
-
-
-
- control-enhancement
- AC-2(6)
- DYNAMIC PRIVILEGE MANAGEMENT
-
- The information system implements the following dynamic privilege management capabilities: [Assignment: organization-defined list of dynamic privilege management capabilities].
-
-
-
-
- In contrast to conventional access control approaches which employ static information system accounts and predefined sets of user privileges, dynamic access control approaches (e.g., service-oriented architectures) rely on run time access control decisions facilitated by dynamic privilege management. While user identities may remain relatively constant over time, user privileges may change more frequently based on ongoing mission/business requirements and operational needs of organizations. Dynamic privilege management can include, for example, the immediate revocation of privileges from users, as opposed to requiring that users terminate and restart their sessions to reflect any changes in privileges. Dynamic privilege management can also refer to mechanisms that change the privileges of users based on dynamic rules as opposed to editing specific user profiles. This type of privilege management includes, for example, automatic adjustments of privileges if users are operating out of their normal work times, or if information systems are under duress or in emergency maintenance situations. This control enhancement also includes the ancillary effects of privilege changes, for example, the potential changes to encryption keys used for communications. Dynamic privilege management can support requirements for information system resiliency.
-
-
-
-
-
- control-enhancement
- AC-2(7)
- ROLE-BASED SCHEMES
-
- The organization:
-
- AC-2(7)(a)
- Establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;
-
-
- AC-2(7)(b)
- Monitors privileged role assignments; and
-
-
- AC-2(7)(c)
- Takes [Assignment: organization-defined actions] when privileged role assignments are no longer appropriate.
-
-
-
-
-
- Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. These privileged roles include, for example, key management, account management, network and system administration, database administration, and web administration.
-
-
-
-
- control-enhancement
- AC-2(8)
- DYNAMIC ACCOUNT CREATION
-
- The information system creates [Assignment: organization-defined information system accounts] dynamically.
-
-
-
-
- Dynamic approaches for creating information system accounts (e.g., as implemented within service-oriented architectures) rely on establishing accounts (identities) at run time for entities that were previously unknown. Organizations plan for dynamic creation of information system accounts by establishing trust relationships and mechanisms with the appropriate authorities to validate related authorizations and privileges.
-
-
-
-
-
- control-enhancement
- AC-2(9)
- RESTRICTIONS ON USE OF SHARED / GROUP ACCOUNTS
-
- The organization only permits the use of shared/group accounts that meet [Assignment: organization-defined conditions for establishing shared/group accounts].
-
-
-
-
- control-enhancement
- AC-2(10)
- SHARED / GROUP ACCOUNT CREDENTIAL TERMINATION
-
- The information system terminates shared/group account credentials when members leave the group.
-
-
-
-
- control-enhancement
- AC-2(11)
- USAGE CONDITIONS
-
- The information system enforces [Assignment: organization-defined circumstances and/or usage conditions] for [Assignment: organization-defined information system accounts].
-
-
-
-
- Organizations can describe the specific conditions or circumstances under which information system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.
-
-
-
-
- control-enhancement
- AC-2(12)
- ACCOUNT MONITORING / ATYPICAL USAGE
-
- The organization:
-
- AC-2(12)(a)
- Monitors information system accounts for [Assignment: organization-defined atypical usage]; and
-
-
- AC-2(12)(b)
- Reports atypical usage of information system accounts to [Assignment: organization-defined personnel or roles].
-
-
-
-
-
- Atypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations.
-
-
-
-
-
- control-enhancement
- AC-2(13)
- DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS
-
- The organization disables accounts of users posing a significant risk within [Assignment: organization-defined time period] of discovery of the risk.
-
-
-
-
- Users posing a significant risk to organizations include individuals for whom reliable evidence or intelligence indicates either the intention to use authorized access to information systems to cause harm or through whom adversaries will cause harm. Harm includes potential adverse impacts to organizational operations and assets, individuals, other organizations, or the Nation. Close coordination between authorizing officials, information system administrators, and human resource managers is essential in order for timely execution of this control enhancement.
-
-
-
-
-
- control
- AC-3
- ACCESS ENFORCEMENT
-
- The information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.
-
-
- control
- ACCESS CONTROL
- P1
-
- Access control policies (e.g., identity-based policies, role-based policies, control matrices, cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, domains) in information systems. In addition to enforcing authorized access at the information system level and recognizing that information systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-enhancement
- AC-3(1)
- RESTRICTED ACCESS TO PRIVILEGED FUNCTIONS
-
- [Withdrawn: Incorporated into AC-6].
-
-
-
-
- AC-6
-
-
-
-
- control-enhancement
- AC-3(2)
- DUAL AUTHORIZATION
-
- The information system enforces dual authorization for [Assignment: organization-defined privileged commands and/or other organization-defined actions].
-
-
-
-
- Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety. Dual authorization may also be known as two-person control.
-
-
-
-
-
-
- control-enhancement
- AC-3(3)
- MANDATORY ACCESS CONTROL
-
- The information system enforces [Assignment: organization-defined mandatory access control policy] over all subjects and objects where the policy:
-
- AC-3 (3)(a)
- Is uniformly enforced across all subjects and objects within the boundary of the information system;
-
-
- AC-3 (3)(b)
- Specifies that a subject that has been granted access to information is constrained from doing any of the following;
-
- AC-3 (3)(b)(1)
- Passing the information to unauthorized subjects or objects;
-
-
- AC-3 (3)(b)(2)
- Granting its privileges to other subjects;
-
-
- AC-3 (3)(b)(3)
- Changing one or more security attributes on subjects, objects, the information system, or information system components;
-
-
- AC-3 (3)(b)(4)
- Choosing the security attributes and attribute values to be associated with newly created or modified objects; or
-
-
- AC-3 (3)(b)(5)
- Changing the rules governing access control; and
-
-
-
- AC-3 (3)(c)
- Specifies that [Assignment: organization-defined subjects] may explicitly be granted [Assignment: organization-defined privileges (i.e., they are trusted subjects)] such that they are not limited by some or all of the above constraints.
-
-
-
-
-
- Mandatory access control as defined in this control enhancement is synonymous with nondiscretionary access control, and is not constrained only to certain historical uses (e.g., implementations using the Bell-LaPadula Model). The above class of mandatory access control policies constrains what actions subjects can take with information obtained from data objects for which they have already been granted access, thus preventing the subjects from passing the information to unauthorized subjects and objects. This class of mandatory access control policies also constrains what actions subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the information system has control. Otherwise, the access control policy can be circumvented. This enforcement typically is provided via an implementation that meets the reference monitor concept (see AC-25). The policy is bounded by the information system boundary (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect). The trusted subjects described above are granted privileges consistent with the concept of least privilege (see AC-6). Trusted subjects are only given the minimum privileges relative to the above policy necessary for satisfying organizational mission/business needs. The control is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes a policy regarding access to sensitive/classified information and some users of the information system are not authorized access to all sensitive/classified information resident in the information system. This control can operate in conjunction with AC-3 (4). A subject that is constrained in its operation by policies governed by this control is still able to operate under the less rigorous constraints of AC-3 (4), but policies governed by this control take precedence over the less rigorous constraints of AC-3 (4). For example, while a mandatory access control policy imposes a constraint preventing a subject from passing information to another subject operating at a different sensitivity label, AC-3 (4) permits the subject to pass the information to any subject with the same sensitivity label as the subject.
-
-
-
-
-
-
- control-enhancement
- AC-3(4)
- DISCRETIONARY ACCESS CONTROL
-
- The information system enforces [Assignment: organization-defined discretionary access control policy] over defined subjects and objects where the policy specifies that a subject that has been granted access to information can do one or more of the following:
-
- AC-3 (4)(a)
- Pass the information to any other subjects or objects;
-
-
- AC-3 (4)(b)
- Grant its privileges to other subjects;
-
-
- AC-3 (4)(c)
- Change security attributes on subjects, objects, the information system, or the information system�s components;
-
-
- AC-3 (4)(d)
- Choose the security attributes to be associated with newly created or revised objects; or
-
-
- AC-3 (4)(e)
- Change the rules governing access control.
-
-
-
-
-
- When discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing (i.e., the subjects have the discretion to pass) the information to other subjects or objects. This control enhancement can operate in conjunction with AC-3 (3). A subject that is constrained in its operation by policies governed by AC-3 (3) is still able to operate under the less rigorous constraints of this control enhancement. Thus, while AC-3 (3) imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3 (4) permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the information system boundary. Once the information is passed outside of the control of the information system, additional means may be required to ensure that the constraints remain in effect. While the older, more traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this use of discretionary access control.
-
-
-
-
- control-enhancement
- AC-3(5)
- SECURITY-RELEVANT INFORMATION
-
- The information system prevents access to [Assignment: organization-defined security-relevant information] except during secure, non-operable system states.
-
-
-
- control-enhancement
-
- Security-relevant information is any information within information systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security policies or maintain the isolation of code and data. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Secure, non-operable system states include the times in which information systems are not performing mission/business-related processing (e.g., the system is off-line for maintenance, troubleshooting, boot-up, shut down).
-
-
-
-
-
- control-enhancement
- AC-3(6)
- PROTECTION OF USER AND SYSTEM INFORMATION
-
- [Withdrawn: Incorporated into MP-4 and SC-28].
-
-
-
-
- MP-4
- SC-28
-
-
-
-
- control-enhancement
- AC-3(7)
- ROLE-BASED ACCESS CONTROL
-
- The information system enforces a role-based access control policy over defined subjects and objects and controls access based upon [Assignment: organization-defined roles and users authorized to assume such roles].
-
-
-
-
- Role-based access control (RBAC) is an access control policy that restricts information system access to authorized users. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on organizational information systems associated with the organization-defined roles. When users are assigned to the organizational roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for organizations because privileges are not assigned directly to every user (which can be a significant number of individuals for mid- to large-size organizations) but are instead acquired through role assignments. RBAC can be implemented either as a mandatory or discretionary form of access control. For organizations implementing RBAC with mandatory access controls, the requirements in AC-3 (3) define the scope of the subjects and objects covered by the policy.
-
-
-
-
- control-enhancement
- AC-3(8)
- REVOCATION OF ACCESS AUTHORIZATIONS
-
- The information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on [Assignment: organization-defined rules governing the timing of revocations of access authorizations].
-
-
-
-
- Revocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process) is removed from a group, access may not be revoked until the next time the object (e.g., file) is opened or until the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations can provide alternative approaches on how to make revocations immediate if information systems cannot provide such capability and immediate revocation is necessary.
-
-
-
-
- control-enhancement
- AC-3(9)
- CONTROLLED RELEASE
-
- The information system does not release information outside of the established system boundary unless:
-
- AC-3 (9)(a)
- The receiving [Assignment: organization-defined information system or system component] provides [Assignment: organization-defined security safeguards]; and
-
-
- AC-3 (9)(b)
- [Assignment: organization-defined security safeguards] are used to validate the appropriateness of the information designated for release.
-
-
-
-
-
- Information systems can only protect organizational information within the confines of established system boundaries. Additional security safeguards may be needed to ensure that such information is adequately protected once it is passed beyond the established information system boundaries. Examples of information leaving the system boundary include transmitting information to an external information system or printing the information on one of its printers. In cases where the information system is unable to make a determination of the adequacy of the protections provided by entities outside its boundary, as a mitigating control, organizations determine procedurally whether the external information systems are providing adequate security. The means used to determine the adequacy of the security provided by external information systems include, for example, conducting inspections or periodic testing, establishing agreements between the organization and its counterpart organizations, or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security policy to protect the information. This control enhancement requires information systems to employ technical or procedural means to validate the information prior to releasing it to external systems. For example, if the information system passes information to another system controlled by another organization, technical means are employed to validate that the security attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the information system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only appropriately authorized individuals gain access to the printer. This control enhancement is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes policy regarding access to the information, and that policy applies beyond the realm of a particular information system or organization.
-
-
-
-
- control-enhancement
- AC-3(10)
- AUDITED OVERRIDE OF ACCESS CONTROL MECHANISMS
-
- The organization employs an audited override of automated access control mechanisms under [Assignment: organization-defined conditions].
-
-
-
-
-
-
-
-
-
-
- control
- AC-4
- INFORMATION FLOW ENFORCEMENT
-
- The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on [Assignment: organization-defined information flow control policies].
-
-
- ACCESS CONTROL
- P1
-
- Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regrading mechanisms to reassign security attributes and security labels.
- Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control
- CA-2
- SECURITY ASSESSMENTS
-
- The organization:
-
- CA-2a.
- Develops a security assessment plan that describes the scope of the assessment including:
-
- CA-2a.1.
- Security controls and control enhancements under assessment;
-
-
- CA-2a.2.
- Assessment procedures to be used to determine security control effectiveness; and
-
-
- CA-2a.3.
- Assessment environment, assessment team, and assessment roles and responsibilities;
-
-
-
- CA-2b.
- Assesses the security controls in the information system and its environment of operation [Assignment: organization-defined frequency] to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;
-
-
- CA-2c.
- Produces a security assessment report that documents the results of the assessment; and
-
-
- CA-2d.
- Provides the results of the security control assessment to [Assignment: organization-defined individuals or roles].
-
-
-
- SECURITY ASSESSMENT AND AUTHORIZATION
-
- Organizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F (main catalog) and Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives.
- To satisfy annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control.
-
-
-
-
-
-
-
-
-
-
-
-
- control-enhancement
- CA-2(1)
- INDEPENDENT ASSESSORS
-
- The organization employs assessors or assessment teams with [Assignment: organization-defined level of independence] to conduct security control assessments.
-
-
-
-
- Independent assessors or assessment teams are individuals or groups who conduct impartial assessments of organizational information systems. Impartiality implies that assessors are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the organizational information systems under assessment or to the determination of security control effectiveness. To achieve impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of information systems and/or the ultimate risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. This includes determining whether contracted security assessment services have sufficient independence, for example, when information system owners are not directly involved in contracting processes or cannot unduly influence the impartiality of assessors conducting assessments. In special situations, for example, when organizations that own the information systems are small or organizational structures require that assessments are conducted by individuals that are in the developmental, operational, or management chain of system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Organizations recognize that assessments performed for purposes other than direct support to authorization decisions are, when performed by assessors with sufficient independence, more likely to be useable for such decisions, thereby reducing the need to repeat assessments.
-
-
-
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/src/main/resources/xml/nist/oscal/2.0/latest/catalog-controls-sp800-53.xml b/deprecated/src/main/resources/xml/nist/oscal/2.0/latest/catalog-controls-sp800-53.xml
deleted file mode 100644
index a5351cd626..0000000000
--- a/deprecated/src/main/resources/xml/nist/oscal/2.0/latest/catalog-controls-sp800-53.xml
+++ /dev/null
@@ -1,747 +0,0 @@
-
-
- SP800-53
- SP 800-53 rev 4
- 4
- TBD
-
-
- control
- AC-1
- ACCESS CONTROL POLICY AND PROCEDURES
-
- The organization:
-
- AC-1a.
- Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
-
- AC-1a.1.
- An access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
-
-
- AC-1a.2.
- Procedures to facilitate the implementation of the access control policy and associated access controls; and
-
-
-
- AC-1b.
- Reviews and updates the current:
-
- AC-1b.1.
- Access control policy [Assignment: organization-defined frequency]; and
-
-
- AC-1b.2.
- Access control procedures [Assignment: organization-defined frequency].
-
-
-
- NIST Special Publication 800-12
- NIST Special Publication 800-100
-
-
-
- ACCESS CONTROL
- P1
-
- This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
-
-
-
-
-
-
-
-
-
- control-enhancement
- AC-2
- ACCOUNT MANAGEMENT
-
- The organization:
-
- AC-2a.
- Identifies and selects the following types of information system accounts to support organizational missions/business functions: [Assignment: organization-defined information system account types];
-
-
- AC-2b.
- Assigns account managers for information system accounts;
-
-
- AC-2c.
- Establishes conditions for group and role membership;
-
-
- AC-2d.
- Specifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;
-
-
- AC-2e.
- Requires approvals by [Assignment: organization-defined personnel or roles] for requests to create information system accounts;
-
-
- AC-2f.
- Creates, enables, modifies, disables, and removes information system accounts in accordance with [Assignment: organization-defined procedures or conditions];
-
-
- AC-2g.
- Monitors the use of information system accounts;
-
-
- AC-2h.
- Notifies account managers:
-
- AC-2h.1.
- When accounts are no longer required;
-
-
- AC-2h.2.
- When users are terminated or transferred; and
-
-
- AC-2h.3.
- When individual information system usage or need-to-know changes;
-
-
-
- AC-2i.
- Authorizes access to the information system based on:
-
- AC-2i.1.
- A valid access authorization;
-
-
- AC-2i.2.
- Intended system usage; and
-
-
- AC-2i.3.
- Other attributes as required by the organization or associated missions/business functions;
-
-
-
- AC-2j.
- Reviews accounts for compliance with account management requirements [Assignment: organization-defined frequency]; and
-
-
- AC-2k.
- Establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.
-
-
-
-
-
-
- ACCESS CONTROL
- P1
-
- Information system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-enhancement
- AC-2(1)
- AUTOMATED SYSTEM ACCOUNT MANAGEMENT
-
- The organization employs automated mechanisms to support the management of information system accounts.
-
-
-
-
-
-
-
-
- The use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using telephonic notification to report atypical system account usage.
-
-
-
-
-
-
-
-
- control-enhancement
- AC-2(2)
- REMOVAL OF TEMPORARY / EMERGENCY ACCOUNTS
-
- The information system automatically [Selection: removes; disables] temporary and emergency accounts after [Assignment: organization-defined time period for each type of account].
-
-
-
-
-
- This control enhancement requires the removal of both temporary and emergency accounts automatically after a predefined period of time has elapsed, rather than at the convenience of the systems administrator.
-
-
-
-
- control-enhancement
- AC-2(3)
- DISABLE INACTIVE ACCOUNTS
-
- The information system automatically disables inactive accounts after [Assignment: organization-defined time period].
-
-
-
-
- control-enhancement
- AC-2(4)
- AUTOMATED AUDIT ACTIONS
-
- The information system automatically audits account creation, modification, enabling, disabling, and removal actions, and notifies [Assignment: organization-defined personnel or roles].
-
-
-
-
-
-
-
-
-
-
-
- control-enhancement
- AC-2(5)
- INACTIVITY LOGOUT
-
- The organization requires that users log out when [Assignment: organization-defined time-period of expected inactivity or description of when to log out].
-
-
-
-
-
-
-
-
-
-
- control-enhancement
- AC-2(6)
- DYNAMIC PRIVILEGE MANAGEMENT
-
- The information system implements the following dynamic privilege management capabilities: [Assignment: organization-defined list of dynamic privilege management capabilities].
-
-
-
-
-
- In contrast to conventional access control approaches which employ static information system accounts and predefined sets of user privileges, dynamic access control approaches (e.g., service-oriented architectures) rely on run time access control decisions facilitated by dynamic privilege management. While user identities may remain relatively constant over time, user privileges may change more frequently based on ongoing mission/business requirements and operational needs of organizations. Dynamic privilege management can include, for example, the immediate revocation of privileges from users, as opposed to requiring that users terminate and restart their sessions to reflect any changes in privileges. Dynamic privilege management can also refer to mechanisms that change the privileges of users based on dynamic rules as opposed to editing specific user profiles. This type of privilege management includes, for example, automatic adjustments of privileges if users are operating out of their normal work times, or if information systems are under duress or in emergency maintenance situations. This control enhancement also includes the ancillary effects of privilege changes, for example, the potential changes to encryption keys used for communications. Dynamic privilege management can support requirements for information system resiliency.
-
-
-
-
-
- control-enhancement
- AC-2(7)
- ROLE-BASED SCHEMES
-
- The organization:
-
- AC-2(7)(a)
- Establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;
-
-
- AC-2(7)(b)
- Monitors privileged role assignments; and
-
-
- AC-2(7)(c)
- Takes [Assignment: organization-defined actions] when privileged role assignments are no longer appropriate.
-
-
-
-
-
-
- Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. These privileged roles include, for example, key management, account management, network and system administration, database administration, and web administration.
-
-
-
-
- control-enhancement
- AC-2(8)
- DYNAMIC ACCOUNT CREATION
-
- The information system creates [Assignment: organization-defined information system accounts] dynamically.
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-
-
-
-
- Dynamic approaches for creating information system accounts (e.g., as implemented within service-oriented architectures) rely on establishing accounts (identities) at run time for entities that were previously unknown. Organizations plan for dynamic creation of information system accounts by establishing trust relationships and mechanisms with the appropriate authorities to validate related authorizations and privileges.
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-
-
-
-
- control-enhancement
- AC-2(9)
- RESTRICTIONS ON USE OF SHARED / GROUP ACCOUNTS
-
- The organization only permits the use of shared/group accounts that meet [Assignment: organization-defined conditions for establishing shared/group accounts].
-
-
-
-
- control-enhancement
- AC-2(10)
- SHARED / GROUP ACCOUNT CREDENTIAL TERMINATION
-
- The information system terminates shared/group account credentials when members leave the group.
-
-
-
-
- control-enhancement
- AC-2(11)
- USAGE CONDITIONS
-
- The information system enforces [Assignment: organization-defined circumstances and/or usage conditions] for [Assignment: organization-defined information system accounts].
-
-
-
-
-
- Organizations can describe the specific conditions or circumstances under which information system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.
-
-
-
-
- control-enhancement
- AC-2(12)
- ACCOUNT MONITORING / ATYPICAL USAGE
-
- The organization:
-
- AC-2(12)(a)
- Monitors information system accounts for [Assignment: organization-defined atypical usage]; and
-
-
- AC-2(12)(b)
- Reports atypical usage of information system accounts to [Assignment: organization-defined personnel or roles].
-
-
-
-
-
-
- Atypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations.
-
-
-
-
-
- control-enhancement
- AC-2(13)
- DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS
-
- The organization disables accounts of users posing a significant risk within [Assignment: organization-defined time period] of discovery of the risk.
-
-
-
-
-
- Users posing a significant risk to organizations include individuals for whom reliable evidence or intelligence indicates either the intention to use authorized access to information systems to cause harm or through whom adversaries will cause harm. Harm includes potential adverse impacts to organizational operations and assets, individuals, other organizations, or the Nation. Close coordination between authorizing officials, information system administrators, and human resource managers is essential in order for timely execution of this control enhancement.
-
-
-
-
-
- control
- AC-3
- ACCESS ENFORCEMENT
-
- The information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.
-
-
-
- control
- ACCESS CONTROL
- P1
-
- Access control policies (e.g., identity-based policies, role-based policies, control matrices, cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, domains) in information systems. In addition to enforcing authorized access at the information system level and recognizing that information systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-enhancement
- AC-3(1)
- RESTRICTED ACCESS TO PRIVILEGED FUNCTIONS
-
- [Withdrawn: Incorporated into AC-6].
-
-
-
-
-
- AC-6
-
-
-
-
- control-enhancement
- AC-3(2)
- DUAL AUTHORIZATION
-
- The information system enforces dual authorization for [Assignment: organization-defined privileged commands and/or other organization-defined actions].
-
-
-
-
-
- Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety. Dual authorization may also be known as two-person control.
-
-
-
-
-
-
- control-enhancement
- AC-3(3)
- MANDATORY ACCESS CONTROL
-
- The information system enforces [Assignment: organization-defined mandatory access control policy] over all subjects and objects where the policy:
-
- AC-3 (3)(a)
- Is uniformly enforced across all subjects and objects within the boundary of the information system;
-
-
- AC-3 (3)(b)
- Specifies that a subject that has been granted access to information is constrained from doing any of the following;
-
- AC-3 (3)(b)(1)
- Passing the information to unauthorized subjects or objects;
-
-
- AC-3 (3)(b)(2)
- Granting its privileges to other subjects;
-
-
- AC-3 (3)(b)(3)
- Changing one or more security attributes on subjects, objects, the information system, or information system components;
-
-
- AC-3 (3)(b)(4)
- Choosing the security attributes and attribute values to be associated with newly created or modified objects; or
-
-
- AC-3 (3)(b)(5)
- Changing the rules governing access control; and
-
-
-
- AC-3 (3)(c)
- Specifies that [Assignment: organization-defined subjects] may explicitly be granted [Assignment: organization-defined privileges (i.e., they are trusted subjects)] such that they are not limited by some or all of the above constraints.
-
-
-
-
-
-
- Mandatory access control as defined in this control enhancement is synonymous with nondiscretionary access control, and is not constrained only to certain historical uses (e.g., implementations using the Bell-LaPadula Model). The above class of mandatory access control policies constrains what actions subjects can take with information obtained from data objects for which they have already been granted access, thus preventing the subjects from passing the information to unauthorized subjects and objects. This class of mandatory access control policies also constrains what actions subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the information system has control. Otherwise, the access control policy can be circumvented. This enforcement typically is provided via an implementation that meets the reference monitor concept (see AC-25). The policy is bounded by the information system boundary (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect). The trusted subjects described above are granted privileges consistent with the concept of least privilege (see AC-6). Trusted subjects are only given the minimum privileges relative to the above policy necessary for satisfying organizational mission/business needs. The control is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes a policy regarding access to sensitive/classified information and some users of the information system are not authorized access to all sensitive/classified information resident in the information system. This control can operate in conjunction with AC-3 (4). A subject that is constrained in its operation by policies governed by this control is still able to operate under the less rigorous constraints of AC-3 (4), but policies governed by this control take precedence over the less rigorous constraints of AC-3 (4). For example, while a mandatory access control policy imposes a constraint preventing a subject from passing information to another subject operating at a different sensitivity label, AC-3 (4) permits the subject to pass the information to any subject with the same sensitivity label as the subject.
-
-
-
-
-
-
- control-enhancement
- AC-3(4)
- DISCRETIONARY ACCESS CONTROL
-
- The information system enforces [Assignment: organization-defined discretionary access control policy] over defined subjects and objects where the policy specifies that a subject that has been granted access to information can do one or more of the following:
-
- AC-3 (4)(a)
- Pass the information to any other subjects or objects;
-
-
- AC-3 (4)(b)
- Grant its privileges to other subjects;
-
-
- AC-3 (4)(c)
- Change security attributes on subjects, objects, the information system, or the information system�s components;
-
-
- AC-3 (4)(d)
- Choose the security attributes to be associated with newly created or revised objects; or
-
-
- AC-3 (4)(e)
- Change the rules governing access control.
-
-
-
-
-
-
- When discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing (i.e., the subjects have the discretion to pass) the information to other subjects or objects. This control enhancement can operate in conjunction with AC-3 (3). A subject that is constrained in its operation by policies governed by AC-3 (3) is still able to operate under the less rigorous constraints of this control enhancement. Thus, while AC-3 (3) imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3 (4) permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the information system boundary. Once the information is passed outside of the control of the information system, additional means may be required to ensure that the constraints remain in effect. While the older, more traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this use of discretionary access control.
-
-
-
-
- control-enhancement
- AC-3(5)
- SECURITY-RELEVANT INFORMATION
-
- The information system prevents access to [Assignment: organization-defined security-relevant information] except during secure, non-operable system states.
-
-
-
-
- control-enhancement
-
- Security-relevant information is any information within information systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security policies or maintain the isolation of code and data. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Secure, non-operable system states include the times in which information systems are not performing mission/business-related processing (e.g., the system is off-line for maintenance, troubleshooting, boot-up, shut down).
-
-
-
-
-
- control-enhancement
- AC-3(6)
- PROTECTION OF USER AND SYSTEM INFORMATION
-
- [Withdrawn: Incorporated into MP-4 and SC-28].
-
-
-
-
-
- MP-4
- SC-28
-
-
-
-
- control-enhancement
- AC-3(7)
- ROLE-BASED ACCESS CONTROL
-
- The information system enforces a role-based access control policy over defined subjects and objects and controls access based upon [Assignment: organization-defined roles and users authorized to assume such roles].
-
-
-
-
-
- Role-based access control (RBAC) is an access control policy that restricts information system access to authorized users. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on organizational information systems associated with the organization-defined roles. When users are assigned to the organizational roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for organizations because privileges are not assigned directly to every user (which can be a significant number of individuals for mid- to large-size organizations) but are instead acquired through role assignments. RBAC can be implemented either as a mandatory or discretionary form of access control. For organizations implementing RBAC with mandatory access controls, the requirements in AC-3 (3) define the scope of the subjects and objects covered by the policy.
-
-
-
-
- control-enhancement
- AC-3(8)
- REVOCATION OF ACCESS AUTHORIZATIONS
-
- The information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on [Assignment: organization-defined rules governing the timing of revocations of access authorizations].
-
-
-
-
-
- Revocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process) is removed from a group, access may not be revoked until the next time the object (e.g., file) is opened or until the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations can provide alternative approaches on how to make revocations immediate if information systems cannot provide such capability and immediate revocation is necessary.
-
-
-
-
- control-enhancement
- AC-3(9)
- CONTROLLED RELEASE
-
- The information system does not release information outside of the established system boundary unless:
-
- AC-3 (9)(a)
- The receiving [Assignment: organization-defined information system or system component] provides [Assignment: organization-defined security safeguards]; and
-
-
- AC-3 (9)(b)
- [Assignment: organization-defined security safeguards] are used to validate the appropriateness of the information designated for release.
-
-
-
-
-
-
- Information systems can only protect organizational information within the confines of established system boundaries. Additional security safeguards may be needed to ensure that such information is adequately protected once it is passed beyond the established information system boundaries. Examples of information leaving the system boundary include transmitting information to an external information system or printing the information on one of its printers. In cases where the information system is unable to make a determination of the adequacy of the protections provided by entities outside its boundary, as a mitigating control, organizations determine procedurally whether the external information systems are providing adequate security. The means used to determine the adequacy of the security provided by external information systems include, for example, conducting inspections or periodic testing, establishing agreements between the organization and its counterpart organizations, or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security policy to protect the information. This control enhancement requires information systems to employ technical or procedural means to validate the information prior to releasing it to external systems. For example, if the information system passes information to another system controlled by another organization, technical means are employed to validate that the security attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the information system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only appropriately authorized individuals gain access to the printer. This control enhancement is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes policy regarding access to the information, and that policy applies beyond the realm of a particular information system or organization.
-
-
-
-
- control-enhancement
- AC-3(10)
- AUDITED OVERRIDE OF ACCESS CONTROL MECHANISMS
-
- The organization employs an audited override of automated access control mechanisms under [Assignment: organization-defined conditions].
-
-
-
-
-
-
-
-
-
-
-
- control
- AC-4
- INFORMATION FLOW ENFORCEMENT
-
- The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on [Assignment: organization-defined information flow control policies].
-
-
-
- ACCESS CONTROL
- P1
-
- Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regrading mechanisms to reassign security attributes and security labels.
- Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control
- CA-2
- SECURITY ASSESSMENTS
-
- The organization:
-
- CA-2a.
- Develops a security assessment plan that describes the scope of the assessment including:
-
- CA-2a.1.
- Security controls and control enhancements under assessment;
-
-
- CA-2a.2.
- Assessment procedures to be used to determine security control effectiveness; and
-
-
- CA-2a.3.
- Assessment environment, assessment team, and assessment roles and responsibilities;
-
-
-
- CA-2b.
- Assesses the security controls in the information system and its environment of operation [Assignment: organization-defined frequency] to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;
-
-
- CA-2c.
- Produces a security assessment report that documents the results of the assessment; and
-
-
- CA-2d.
- Provides the results of the security control assessment to [Assignment: organization-defined individuals or roles].
-
-
-
-
- SECURITY ASSESSMENT AND AUTHORIZATION
-
- Organizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F (main catalog) and Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives.
- To satisfy annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control.
-
-
-
-
-
-
-
-
-
-
-
-
- control-enhancement
- CA-2(1)
- INDEPENDENT ASSESSORS
-
- The organization employs assessors or assessment teams with [Assignment: organization-defined level of independence] to conduct security control assessments.
-
-
-
-
-
- Independent assessors or assessment teams are individuals or groups who conduct impartial assessments of organizational information systems. Impartiality implies that assessors are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the organizational information systems under assessment or to the determination of security control effectiveness. To achieve impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of information systems and/or the ultimate risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. This includes determining whether contracted security assessment services have sufficient independence, for example, when information system owners are not directly involved in contracting processes or cannot unduly influence the impartiality of assessors conducting assessments. In special situations, for example, when organizations that own the information systems are small or organizational structures require that assessments are conducted by individuals that are in the developmental, operational, or management chain of system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Organizations recognize that assessments performed for purposes other than direct support to authorization decisions are, when performed by assessors with sufficient independence, more likely to be useable for such decisions, thereby reducing the need to repeat assessments.
-
-
-
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/src/main/resources/xml/nist/oscal/2.0/overlay_FedRAMP-low.xml b/deprecated/src/main/resources/xml/nist/oscal/2.0/overlay_FedRAMP-low.xml
deleted file mode 100755
index 531103d0a9..0000000000
--- a/deprecated/src/main/resources/xml/nist/oscal/2.0/overlay_FedRAMP-low.xml
+++ /dev/null
@@ -1,71 +0,0 @@
-
-
- FedRAMP-Low
- Fed RAMP Low overlay
- 1
- TBD
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-overlay
- CA-2
- SP800-53#CA-2
-
- CA-2b
- at least annually.
-
-
-
-
- control-overlay
- CA-2 (1)
- #CA-2
- SP800-53#CA-2 (1)
- added from Moderate baseline of the SP800-53 catalog.
-
-
-
- objective
- AC-1
- SP800-53A
-
-
-
-
-
-
- objective
- CA-2 (1)
- SP800-53A
- added from Moderate baseline of the SP800-53A catalog.
-
-
-
\ No newline at end of file
diff --git a/deprecated/src/main/resources/xml/nist/oscal/2.0/overlay_baseline-low_sp800-53.xml b/deprecated/src/main/resources/xml/nist/oscal/2.0/overlay_baseline-low_sp800-53.xml
deleted file mode 100755
index ad4487ba30..0000000000
--- a/deprecated/src/main/resources/xml/nist/oscal/2.0/overlay_baseline-low_sp800-53.xml
+++ /dev/null
@@ -1,85 +0,0 @@
-
-
- SP800-53-Low
- SP 800-53 rev 4 Low baseline
- 4
- Low baseline of SP 800-53 rev 4 controls
-
-
-
-
-
-
- control-overlay
- AC-1
- simply listed
-
-
- control-overlay
- AC-2
- simply listed
-
-
- control-overlay
- AC-3
- simply listed
-
-
- control-overlay
- AC-3 (1)
- simply listed
-
-
- control-overlay
- AC-3 (2)
- simply listed
-
-
- control-overlay
- AC-3 (3)
- simply listed
-
-
- control-overlay
- AC-3 (4)
- simply listed
-
-
- control-overlay
- AC-3 (5)
- simply listed
-
-
- control-overlay
- AC-3 (6)
- simply listed
-
-
- control-overlay
- AC-3 (7)
- simply listed
-
-
- control-overlay
- AC-3 (8)
- simply listed
-
-
- control-overlay
- AC-3 (9)
- simply listed
-
-
- control-overlay
- AC-3 (10)
- simply listed
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/src/main/resources/xml/nist/oscal/2.0/profile_CSF.xml b/deprecated/src/main/resources/xml/nist/oscal/2.0/profile_CSF.xml
deleted file mode 100755
index ff277e8840..0000000000
--- a/deprecated/src/main/resources/xml/nist/oscal/2.0/profile_CSF.xml
+++ /dev/null
@@ -1,38 +0,0 @@
-
-
- CSF
- CSF profile
- 1
- TBD
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- requirement-profile
- ID.MA
- IPDR2#ID.MA
- SP800-53#AC-1
- SP800-53#AC-2
-
- TBD
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/src/main/resources/xml/nist/oscal/2.0/sp800-53-moderate-overlay.xml b/deprecated/src/main/resources/xml/nist/oscal/2.0/sp800-53-moderate-overlay.xml
deleted file mode 100755
index 602d7b38eb..0000000000
--- a/deprecated/src/main/resources/xml/nist/oscal/2.0/sp800-53-moderate-overlay.xml
+++ /dev/null
@@ -1,26 +0,0 @@
-
-
- SP800-53-Moderate
- SP 800-53 rev 4 Moderate baseline
- 4
- Moderate baseline of SP 800-53 rev 4 controls
-
-
-
-
-
-
- control-overlay
- AC-4
- SP800-53
- simply listed
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/src/main/resources/xml/nist/oscal/2.0/xFedRAMP-low-assessment.xml b/deprecated/src/main/resources/xml/nist/oscal/2.0/xFedRAMP-low-assessment.xml
deleted file mode 100755
index a54c6128c8..0000000000
--- a/deprecated/src/main/resources/xml/nist/oscal/2.0/xFedRAMP-low-assessment.xml
+++ /dev/null
@@ -1,88 +0,0 @@
-
-
- FedRAMP-Low-System-Assessment
- Fed RAMP Low System Assessment
- 1
- TBD
-
-
-
-
-
-
-
- assessment
- AC-1
-
- tbd
-
-
-
- tbd
-
-
-
-
- assessment
- AC-3 (1)
-
- tbd
-
-
-
- tbd
-
-
-
- assessment
- CA-2
-
- Tests.
-
- Verify that the security assessment plan identifies the security controls and enhancements to be assessed.
- Verify that the assessment report identifies assessment procedures.
- Verify that the assessment report identifies the assessment team members and their roles and responsibilities.
- Verify that the assessment report identifies that all documented security controls have been assessed and the resulting findings are documented.
- Verify that the security assessment report has been provided to the system owner and the authorizing official.
-
-
-
-
-
- tbd
-
-
-
- assessment
- CA-2 (1)
-
- Verify that the assessors are independent of the system owner of the system they are assessing.
-
-
-
- tbd
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/src/main/resources/xml/nist/oscal/2.0/xFedRAMP-low-system.xml b/deprecated/src/main/resources/xml/nist/oscal/2.0/xFedRAMP-low-system.xml
deleted file mode 100755
index 7bba7bf596..0000000000
--- a/deprecated/src/main/resources/xml/nist/oscal/2.0/xFedRAMP-low-system.xml
+++ /dev/null
@@ -1,393 +0,0 @@
-
-
- FedRAMP-Low-System
- Fed RAMP Low system
- 1
- TBD
-
-
-
-
-
-
-
- Service Provider Corporate
- Service Provider System Specific
- Service Provider Hybrid
- Configured by Customer
- Provided by Customer
- Shared
- Inherited from pre-existing Provisional Authorization
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-system
- AC-1
- FedRAMP-Low
-
-
- TBD
- TBD2
-
- Service Provider Hybrid
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-2
-
-
- TBD
- TBD2
-
-
- AC-2 ACCOUNT MANAGEMENT
-
- AC-2a.
- Types of system accounts will be USER, with read only privileges, and ADMINISTRATOR, with read and write privileges.
-
-
- AC-2b.
- System owners are responsible for managing all system accounts.
-
-
- AC-2c.
- System accounts will be created in a need to know basis.
-
-
- AC-2d.
- All user and administrator accounts and their corresponding privileges will be specifically approved by the system owner.
-
-
- AC-2e.
- Users will request accounts by contacting the system owner for their authorization and approval.
-
-
- AC-2f.
- After system owner authorization and approval, system administrators will create, modify, disable, and remove system accounts.
-
-
- AC-2g.
- System audit logs will be reviewing daily by the system administrators for unusual or inappropriate user activity and system will be reviewed daily for any unauthorized accounts.
-
-
- AC-2h.
- System owners will be notified when user accounts are no longer required, when users are terminated or are transferred, or when the user roles are changed.
-
-
- AC-2i.
- System administrators will create system accounts and will provide system access after the system owner authorizes and approves access and identifies roles and privileges for the user.
-
-
- AC-2j.
- All system accounts will be reviewed semi-annually.
-
-
- AC-2k.
- Per organizational policy, shared or group accounts are not permitted.
-
-
-
-
-
-
-
- control-system
- AC-2(1)
-
-
- TBD
-
-
- All system account requests will be sent to the system owner by e-mail. System owner will send an e-mail account creation/deletion/modification authorization e-mail to the system administrators.
-
-
-
-
-
-
- control-system
- AC-2(2)
-
-
- TBD
-
-
- System will be configured to disable/delete temporary or emergency accounts 12 hours after creation.
-
-
-
-
-
-
- control-system
- AC-2(3)
-
-
- TBD
-
-
- System accounts will be disabled after 30 days of inactivity.
-
-
-
-
-
-
- control-system
- AC-2(4)
-
-
- TBD
-
-
- System audit logs will be configured to capture account creation, modification, enabling, disabling, and removal. System will generate and send an e-mail to the system owner when these events occur.
-
-
-
-
-
-
-
- control-system
- AC-3
-
-
- TBD
- TBD2
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (1)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (2)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (3)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (4)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (5)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (6)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (7)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (8)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (9)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (10)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-4
-
-
- TBD
- TBD2
-
- Service Provider Hybrid
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- CA-2
-
-
- TBD
-
-
-
- CA-2a.
- Security assessment plan has been developed and approved by management showing: security controls and enhancements to be assessed, assessment procedures, and assessment team and their roles and responsibilities.
-
-
- CA-2b.
- Security controls have been assessed for effectiveness.
-
-
- CA-2c.
- Security Assessment Report has been developed showing results of the assessment.
-
-
- CA-2d.
- Security Assessment Report has been provided to the system owner and the authorizing official.
-
-
-
-
-
-
-
- control-system
- CA-2 (1)
-
-
- tbd
-
- Service Provider Hybrid
-
- Assessors are independent of the system owner and division where the system resides.
-
-
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/src/main/resources/xml/nist/oscal/2.0/xNIST-Cloud-low-overlay.xml b/deprecated/src/main/resources/xml/nist/oscal/2.0/xNIST-Cloud-low-overlay.xml
deleted file mode 100755
index efc821abb2..0000000000
--- a/deprecated/src/main/resources/xml/nist/oscal/2.0/xNIST-Cloud-low-overlay.xml
+++ /dev/null
@@ -1,46 +0,0 @@
-
-
- LowNISTCloudOverlay
- Low NIST Cloud Overlay
- 1
- TBD
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-overlay
- AC-1
- FedRAMP-Low
- related.
-
-
- TBD
- TBD2
-
- here's some supplemental guidance
- here's some implementation
- guidance
-
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/src/main/resources/xml/nist/oscal/2.0/xNIST-Cloud-low-system.xml b/deprecated/src/main/resources/xml/nist/oscal/2.0/xNIST-Cloud-low-system.xml
deleted file mode 100755
index 04fac3648c..0000000000
--- a/deprecated/src/main/resources/xml/nist/oscal/2.0/xNIST-Cloud-low-system.xml
+++ /dev/null
@@ -1,46 +0,0 @@
-
-
- NIST-Cloud-low-system
- NIST-Cloud Low system
- 1
- TBD
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-overlay
- AC-1
- FedRAMP-Low
- related.
-
-
- TBD
- TBD2
-
- here's some implementation
- detail
-
-
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/src/main/resources/xsd/nist/oscal/2.0/OSCAL.xsd b/deprecated/src/main/resources/xsd/nist/oscal/2.0/OSCAL.xsd
deleted file mode 100755
index 3e78ea83ae..0000000000
--- a/deprecated/src/main/resources/xsd/nist/oscal/2.0/OSCAL.xsd
+++ /dev/null
@@ -1,802 +0,0 @@
-
-
-
-
-
- Import general XML schema.
-
-
-
-
-
- A simplified XHTML 1.1 modular schema driver that implements structural markup for embedding in XML data models.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- A general layer type; it is the basis for overlay type or system type, possibly others too.
-
-
-
-
- Unique identifier for the layer.
-
-
-
-
- The name of the layer.
-
-
-
-
-
- Version of the layer (optional).
-
-
-
-
-
- Design date of the layer (optional).
-
-
-
-
-
- Author(s) as persons or organizations and their contact information.
-
-
-
-
-
-
-
-
-
-
- This summary
-may include, for example: (i) the security controls and control enhancements; (ii) an indication of which controls/enhancements are selected or not selected; (iii) the selected controls/enhancements including an
-overview of new supplemental guidance and parameter values; and (iv) references to applicable
-laws, Executive Orders, directives, instructions, regulations, policies, or standards.
-
-
-
-
- Documentation for the layer; URI for the document and/or the version may be provided.
-
-
-
-
-
-
-
-
-
- Terms and definitions unique for this layer. If there are no unique terms or definitions, please state it in this section.
-
-
-
-
-
-
-
-
-
-
-
- meta defines properties that controls and objectives include/define.
-
-
-
-
-
-
- defines the properties a control has
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- use for simple properties; for complex properties, use property-ref.
-
-
-
-
- use reference to properties defined elsewhere.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- The potential assessments associated with an 800-53A control objective.
-
-
-
-
- A potential assessment associated with the 800-53A objective.
-
-
-
-
-
- An object for this potential assessment.
-
-
-
-
-
- The method of the potential assessment.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- The representation of a statement. It can be used for control/objective/etc.
-
-
-
-
- Unique identifier of the control statement, a concatenation of the Control Number, and any enclosing Control Enhancements and/or statements in which the statement is along with the specific list item for this statment appended.
-
-
-
-
-
-
-
-
-
- Tailoring type: contains dynamic properties related to tailoring.
-
-
-
-
- The machine usable identifier for a scope
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- Indicates when a control has been withdrawn.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- Unique identifier of the item (control/objective). Example: for a control for SP 800-53, it consists of a two-character family identifier plus the control number within the family; e.g., CP-9 is the ninth control in the Contingency Planning (CP) family.
-
-
-
-
- The title of the control.
-
-
-
-
- The body of the control, also known as the control section, provides a concise statement of the specific security capabilities needed to protect a particular aspect of an information system.
-
-
-
-
-
-
-
-
-
-
- Link to other controls/items
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- The explanation/rationale for the scope
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
diff --git a/deprecated/src/main/resources/xsd/nist/oscal/2.0/OSCAL.xsd-old b/deprecated/src/main/resources/xsd/nist/oscal/2.0/OSCAL.xsd-old
deleted file mode 100755
index 583a9b135b..0000000000
--- a/deprecated/src/main/resources/xsd/nist/oscal/2.0/OSCAL.xsd-old
+++ /dev/null
@@ -1,601 +0,0 @@
-
-
-
-
-
- Import general XML schema.
-
-
-
-
-
- A simplified XHTML 1.1 modular schema driver that implements structural markup for embedding in XML data models.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- meta defines properties that controls and objectives include/define.
-
-
-
-
-
-
- defines the properties a control has
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- defines the properties an objective has
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- use for simple properties; for complex properties, use property-ref.
-
-
-
-
- use reference to properties defined elsewhere.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- Unique identifier of the control, consists of a two-character family identifier plus the control number within the family.
- For example, CP-9 is the ninth control in the Contingency Planning (CP) family.
-
-
-
-
- The title of the control.
-
-
-
-
- Unique identifier of the parent control if this control is in fact an extension.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- The body of the control, also known as the control section, provides a concise statement of the specific security capabilities needed to protect a particular aspect of an information system.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- Unique identifier of the control statement, a concatenation of the Control Number, and any enclosing Control Enhancements and/or objectives in which the objective is embedded along with the specific list item for this objective appended.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- Unique identifier of the control, consists of a two-character family identifier plus the control number within the family.
- For example, CP-9 is the ninth control in the Contingency Planning (CP) family.
-
-
-
-
-
- The title of the control.
-
-
-
-
- The explanation/rationale for the scope
-
-
-
-
- The control associated with this scope and its association/relation type.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- Unique identifier of the control, consists of a two-character family identifier plus the control number within the family.
- For example, CP-9 is the ninth control in the Contingency Planning (CP) family.
-
-
-
-
- The title of the control.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- Unique identifier of the control, consists of a two-character family identifier plus the control number within the family.
- For example, CP-9 is the ninth control in the Contingency Planning (CP) family.
-
-
-
-
-
- The title of the control.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- Unique identifier of the control, consists of a two-character family identifier plus the control number within the family.
- For example, CP-9 is the ninth control in the Contingency Planning (CP) family.
-
-
-
-
-
- The title of the control.
-
-
-
-
- The explanation/rationale for the scope
-
-
-
-
- The control associated with this scope and its association/relation type.
-
-
-
-
-
-
-
- A general layer type; it is the basis for overlay type or system type, possibly others too.
-
-
-
-
- Unique identifier for the layer.
-
-
-
-
- The name of the layer.
-
-
-
-
-
- Version of the layer (optional).
-
-
-
-
-
- Design date of the layer (optional).
-
-
-
-
-
- Author(s) as persons or organizations and their contact information.
-
-
-
-
-
-
-
-
-
-
- This summary
-may include, for example: (i) the security controls and control enhancements; (ii) an indication of which controls/enhancements are selected or not selected; (iii) the selected controls/enhancements including an
-overview of new supplemental guidance and parameter values; and (iv) references to applicable
-laws, Executive Orders, directives, instructions, regulations, policies, or standards.
-
-
-
-
- Documentation for the layer; URI for the document and/or the version may be provided.
-
-
-
-
-
-
-
-
-
- Terms and definitions unique for this layer. If there are no unique terms or definitions, please state it in this section.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
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-
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-
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-
-
-
-
-
-
-
-
-
-
-
-
- The potential assessments associated with an 800-53A control objective.
-
-
-
-
- A potential assessment associated with the 800-53A objective.
-
-
-
-
-
- An object for this potential assessment.
-
-
-
-
-
- The method of the potential assessment.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- The representation of a control statement.
-
-
-
-
- Unique identifier of the control statement, a concatenation of the Control Number, and any enclosing Control Enhancements and/or statements in which the statement is along with the specific list item for this statment appended.
-
-
-
-
-
-
-
-
-
- Tailoring type: contains the type of tailoring (add, modify, delete)
-
-
-
-
- The machine usable identifier for a scope
-
-
-
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-
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-
- Indicates when a control has been withdrawn.
-
-
-
-
-
-
diff --git a/deprecated/src/main/resources/xsd/nist/oscal/2.0/latest/OSCAL-common.xsd b/deprecated/src/main/resources/xsd/nist/oscal/2.0/latest/OSCAL-common.xsd
deleted file mode 100644
index 9f15aae348..0000000000
--- a/deprecated/src/main/resources/xsd/nist/oscal/2.0/latest/OSCAL-common.xsd
+++ /dev/null
@@ -1,33 +0,0 @@
-
-
-
-
-
- Import general XML schema.
-
-
-
-
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-
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diff --git a/deprecated/src/main/resources/xsd/nist/oscal/2.0/latest/OSCAL-core.xsd b/deprecated/src/main/resources/xsd/nist/oscal/2.0/latest/OSCAL-core.xsd
deleted file mode 100644
index 1d621a2b18..0000000000
--- a/deprecated/src/main/resources/xsd/nist/oscal/2.0/latest/OSCAL-core.xsd
+++ /dev/null
@@ -1,766 +0,0 @@
-
-
-
-
-
-
- A simplified XHTML 1.1 modular schema driver that implements structural markup for embedding in XML data models.
-
-
-
-
-
-
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-
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-
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-
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-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- A general layer type; it is the basis for overlay type or system type, possibly others too.
-
-
-
-
- Unique identifier for the layer.
-
-
-
-
- The name of the layer.
-
-
-
-
-
- Version of the layer (optional).
-
-
-
-
-
- Design date of the layer (optional).
-
-
-
-
-
- Author(s) as persons or organizations and their contact information.
-
-
-
-
-
-
-
-
-
-
- This summary
-may include, for example: (i) the security controls and control enhancements; (ii) an indication of which controls/enhancements are selected or not selected; (iii) the selected controls/enhancements including an
-overview of new supplemental guidance and parameter values; and (iv) references to applicable
-laws, Executive Orders, directives, instructions, regulations, policies, or standards.
-
-
-
-
- Documentation for the layer; URI for the document and/or the version may be provided.
-
-
-
-
-
-
-
-
-
- Terms and definitions unique for this layer. If there are no unique terms or definitions, please state it in this section.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- use for simple properties; for complex properties, use property-ref.
-
-
-
-
- use reference to properties defined elsewhere.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- The potential assessments associated with an 800-53A control objective.
-
-
-
-
- A potential assessment associated with the 800-53A objective.
-
-
-
-
-
- An object for this potential assessment.
-
-
-
-
-
- The method of the potential assessment.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- The representation of a statement. It can be used for control/objective/etc.
-
-
-
-
- Unique identifier of the control statement, a concatenation of the Control Number, and any enclosing Control Enhancements and/or statements in which the statement is along with the specific list item for this statment appended.
-
-
-
-
-
-
-
-
-
- Tailoring type: contains dynamic properties related to tailoring.
-
-
-
-
- The machine usable identifier for a scope
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- Indicates when a control has been withdrawn.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- Unique identifier of the item (control/objective). Example: for a control for SP 800-53, it consists of a two-character family identifier plus the control number within the family; e.g., CP-9 is the ninth control in the Contingency Planning (CP) family.
-
-
-
-
- The title of the control.
-
-
-
-
- The body of the control, also known as the control section, provides a concise statement of the specific security capabilities needed to protect a particular aspect of an information system.
-
-
-
-
-
-
-
-
-
-
- Link to other controls/items
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- The explanation/rationale for the scope
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
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-
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-
-
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-
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-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
diff --git a/deprecated/src/main/resources/xsd/nist/oscal/2.0/latest/OSCAL-extension-800-53.xsd b/deprecated/src/main/resources/xsd/nist/oscal/2.0/latest/OSCAL-extension-800-53.xsd
deleted file mode 100644
index 97404fa69e..0000000000
--- a/deprecated/src/main/resources/xsd/nist/oscal/2.0/latest/OSCAL-extension-800-53.xsd
+++ /dev/null
@@ -1,49 +0,0 @@
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
diff --git a/deprecated/src/main/resources/xsd/nist/oscal/2.0/latest/OSCAL.pptx b/deprecated/src/main/resources/xsd/nist/oscal/2.0/latest/OSCAL.pptx
deleted file mode 100644
index 7af393ffaa..0000000000
Binary files a/deprecated/src/main/resources/xsd/nist/oscal/2.0/latest/OSCAL.pptx and /dev/null differ
diff --git a/deprecated/xml/catalog_CSF.xml b/deprecated/xml/catalog_CSF.xml
deleted file mode 100755
index d657bfbd31..0000000000
--- a/deprecated/xml/catalog_CSF.xml
+++ /dev/null
@@ -1,101 +0,0 @@
-
-
- IPDR2
- IPDR2
- 2
- TBD
-
-
-
-
-
-
-
-
-
-
- requirement
- Identify
- Function: Identify
-
- The Framework Core consists of five concurrent and continuous Functions:
- Identify, Protect, Detect, Respond, Recover. When considered together,
- these Functions provide a high-level, strategic view of the lifecycle of an o
- rganization’s management of cybersecurity risk. The Framework Core then identifies
- underlying key Categories and Subcategories for each Function
-
-
-
-
- requirement
- ID.AM
- Asset Management
-
- The data, personnel, devices, systems, and facilities that enable
- the organization to achieve business purposes are identified
- and managed consistent with their relative importance to business
- objectives and the organization’s risk strategy.
-
-
- #Identify
-
-
- requirement
- ID.AM-1
- Physical devices and systems
- within the organization are inventoried
-
- #ID.AM
-
-
- requirement
- ID.AM-2
- Software platforms and
- applications within the organization are
- inventoried
-
- #ID.AM
-
-
- requirement
- ID.AM-3
- Organizational communication
- and data flows are mapped
-
- #ID.AM
-
-
- requirement
- ID.AM-4
- External information systems
- are catalogued
-
- #ID.AM
-
-
- requirement
- ID.AM-5
- Resources (e.g., hardware, • COBIT 5 APO03.03, APO03.04, BAI09.02
- devices, data, and software) are prioritized • ISA 62443-2-1:2009 4.2.3.6
- based on their classification, criticality, and • ISO/IEC 27001:2013 A.8.2.1
- business value
-
- #ID.AM
-
-
- requirement
- ID.AM-6
- Cybersecurity roles and
- responsibilities for the entire workforce and
- third-party stakeholders (e.g., suppliers,
- customers, partners) are established
-
- #ID.AM
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/catalog_CSF.xml_pd b/deprecated/xml/catalog_CSF.xml_pd
deleted file mode 100755
index ba2037522f..0000000000
--- a/deprecated/xml/catalog_CSF.xml_pd
+++ /dev/null
@@ -1,96 +0,0 @@
-
-
- IPDR2
- IPDR2
- 2
- TBD
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- requirement
- Identify
- Identify
-
- ???
-
-
-
- requirement
- ID.AM
- Asset Management
-
- The data, personnel, ...
-
- #Identify
-
-
- requirement
- ID.AM1
- ???
- #ID.AM
-
-
- control-enhancement
- AC-2(1)
- AUTOMATED SYSTEM ACCOUNT MANAGEMENT
-
- The organization employs automated mechanisms to support the management of information system accounts.
-
-
-
-
- The use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using telephonic notification to report atypical system account usage.
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/catalog_PCI.xml b/deprecated/xml/catalog_PCI.xml
deleted file mode 100644
index 38638d1fe9..0000000000
--- a/deprecated/xml/catalog_PCI.xml
+++ /dev/null
@@ -1,67 +0,0 @@
-
-
- PCIv3_2ver01a_req1
- Build and Maintain a Secure Network
- 1
- TBD
-
-
-
-
-
-
-
-
-
-
- requirement
- 1
- Install and maintain a firewall configuration to protect cardholder data
-
- Firewalls are devices that control computer traffic allowed between an entity’s networks (internal) and untrusted networks (external), as well as
-traffic into and out of more sensitive areas within an entity’s internal trusted networks. The cardholder data environment is an example of a more sensitive area within an entity’s trusted network.
-A firewall examines all network traffic and blocks those transmissions that do not meet the specified security criteria.
-All systems must be protected from unauthorized access from untrusted networks, whether entering the system via the Internet as e-commerce, employee Internet access through desktop browsers, employee e-mail access, dedicated connections such as business-to-business connections, via wireless networks, or via other sources. Often, seemingly insignificant paths to and from untrusted networks can provide unprotected pathways into key systems. Firewalls are a key protection mechanism for any computer network.
-Other system components may provide firewall functionality, as long as they meet the minimum requirements for firewalls as defined in Requirement 1. Where other system components are used within the cardholder data environment to provide firewall functionality, these devices must be included within the scope and assessment of Requirement 1.
-
-
-
- control
- 1.1
-
- Establish and implement firewall and router configuration standards that include the following:
-
-
-
-
- control
- 1.1.1
-
- A formal process for approving and testing all network connections and changes to the firewall and router configurations
-
-
-
-
- control
- 1.1.2
-
- Current network diagram that identifies all connections between the cardholder data environment and other networks, including any wireless networks
-
-
-
-
- control
- 1.1.3
-
- Current diagram that shows all cardholder data flows across systems and networks
-
-
-
-
-
-
diff --git a/deprecated/xml/catalog_assessmentObjectives_sp800-53a.xml b/deprecated/xml/catalog_assessmentObjectives_sp800-53a.xml
deleted file mode 100755
index 664dd455b4..0000000000
--- a/deprecated/xml/catalog_assessmentObjectives_sp800-53a.xml
+++ /dev/null
@@ -1,178 +0,0 @@
-
-
- SP800-53A
- SP 800-53A rev 4
- 4
- TBD
-
-
-
-
- Examine
- Interview
- Test
-
-
-
-
-
-
-
-
-
-
-
-
-
- objective
- AC-1
-
- Determine if the organization:
-
- AC-1(a)(1)
-
- AC-1(a)(1) [1]
- develops and documents an access control policy that addresses:
-
- AC-1(a)(1)[1][a]
- purpose;
-
-
- AC-1(a)(1)[1][b]
- scope;
-
-
- AC-1(a)(1)[1][c]
- roles;
-
-
- AC-1(a)(1)[1][d]
- responsibilities;
-
-
- AC-1(a)(1)[1][e]
- management commitment;
-
-
- AC-1(a)(1)[1][f]
- coordination among organizational entities;
-
-
- AC-1(a)(1)[1][g]
- compliance;
-
-
-
- AC-1(a)(1)[2]
- defines personnel or roles to whom the access control policy are
- to be disseminated;
-
-
- AC-1(a)(1)[3]
- disseminates the access control policy to organization-defined
- personnel or roles;
-
-
-
- AC-1(a)(2)
-
- AC-1(a)(2)[1]
- develops and documents procedures to facilitate the
- implementation of the access control policy and associated
- access control controls;
-
-
- AC-1(a)(2)[2]
- defines personnel or roles to whom the procedures are to be
- disseminated;
-
-
- AC-1(a)(2)[3]
- disseminates the procedures to organization-defined personnel
- or roles;
-
-
-
- AC-1(b)(1)
-
- AC-1(b)(1)[1]
- defines the frequency to review and update the current access
- control policy;
-
-
- AC-1(b)(1)[2]
- reviews and updates the current access control policy with the
- organization-defined frequency;
-
-
-
- AC-1(b)(2)
-
- AC-1(b)(2)[1]
- defines the frequency to review and update the current access
- control procedures; and
-
-
- AC-1(b)(2)[2]
- reviews and updates the current access control procedures with
- the organization-defined frequency.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- objective
- AC-3 (1)
-
- Incorporated into AC-6
-
-
-
- objective
- CA-2 (1)
-
- Determine if the organization:
-
- CA-2(1)[1]
- defines the level of independence to be employed to conduct security control
- assessments; and
-
-
- CA-2(1)[2]
- employs assessors or assessment teams with the organization-defined level of
- independence to conduct security control assessments.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
diff --git a/deprecated/xml/catalog_controls_sp800-53.xml b/deprecated/xml/catalog_controls_sp800-53.xml
deleted file mode 100755
index 9b7f694266..0000000000
--- a/deprecated/xml/catalog_controls_sp800-53.xml
+++ /dev/null
@@ -1,711 +0,0 @@
-
-
- SP800-53
- SP 800-53 rev 4
- 4
- TBD
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control
- AC-1
- ACCESS CONTROL POLICY AND PROCEDURES
-
- The organization:
-
- AC-1a.
- Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
-
- AC-1a.1.
- An access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
-
-
- AC-1a.2.
- Procedures to facilitate the implementation of the access control policy and associated access controls; and
-
-
-
- AC-1b.
- Reviews and updates the current:
-
- AC-1b.1.
- Access control policy [Assignment: organization-defined frequency]; and
-
-
- AC-1b.2.
- Access control procedures [Assignment: organization-defined frequency].
-
-
-
- NIST Special Publication 800-12
- NIST Special Publication 800-100
-
- ACCESS CONTROL
- P1
-
- This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
-
-
-
-
-
- control-enhancement
- AC-2
- ACCOUNT MANAGEMENT
-
- The organization:
-
- AC-2a.
- Identifies and selects the following types of information system accounts to support organizational missions/business functions: [Assignment: organization-defined information system account types];
-
-
- AC-2b.
- Assigns account managers for information system accounts;
-
-
- AC-2c.
- Establishes conditions for group and role membership;
-
-
- AC-2d.
- Specifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;
-
-
- AC-2e.
- Requires approvals by [Assignment: organization-defined personnel or roles] for requests to create information system accounts;
-
-
- AC-2f.
- Creates, enables, modifies, disables, and removes information system accounts in accordance with [Assignment: organization-defined procedures or conditions];
-
-
- AC-2g.
- Monitors the use of information system accounts;
-
-
- AC-2h.
- Notifies account managers:
-
- AC-2h.1.
- When accounts are no longer required;
-
-
- AC-2h.2.
- When users are terminated or transferred; and
-
-
- AC-2h.3.
- When individual information system usage or need-to-know changes;
-
-
-
- AC-2i.
- Authorizes access to the information system based on:
-
- AC-2i.1.
- A valid access authorization;
-
-
- AC-2i.2.
- Intended system usage; and
-
-
- AC-2i.3.
- Other attributes as required by the organization or associated missions/business functions;
-
-
-
- AC-2j.
- Reviews accounts for compliance with account management requirements [Assignment: organization-defined frequency]; and
-
-
- AC-2k.
- Establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.
-
-
-
- ACCESS CONTROL
- P1
-
- Information system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-enhancement
- AC-2(1)
- AUTOMATED SYSTEM ACCOUNT MANAGEMENT
-
- The organization employs automated mechanisms to support the management of information system accounts.
-
-
-
-
- The use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using telephonic notification to report atypical system account usage.
-
-
-
-
- control-enhancement
- AC-2(2)
- REMOVAL OF TEMPORARY / EMERGENCY ACCOUNTS
-
- The information system automatically [Selection: removes; disables] temporary and emergency accounts after [Assignment: organization-defined time period for each type of account].
-
-
-
-
- This control enhancement requires the removal of both temporary and emergency accounts automatically after a predefined period of time has elapsed, rather than at the convenience of the systems administrator.
-
-
-
-
- control-enhancement
- AC-2(3)
- DISABLE INACTIVE ACCOUNTS
-
- The information system automatically disables inactive accounts after [Assignment: organization-defined time period].
-
-
-
-
- control-enhancement
- AC-2(4)
- AUTOMATED AUDIT ACTIONS
-
- The information system automatically audits account creation, modification, enabling, disabling, and removal actions, and notifies [Assignment: organization-defined personnel or roles].
-
-
-
-
-
-
-
-
-
-
- control-enhancement
- AC-2(5)
- INACTIVITY LOGOUT
-
- The organization requires that users log out when [Assignment: organization-defined time-period of expected inactivity or description of when to log out].
-
-
-
-
-
-
-
-
-
- control-enhancement
- AC-2(6)
- DYNAMIC PRIVILEGE MANAGEMENT
-
- The information system implements the following dynamic privilege management capabilities: [Assignment: organization-defined list of dynamic privilege management capabilities].
-
-
-
-
- In contrast to conventional access control approaches which employ static information system accounts and predefined sets of user privileges, dynamic access control approaches (e.g., service-oriented architectures) rely on run time access control decisions facilitated by dynamic privilege management. While user identities may remain relatively constant over time, user privileges may change more frequently based on ongoing mission/business requirements and operational needs of organizations. Dynamic privilege management can include, for example, the immediate revocation of privileges from users, as opposed to requiring that users terminate and restart their sessions to reflect any changes in privileges. Dynamic privilege management can also refer to mechanisms that change the privileges of users based on dynamic rules as opposed to editing specific user profiles. This type of privilege management includes, for example, automatic adjustments of privileges if users are operating out of their normal work times, or if information systems are under duress or in emergency maintenance situations. This control enhancement also includes the ancillary effects of privilege changes, for example, the potential changes to encryption keys used for communications. Dynamic privilege management can support requirements for information system resiliency.
-
-
-
-
-
- control-enhancement
- AC-2(7)
- ROLE-BASED SCHEMES
-
- The organization:
-
- AC-2(7)(a)
- Establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;
-
-
- AC-2(7)(b)
- Monitors privileged role assignments; and
-
-
- AC-2(7)(c)
- Takes [Assignment: organization-defined actions] when privileged role assignments are no longer appropriate.
-
-
-
-
-
- Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. These privileged roles include, for example, key management, account management, network and system administration, database administration, and web administration.
-
-
-
-
- control-enhancement
- AC-2(8)
- DYNAMIC ACCOUNT CREATION
-
- The information system creates [Assignment: organization-defined information system accounts] dynamically.
-
-
-
-
- Dynamic approaches for creating information system accounts (e.g., as implemented within service-oriented architectures) rely on establishing accounts (identities) at run time for entities that were previously unknown. Organizations plan for dynamic creation of information system accounts by establishing trust relationships and mechanisms with the appropriate authorities to validate related authorizations and privileges.
-
-
-
-
-
- control-enhancement
- AC-2(9)
- RESTRICTIONS ON USE OF SHARED / GROUP ACCOUNTS
-
- The organization only permits the use of shared/group accounts that meet [Assignment: organization-defined conditions for establishing shared/group accounts].
-
-
-
-
- control-enhancement
- AC-2(10)
- SHARED / GROUP ACCOUNT CREDENTIAL TERMINATION
-
- The information system terminates shared/group account credentials when members leave the group.
-
-
-
-
- control-enhancement
- AC-2(11)
- USAGE CONDITIONS
-
- The information system enforces [Assignment: organization-defined circumstances and/or usage conditions] for [Assignment: organization-defined information system accounts].
-
-
-
-
- Organizations can describe the specific conditions or circumstances under which information system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.
-
-
-
-
- control-enhancement
- AC-2(12)
- ACCOUNT MONITORING / ATYPICAL USAGE
-
- The organization:
-
- AC-2(12)(a)
- Monitors information system accounts for [Assignment: organization-defined atypical usage]; and
-
-
- AC-2(12)(b)
- Reports atypical usage of information system accounts to [Assignment: organization-defined personnel or roles].
-
-
-
-
-
- Atypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations.
-
-
-
-
-
- control-enhancement
- AC-2(13)
- DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS
-
- The organization disables accounts of users posing a significant risk within [Assignment: organization-defined time period] of discovery of the risk.
-
-
-
-
- Users posing a significant risk to organizations include individuals for whom reliable evidence or intelligence indicates either the intention to use authorized access to information systems to cause harm or through whom adversaries will cause harm. Harm includes potential adverse impacts to organizational operations and assets, individuals, other organizations, or the Nation. Close coordination between authorizing officials, information system administrators, and human resource managers is essential in order for timely execution of this control enhancement.
-
-
-
-
-
- control
- AC-3
- ACCESS ENFORCEMENT
-
- The information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.
-
-
- control
- ACCESS CONTROL
- P1
-
- Access control policies (e.g., identity-based policies, role-based policies, control matrices, cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, domains) in information systems. In addition to enforcing authorized access at the information system level and recognizing that information systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-enhancement
- AC-3(1)
- RESTRICTED ACCESS TO PRIVILEGED FUNCTIONS
-
- [Withdrawn: Incorporated into AC-6].
-
-
-
-
- AC-6
-
-
-
-
- control-enhancement
- AC-3(2)
- DUAL AUTHORIZATION
-
- The information system enforces dual authorization for [Assignment: organization-defined privileged commands and/or other organization-defined actions].
-
-
-
-
- Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety. Dual authorization may also be known as two-person control.
-
-
-
-
-
-
- control-enhancement
- AC-3(3)
- MANDATORY ACCESS CONTROL
-
- The information system enforces [Assignment: organization-defined mandatory access control policy] over all subjects and objects where the policy:
-
- AC-3 (3)(a)
- Is uniformly enforced across all subjects and objects within the boundary of the information system;
-
-
- AC-3 (3)(b)
- Specifies that a subject that has been granted access to information is constrained from doing any of the following;
-
- AC-3 (3)(b)(1)
- Passing the information to unauthorized subjects or objects;
-
-
- AC-3 (3)(b)(2)
- Granting its privileges to other subjects;
-
-
- AC-3 (3)(b)(3)
- Changing one or more security attributes on subjects, objects, the information system, or information system components;
-
-
- AC-3 (3)(b)(4)
- Choosing the security attributes and attribute values to be associated with newly created or modified objects; or
-
-
- AC-3 (3)(b)(5)
- Changing the rules governing access control; and
-
-
-
- AC-3 (3)(c)
- Specifies that [Assignment: organization-defined subjects] may explicitly be granted [Assignment: organization-defined privileges (i.e., they are trusted subjects)] such that they are not limited by some or all of the above constraints.
-
-
-
-
-
- Mandatory access control as defined in this control enhancement is synonymous with nondiscretionary access control, and is not constrained only to certain historical uses (e.g., implementations using the Bell-LaPadula Model). The above class of mandatory access control policies constrains what actions subjects can take with information obtained from data objects for which they have already been granted access, thus preventing the subjects from passing the information to unauthorized subjects and objects. This class of mandatory access control policies also constrains what actions subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the information system has control. Otherwise, the access control policy can be circumvented. This enforcement typically is provided via an implementation that meets the reference monitor concept (see AC-25). The policy is bounded by the information system boundary (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect). The trusted subjects described above are granted privileges consistent with the concept of least privilege (see AC-6). Trusted subjects are only given the minimum privileges relative to the above policy necessary for satisfying organizational mission/business needs. The control is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes a policy regarding access to sensitive/classified information and some users of the information system are not authorized access to all sensitive/classified information resident in the information system. This control can operate in conjunction with AC-3 (4). A subject that is constrained in its operation by policies governed by this control is still able to operate under the less rigorous constraints of AC-3 (4), but policies governed by this control take precedence over the less rigorous constraints of AC-3 (4). For example, while a mandatory access control policy imposes a constraint preventing a subject from passing information to another subject operating at a different sensitivity label, AC-3 (4) permits the subject to pass the information to any subject with the same sensitivity label as the subject.
-
-
-
-
-
-
- control-enhancement
- AC-3(4)
- DISCRETIONARY ACCESS CONTROL
-
- The information system enforces [Assignment: organization-defined discretionary access control policy] over defined subjects and objects where the policy specifies that a subject that has been granted access to information can do one or more of the following:
-
- AC-3 (4)(a)
- Pass the information to any other subjects or objects;
-
-
- AC-3 (4)(b)
- Grant its privileges to other subjects;
-
-
- AC-3 (4)(c)
- Change security attributes on subjects, objects, the information system, or the information system�s components;
-
-
- AC-3 (4)(d)
- Choose the security attributes to be associated with newly created or revised objects; or
-
-
- AC-3 (4)(e)
- Change the rules governing access control.
-
-
-
-
-
- When discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing (i.e., the subjects have the discretion to pass) the information to other subjects or objects. This control enhancement can operate in conjunction with AC-3 (3). A subject that is constrained in its operation by policies governed by AC-3 (3) is still able to operate under the less rigorous constraints of this control enhancement. Thus, while AC-3 (3) imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3 (4) permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the information system boundary. Once the information is passed outside of the control of the information system, additional means may be required to ensure that the constraints remain in effect. While the older, more traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this use of discretionary access control.
-
-
-
-
- control-enhancement
- AC-3(5)
- SECURITY-RELEVANT INFORMATION
-
- The information system prevents access to [Assignment: organization-defined security-relevant information] except during secure, non-operable system states.
-
-
-
- control-enhancement
-
- Security-relevant information is any information within information systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security policies or maintain the isolation of code and data. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Secure, non-operable system states include the times in which information systems are not performing mission/business-related processing (e.g., the system is off-line for maintenance, troubleshooting, boot-up, shut down).
-
-
-
-
-
- control-enhancement
- AC-3(6)
- PROTECTION OF USER AND SYSTEM INFORMATION
-
- [Withdrawn: Incorporated into MP-4 and SC-28].
-
-
-
-
- MP-4
- SC-28
-
-
-
-
- control-enhancement
- AC-3(7)
- ROLE-BASED ACCESS CONTROL
-
- The information system enforces a role-based access control policy over defined subjects and objects and controls access based upon [Assignment: organization-defined roles and users authorized to assume such roles].
-
-
-
-
- Role-based access control (RBAC) is an access control policy that restricts information system access to authorized users. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on organizational information systems associated with the organization-defined roles. When users are assigned to the organizational roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for organizations because privileges are not assigned directly to every user (which can be a significant number of individuals for mid- to large-size organizations) but are instead acquired through role assignments. RBAC can be implemented either as a mandatory or discretionary form of access control. For organizations implementing RBAC with mandatory access controls, the requirements in AC-3 (3) define the scope of the subjects and objects covered by the policy.
-
-
-
-
- control-enhancement
- AC-3(8)
- REVOCATION OF ACCESS AUTHORIZATIONS
-
- The information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on [Assignment: organization-defined rules governing the timing of revocations of access authorizations].
-
-
-
-
- Revocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process) is removed from a group, access may not be revoked until the next time the object (e.g., file) is opened or until the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations can provide alternative approaches on how to make revocations immediate if information systems cannot provide such capability and immediate revocation is necessary.
-
-
-
-
- control-enhancement
- AC-3(9)
- CONTROLLED RELEASE
-
- The information system does not release information outside of the established system boundary unless:
-
- AC-3 (9)(a)
- The receiving [Assignment: organization-defined information system or system component] provides [Assignment: organization-defined security safeguards]; and
-
-
- AC-3 (9)(b)
- [Assignment: organization-defined security safeguards] are used to validate the appropriateness of the information designated for release.
-
-
-
-
-
- Information systems can only protect organizational information within the confines of established system boundaries. Additional security safeguards may be needed to ensure that such information is adequately protected once it is passed beyond the established information system boundaries. Examples of information leaving the system boundary include transmitting information to an external information system or printing the information on one of its printers. In cases where the information system is unable to make a determination of the adequacy of the protections provided by entities outside its boundary, as a mitigating control, organizations determine procedurally whether the external information systems are providing adequate security. The means used to determine the adequacy of the security provided by external information systems include, for example, conducting inspections or periodic testing, establishing agreements between the organization and its counterpart organizations, or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security policy to protect the information. This control enhancement requires information systems to employ technical or procedural means to validate the information prior to releasing it to external systems. For example, if the information system passes information to another system controlled by another organization, technical means are employed to validate that the security attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the information system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only appropriately authorized individuals gain access to the printer. This control enhancement is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes policy regarding access to the information, and that policy applies beyond the realm of a particular information system or organization.
-
-
-
-
- control-enhancement
- AC-3(10)
- AUDITED OVERRIDE OF ACCESS CONTROL MECHANISMS
-
- The organization employs an audited override of automated access control mechanisms under [Assignment: organization-defined conditions].
-
-
-
-
-
-
-
-
-
-
- control
- AC-4
- INFORMATION FLOW ENFORCEMENT
-
- The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on [Assignment: organization-defined information flow control policies].
-
-
- ACCESS CONTROL
- P1
-
- Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regrading mechanisms to reassign security attributes and security labels.
- Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control
- CA-2
- SECURITY ASSESSMENTS
-
- The organization:
-
- CA-2a.
- Develops a security assessment plan that describes the scope of the assessment including:
-
- CA-2a.1.
- Security controls and control enhancements under assessment;
-
-
- CA-2a.2.
- Assessment procedures to be used to determine security control effectiveness; and
-
-
- CA-2a.3.
- Assessment environment, assessment team, and assessment roles and responsibilities;
-
-
-
- CA-2b.
- Assesses the security controls in the information system and its environment of operation [Assignment: organization-defined frequency] to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;
-
-
- CA-2c.
- Produces a security assessment report that documents the results of the assessment; and
-
-
- CA-2d.
- Provides the results of the security control assessment to [Assignment: organization-defined individuals or roles].
-
-
-
- SECURITY ASSESSMENT AND AUTHORIZATION
-
- Organizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F (main catalog) and Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives.
- To satisfy annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control.
-
-
-
-
-
-
-
-
-
-
-
-
- control-enhancement
- CA-2(1)
- INDEPENDENT ASSESSORS
-
- The organization employs assessors or assessment teams with [Assignment: organization-defined level of independence] to conduct security control assessments.
-
-
-
-
- Independent assessors or assessment teams are individuals or groups who conduct impartial assessments of organizational information systems. Impartiality implies that assessors are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the organizational information systems under assessment or to the determination of security control effectiveness. To achieve impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of information systems and/or the ultimate risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. This includes determining whether contracted security assessment services have sufficient independence, for example, when information system owners are not directly involved in contracting processes or cannot unduly influence the impartiality of assessors conducting assessments. In special situations, for example, when organizations that own the information systems are small or organizational structures require that assessments are conducted by individuals that are in the developmental, operational, or management chain of system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Organizations recognize that assessments performed for purposes other than direct support to authorization decisions are, when performed by assessors with sufficient independence, more likely to be useable for such decisions, thereby reducing the need to repeat assessments.
-
-
-
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/discarded/overlay_FedRAMP-low.xml b/deprecated/xml/discarded/overlay_FedRAMP-low.xml
deleted file mode 100644
index 13ec4b233d..0000000000
--- a/deprecated/xml/discarded/overlay_FedRAMP-low.xml
+++ /dev/null
@@ -1,153 +0,0 @@
-
-
-
- FedRAMP-Low
- Fed RAMP Low overlay
- 1
- TBD
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-overlay
- AC-1
- SP800-53#AC-1
-
- AC-1 (b) (1)
- at least every 3 years
-
-
- AC-1 (b) (2)
- at least annually
-
-
-
- AC-01
-
-
-
- control-overlay
- AC-8
- SP800-53#AC-8
-
- AC-8 (a)
- see additional Requirements and Guidance
-
-
- AC-8 (c)
- see additional Requirements and Guidance
-
- The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB.
-
- The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB.
-
- If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB.
-
- If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided.
-
-
-
- AC-08
-
-
-
- control-overlay
- CA-2
- SP800-53#CA-2
-
- CA-2b
- at least annually
-
-
- CA-2d
- individuals or roles to include FedRAMP PMO
-
-
-
- CA-02
-
-
-
-
- control-overlay
- CA-2 (1)
- #CA-2
- SP800-53#CA-2 (1)
- added from Moderate baseline of the SP800-53 catalog.
- Must use an accredited 3PAO for JAB authorization
-
-
-
- CA-02 (01)
-
-
-
-
- control-overlay
- CA-2 (2)
- #CA-2
- SP800-53#CA-2 (2)
- added from Moderate baseline of the SP800-53 catalog.
- To include 'announced', 'vulnerability scanning'
-
-
-
- CA-02 (01)
-
-
-
-
- objective
- AC-1
- SP800-53A
-
-
-
- AC-01
-
-
-
-
-
-
- objective
- CA-2 (1)
- SP800-53A
- added from Moderate baseline of the SP800-53A catalog.
-
-
- CA-02 (01)
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/discarded/overlay_FedRAMP-mod.xml b/deprecated/xml/discarded/overlay_FedRAMP-mod.xml
deleted file mode 100644
index 5df9912f28..0000000000
--- a/deprecated/xml/discarded/overlay_FedRAMP-mod.xml
+++ /dev/null
@@ -1,167 +0,0 @@
-
-
-
- FedRAMP-Mod
- Fed RAMP Mod overlay
- 1
- TBD
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-overlay
- AC-1
- SP800-53#AC-1
-
- AC-1 (b) (1)
- at least every 3 years
-
-
- AC-1 (b) (2)
- at least annually
-
-
-
- AC-01
-
-
-
- control-overlay
- AC-2
- SP800-53#AC-2
-
-
-
-
-
-
- AC-02
-
-
-
-
- control-overlay
- AC-8
- SP800-53#AC-8
-
- AC-8 (a)
- see additional Requirements and Guidance
-
-
- AC-8 (c)
- see additional Requirements and Guidance
-
- The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB.
-
- The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB.
-
- If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB.
-
- If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided.
-
-
-
- AC-08
-
-
-
- control-overlay
- CA-2
- SP800-53#CA-2
-
- CA-2b
- at least annually
-
-
- CA-2d
- individuals or roles to include FedRAMP PMO
-
-
-
- CA-02
-
-
-
-
- control-overlay
- CA-2 (1)
- #CA-2
- SP800-53#CA-2 (1)
- added from Moderate baseline of the SP800-53 catalog.
- Must use an accredited 3PAO for JAB authorization
-
-
-
- CA-02 (01)
-
-
-
-
- control-overlay
- CA-2 (2)
- #CA-2
- SP800-53#CA-2 (2)
- added from Moderate baseline of the SP800-53 catalog.
- To include 'announced', 'vulnerability scanning'
-
-
-
- CA-02 (01)
-
-
-
-
- objective
- AC-1
- SP800-53A
-
-
-
- AC-01
-
-
-
-
-
-
- objective
- CA-2 (1)
- SP800-53A
- added from Moderate baseline of the SP800-53A catalog.
-
-
- CA-02 (01)
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/discarded/overlay_baseline-mod_sp800-53.xml b/deprecated/xml/discarded/overlay_baseline-mod_sp800-53.xml
deleted file mode 100644
index d695352b4e..0000000000
--- a/deprecated/xml/discarded/overlay_baseline-mod_sp800-53.xml
+++ /dev/null
@@ -1,80 +0,0 @@
-
-
- SP800-53-Mod
- SP 800-53 rev 4 Mod baseline
- 4
- Low baseline of SP 800-53 rev 4 controls
-
-
-
-
-
-
- control-overlay
- AC-1
- simply listed
-
-
- control-overlay
- AC-2
- simply listed
-
-
- control-overlay
- AC-2(1)
- simply listed
-
-
- control-overlay
- AC-2(2)
- simply listed
-
-
- control-overlay
- AC-2(3)
- simply listed
-
-
- control-overlay
- AC-2(4)
- simply listed
-
-
- control-overlay
- AC-3
- simply listed
-
-
- control-overlay
- AC-3 (1)
- simply listed
-
-
- control-overlay
- AC-4
- simply listed
-
-
- control-overlay
- AC-8
- simply listed
-
-
- control-overlay
- CA-2
- simply listed
-
-
- control-overlay
- CA-2(1)
- simply listed
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/discarded/profile_FedRAMP-low.xml b/deprecated/xml/discarded/profile_FedRAMP-low.xml
deleted file mode 100644
index 175a7574c3..0000000000
--- a/deprecated/xml/discarded/profile_FedRAMP-low.xml
+++ /dev/null
@@ -1,178 +0,0 @@
-
-
-
-
- FedRAMP-Low
-
- Fed RAMP Low profile
- 1
- TBD
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-overlay
- AC-1
- SP800-53#AC-1
-
- AC-1 (b) (1)
- at least every 3 years
-
-
- AC-1 (b) (2)
- at least annually
-
-
-
- AC-01
-
-
-
- control-overlay
- AC-8
- SP800-53#AC-8
-
- AC-8 (a)
- see additional Requirements and Guidance
-
-
- AC-8 (c)
- see additional Requirements and Guidance
-
- The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB.
-
- The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB.
-
- If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB.
-
- If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided.
-
-
-
- AC-08
-
-
-
- control-overlay
- CA-2
- SP800-53#CA-2
-
- CA-2b
- at least annually
-
-
- CA-2d
- individuals or roles to include FedRAMP PMO
-
-
-
- CA-02
-
-
-
-
- control-overlay
- CA-2 (1)
- #CA-2
- SP800-53#CA-2 (1)
- added from Moderate baseline of the SP800-53 catalog.
- Must use an accredited 3PAO for JAB authorization
-
-
-
- CA-02 (01)
-
-
-
-
- control-overlay
- CA-2 (2)
- #CA-2
- SP800-53#CA-2 (2)
- added from Moderate baseline of the SP800-53 catalog.
- To include 'announced', 'vulnerability scanning'
-
-
-
- CA-02 (01)
-
-
-
-
- objective
- AC-1
- SP800-53A
-
-
-
- AC-01
-
-
-
-
-
-
- objective
- CA-2 (1)
- SP800-53A
- added from Moderate baseline of the SP800-53A catalog.
-
-
- CA-02 (01)
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/discarded/system-implementation-acmeblackbox-v1.xml b/deprecated/xml/discarded/system-implementation-acmeblackbox-v1.xml
deleted file mode 100644
index 855b4b466b..0000000000
--- a/deprecated/xml/discarded/system-implementation-acmeblackbox-v1.xml
+++ /dev/null
@@ -1,136 +0,0 @@
-
-
- acmeblackbox
- Acme Black Box Cloud Service
- 0.9
- 3/6/2017
- 0.9
- The Acme Black Box Cloud Service comprises a suite of integrated components that present payment invoices to subscribing customers.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-system
- AC-1
- AC-01
- FedRAMP-Low#AC-1
-
-
-
-
-
-
-
- control-system
- AC-8
- AC-08
- SP800-53#AC-8
-
- AC-8 (a)
- see additional Requirements and Guidance
-
-
- AC-8 (c)
- see additional Requirements and Guidance
-
- The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB.
-
- The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB.
-
- If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB.
-
- If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided.
-
-
-
-
- control-system
- CA-2
- CA-02
- SP800-53#CA-2
-
- CA-2b
- at least annually
-
-
- CA-2d
- individuals or roles to include FedRAMP PMO
-
-
-
-
-
- control-system
- CA-2 (1)
- CA-02 (01)
- #CA-2
- SP800-53#CA-2 (1)
- added from Moderate baseline of the SP800-53 catalog.
- Must use an accredited 3PAO for JAB authorization
-
-
-
-
-
- control-system
- CA-2 (2)
- CA-02 (02)
- #CA-2
- SP800-53#CA-2 (2)
- added from Moderate baseline of the SP800-53 catalog.
- To include 'announced', 'vulnerability scanning'
-
-
-
-
-
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/discarded/system-implementation-acmeblackbox.xml b/deprecated/xml/discarded/system-implementation-acmeblackbox.xml
deleted file mode 100644
index 4c478d9712..0000000000
--- a/deprecated/xml/discarded/system-implementation-acmeblackbox.xml
+++ /dev/null
@@ -1,136 +0,0 @@
-
-
- acmeblackbox
- Acme Black Box Cloud Service
- 0.9
- 3/6/2017
- 0.9
- The Acme Black Box Cloud Service comprises a suite of integrated components that present payment invoices to subscribing customers.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-system
- AC-1
- AC-01
- SP800-53#AC-1
-
-
-
-
-
-
-
- control-system
- AC-8
- AC-08
- SP800-53#AC-8
-
- AC-8 (a)
- see additional Requirements and Guidance
-
-
- AC-8 (c)
- see additional Requirements and Guidance
-
- The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB.
-
- The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB.
-
- If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB.
-
- If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided.
-
-
-
-
- control-system
- CA-2
- CA-02
- SP800-53#CA-2
-
- CA-2b
- at least annually
-
-
- CA-2d
- individuals or roles to include FedRAMP PMO
-
-
-
-
-
- control-system
- CA-2 (1)
- CA-02 (01)
- #CA-2
- SP800-53#CA-2 (1)
- added from Moderate baseline of the SP800-53 catalog.
- Must use an accredited 3PAO for JAB authorization
-
-
-
-
-
- control-system
- CA-2 (2)
- CA-02 (02)
- #CA-2
- SP800-53#CA-2 (2)
- added from Moderate baseline of the SP800-53 catalog.
- To include 'announced', 'vulnerability scanning'
-
-
-
-
-
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/latest/catalog-controls-sp800-53.xml b/deprecated/xml/latest/catalog-controls-sp800-53.xml
deleted file mode 100644
index d0a80aa02f..0000000000
--- a/deprecated/xml/latest/catalog-controls-sp800-53.xml
+++ /dev/null
@@ -1,773 +0,0 @@
-
-
- SP800-53
- SP 800-53 rev 4
- 4
- TBD
-
-
- control
- AC-1
- ACCESS CONTROL POLICY AND PROCEDURES
- ACCESS CONTROL
-
- The organization:
-
- AC-1a.
- Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
-
- AC-1a.1.
- An access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
-
-
- AC-1a.2.
- Procedures to facilitate the implementation of the access control policy and associated access controls; and
-
-
-
- AC-1b.
- Reviews and updates the current:
-
- AC-1b.1.
- Access control policy [Assignment: organization-defined frequency]; and
-
-
- AC-1b.2.
- Access control procedures [Assignment: organization-defined frequency].
-
-
-
- NIST Special Publication 800-12
- NIST Special Publication 800-100
-
-
-
-
-
-
- P1
-
- This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
-
-
-
-
-
- control
- AC-2
- ACCOUNT MANAGEMENT
- ACCESS CONTROL
-
- The organization:
-
- AC-2a.
- Identifies and selects the following types of information system accounts to support organizational missions/business functions: [Assignment: organization-defined information system account types];
-
-
- AC-2b.
- Assigns account managers for information system accounts;
-
-
- AC-2c.
- Establishes conditions for group and role membership;
-
-
- AC-2d.
- Specifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;
-
-
- AC-2e.
- Requires approvals by [Assignment: organization-defined personnel or roles] for requests to create information system accounts;
-
-
- AC-2f.
- Creates, enables, modifies, disables, and removes information system accounts in accordance with [Assignment: organization-defined procedures or conditions];
-
-
- AC-2g.
- Monitors the use of information system accounts;
-
-
- AC-2h.
- Notifies account managers:
-
- AC-2h.1.
- When accounts are no longer required;
-
-
- AC-2h.2.
- When users are terminated or transferred; and
-
-
- AC-2h.3.
- When individual information system usage or need-to-know changes;
-
-
-
- AC-2i.
- Authorizes access to the information system based on:
-
- AC-2i.1.
- A valid access authorization;
-
-
- AC-2i.2.
- Intended system usage; and
-
-
- AC-2i.3.
- Other attributes as required by the organization or associated missions/business functions;
-
-
-
- AC-2j.
- Reviews accounts for compliance with account management requirements [Assignment: organization-defined frequency]; and
-
-
- AC-2k.
- Establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- P1
-
- Information system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training.
-
-
-
-
-
-
- control-enhancement
- AC-2(1)
- AUTOMATED SYSTEM ACCOUNT MANAGEMENT
-
- The organization employs automated mechanisms to support the management of information system accounts.
-
-
-
-
-
-
- The use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using telephonic notification to report atypical system account usage.
-
-
-
-
-
- control-enhancement
- AC-2(2)
- REMOVAL OF TEMPORARY / EMERGENCY ACCOUNTS
-
- The information system automatically [Selection: removes; disables] temporary and emergency accounts after [Assignment: organization-defined time period for each type of account].
-
-
-
-
-
- This control enhancement requires the removal of both temporary and emergency accounts automatically after a predefined period of time has elapsed, rather than at the convenience of the systems administrator.
-
-
-
-
- control-enhancement
- AC-2(3)
- DISABLE INACTIVE ACCOUNTS
-
- The information system automatically disables inactive accounts after [Assignment: organization-defined time period].
-
-
-
-
- control-enhancement
- AC-2(4)
- AUTOMATED AUDIT ACTIONS
-
- The information system automatically audits account creation, modification, enabling, disabling, and removal actions, and notifies [Assignment: organization-defined personnel or roles].
-
-
-
-
-
-
-
-
-
-
-
- control-enhancement
- AC-2(5)
- INACTIVITY LOGOUT
-
- The organization requires that users log out when [Assignment: organization-defined time-period of expected inactivity or description of when to log out].
-
-
-
-
-
-
-
-
-
-
-
- control-enhancement
- AC-2(6)
- DYNAMIC PRIVILEGE MANAGEMENT
-
- The information system implements the following dynamic privilege management capabilities: [Assignment: organization-defined list of dynamic privilege management capabilities].
-
-
-
-
-
-
- In contrast to conventional access control approaches which employ static information system accounts and predefined sets of user privileges, dynamic access control approaches (e.g., service-oriented architectures) rely on run time access control decisions facilitated by dynamic privilege management. While user identities may remain relatively constant over time, user privileges may change more frequently based on ongoing mission/business requirements and operational needs of organizations. Dynamic privilege management can include, for example, the immediate revocation of privileges from users, as opposed to requiring that users terminate and restart their sessions to reflect any changes in privileges. Dynamic privilege management can also refer to mechanisms that change the privileges of users based on dynamic rules as opposed to editing specific user profiles. This type of privilege management includes, for example, automatic adjustments of privileges if users are operating out of their normal work times, or if information systems are under duress or in emergency maintenance situations. This control enhancement also includes the ancillary effects of privilege changes, for example, the potential changes to encryption keys used for communications. Dynamic privilege management can support requirements for information system resiliency.
-
-
-
-
- control-enhancement
- AC-2(7)
- ROLE-BASED SCHEMES
-
- The organization:
-
- AC-2(7)(a)
- Establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;
-
-
- AC-2(7)(b)
- Monitors privileged role assignments; and
-
-
- AC-2(7)(c)
- Takes [Assignment: organization-defined actions] when privileged role assignments are no longer appropriate.
-
-
-
-
-
- Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. These privileged roles include, for example, key management, account management, network and system administration, database administration, and web administration.
-
-
-
-
- control-enhancement
- AC-2(8)
- DYNAMIC ACCOUNT CREATION
-
- The information system creates [Assignment: organization-defined information system accounts] dynamically.
-
-
-
-
-
- Dynamic approaches for creating information system accounts (e.g., as implemented within service-oriented architectures) rely on establishing accounts (identities) at run time for entities that were previously unknown. Organizations plan for dynamic creation of information system accounts by establishing trust relationships and mechanisms with the appropriate authorities to validate related authorizations and privileges.
-
-
-
-
- control-enhancement
- AC-2(9)
- RESTRICTIONS ON USE OF SHARED / GROUP ACCOUNTS
-
- The organization only permits the use of shared/group accounts that meet [Assignment: organization-defined conditions for establishing shared/group accounts].
-
-
-
-
- control-enhancement
- AC-2(10)
- SHARED / GROUP ACCOUNT CREDENTIAL TERMINATION
-
- The information system terminates shared/group account credentials when members leave the group.
-
-
-
-
- control-enhancement
- AC-2(11)
- USAGE CONDITIONS
-
- The information system enforces [Assignment: organization-defined circumstances and/or usage conditions] for [Assignment: organization-defined information system accounts].
-
-
-
-
- Organizations can describe the specific conditions or circumstances under which information system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.
-
-
-
-
- control-enhancement
- AC-2(12)
- ACCOUNT MONITORING / ATYPICAL USAGE
-
- The organization:
-
- AC-2(12)(a)
- Monitors information system accounts for [Assignment: organization-defined atypical usage]; and
-
-
- AC-2(12)(b)
- Reports atypical usage of information system accounts to [Assignment: organization-defined personnel or roles].
-
-
-
-
-
-
- Atypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations.
-
-
-
-
- control-enhancement
- AC-2(13)
- DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS
-
- The organization disables accounts of users posing a significant risk within [Assignment: organization-defined time period] of discovery of the risk.
-
-
-
-
-
- Users posing a significant risk to organizations include individuals for whom reliable evidence or intelligence indicates either the intention to use authorized access to information systems to cause harm or through whom adversaries will cause harm. Harm includes potential adverse impacts to organizational operations and assets, individuals, other organizations, or the Nation. Close coordination between authorizing officials, information system administrators, and human resource managers is essential in order for timely execution of this control enhancement.
-
-
-
-
- control
- AC-3
- ACCESS ENFORCEMENT
- ACCESS CONTROL
-
- The information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- P1
-
- Access control policies (e.g., identity-based policies, role-based policies, control matrices, cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, domains) in information systems. In addition to enforcing authorized access at the information system level and recognizing that information systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security.
-
-
-
-
- control-enhancement
- AC-3(1)
- RESTRICTED ACCESS TO PRIVILEGED FUNCTIONS
-
- [Withdrawn: Incorporated into AC-6].
-
-
-
-
- AC-6
-
-
-
-
- control-enhancement
- AC-3(2)
- DUAL AUTHORIZATION
-
- The information system enforces dual authorization for [Assignment: organization-defined privileged commands and/or other organization-defined actions].
-
-
-
-
-
-
- Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety. Dual authorization may also be known as two-person control.
-
-
-
-
- control-enhancement
- AC-3(3)
- MANDATORY ACCESS CONTROL
-
- The information system enforces [Assignment: organization-defined mandatory access control policy] over all subjects and objects where the policy:
-
- AC-3 (3)(a)
- Is uniformly enforced across all subjects and objects within the boundary of the information system;
-
-
- AC-3 (3)(b)
- Specifies that a subject that has been granted access to information is constrained from doing any of the following;
-
- AC-3 (3)(b)(1)
- Passing the information to unauthorized subjects or objects;
-
-
- AC-3 (3)(b)(2)
- Granting its privileges to other subjects;
-
-
- AC-3 (3)(b)(3)
- Changing one or more security attributes on subjects, objects, the information system, or information system components;
-
-
- AC-3 (3)(b)(4)
- Choosing the security attributes and attribute values to be associated with newly created or modified objects; or
-
-
- AC-3 (3)(b)(5)
- Changing the rules governing access control; and
-
-
-
- AC-3 (3)(c)
- Specifies that [Assignment: organization-defined subjects] may explicitly be granted [Assignment: organization-defined privileges (i.e., they are trusted subjects)] such that they are not limited by some or all of the above constraints.
-
-
-
-
-
-
-
- Mandatory access control as defined in this control enhancement is synonymous with nondiscretionary access control, and is not constrained only to certain historical uses (e.g., implementations using the Bell-LaPadula Model). The above class of mandatory access control policies constrains what actions subjects can take with information obtained from data objects for which they have already been granted access, thus preventing the subjects from passing the information to unauthorized subjects and objects. This class of mandatory access control policies also constrains what actions subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the information system has control. Otherwise, the access control policy can be circumvented. This enforcement typically is provided via an implementation that meets the reference monitor concept (see AC-25). The policy is bounded by the information system boundary (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect). The trusted subjects described above are granted privileges consistent with the concept of least privilege (see AC-6). Trusted subjects are only given the minimum privileges relative to the above policy necessary for satisfying organizational mission/business needs. The control is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes a policy regarding access to sensitive/classified information and some users of the information system are not authorized access to all sensitive/classified information resident in the information system. This control can operate in conjunction with AC-3 (4). A subject that is constrained in its operation by policies governed by this control is still able to operate under the less rigorous constraints of AC-3 (4), but policies governed by this control take precedence over the less rigorous constraints of AC-3 (4). For example, while a mandatory access control policy imposes a constraint preventing a subject from passing information to another subject operating at a different sensitivity label, AC-3 (4) permits the subject to pass the information to any subject with the same sensitivity label as the subject.
-
-
-
-
-
- control-enhancement
- AC-3(4)
- DISCRETIONARY ACCESS CONTROL
-
- The information system enforces [Assignment: organization-defined discretionary access control policy] over defined subjects and objects where the policy specifies that a subject that has been granted access to information can do one or more of the following:
-
-
- AC-3 (4)(a)
- Pass the information to any other subjects or objects;
-
-
- AC-3 (4)(b)
- Grant its privileges to other subjects;
-
-
- AC-3 (4)(c)
- Change security attributes on subjects, objects, the information system, or the information system�s components;
-
-
- AC-3 (4)(d)
- Choose the security attributes to be associated with newly created or revised objects; or
-
-
- AC-3 (4)(e)
- Change the rules governing access control.
-
-
-
-
-
- When discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing (i.e., the subjects have the discretion to pass) the information to other subjects or objects. This control enhancement can operate in conjunction with AC-3 (3). A subject that is constrained in its operation by policies governed by AC-3 (3) is still able to operate under the less rigorous constraints of this control enhancement. Thus, while AC-3 (3) imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3 (4) permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the information system boundary. Once the information is passed outside of the control of the information system, additional means may be required to ensure that the constraints remain in effect. While the older, more traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this use of discretionary access control.
-
-
-
-
-
- control-enhancement
- AC-3(5)
- SECURITY-RELEVANT INFORMATION
-
- The information system prevents access to [Assignment: organization-defined security-relevant information] except during secure, non-operable system states.
-
-
-
-
- control-enhancement
-
- Security-relevant information is any information within information systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security policies or maintain the isolation of code and data. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Secure, non-operable system states include the times in which information systems are not performing mission/business-related processing (e.g., the system is off-line for maintenance, troubleshooting, boot-up, shut down).
-
-
-
-
-
- control-enhancement
- AC-3(6)
- PROTECTION OF USER AND SYSTEM INFORMATION
-
- [Withdrawn: Incorporated into MP-4 and SC-28].
-
-
-
-
- MP-4
- SC-28
-
-
-
-
- control-enhancement
- AC-3(7)
- ROLE-BASED ACCESS CONTROL
-
- The information system enforces a role-based access control policy over defined subjects and objects and controls access based upon [Assignment: organization-defined roles and users authorized to assume such roles].
-
-
-
-
-
- Role-based access control (RBAC) is an access control policy that restricts information system access to authorized users. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on organizational information systems associated with the organization-defined roles. When users are assigned to the organizational roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for organizations because privileges are not assigned directly to every user (which can be a significant number of individuals for mid- to large-size organizations) but are instead acquired through role assignments. RBAC can be implemented either as a mandatory or discretionary form of access control. For organizations implementing RBAC with mandatory access controls, the requirements in AC-3 (3) define the scope of the subjects and objects covered by the policy.
-
-
-
-
-
- control-enhancement
- AC-3(8)
- REVOCATION OF ACCESS AUTHORIZATIONS
-
- The information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on [Assignment: organization-defined rules governing the timing of revocations of access authorizations].
-
-
-
-
- Revocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process) is removed from a group, access may not be revoked until the next time the object (e.g., file) is opened or until the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations can provide alternative approaches on how to make revocations immediate if information systems cannot provide such capability and immediate revocation is necessary.
-
-
-
-
-
- control-enhancement
- AC-3(9)
- CONTROLLED RELEASE
-
- The information system does not release information outside of the established system boundary unless:
-
- AC-3 (9)(a)
- The receiving [Assignment: organization-defined information system or system component] provides [Assignment: organization-defined security safeguards]; and
-
-
- AC-3 (9)(b)
- [Assignment: organization-defined security safeguards] are used to validate the appropriateness of the information designated for release.
-
-
-
-
-
- Information systems can only protect organizational information within the confines of established system boundaries. Additional security safeguards may be needed to ensure that such information is adequately protected once it is passed beyond the established information system boundaries. Examples of information leaving the system boundary include transmitting information to an external information system or printing the information on one of its printers. In cases where the information system is unable to make a determination of the adequacy of the protections provided by entities outside its boundary, as a mitigating control, organizations determine procedurally whether the external information systems are providing adequate security. The means used to determine the adequacy of the security provided by external information systems include, for example, conducting inspections or periodic testing, establishing agreements between the organization and its counterpart organizations, or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security policy to protect the information. This control enhancement requires information systems to employ technical or procedural means to validate the information prior to releasing it to external systems. For example, if the information system passes information to another system controlled by another organization, technical means are employed to validate that the security attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the information system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only appropriately authorized individuals gain access to the printer. This control enhancement is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes policy regarding access to the information, and that policy applies beyond the realm of a particular information system or organization.
-
-
-
-
-
- control-enhancement
- AC-3(10)
- AUDITED OVERRIDE OF ACCESS CONTROL MECHANISMS
-
- The organization employs an audited override of automated access control mechanisms under [Assignment: organization-defined conditions].
-
-
-
-
-
-
-
-
-
-
- control
- AC-4
- INFORMATION FLOW ENFORCEMENT
- ACCESS CONTROL
-
- The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on [Assignment: organization-defined information flow control policies].
-
-
-
-
-
-
-
-
-
-
-
-
-
- P1
-
- Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regrading mechanisms to reassign security attributes and security labels.
- Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products.
-
-
-
-
-
-
-
-
-
- control
- CA-2
- SECURITY ASSESSMENTS
- SECURITY ASSESSMENT AND AUTHORIZATION
-
- The organization:
-
- CA-2a.
- Develops a security assessment plan that describes the scope of the assessment including:
-
- CA-2a.1.
- Security controls and control enhancements under assessment;
-
-
- CA-2a.2.
- Assessment procedures to be used to determine security control effectiveness; and
-
-
- CA-2a.3.
- Assessment environment, assessment team, and assessment roles and responsibilities;
-
-
-
- CA-2b.
- Assesses the security controls in the information system and its environment of operation [Assignment: organization-defined frequency] to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;
-
-
- CA-2c.
- Produces a security assessment report that documents the results of the assessment; and
-
-
- CA-2d.
- Provides the results of the security control assessment to [Assignment: organization-defined individuals or roles].
-
-
-
- NIST Special Publication 800-37
- NIST Special Publication 800-39
- NIST Special Publication 800-53A
- NIST Special Publication 800-115
- NIST Special Publication 800-137
-
-
-
-
-
-
-
-
-
-
-
- Organizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F (main catalog) and Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives.
- To satisfy annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control.
-
-
-
-
-
- control-enhancement
- CA-2(1)
- INDEPENDENT ASSESSORS
-
- The organization employs assessors or assessment teams with [Assignment: organization-defined level of independence] to conduct security control assessments.
-
-
-
-
- Independent assessors or assessment teams are individuals or groups who conduct impartial assessments of organizational information systems. Impartiality implies that assessors are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the organizational information systems under assessment or to the determination of security control effectiveness. To achieve impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of information systems and/or the ultimate risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. This includes determining whether contracted security assessment services have sufficient independence, for example, when information system owners are not directly involved in contracting processes or cannot unduly influence the impartiality of assessors conducting assessments. In special situations, for example, when organizations that own the information systems are small or organizational structures require that assessments are conducted by individuals that are in the developmental, operational, or management chain of system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Organizations recognize that assessments performed for purposes other than direct support to authorization decisions are, when performed by assessors with sufficient independence, more likely to be useable for such decisions, thereby reducing the need to repeat assessments.
-
-
-
-
-
- control-enhancement
- CA-2(2)
- SPECIALIZED ASSESSMENTS
-
- The organization includes as part of security control assessments, [Assignment: organization- defined frequency], [Selection: announced; unannounced], [Selection (one or more): in-depth monitoring; vulnerability scanning; malicious user testing; insider threat assessment; performance/load testing; [Assignment: organization-defined other forms of security assessment]].
-
-
-
-
-
-
-
- Organizations can employ information system monitoring,insider threat assessments, malicious user testing, and other forms of testing (e.g., verification and validation) to improve readiness by exercising organizational capabilities and indicating current performance levels as a means of focusing actions to improve security. Organizations conduct assessment activities in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can incorporate vulnerabilities uncovered during assessments into vulnerability remediation processes.
-
-
-
-
-
- control-enhancement
- CA-2(3)
- EXTERNAL ORGANIZATIONS
-
- The organization accepts the results of an assessment of [Assignment: organization-defined information system] performed by [Assignment: organization-defined external organization] when the assessment meets [Assignment: organization-defined requirements].
-
-
-
-
-
-
-
- Organizations may often rely on assessments of specific information systems by other (external) organizations. Utilizing such existing assessments (i.e., reusing existing assessment evidence) can significantly decrease the time and resources required for organizational assessments by limiting the amount of independent assessment activities that organizations need to perform. The factors that organizations may consider in determining whether to accept assessment results from external organizations can vary. Determinations for accepting assessment results can be based on, for example, past assessment experiences one organization has had with another organization, the reputation that organizations have with regard to assessments, the level of detail of supporting assessment documentation provided, or mandates imposed upon organizations by federal legislation, policies, or directives.
-
-
-
-
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/latest/overlay_baseline-low_sp800-53.xml b/deprecated/xml/latest/overlay_baseline-low_sp800-53.xml
deleted file mode 100755
index e93b123d25..0000000000
--- a/deprecated/xml/latest/overlay_baseline-low_sp800-53.xml
+++ /dev/null
@@ -1,50 +0,0 @@
-
-
- SP800-53-Low
- SP 800-53 rev 4 Low baseline
- 4
- Low baseline of SP 800-53 rev 4 controls
-
-
-
-
-
-
- control-overlay
- AC-1
- simply listed
-
-
- control-overlay
- AC-2
- simply listed
-
-
- control-overlay
- AC-3
- simply listed
-
-
- control-overlay
- AC-3 (1)
- simply listed
-
-
- control-overlay
- AC-8
- simply listed
-
-
- control-overlay
- CA-2
- simply listed
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/latest/profile_FedRAMP_low.xml b/deprecated/xml/latest/profile_FedRAMP_low.xml
deleted file mode 100644
index 6e6a40d3fc..0000000000
--- a/deprecated/xml/latest/profile_FedRAMP_low.xml
+++ /dev/null
@@ -1,126 +0,0 @@
-
-
-
-
- FedRAMP-Low
-
- Fed RAMP Low profile
- 1
- TBD
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-overlay
- AC-1
- AC-01
- SP800-53#AC-1
-
-
- AC-1 (b) (1)
- at least every 3 years
-
-
- AC-1 (b) (2)
- at least annually
-
-
-
-
- control-overlay
- AC-8
- AC-08
- SP800-53#AC-8
-
- AC-8 (a)
- see additional Requirements and Guidance
-
-
- AC-8 (c)
- see additional Requirements and Guidance
-
-
- The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB.
-
- The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB.
-
- If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB.
-
- If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided.
-
-
-
-
- control-overlay
- CA-2
- CA-02
- SP800-53#CA-2
-
- CA-2b
- at least annually
-
-
- CA-2d
- individuals or roles to include FedRAMP PMO
-
-
-
-
-
- control-overlay
- CA-2 (1)
- CA-02 (01)
- #CA-2
- SP800-53#CA-2 (1)
- added from Moderate baseline of the SP800-53 catalog.
- Must use an accredited 3PAO for JAB authorization
-
-
-
-
-
- control-overlay
- CA-2 (2)
- CA-02 (02)
- #CA-2
- SP800-53#CA-2 (2)
- added from Moderate baseline of the SP800-53 catalog.
- To include 'announced', 'vulnerability scanning'
-
-
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/latest/profile_baseline_mod_sp800-53.xml b/deprecated/xml/latest/profile_baseline_mod_sp800-53.xml
deleted file mode 100644
index 9c662c6fb7..0000000000
--- a/deprecated/xml/latest/profile_baseline_mod_sp800-53.xml
+++ /dev/null
@@ -1,80 +0,0 @@
-
-
- SP800-53-Mod
- SP 800-53 rev 4 Mod baseline
- 4
- Mod baseline of SP 800-53 rev 4 controls
-
-
-
-
-
-
- control-overlay
- AC-1
- simply listed
-
-
- control-overlay
- AC-2
- simply listed
-
-
- control-overlay
- AC-2(1)
- simply listed
-
-
- control-overlay
- AC-2(2)
- simply listed
-
-
- control-overlay
- AC-2(3)
- simply listed
-
-
- control-overlay
- AC-2(4)
- simply listed
-
-
- control-overlay
- AC-3
- simply listed
-
-
- control-overlay
- AC-3 (1)
- simply listed
-
-
- control-overlay
- AC-4
- simply listed
-
-
- control-overlay
- AC-8
- simply listed
-
-
- control-overlay
- CA-2
- simply listed
-
-
- control-overlay
- CA-2(1)
- simply listed
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/latest/system-implementation-acmeblackbox-m1.xml b/deprecated/xml/latest/system-implementation-acmeblackbox-m1.xml
deleted file mode 100644
index 449f03a178..0000000000
--- a/deprecated/xml/latest/system-implementation-acmeblackbox-m1.xml
+++ /dev/null
@@ -1,229 +0,0 @@
-
-
-
-
- ACME-RMSCE
-
- ACME Roadrunner Management Suite Coyote Edition
- 4.1.5
- 3/6/2017
- John Doe
- The Acme Roadrunner Management Suite comprises a suite of integrated components that present payment invoices to subscribing customers.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- component
- SRM-01
- Access Account Management Component
-
- This system component is used to manage subscriber accounts and access passwords
-
- SRM-01a
- Text that ties function to security control. In this case, organization defined account types.
-
-
- SRM-01b
- Text description of account management methods that satisfy AC-1 security control and can be assessed in a sensible and repeatable way.
-
-
- FedRAMP-Low#AC-1
-
-
-
-
-
-
- L1
- Application
-
- Acme
- serviceProvider
-
-
-
-
- component
- SRM-02
-
- This system component is used to present banner information to users.
-
- SRM-02a
- Text that ties function to security control. In this case, presentation of banners.
-
-
- SRM-02b
- Text description of presentation methods that satisfy AC-8 security control and can be assessed in a sensible and repeatable way.
-
-
- FedRAMP-Low#AC-8
-
-
-
-
-
-
- L1
- Application
-
- Acme
- serviceProvider
-
-
-
-
- component
- SRM-03
-
- This system component is a constant monitoring software tool used to perform internal assessments
- that temporarily suspends client processes and presents a banner to the client.
-
- SRM-03a
- Text that ties function to security control.
- In this case, assessment scanning and presentation of banners.
-
-
- SRM-03b
- Text description of presentation methods that satisfy AC-8 security control and can be assessed in a sensible and repeatable way.
-
-
-
- ACME-RMSCE#SRM-02
-
- FedRAMP-Low#AC-8
- FedRAMP-Low#CA-2
-
-
-
-
-
-
- L2
- Application
-
- Acme
- serviceProvider
-
-
-
-
- component
- SRM-04
-
- This organizational requirement for independent assessment teams.
-
- SRM-04a
- Text that ties function to security control.
-
-
- SRM-04b
- Text description of employment methods, including contract details,
- that satisfy CA-2 (1) security control and can be assessed in a sensible and repeatable way.
-
-
-
- ACME-RMSCE#SRM-03
-
- FedRAMP-Low#CA-2 (1)
-
-
-
- L3
- Organizational
-
- Acme
- serviceProvider
-
-
-
-
-
- component
- SRM-05
-
- This system component is a business process to assess insider threat and perform internal assessments.
-
- SRM-05a
- Text that ties function to security control.
-
-
- SRM-05b
- Text description of presentation methods that satisfy security control and can be assessed in a sensible and repeatable way.
-
-
-
- ACME-RMSCE#SRM-03
-
- FedRAMP-Low#CA-2 (2)
-
-
-
- L3
- Organizational
-
- Acme
- serviceProvider
-
-
-
-
-
- component
- SRM-06
-
- This system component is a software tool to detect malicious insider activity.
-
- SRM-06a
- Text that ties function to security control.
-
-
- SRM-06b
- Text description of presentation methods that satisfy security control and can be assessed in a sensible and repeatable way.
-
-
-
- ACME-RMSCE#SRM-03
-
- FedRAMP-Low#CA-2 (2)
-
-
-
-
-
-
- L3
- Application
-
- Acme
- serviceProvider
-
-
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/overlay_FedRAMP-low.xml b/deprecated/xml/overlay_FedRAMP-low.xml
deleted file mode 100755
index 531103d0a9..0000000000
--- a/deprecated/xml/overlay_FedRAMP-low.xml
+++ /dev/null
@@ -1,71 +0,0 @@
-
-
- FedRAMP-Low
- Fed RAMP Low overlay
- 1
- TBD
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-overlay
- CA-2
- SP800-53#CA-2
-
- CA-2b
- at least annually.
-
-
-
-
- control-overlay
- CA-2 (1)
- #CA-2
- SP800-53#CA-2 (1)
- added from Moderate baseline of the SP800-53 catalog.
-
-
-
- objective
- AC-1
- SP800-53A
-
-
-
-
-
-
- objective
- CA-2 (1)
- SP800-53A
- added from Moderate baseline of the SP800-53A catalog.
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/overlay_baseline-low_sp800-53.xml b/deprecated/xml/overlay_baseline-low_sp800-53.xml
deleted file mode 100755
index ad4487ba30..0000000000
--- a/deprecated/xml/overlay_baseline-low_sp800-53.xml
+++ /dev/null
@@ -1,85 +0,0 @@
-
-
- SP800-53-Low
- SP 800-53 rev 4 Low baseline
- 4
- Low baseline of SP 800-53 rev 4 controls
-
-
-
-
-
-
- control-overlay
- AC-1
- simply listed
-
-
- control-overlay
- AC-2
- simply listed
-
-
- control-overlay
- AC-3
- simply listed
-
-
- control-overlay
- AC-3 (1)
- simply listed
-
-
- control-overlay
- AC-3 (2)
- simply listed
-
-
- control-overlay
- AC-3 (3)
- simply listed
-
-
- control-overlay
- AC-3 (4)
- simply listed
-
-
- control-overlay
- AC-3 (5)
- simply listed
-
-
- control-overlay
- AC-3 (6)
- simply listed
-
-
- control-overlay
- AC-3 (7)
- simply listed
-
-
- control-overlay
- AC-3 (8)
- simply listed
-
-
- control-overlay
- AC-3 (9)
- simply listed
-
-
- control-overlay
- AC-3 (10)
- simply listed
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/profile_CSF.xml b/deprecated/xml/profile_CSF.xml
deleted file mode 100755
index ff277e8840..0000000000
--- a/deprecated/xml/profile_CSF.xml
+++ /dev/null
@@ -1,38 +0,0 @@
-
-
- CSF
- CSF profile
- 1
- TBD
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- requirement-profile
- ID.MA
- IPDR2#ID.MA
- SP800-53#AC-1
- SP800-53#AC-2
-
- TBD
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/sp800-53-moderate-overlay.xml b/deprecated/xml/sp800-53-moderate-overlay.xml
deleted file mode 100755
index 602d7b38eb..0000000000
--- a/deprecated/xml/sp800-53-moderate-overlay.xml
+++ /dev/null
@@ -1,26 +0,0 @@
-
-
- SP800-53-Moderate
- SP 800-53 rev 4 Moderate baseline
- 4
- Moderate baseline of SP 800-53 rev 4 controls
-
-
-
-
-
-
- control-overlay
- AC-4
- SP800-53
- simply listed
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/system-implementation-acmeblackbox-m2.xml b/deprecated/xml/system-implementation-acmeblackbox-m2.xml
deleted file mode 100644
index 923d7ceb3a..0000000000
--- a/deprecated/xml/system-implementation-acmeblackbox-m2.xml
+++ /dev/null
@@ -1,138 +0,0 @@
-
-
-
- ACME-RMSCE
-
- ACME Roadrunner Management Suite Coyote Edition
- 4.1.5
- 3/6/2017
- John Doe
- The Acme Roadrunner Management Suite comprises a suite of integrated components that present payment invoices to subscribing customers.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-system
- AC-1
- AC-01
- FedRAMP-Low#AC-1
-
-
-
-
-
-
-
- control-system
- AC-8
- AC-08
- SP800-53#AC-8
-
- AC-8 (a)
- see additional Requirements and Guidance
-
-
- AC-8 (c)
- see additional Requirements and Guidance
-
- The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB.
-
- The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB.
-
- If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB.
-
- If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided.
-
-
-
-
- control-system
- CA-2
- CA-02
- SP800-53#CA-2
-
- CA-2b
- at least annually
-
-
- CA-2d
- individuals or roles to include FedRAMP PMO
-
-
-
-
-
- control-system
- CA-2 (1)
- CA-02 (01)
- #CA-2
- SP800-53#CA-2 (1)
- added from Moderate baseline of the SP800-53 catalog.
- Must use an accredited 3PAO for JAB authorization
-
-
-
-
-
- control-system
- CA-2 (2)
- CA-02 (02)
- #CA-2
- SP800-53#CA-2 (2)
- added from Moderate baseline of the SP800-53 catalog.
- To include 'announced', 'vulnerability scanning'
-
-
-
-
-
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/xFedRAMP-low-assessment.xml b/deprecated/xml/xFedRAMP-low-assessment.xml
deleted file mode 100755
index a54c6128c8..0000000000
--- a/deprecated/xml/xFedRAMP-low-assessment.xml
+++ /dev/null
@@ -1,88 +0,0 @@
-
-
- FedRAMP-Low-System-Assessment
- Fed RAMP Low System Assessment
- 1
- TBD
-
-
-
-
-
-
-
- assessment
- AC-1
-
- tbd
-
-
-
- tbd
-
-
-
-
- assessment
- AC-3 (1)
-
- tbd
-
-
-
- tbd
-
-
-
- assessment
- CA-2
-
- Tests.
-
- Verify that the security assessment plan identifies the security controls and enhancements to be assessed.
- Verify that the assessment report identifies assessment procedures.
- Verify that the assessment report identifies the assessment team members and their roles and responsibilities.
- Verify that the assessment report identifies that all documented security controls have been assessed and the resulting findings are documented.
- Verify that the security assessment report has been provided to the system owner and the authorizing official.
-
-
-
-
-
- tbd
-
-
-
- assessment
- CA-2 (1)
-
- Verify that the assessors are independent of the system owner of the system they are assessing.
-
-
-
- tbd
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/xFedRAMP-low-system.xml b/deprecated/xml/xFedRAMP-low-system.xml
deleted file mode 100755
index 7bba7bf596..0000000000
--- a/deprecated/xml/xFedRAMP-low-system.xml
+++ /dev/null
@@ -1,393 +0,0 @@
-
-
- FedRAMP-Low-System
- Fed RAMP Low system
- 1
- TBD
-
-
-
-
-
-
-
- Service Provider Corporate
- Service Provider System Specific
- Service Provider Hybrid
- Configured by Customer
- Provided by Customer
- Shared
- Inherited from pre-existing Provisional Authorization
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-system
- AC-1
- FedRAMP-Low
-
-
- TBD
- TBD2
-
- Service Provider Hybrid
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-2
-
-
- TBD
- TBD2
-
-
- AC-2 ACCOUNT MANAGEMENT
-
- AC-2a.
- Types of system accounts will be USER, with read only privileges, and ADMINISTRATOR, with read and write privileges.
-
-
- AC-2b.
- System owners are responsible for managing all system accounts.
-
-
- AC-2c.
- System accounts will be created in a need to know basis.
-
-
- AC-2d.
- All user and administrator accounts and their corresponding privileges will be specifically approved by the system owner.
-
-
- AC-2e.
- Users will request accounts by contacting the system owner for their authorization and approval.
-
-
- AC-2f.
- After system owner authorization and approval, system administrators will create, modify, disable, and remove system accounts.
-
-
- AC-2g.
- System audit logs will be reviewing daily by the system administrators for unusual or inappropriate user activity and system will be reviewed daily for any unauthorized accounts.
-
-
- AC-2h.
- System owners will be notified when user accounts are no longer required, when users are terminated or are transferred, or when the user roles are changed.
-
-
- AC-2i.
- System administrators will create system accounts and will provide system access after the system owner authorizes and approves access and identifies roles and privileges for the user.
-
-
- AC-2j.
- All system accounts will be reviewed semi-annually.
-
-
- AC-2k.
- Per organizational policy, shared or group accounts are not permitted.
-
-
-
-
-
-
-
- control-system
- AC-2(1)
-
-
- TBD
-
-
- All system account requests will be sent to the system owner by e-mail. System owner will send an e-mail account creation/deletion/modification authorization e-mail to the system administrators.
-
-
-
-
-
-
- control-system
- AC-2(2)
-
-
- TBD
-
-
- System will be configured to disable/delete temporary or emergency accounts 12 hours after creation.
-
-
-
-
-
-
- control-system
- AC-2(3)
-
-
- TBD
-
-
- System accounts will be disabled after 30 days of inactivity.
-
-
-
-
-
-
- control-system
- AC-2(4)
-
-
- TBD
-
-
- System audit logs will be configured to capture account creation, modification, enabling, disabling, and removal. System will generate and send an e-mail to the system owner when these events occur.
-
-
-
-
-
-
-
- control-system
- AC-3
-
-
- TBD
- TBD2
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (1)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (2)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (3)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (4)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (5)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (6)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (7)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (8)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (9)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-3 (10)
-
-
- TBD
-
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- AC-4
-
-
- TBD
- TBD2
-
- Service Provider Hybrid
-
- here's some implementation detail
-
-
-
-
-
-
- control-system
- CA-2
-
-
- TBD
-
-
-
- CA-2a.
- Security assessment plan has been developed and approved by management showing: security controls and enhancements to be assessed, assessment procedures, and assessment team and their roles and responsibilities.
-
-
- CA-2b.
- Security controls have been assessed for effectiveness.
-
-
- CA-2c.
- Security Assessment Report has been developed showing results of the assessment.
-
-
- CA-2d.
- Security Assessment Report has been provided to the system owner and the authorizing official.
-
-
-
-
-
-
-
- control-system
- CA-2 (1)
-
-
- tbd
-
- Service Provider Hybrid
-
- Assessors are independent of the system owner and division where the system resides.
-
-
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/xNIST-Cloud-low-overlay.xml b/deprecated/xml/xNIST-Cloud-low-overlay.xml
deleted file mode 100755
index efc821abb2..0000000000
--- a/deprecated/xml/xNIST-Cloud-low-overlay.xml
+++ /dev/null
@@ -1,46 +0,0 @@
-
-
- LowNISTCloudOverlay
- Low NIST Cloud Overlay
- 1
- TBD
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-overlay
- AC-1
- FedRAMP-Low
- related.
-
-
- TBD
- TBD2
-
- here's some supplemental guidance
- here's some implementation
- guidance
-
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xml/xNIST-Cloud-low-system.xml b/deprecated/xml/xNIST-Cloud-low-system.xml
deleted file mode 100755
index 04fac3648c..0000000000
--- a/deprecated/xml/xNIST-Cloud-low-system.xml
+++ /dev/null
@@ -1,46 +0,0 @@
-
-
- NIST-Cloud-low-system
- NIST-Cloud Low system
- 1
- TBD
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- control-overlay
- AC-1
- FedRAMP-Low
- related.
-
-
- TBD
- TBD2
-
- here's some implementation
- detail
-
-
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xsd/OSCAL-common.xsd b/deprecated/xsd/OSCAL-common.xsd
deleted file mode 100644
index 2c64fc04c6..0000000000
--- a/deprecated/xsd/OSCAL-common.xsd
+++ /dev/null
@@ -1,38 +0,0 @@
-
-
-
-
-
- Import general XML schema.
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
diff --git a/deprecated/xsd/OSCAL-common_xsd.html b/deprecated/xsd/OSCAL-common_xsd.html
deleted file mode 100644
index ede2a87979..0000000000
--- a/deprecated/xsd/OSCAL-common_xsd.html
+++ /dev/null
@@ -1,804 +0,0 @@
-
-
-
-
- Schema documentation for OSCAL-common.xsd
-
-
-
<div>
- <h3>lang (as an attribute name)</h3>
- <p>denotes an attribute whose value is a language code for the natural language of the content of any element; its value is inherited. This name is reserved by virtue of its definition in the XML specification.</p>
-</div>
-<div>
- <h4>Notes</h4>
- <p>Attempting to install the relevant ISO 2- and 3-letter codes as the enumerated possible values is probably never going to be a realistic possibility.</p>
- <p>See BCP 47 at
- <a href="http://www.rfc-editor.org/rfc/bcp/bcp47.txt">http://www.rfc-editor.org/rfc/bcp/bcp47.txt</a>and the IANA language subtag registry at
- <a href="http://www.iana.org/assignments/language-subtag-registry">http://www.iana.org/assignments/language-subtag-registry</a>for further information.</p>
- <p>The union allows for the 'un-declaration' of xml:lang with the empty string.</p>
-</div>
-
<xsd:documentationxml:lang="en-US">A simplified XHTML 1.1 modular schema driver that implements structural markup for embedding in XML data models.</xsd:documentation>
may include, for example: (i) the security controls and control enhancements; (ii) an indication of which controls/enhancements are selected or not selected; (iii) the selected controls/enhancements including an
-
-
-
-
overview of new supplemental guidance and parameter values; and (iv) references to applicable
-
-
-
-
laws, Executive Orders, directives, instructions, regulations, policies, or standards.</xsd:documentation>
<xsd:documentation>Terms and definitions unique for this layer. If there are no unique terms or definitions, please state it in this section.</xsd:documentation>
<xsd:documentation>The body of the control, also known as the control section, provides a concise statement of the specific security capabilities needed to protect a particular aspect of an information system.</xsd:documentation>
<xsd:documentation>Unique identifier of the control statement, a concatenation of the Control Number, and any enclosing Control Enhancements and/or objectives in which the objective is embedded along with the specific list item for this objective appended.</xsd:documentation>
<xsd:documentation>Unique identifier of the control statement, a concatenation of the Control Number, and any enclosing Control Enhancements and/or statements in which the statement is along with the specific list item for this statment appended.</xsd:documentation>
<xsd:documentation>Unique identifier of the control statement, a concatenation of the Control Number, and any enclosing Control Enhancements and/or statements in which the statement is along with the specific list item for this statment appended.</xsd:documentation>
<xsd:documentation>Unique identifier of the item (control/objective). Example: for a control for SP 800-53, it consists of a two-character family identifier plus the control number within the family; e.g., CP-9 is the ninth control in the Contingency Planning (CP) family.</xsd:documentation>
<xsd:documentation>The body of the control, also known as the control section, provides a concise statement of the specific security capabilities needed to protect a particular aspect of an information system.</xsd:documentation>
<xsd:documentation>The body of the control, also known as the control section, provides a concise statement of the specific security capabilities needed to protect a particular aspect of an information system.</xsd:documentation>
<xsd:documentation>The body of the control, also known as the control section, provides a concise statement of the specific security capabilities needed to protect a particular aspect of an information system.</xsd:documentation>
-
-
- You can't perform that action at this time.
-
-
-
-
-
-
-
-
-
-
-
-
- You signed in with another tab or window. Reload to refresh your session.
- You signed out in another tab or window. Reload to refresh your session.
-
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
This summary
-may include, for example: (i) the security controls and control enhancements; (ii) an indication of which controls/enhancements are selected or not selected; (iii) the selected controls/enhancements including an
-overview of new supplemental guidance and parameter values; and (iv) references to applicable
-laws, Executive Orders, directives, instructions, regulations, policies, or standards.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
<xsd:element maxOccurs="unbounded" name="summary" type="xhtml:xhtml.div.type">
- <xsd:annotation>
- <xsd:documentation>This summary may include, for example: (i) the security controls and control enhancements; (ii) an indication of which controls/enhancements are selected or not selected; (iii) the selected controls/enhancements including an overview of new supplemental guidance and parameter values; and (iv) references to applicable laws, Executive Orders, directives, instructions, regulations, policies, or standards.</xsd:documentation>
- </xsd:annotation>
-</xsd:element>
<xsd:element maxOccurs="unbounded" minOccurs="0" name="documentation">
- <xsd:annotation>
- <xsd:documentation>Documentation for the layer; URI for the document and/or the version may be provided.</xsd:documentation>
- </xsd:annotation>
- <xsd:complexType mixed="false">
- <xsd:attribute name="URI" type="xsd:anyURI"/>
- <xsd:attribute name="version" type="xsd:string"/>
- </xsd:complexType>
-</xsd:element>
<xsd:element maxOccurs="1" minOccurs="0" name="definitions">
- <xsd:annotation>
- <xsd:documentation>Terms and definitions unique for this layer. If there are no unique terms or definitions, please state it in this section.</xsd:documentation>
- </xsd:annotation>
- <xsd:complexType>
- <xsd:sequence>
- <xsd:element maxOccurs="unbounded" minOccurs="1" name="definition" type="xhtml:xhtml.div.type"/>
- </xsd:sequence>
- </xsd:complexType>
-</xsd:element>
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Unique identifier of the item (control/objective). Example: for a control for SP 800-53, it consists of a two-character family identifier plus the control number within the family; e.g., CP-9 is the ninth control in the Contingency Planning (CP) family.
-
-
-
-
-
-
-
-
-
Diagram
-
-
-
-
-
-
-
-
Type
-
xsd:token
-
-
-
-
Properties
-
-
-
-
-
-
-
content
-
simple
-
-
-
minOccurs
-
1
-
-
-
maxOccurs
-
1
-
-
-
-
-
-
-
-
Source
-
-
-
-
-
-
-
<xsd:element maxOccurs="1" minOccurs="1" name="id" type="xsd:token">
- <xsd:annotation>
- <xsd:documentation>Unique identifier of the item (control/objective). Example: for a control for SP 800-53, it consists of a two-character family identifier plus the control number within the family; e.g., CP-9 is the ninth control in the Contingency Planning (CP) family.</xsd:documentation>
- </xsd:annotation>
-</xsd:element>
The body of the control, also known as the control section, provides a concise statement of the specific security capabilities needed to protect a particular aspect of an information system.
<xsd:element maxOccurs="1" minOccurs="0" name="statement">
- <xsd:annotation>
- <xsd:documentation>The body of the control, also known as the control section, provides a concise statement of the specific security capabilities needed to protect a particular aspect of an information system.</xsd:documentation>
- </xsd:annotation>
- <xsd:complexType>
- <xsd:sequence>
- <xsd:element maxOccurs="1" minOccurs="1" name="description" type="xhtml:xhtml.div.type"/>
- <xsd:element maxOccurs="unbounded" minOccurs="0" name="statement" type="statementType"/>
- </xsd:sequence>
- </xsd:complexType>
-</xsd:element>
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Unique identifier of the control statement, a concatenation of the Control Number, and any enclosing Control Enhancements and/or statements in which the statement is along with the specific list item for this statment appended.
-
-
-
-
-
-
-
-
-
Diagram
-
-
-
-
-
-
-
-
Type
-
xsd:token
-
-
-
-
Properties
-
-
-
-
-
-
-
content
-
simple
-
-
-
minOccurs
-
1
-
-
-
maxOccurs
-
1
-
-
-
-
-
-
-
-
Source
-
-
-
-
-
-
-
<xsd:element maxOccurs="1" minOccurs="1" name="number" type="xsd:token">
- <xsd:annotation>
- <xsd:documentation>Unique identifier of the control statement, a concatenation of the Control Number, and any enclosing Control Enhancements and/or statements in which the statement is along with the specific list item for this statment appended.</xsd:documentation>
- </xsd:annotation>
-</xsd:element>
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
<div>
- <h3>lang (as an attribute name)</h3>
- <p>denotes an attribute whose value is a language code for the natural language of the content of any element; its value is inherited. This name is reserved by virtue of its definition in the XML specification.</p>
-</div>
-<div>
- <h4>Notes</h4>
- <p>Attempting to install the relevant ISO 2- and 3-letter codes as the enumerated possible values is probably never going to be a realistic possibility.</p>
- <p>See BCP 47 at
- <a href="http://www.rfc-editor.org/rfc/bcp/bcp47.txt">http://www.rfc-editor.org/rfc/bcp/bcp47.txt</a>and the IANA language subtag registry at
- <a href="http://www.iana.org/assignments/language-subtag-registry">http://www.iana.org/assignments/language-subtag-registry</a>for further information.</p>
- <p>The union allows for the 'un-declaration' of xml:lang with the empty string.</p>
-</div>
-
-
-
-
-
-
-
-
-
-
-
-
-
Source
-
-
-
-
-
-
-
<xsd:element maxOccurs="unbounded" minOccurs="0" name="link" type="common:linkType">
- <xsd:annotation>
- <xsd:documentation>Link to other controls/items</xsd:documentation>
- </xsd:annotation>
-</xsd:element>
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
<xsd:complexType name="layerType">
- <xsd:annotation>
- <xsd:documentation xml:lang="en-US">A general layer type; it is the basis for overlay type or system type, possibly others too.</xsd:documentation>
- </xsd:annotation>
- <xsd:sequence>
- <xsd:element maxOccurs="1" minOccurs="1" name="id" type="xsd:token">
- <xsd:annotation>
- <xsd:documentation>Unique identifier for the layer.</xsd:documentation>
- </xsd:annotation>
- </xsd:element>
- <xsd:element maxOccurs="1" minOccurs="1" name="name" type="xsd:string">
- <xsd:annotation>
- <xsd:documentation>The name of the layer.</xsd:documentation>
- </xsd:annotation>
- </xsd:element>
- <xsd:element maxOccurs="1" minOccurs="0" name="version" type="xsd:string">
- <xsd:annotation>
- <xsd:documentation>Version of the layer (optional).</xsd:documentation>
- </xsd:annotation>
- </xsd:element>
- <xsd:element maxOccurs="1" minOccurs="0" name="date" type="xsd:date">
- <xsd:annotation>
- <xsd:documentation>Design date of the layer (optional).</xsd:documentation>
- </xsd:annotation>
- </xsd:element>
- <xsd:element maxOccurs="unbounded" minOccurs="0" name="author">
- <xsd:annotation>
- <xsd:documentation>Author(s) as persons or organizations and their contact information.</xsd:documentation>
- </xsd:annotation>
- <xsd:complexType>
- <xsd:sequence>
- <xsd:element maxOccurs="1" minOccurs="1" name="name" type="xsd:string"/>
- <xsd:element minOccurs="0" name="contact-info" type="xhtml:xhtml.div.type"/>
- </xsd:sequence>
- </xsd:complexType>
- </xsd:element>
- <xsd:element maxOccurs="unbounded" name="summary" type="xhtml:xhtml.div.type">
- <xsd:annotation>
- <xsd:documentation>This summary may include, for example: (i) the security controls and control enhancements; (ii) an indication of which controls/enhancements are selected or not selected; (iii) the selected controls/enhancements including an overview of new supplemental guidance and parameter values; and (iv) references to applicable laws, Executive Orders, directives, instructions, regulations, policies, or standards.</xsd:documentation>
- </xsd:annotation>
- </xsd:element>
- <xsd:element maxOccurs="unbounded" minOccurs="0" name="documentation">
- <xsd:annotation>
- <xsd:documentation>Documentation for the layer; URI for the document and/or the version may be provided.</xsd:documentation>
- </xsd:annotation>
- <xsd:complexType mixed="false">
- <xsd:attribute name="URI" type="xsd:anyURI"/>
- <xsd:attribute name="version" type="xsd:string"/>
- </xsd:complexType>
- </xsd:element>
- <xsd:element maxOccurs="1" minOccurs="0" name="definitions">
- <xsd:annotation>
- <xsd:documentation>Terms and definitions unique for this layer. If there are no unique terms or definitions, please state it in this section.</xsd:documentation>
- </xsd:annotation>
- <xsd:complexType>
- <xsd:sequence>
- <xsd:element maxOccurs="unbounded" minOccurs="1" name="definition" type="xhtml:xhtml.div.type"/>
- </xsd:sequence>
- </xsd:complexType>
- </xsd:element>
- </xsd:sequence>
-</xsd:complexType>
<xsd:complexType name="baseItemType">
- <xsd:sequence>
- <xsd:element maxOccurs="1" minOccurs="1" name="type">
- <xsd:simpleType>
- <xsd:union memberTypes="itemEnumType xsd:token"/>
- </xsd:simpleType>
- </xsd:element>
- <xsd:element maxOccurs="1" minOccurs="1" name="id" type="xsd:token">
- <xsd:annotation>
- <xsd:documentation>Unique identifier of the item (control/objective). Example: for a control for SP 800-53, it consists of a two-character family identifier plus the control number within the family; e.g., CP-9 is the ninth control in the Contingency Planning (CP) family.</xsd:documentation>
- </xsd:annotation>
- </xsd:element>
- <xsd:element maxOccurs="1" minOccurs="0" name="title" type="xsd:string">
- <xsd:annotation>
- <xsd:documentation>The title of the control.</xsd:documentation>
- </xsd:annotation>
- </xsd:element>
- <xsd:element maxOccurs="1" minOccurs="0" name="statement">
- <xsd:annotation>
- <xsd:documentation>The body of the control, also known as the control section, provides a concise statement of the specific security capabilities needed to protect a particular aspect of an information system.</xsd:documentation>
- </xsd:annotation>
- <xsd:complexType>
- <xsd:sequence>
- <xsd:element maxOccurs="1" minOccurs="1" name="description" type="xhtml:xhtml.div.type"/>
- <xsd:element maxOccurs="unbounded" minOccurs="0" name="statement" type="statementType"/>
- </xsd:sequence>
- </xsd:complexType>
- </xsd:element>
- <xsd:element maxOccurs="unbounded" minOccurs="0" name="link" type="common:linkType">
- <xsd:annotation>
- <xsd:documentation>Link to other controls/items</xsd:documentation>
- </xsd:annotation>
- </xsd:element>
- <xsd:element maxOccurs="unbounded" minOccurs="0" name="parameter" type="parameterType"/>
- <xsd:element maxOccurs="1" minOccurs="0" name="properties">
- <xsd:complexType>
- <xsd:sequence>
- <xsd:any maxOccurs="unbounded" minOccurs="0" namespace="##any" processContents="lax"/>
- </xsd:sequence>
- </xsd:complexType>
- </xsd:element>
- </xsd:sequence>
- <xsd:attribute name="status" type="statusType" use="optional"/>
-</xsd:complexType>
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
Complex Type statementType
-
-
-
-
-
-
-
-
-
-
-
-
-
Namespace
-
http://oscal.nist.gov/schema/core
-
-
-
-
Annotations
-
-
-
-
-
-
-
-
The representation of a statement. It can be used for control/objective/etc.
<xsd:complexType name="statementType">
- <xsd:annotation>
- <xsd:documentation>The representation of a statement. It can be used for control/objective/etc.</xsd:documentation>
- </xsd:annotation>
- <xsd:sequence>
- <xsd:element maxOccurs="1" minOccurs="1" name="number" type="xsd:token">
- <xsd:annotation>
- <xsd:documentation>Unique identifier of the control statement, a concatenation of the Control Number, and any enclosing Control Enhancements and/or statements in which the statement is along with the specific list item for this statment appended.</xsd:documentation>
- </xsd:annotation>
- </xsd:element>
- <xsd:element maxOccurs="1" minOccurs="0" name="assignment" type="xsd:string"/>
- <xsd:element maxOccurs="1" minOccurs="0" name="description" type="xhtml:xhtml.div.type"/>
- <xsd:element maxOccurs="unbounded" minOccurs="0" name="statement" type="statementType"/>
- </xsd:sequence>
-</xsd:complexType>
<xsd:simpleType name="statusType">
- <xsd:annotation>
- <xsd:documentation>Indicates when a control has been withdrawn.</xsd:documentation>
- </xsd:annotation>
- <xsd:restriction base="xsd:token">
- <xsd:enumeration value="withdrawn"/>
- </xsd:restriction>
-</xsd:simpleType>
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
-
-
\ No newline at end of file
diff --git a/deprecated/xsd/xhtml-bdo-1_xsd.html b/deprecated/xsd/xhtml-bdo-1_xsd.html
deleted file mode 100644
index 1b08aa5ce0..0000000000
--- a/deprecated/xsd/xhtml-bdo-1_xsd.html
+++ /dev/null
@@ -1,1301 +0,0 @@
-
-
-
-
- Schema documentation for xhtml-bdo-1.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Showing:
-
-
-
Annotations
-
-
-
Attributes
-
-
-
Diagrams
-
-
-
Facets
-
-
-
Model
-
-
-
Properties
-
-
-
Source
-
-
-
Used by
-
-
-
-
-
-
-
-
-
-
-
-
-
Included schema xhtml-bdo-1.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Namespace
-
http://www.w3.org/1999/xhtml
-
-
-
-
Annotations
-
-
-
-
-
-
-
-
Bidirectional Override (bdo) Element
- This is the XML Schema BDO Element module for XHTML
-
- This modules declares the element 'bdo' and 'dir' attributes,
- Used to override the Unicode bidirectional algorithm for selected
- fragments of text.
- Bidirectional text support includes both the bdo element and
- the 'dir' attribute.
-
- $Id: xhtml-bdo-1.xsd,v 1.6 2009/11/18 17:59:51 ahby Exp $
Block Phrasal
- This module declares the elements and their attributes used to
- support block-level phrasal markup.
- This is the XML Schema block phrasal elements module for XHTML
-
- * address, blockquote, pre, h1, h2, h3, h4, h5, h6
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
-
-
\ No newline at end of file
diff --git a/deprecated/xsd/xhtml-blkstruct-1_xsd.html b/deprecated/xsd/xhtml-blkstruct-1_xsd.html
deleted file mode 100644
index f041d55fd7..0000000000
--- a/deprecated/xsd/xhtml-blkstruct-1_xsd.html
+++ /dev/null
@@ -1,1481 +0,0 @@
-
-
-
-
- Schema documentation for xhtml-blkstruct-1.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Showing:
-
-
-
Annotations
-
-
-
Attributes
-
-
-
Diagrams
-
-
-
Model
-
-
-
Properties
-
-
-
Source
-
-
-
Used by
-
-
-
-
-
-
-
-
-
-
-
-
-
Included schema xhtml-blkstruct-1.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Namespace
-
http://www.w3.org/1999/xhtml
-
-
-
-
Annotations
-
-
-
-
-
-
-
-
Block Structural
-
- * div, p
-
- This module declares the elements and their attributes used to
- support block-level structural markup.
-
- This is the XML Schema Block Structural module for XHTML
- $Id: xhtml-blkstruct-1.xsd,v 1.3 2005/09/26 22:54:53 ahby Exp $
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
-
-
\ No newline at end of file
diff --git a/deprecated/xsd/xhtml-csismap-1_xsd.html b/deprecated/xsd/xhtml-csismap-1_xsd.html
deleted file mode 100644
index 2ee2bf93c4..0000000000
--- a/deprecated/xsd/xhtml-csismap-1_xsd.html
+++ /dev/null
@@ -1,3630 +0,0 @@
-
-
-
-
- Schema documentation for xhtml-csismap-1.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Showing:
-
-
-
Annotations
-
-
-
Attributes
-
-
-
Diagrams
-
-
-
Facets
-
-
-
Model
-
-
-
Properties
-
-
-
Source
-
-
-
Used by
-
-
-
-
-
-
-
-
-
-
-
-
-
Redefined schema xhtml-csismap-1.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Namespace
-
http://www.w3.org/1999/xhtml
-
-
-
-
Annotations
-
-
-
-
-
-
-
-
Client-side Image Maps
- This is the XML Schema Client-side Image Maps module for XHTML
-
- * area, map
-
- This module declares elements and attributes to support client-side
- image maps.
-
- $Id: xhtml-csismap-1.xsd,v 1.3 2009/09/30 15:12:48 ahby Exp $
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
-
-
\ No newline at end of file
diff --git a/deprecated/xsd/xhtml-datatypes-1_xsd.html b/deprecated/xsd/xhtml-datatypes-1_xsd.html
deleted file mode 100644
index 1311a86fc2..0000000000
--- a/deprecated/xsd/xhtml-datatypes-1_xsd.html
+++ /dev/null
@@ -1,3198 +0,0 @@
-
-
-
-
- Schema documentation for xhtml-datatypes-1.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Showing:
-
-
-
Annotations
-
-
-
Diagrams
-
-
-
Facets
-
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-
Properties
-
-
-
Source
-
-
-
Used by
-
-
-
-
-
-
-
-
-
-
-
-
-
Imported schema xhtml-datatypes-1.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Namespace
-
http://www.w3.org/1999/xhtml/datatypes/
-
-
-
-
Annotations
-
-
-
-
-
-
-
-
XHTML Datatypes
-This is the XML Schema datatypes module for XHTML
-
-Defines containers for the XHTML datatypes, many of
-these imported from other specifications and standards.
-
-$Id: xhtml-datatypes-1.xsd,v 1.12 2009/09/30 15:12:48 ahby Exp $
XHTML Modular Framework
- This required module instantiates the necessary modules
- needed to support the XHTML modularization framework.
-
- The Schema modules instantiated are:
- + notations
- + datatypes
- + common attributes
- + character entities
-
-
\ No newline at end of file
diff --git a/deprecated/xsd/xhtml-hypertext-1_xsd.html b/deprecated/xsd/xhtml-hypertext-1_xsd.html
deleted file mode 100644
index 787e764a06..0000000000
--- a/deprecated/xsd/xhtml-hypertext-1_xsd.html
+++ /dev/null
@@ -1,1776 +0,0 @@
-
-
-
-
- Schema documentation for xhtml-hypertext-1.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Showing:
-
-
-
Annotations
-
-
-
Attributes
-
-
-
Diagrams
-
-
-
Facets
-
-
-
Model
-
-
-
Properties
-
-
-
Source
-
-
-
Used by
-
-
-
-
-
-
-
-
-
-
-
-
-
Redefined schema xhtml-hypertext-1.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Namespace
-
http://www.w3.org/1999/xhtml
-
-
-
-
Annotations
-
-
-
-
-
-
-
-
Hypertext Module
- This is the XML Schema Hypertext module for XHTML
-
- * a
-
- This module declares the anchor ('a') element type, which
- defines the source of a hypertext link. The destination
- (or link 'target') is identified via its 'id' attribute
- rather than the 'name' attribute as was used in HTML.
-
- $Id: xhtml-hypertext-1.xsd,v 1.4 2005/09/26 23:37:47 ahby Exp $
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
-
-
\ No newline at end of file
diff --git a/deprecated/xsd/xhtml-image-1_xsd.html b/deprecated/xsd/xhtml-image-1_xsd.html
deleted file mode 100644
index 4855c9f03d..0000000000
--- a/deprecated/xsd/xhtml-image-1_xsd.html
+++ /dev/null
@@ -1,1450 +0,0 @@
-
-
-
-
- Schema documentation for xhtml-image-1.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Showing:
-
-
-
Annotations
-
-
-
Attributes
-
-
-
Diagrams
-
-
-
Model
-
-
-
Properties
-
-
-
Source
-
-
-
Used by
-
-
-
-
-
-
-
-
-
-
-
-
-
Redefined schema xhtml-image-1.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Namespace
-
http://www.w3.org/1999/xhtml
-
-
-
-
Annotations
-
-
-
-
-
-
-
-
Images
- This is the XML Schema Images module for XHTML
-
- * img
-
- This module provides markup to support basic image embedding.
-
- To avoid problems with text-only UAs as well as to make
- image content understandable and navigable to users of
- non-visual UAs, you need to provide a description with
- the 'alt' attribute, and avoid server-side image maps.
-
-
- $Id: xhtml-image-1.xsd,v 1.3 2009/09/30 15:22:38 ahby Exp $
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Inline Phrasal.
- This module declares the elements and their attributes used to
- support inline-level phrasal markup.
- This is the XML Schema Inline Phrasal module for XHTML
-
- * abbr, acronym, cite, code, dfn, em, kbd, q, samp, strong, var
-
- $Id: xhtml-inlphras-1.xsd,v 1.4 2005/09/26 22:54:53 ahby Exp $
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Inline Structural.
- This module declares the elements and their attributes
- used to support inline-level structural markup.
- This is the XML Schema Inline Structural element module for XHTML
-
- * br, span
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
-
-
\ No newline at end of file
diff --git a/deprecated/xsd/xhtml-list-1_xsd.html b/deprecated/xsd/xhtml-list-1_xsd.html
deleted file mode 100644
index e32f6f2f04..0000000000
--- a/deprecated/xsd/xhtml-list-1_xsd.html
+++ /dev/null
@@ -1,4541 +0,0 @@
-
-
-
-
- Schema documentation for xhtml-list-1.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Showing:
-
-
-
Annotations
-
-
-
Attributes
-
-
-
Diagrams
-
-
-
Instances
-
-
-
Model
-
-
-
Properties
-
-
-
Source
-
-
-
Used by
-
-
-
-
-
-
-
-
-
-
-
-
-
Included schema xhtml-list-1.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Namespace
-
http://www.w3.org/1999/xhtml
-
-
-
-
Annotations
-
-
-
-
-
-
-
-
List Module
- This is the XML Schema Lists module for XHTML
- List Module Elements
-
- * dl, dt, dd, ol, ul, li
-
- This module declares the list-oriented element types
- and their attributes.
- $Id: xhtml-list-1.xsd,v 1.2 2005/09/26 22:54:53 ahby Exp $
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
-
-
\ No newline at end of file
diff --git a/deprecated/xsd/xhtml-struct-1_xsd.html b/deprecated/xsd/xhtml-struct-1_xsd.html
deleted file mode 100644
index 9a237eadc8..0000000000
--- a/deprecated/xsd/xhtml-struct-1_xsd.html
+++ /dev/null
@@ -1,2872 +0,0 @@
-
-
-
-
- Schema documentation for xhtml-struct-1.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Showing:
-
-
-
Annotations
-
-
-
Attributes
-
-
-
Diagrams
-
-
-
Instances
-
-
-
Model
-
-
-
Properties
-
-
-
Source
-
-
-
Used by
-
-
-
-
-
-
-
-
-
-
-
-
-
Redefined schema xhtml-struct-1.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Namespace
-
http://www.w3.org/1999/xhtml
-
-
-
-
Annotations
-
-
-
-
-
-
-
-
This is the XML Schema Document Structure module for XHTML
- Document Structure
-
- * title, head, body, html
-
- The Structure Module defines the major structural elements and
- their attributes.
-
- $Id: xhtml-struct-1.xsd,v 1.11 2009/09/30 14:13:35 ahby Exp $
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Tables
-
- * table, caption, thead, tfoot, tbody, colgroup, col, tr, th, td
-
- This module declares element types and attributes used to provide
- table markup similar to HTML 4.0, including features that enable
- better accessibility for non-visual user agents.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
-
-
\ No newline at end of file
diff --git a/deprecated/xsd/xhtml-text-1_xsd.html b/deprecated/xsd/xhtml-text-1_xsd.html
deleted file mode 100644
index 8ed177514a..0000000000
--- a/deprecated/xsd/xhtml-text-1_xsd.html
+++ /dev/null
@@ -1,388 +0,0 @@
-
-
-
-
- Schema documentation for xhtml-text-1.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Showing:
-
-
-
Annotations
-
-
-
Properties
-
-
-
-
-
-
-
-
-
-
-
-
-
Included schema xhtml-text-1.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Namespace
-
http://www.w3.org/1999/xhtml
-
-
-
-
Annotations
-
-
-
-
-
-
-
-
Textual Content
- This is the XML Schema Text module for XHTML
-
- The Text module includes declarations for all core
- text container elements and their attributes.
-
- + block phrasal
- + block structural
- + inline phrasal
- + inline structural
-
- $Id: xhtml-text-1.xsd,v 1.2 2005/09/26 22:54:53 ahby Exp $
XHTML Document Model This module describes the groupings of
-elements/attributes that make up common content models for XHTML elements. XHTML has
-following basic content models: xhtml.Inline.mix; character-level elements
-xhtml.Block.mix; block-like elements, e.g., paragraphs and lists xhtml.Flow.mix; any
-block or inline elements xhtml.HeadOpts.mix; Head Elements xhtml.InlinePre.mix; Special
-class for pre content model xhtml.InlineNoAnchor.mix; Content model for Anchor Any
-groups declared in this module may be used to create element content models, but the
-above are considered 'global' (insofar as that term applies here). XHTML has the
-following Attribute Groups xhtml.Core.extra.attrib xhtml.I18n.extra.attrib
-xhtml.Common.extra The above attribute Groups are considered Global
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
This schema includes all modules (and redefinitions)
- for XHTML1.1 Document Type.
- XHTML1.1 Document Type includes the following Modules
-
- XHTML Core modules (Required for XHTML Family Conformance)
- + text
- + hypertext
- + lists
- + structure
-
- Other XHTML modules
- + Bdo
- + Image
- + Tables
- + Client side image maps
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
<xs:attributeGroup name="xhtml.version.attrib">
- <xs:annotation>
- <xs:documentation>Redefinition by the XHTML11 Markup (for value of version attr)</xs:documentation>
- </xs:annotation>
- <xs:attribute name="version" type="xh11d:CDATA" fixed="-//W3C//DTD XHTML 1.1//EN"/>
-</xs:attributeGroup>
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xsd/xhtml11_xsd.html b/deprecated/xsd/xhtml11_xsd.html
deleted file mode 100644
index 0fce6ee236..0000000000
--- a/deprecated/xsd/xhtml11_xsd.html
+++ /dev/null
@@ -1,426 +0,0 @@
-
-
-
-
- Schema documentation for xhtml11.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Showing:
-
-
-
Annotations
-
-
-
Properties
-
-
-
-
-
-
-
-
-
-
-
-
-
Imported schema xhtml11.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Namespace
-
http://www.w3.org/1999/xhtml
-
-
-
-
Annotations
-
-
-
-
-
-
-
-
This is the XML Schema driver for XHTML 1.1.
- Please use this namespace for XHTML elements:
-
- "http://www.w3.org/1999/xhtml"
-
- $Id: xhtml11.xsd,v 1.7 2009/02/03 15:14:49 ahby Exp $
This is XHTML, a reformulation of HTML as a modular XML application
-The Extensible HyperText Markup Language (XHTML)
-Copyright1998-2007 World Wide Web Consortium
- (Massachusetts Institute of Technology, European Research Consortium
- for Informatics and Mathematics, Keio University).
- All Rights Reserved.
-
- Permission to use, copy, modify and distribute the XHTML Schema
- modules and their accompanying xs:documentation for any purpose
- and without fee is hereby granted in perpetuity, provided that the above
- copyright notice and this paragraph appear in all copies.
- The copyright holders make no representation about the suitability of
- these XML Schema modules for any purpose.
-
- They are provided "as is" without expressed or implied warranty.
-
-
-
-
-
-
-
This is the Schema Driver file for XHTML1.1
- Document Type
-
- This schema
- + imports external schemas (xml.xsd)
- + refedines (and include)s schema modules for XHTML1.1 Document Type.
- + includes Schema for Named content model for the
- XHTML1.1 Document Type
-
- XHTML1.1 Document Type includes the following Modules
- XHTML Core modules (Required for XHTML Family Conformance)
- + text
- + hypertext
- + lists
- + structure
- Other XHTML modules
- + Bdo
- + Image
- + Tables
- + Client side image maps
-
-
-
-
-
-
-
-
-
Properties
-
-
-
-
-
-
-
attribute form default
-
unqualified
-
-
-
element form default
-
qualified
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xsd/xml_xsd.html b/deprecated/xsd/xml_xsd.html
deleted file mode 100644
index 22b1b5e8d5..0000000000
--- a/deprecated/xsd/xml_xsd.html
+++ /dev/null
@@ -1,705 +0,0 @@
-
-
-
-
- Schema documentation for xml.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Showing:
-
-
-
Annotations
-
-
-
Facets
-
-
-
Properties
-
-
-
Source
-
-
-
Used by
-
-
-
-
-
-
-
-
-
-
-
-
-
Imported schema xml.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Namespace
-
http://www.w3.org/XML/1998/namespace
-
-
-
-
Annotations
-
-
-
-
-
-
-
-
See http://www.w3.org/XML/1998/namespace.html and
- http://www.w3.org/TR/REC-xml for information about this namespace.
-
- This schema document describes the XML namespace, in a form
- suitable for import by other schema documents.
-
- Note that local names in this namespace are intended to be defined
- only by the World Wide Web Consortium or its subgroups. The
- following names are currently defined in this namespace and should
- not be used with conflicting semantics by any Working Group,
- specification, or document instance:
-
- base (as an attribute name): denotes an attribute whose value
- provides a URI to be used as the base for interpreting any
- relative URIs in the scope of the element on which it
- appears; its value is inherited. This name is reserved
- by virtue of its definition in the XML Base specification.
-
- id (as an attribute name): denotes an attribute whose value
- should be interpreted as if declared to be of type ID.
- This name is reserved by virtue of its definition in the
- xml:id specification.
-
- lang (as an attribute name): denotes an attribute whose value
- is a language code for the natural language of the content of
- any element; its value is inherited. This name is reserved
- by virtue of its definition in the XML specification.
-
- space (as an attribute name): denotes an attribute whose
- value is a keyword indicating what whitespace processing
- discipline is intended for the content of the element; its
- value is inherited. This name is reserved by virtue of its
- definition in the XML specification.
-
- Father (in any context at all): denotes Jon Bosak, the chair of
- the original XML Working Group. This name is reserved by
- the following decision of the W3C XML Plenary and
- XML Coordination groups:
-
- In appreciation for his vision, leadership and dedication
- the W3C XML Plenary on this 10th day of February, 2000
- reserves for Jon Bosak in perpetuity the XML name
- xml:Father
-
-
-
-
-
-
-
This schema defines attributes and an attribute group
- suitable for use by
- schemas wishing to allow xml:base, xml:lang, xml:space or xml:id
- attributes on elements they define.
-
- To enable this, such a schema must import this schema
- for the XML namespace, e.g. as follows:
- <schema . . .>
- . . .
- <import namespace="http://www.w3.org/XML/1998/namespace"
- schemaLocation="http://www.w3.org/2001/xml.xsd"/>
-
- Subsequently, qualified reference to any of the attributes
- or the group defined below will have the desired effect, e.g.
-
- <type . . .>
- . . .
- <attributeGroup ref="xml:specialAttrs"/>
-
- will define a type which will schema-validate an instance
- element with any of those attributes
-
-
-
-
-
-
-
In keeping with the XML Schema WG's standard versioning
-policy, this schema document will persist at
-http://www.w3.org/2007/08/xml.xsd.
-At the date of issue it can also be found at
-http://www.w3.org/2001/xml.xsd.
-The schema document at that URI may however change in the future,
-in order to remain compatible with the latest version of XML Schema
-itself, or with the XML namespace itself. In other words, if the XML
-Schema or XML namespaces change, the version of this document at
-http://www.w3.org/2001/xml.xsd will change
-accordingly; the version at
-http://www.w3.org/2007/08/xml.xsd will not change.
Attempting to install the relevant ISO 2- and 3-letter
- codes as the enumerated possible values is probably never
- going to be a realistic possibility. See
- RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry
- at http://www.iana.org/assignments/lang-tag-apps.htm for
- further information.
-
- The union allows for the 'un-declaration' of xml:lang with
- the empty string.
<xs:attribute name="lang">
- <xs:annotation>
- <xs:documentation>Attempting to install the relevant ISO 2- and 3-letter codes as the enumerated possible values is probably never going to be a realistic possibility. See RFC 3066 at http://www.ietf.org/rfc/rfc3066.txt and the IANA registry at http://www.iana.org/assignments/lang-tag-apps.htm for further information. The union allows for the 'un-declaration' of xml:lang with the empty string.</xs:documentation>
- </xs:annotation>
- <xs:simpleType>
- <xs:union memberTypes="xs:language">
- <xs:simpleType>
- <xs:restriction base="xs:string">
- <xs:enumeration value=""/>
- </xs:restriction>
- </xs:simpleType>
- </xs:union>
- </xs:simpleType>
-</xs:attribute>
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
\ No newline at end of file
diff --git a/deprecated/xsd/xml_xsd_1.html b/deprecated/xsd/xml_xsd_1.html
deleted file mode 100644
index bca3f612e4..0000000000
--- a/deprecated/xsd/xml_xsd_1.html
+++ /dev/null
@@ -1,869 +0,0 @@
-
-
-
-
- Schema documentation for xml.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Showing:
-
-
-
Annotations
-
-
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Attributes
-
-
-
Diagrams
-
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-
Properties
-
-
-
Source
-
-
-
Used by
-
-
-
-
-
-
-
-
-
-
-
-
-
Imported schema xml.xsd
-
-
-
-
-
-
-
-
-
-
-
-
-
Namespace
-
http://www.w3.org/XML/1998/namespace
-
-
-
-
Annotations
-
-
-
-
-
-
-
-
<div>
- <h1>About the XML namespace</h1>
- <div class="bodytext">
- <p>This schema document describes the XML namespace, in a form suitable for import by other schema documents.</p>
- <p>See
- <a href="http://www.w3.org/XML/1998/namespace.html">http://www.w3.org/XML/1998/namespace.html</a>and
- <a href="http://www.w3.org/TR/REC-xml">http://www.w3.org/TR/REC-xml</a>for information about this namespace.</p>
- <p>Note that local names in this namespace are intended to be defined only by the World Wide Web Consortium or its subgroups. The names currently defined in this namespace are listed below. They should not be used with conflicting semantics by any Working Group, specification, or document instance.</p>
- <p>See further below in this document for more information about
- <a href="#usage">how to refer to this schema document from your own XSD schema documents</a>and about
- <a href="#nsversioning">the namespace-versioning policy governing this schema document</a>.</p>
- </div>
-</div>
-
-
-
-
-
-
-
-
<div>
- <h3>Father (in any context at all)</h3>
- <div class="bodytext">
- <p>denotes Jon Bosak, the chair of the original XML Working Group. This name is reserved by the following decision of the W3C XML Plenary and XML Coordination groups:</p>
- <blockquote>
- <p>In appreciation for his vision, leadership and dedication the W3C XML Plenary on this 10th day of February, 2000, reserves for Jon Bosak in perpetuity the XML name "xml:Father".</p>
- </blockquote>
- </div>
-</div>
-
-
-
-
-
-
-
-
<div xml:id="usage" id="usage">
- <h2>
- <a name="usage">About this schema document</a>
- </h2>
- <div class="bodytext">
- <p>This schema defines attributes and an attribute group suitable for use by schemas wishing to allow
- <code>xml:base</code>,
- <code>xml:lang</code>,
- <code>xml:space</code>or
- <code>xml:id</code>attributes on elements they define.</p>
- <p>To enable this, such a schema must import this schema for the XML namespace, e.g. as follows:</p>
- <pre><schema . . .> . . . <import namespace="http://www.w3.org/XML/1998/namespace" schemaLocation="http://www.w3.org/2001/xml.xsd"/></pre>
- <p>or</p>
- <pre><import namespace="http://www.w3.org/XML/1998/namespace" schemaLocation="http://www.w3.org/2009/01/xml.xsd"/></pre>
- <p>Subsequently, qualified reference to any of the attributes or the group defined below will have the desired effect, e.g.</p>
- <pre><type . . .> . . . <attributeGroup ref="xml:specialAttrs"/></pre>
- <p>will define a type which will schema-validate an instance element with any of those attributes.</p>
- </div>
-</div>
-
-
-
-
-
-
-
-
<div id="nsversioning" xml:id="nsversioning">
- <h2>
- <a name="nsversioning">Versioning policy for this schema document</a>
- </h2>
- <div class="bodytext">
- <p>In keeping with the XML Schema WG's standard versioning policy, this schema document will persist at
- <a href="http://www.w3.org/2009/01/xml.xsd">http://www.w3.org/2009/01/xml.xsd</a>.</p>
- <p>At the date of issue it can also be found at
- <a href="http://www.w3.org/2001/xml.xsd">http://www.w3.org/2001/xml.xsd</a>.</p>
- <p>The schema document at that URI may however change in the future, in order to remain compatible with the latest version of XML Schema itself, or with the XML namespace itself. In other words, if the XML Schema or XML namespaces change, the version of this document at
- <a href="http://www.w3.org/2001/xml.xsd">http://www.w3.org/2001/xml.xsd</a>will change accordingly; the version at
- <a href="http://www.w3.org/2009/01/xml.xsd">http://www.w3.org/2009/01/xml.xsd</a>will not change.</p>
- <p>Previous dated (and unchanging) versions of this schema document are at:</p>
- <ul>
- <li>
- <a href="http://www.w3.org/2009/01/xml.xsd">http://www.w3.org/2009/01/xml.xsd</a>
- </li>
- <li>
- <a href="http://www.w3.org/2007/08/xml.xsd">http://www.w3.org/2007/08/xml.xsd</a>
- </li>
- <li>
- <a href="http://www.w3.org/2004/10/xml.xsd">http://www.w3.org/2004/10/xml.xsd</a>
- </li>
- <li>
- <a href="http://www.w3.org/2001/03/xml.xsd">http://www.w3.org/2001/03/xml.xsd</a>
- </li>
- </ul>
- </div>
-</div>
-
-
-
-
-
-
-
-
-
-
Properties
-
-
-
-
-
-
-
attribute form default
-
unqualified
-
-
-
element form default
-
unqualified
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
Attribute @xml:base
-
-
-
-
-
-
-
-
-
-
-
-
-
Namespace
-
http://www.w3.org/XML/1998/namespace
-
-
-
-
Annotations
-
-
-
-
-
-
-
-
<div>
- <h3>base (as an attribute name)</h3>
- <p>denotes an attribute whose value provides a URI to be used as the base for interpreting any relative URIs in the scope of the element on which it appears; its value is inherited. This name is reserved by virtue of its definition in the XML Base specification.</p>
- <p>See
- <a href="http://www.w3.org/TR/xmlbase/">http://www.w3.org/TR/xmlbase/</a>for information about this attribute.</p>
-</div>
-
<xs:attribute name="base" type="xs:anyURI">
- <xs:annotation>
- <xs:documentation>
- <div>
- <h3>base (as an attribute name)</h3>
- <p>denotes an attribute whose value provides a URI to be used as the base for interpreting any relative URIs in the scope of the element on which it appears; its value is inherited. This name is reserved by virtue of its definition in the XML Base specification.</p>
- <p>See
- <a href="http://www.w3.org/TR/xmlbase/">http://www.w3.org/TR/xmlbase/</a>for information about this attribute.</p>
- </div>
- </xs:documentation>
- </xs:annotation>
-</xs:attribute>
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
-
Attribute @xml:id
-
-
-
-
-
-
-
-
-
-
-
-
-
Namespace
-
http://www.w3.org/XML/1998/namespace
-
-
-
-
Annotations
-
-
-
-
-
-
-
-
<div>
- <h3>id (as an attribute name)</h3>
- <p>denotes an attribute whose value should be interpreted as if declared to be of type ID. This name is reserved by virtue of its definition in the xml:id specification.</p>
- <p>See
- <a href="http://www.w3.org/TR/xml-id/">http://www.w3.org/TR/xml-id/</a>for information about this attribute.</p>
-</div>
-
<xs:attribute name="id" type="xs:ID">
- <xs:annotation>
- <xs:documentation>
- <div>
- <h3>id (as an attribute name)</h3>
- <p>denotes an attribute whose value should be interpreted as if declared to be of type ID. This name is reserved by virtue of its definition in the xml:id specification.</p>
- <p>See
- <a href="http://www.w3.org/TR/xml-id/">http://www.w3.org/TR/xml-id/</a>for information about this attribute.</p>
- </div>
- </xs:documentation>
- </xs:annotation>
-</xs:attribute>
<div>
- <h3>base (as an attribute name)</h3>
- <p>denotes an attribute whose value provides a URI to be used as the base for interpreting any relative URIs in the scope of the element on which it appears; its value is inherited. This name is reserved by virtue of its definition in the XML Base specification.</p>
- <p>See
- <a href="http://www.w3.org/TR/xmlbase/">http://www.w3.org/TR/xmlbase/</a>for information about this attribute.</p>
-</div>
-
<div>
- <h3>id (as an attribute name)</h3>
- <p>denotes an attribute whose value should be interpreted as if declared to be of type ID. This name is reserved by virtue of its definition in the xml:id specification.</p>
- <p>See
- <a href="http://www.w3.org/TR/xml-id/">http://www.w3.org/TR/xml-id/</a>for information about this attribute.</p>
-</div>
-
<div>
- <h3>lang (as an attribute name)</h3>
- <p>denotes an attribute whose value is a language code for the natural language of the content of any element; its value is inherited. This name is reserved by virtue of its definition in the XML specification.</p>
-</div>
-<div>
- <h4>Notes</h4>
- <p>Attempting to install the relevant ISO 2- and 3-letter codes as the enumerated possible values is probably never going to be a realistic possibility.</p>
- <p>See BCP 47 at
- <a href="http://www.rfc-editor.org/rfc/bcp/bcp47.txt">http://www.rfc-editor.org/rfc/bcp/bcp47.txt</a>and the IANA language subtag registry at
- <a href="http://www.iana.org/assignments/language-subtag-registry">http://www.iana.org/assignments/language-subtag-registry</a>for further information.</p>
- <p>The union allows for the 'un-declaration' of xml:lang with the empty string.</p>
-</div>
-
<div>
- <h3>space (as an attribute name)</h3>
- <p>denotes an attribute whose value is a keyword indicating what whitespace processing discipline is intended for the content of the element; its value is inherited. This name is reserved by virtue of its definition in the XML specification.</p>
-</div>
-
-
-
\ No newline at end of file
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+# OSCAL Overview
+This is an overview of the Open Security Controls Assessment Language (OSCAL). It explains why OSCAL is needed, who will benefit from the OSCAL work, what the OSCAL team has been working on, what the major challenges are in the OSCAL work, and what the future plans are for the OSCAL project.
+
+## Terminology
+
+Before discussing OSCAL, it is important to define three key OSCAL terms:
+ * *Control*: A safeguard or countermeasure designed to satisfy a set of defined security and/or privacy requirements. While this is based on the NIST Special Publication (SP) 800-53 definition of "control", in the context of OSCAL it refers to a similar kind of requirement from a control catalog.
+ * *Catalog*: A set of security control definitions. Examples include the hundreds of controls in NIST SP 800-53, the 100+ controls in ISO 27002, and the practices in COBIT 5.
+ * *Profile*: A set of security requirements; also called a baseline or overlay. Examples include the control baselines in NIST SP 800-53, the FedRAMP baselines, and the PCI DSS requirements. A profile is basically selecting a set of security requirements from one or more control catalogs.
+
+## Major challenges in security controls assessment
+
+OSCAL is attempting to address a number of challenges around security controls and security controls assessment. The core challenge, and one of the primary reasons for creating OSCAL, is that concepts like security controls and profiles are represented today largely in proprietary ways. In many cases they are written in prose documents that are imprecise, lead to differences in interpretation, and are not machine-readable, meaning that the prose instructions require someone to do data entry into a tool in order for the tool to use the information.
+
+Organizations are also struggling with information systems that have many different components, and some components require the use of different profiles per component, which is commonly the case with cloud environments. Also, the cloud environments can be multitenant or have mixed ownership of components. We need to be able to assess the security of these systems against a number of requirements, owners, etc.—to do that simultaneously and provide these views to stakeholders.
+
+On top of that there are situations where a single system needs to support multiple regulatory frameworks. For example, the U.S. Department of Veterans Affairs is a federal agency (Federal Information Security Modernization Act (FISMA) and NIST Cybersecurity Framework requirements) and a healthcare institution (Health Insurance Portability and Accountability Act (HIPAA) requirements) that has credit card transactions (Payment Card Industry Data Security Standard (PCI DSS)). There is no shortage of requirements for some organizations that have multiple regulatory frameworks.
+
+Assessing all these security controls is extremely complex. Because of that complexity, it’s largely a manual process today. The OSCAL project is trying to change that.
+
+## The purpose of OSCAL
+
+OSCAL is an attempt to standardize how security controls are represented, how a control implementation for a given system is represented, and how that information is best used and reports generated in a standardized way that can be used by both humans and machines. That means formats are needed that can be generated by machines for communicating with other machines, but can also easily be reformatted so humans can read the information. By standardizing the representation of this information, OSCAL information can be interoperable by having a well-defined specification with information that’s going to be used, imported, and used interoperably for security control assessments. The goal is to keep OSCAL as simple as possible and provide extensive automation for tools to use.
+
+## OSCAL components and high-level architecture
+
+The plans for OSCAL involve seven components, as depicted in the following diagram:
+
+
+
+Here are the current definitions for each component. As the project progresses, these definitions may evolve. They are included here to indicate the overall body of work for OSCAL and not the finalized details of each component.
+ * *Catalog*: Defines a set of security controls (e.g., NIST SP 800-53 Appendix F); may also define objectives and methods for assessing the controls (e.g., NIST SP 800-53A). Combining assessment objectives and methods with security controls has been done because some control catalog formats, such as COBIT 5, address assessment information directly. Others have it separately, like 800-53A. Including assessment objectives within the OSCAL catalog model simplifies the entire OSCAL operational model.
+ * *Profile*: Defines a set of security requirements, where meeting each requirement necessitates implementing one or more security controls. The profile format will allow for selecting security controls using a number of different mechanisms as well as tailoring those controls (e.g., assigning parameter values, modifying requirements). A profile can include controls from more than one catalog, so an organization could have a single profile that references controls from several catalogs.
+ * *Implementation*: Defines how each profile item is implemented. This can represent a machine-readable system security plan in OSCAL format. It will also support transforms from the machine-readable form to a human-readable version.
+ * *Assessment*: Describes how the system assessment is to be performed.
+ * *Assessment Results*: Records the findings of the assessment.
+ * *Metrics*: Defines metrics and measurements for understanding the effectiveness of the system’s security.
+ * *Mechanism*: Describes methods used to monitor the system’s current security state (e.g., Security Content Automation Protocol (SCAP)).
+
+## OSCAL users
+
+The initial OSCAL work encompasses the catalog and profile components. There are several types of users who should benefit from OSCAL catalogs and profiles. They include the following producers of OSCAL catalogs, profiles, and/or tools:
+ * *Catalog maintainers*: publishing catalogs into OSCAL format (e.g., NIST, ISO, ISACA)
+ * *Standard profile maintainers*: profiles in OSCAL format used by many organizations consuming OSCAL catalogs (e.g., NIST, FedRAMP)
+ * *Custom profile maintainers*: developing new profiles or customizing existing profiles for organization-specific use (e.g., cloud service providers, integrators)
+ * *Tool vendors*: creating tools that use OSCAL to support risk assessment, continuous monitoring, compliance reporting, and other purposes
+There are probably additional types of producers who would also use OSCAL.
+
+Standardized OSCAL catalog and profile models should also be beneficial to several types of OSCAL consumers:
+ * *Operations personnel*: rapidly verify that systems comply with organizational security requirements
+ * *Security and privacy personnel*: automatically identify problems and address them quickly before loss or damage occur; for example, a profile could be used to identify incorrect parameter values that are weakening security
+ * *Auditors/assessors*: perform audits/assessments on demand with minimal effort
+ * *Policy personnel*: identify systemic problems that necessitate changes to organization security policy
+
+## The relationship between the OSCAL catalog and profile models
+
+To understand the relationship between the OSCAL catalog and profile models, consider the trivial conceptual example in the figure below. This example represents the NIST SP 800-53 low baseline. The catalog defines the possible security controls within the scope of NIST SP 800-53. The profile indicates which security controls from the catalog are required to be compliant with the low baseline. Using OSCAL formats for the catalog and profile makes the mappings between the catalog and the profile explicit and machine readable.
+
+
+
+OSCAL provides a standarized, machine-readable profile with clear semantics. OSCAL allows profiles to be generated using the same interoperable format regardless of the underlying catalogs that are being used, like ISO 27001/2 and COBIT 5.
+
+## OSCAL deliverables
+
+The OSCAL project is producing several types of deliverables, including the following:
+ * *XML schemas* for the OSCAL component models
+ * *Schematron definitions*, which are basically an extension of the XML schemas that provide more validation capabilities
+ * *XSL templates* that allow production of human-readable versions out of OSCAL XML. It will be easy to convert an OSCAL XML catalog into a human-readable form. For right now we are supporting HTML, and we are working on other formats to produce PDFs, etc. We want to be able to leverage a similar kind of approach with our schemas so we can produce specification documents directly out of the schemas we’re producing.
+ * *CSS*, so that people who are developing catalogs and profiles using XML tools can use CSS for data entry. This makes the interface much more usable.
+ * A *prose OSCAL specification*. It will define the OSCAL component models; capture the operational model of how to use OSCAL, and explain how you can convert existing content (catalogs, profiles, etc.) into OSCAL formats.
+
+All deliverables will be posted to the OSCAL GitHub repository. The repository also contains README files that explain what’s on the repository, how to use it, how the repository is organized, etc.
+
+## Long-term goal for OSCAL
+
+The long-term goal for OSCAL is to have OSCAL-enabled tools and OSCAL-formatted content widely available. This will significantly increase the degree of automation available for assessment processes. OSCAL use is intended to enable all of the following:
+ * A large decrease in assessment-related labor
+ * The ability to assess a system’s security much more often, ideally continuously
+ * The ability to assess a system’s compliance with several sets of requirements simultaneously
+ * The consistent performance of assessments, regardless of system type, assessor, etc.
diff --git a/sources/800-53/800-53-controls.xml b/sources/800-53/800-53-controls.xml
new file mode 100644
index 0000000000..da1e6df394
--- /dev/null
+++ b/sources/800-53/800-53-controls.xml
@@ -0,0 +1,16319 @@
+
+
+
+ ACCESS CONTROL
+ AC-1
+ ACCESS CONTROL POLICY AND PROCEDURES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ AC-1a.
+ Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
+
+ AC-1a.1.
+ An access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ AC-1a.2.
+ Procedures to facilitate the implementation of the access control policy and associated access controls; and
+
+
+
+ AC-1b.
+ Reviews and updates the current:
+
+ AC-1b.1.
+ Access control policy [Assignment: organization-defined frequency]; and
+
+
+ AC-1b.2.
+ Access control procedures [Assignment: organization-defined frequency].
+
+
+
+
+ This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ ACCESS CONTROL
+ AC-2
+ ACCOUNT MANAGEMENT
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ AC-2a.
+ Identifies and selects the following types of information system accounts to support organizational missions/business functions: [Assignment: organization-defined information system account types];
+
+
+ AC-2b.
+ Assigns account managers for information system accounts;
+
+
+ AC-2c.
+ Establishes conditions for group and role membership;
+
+
+ AC-2d.
+ Specifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;
+
+
+ AC-2e.
+ Requires approvals by [Assignment: organization-defined personnel or roles] for requests to create information system accounts;
+
+
+ AC-2f.
+ Creates, enables, modifies, disables, and removes information system accounts in accordance with [Assignment: organization-defined procedures or conditions];
+
+
+ AC-2g.
+ Monitors the use of information system accounts;
+
+
+ AC-2h.
+ Notifies account managers:
+
+ AC-2h.1.
+ When accounts are no longer required;
+
+
+ AC-2h.2.
+ When users are terminated or transferred; and
+
+
+ AC-2h.3.
+ When individual information system usage or need-to-know changes;
+
+
+
+ AC-2i.
+ Authorizes access to the information system based on:
+
+ AC-2i.1.
+ A valid access authorization;
+
+
+ AC-2i.2.
+ Intended system usage; and
+
+
+ AC-2i.3.
+ Other attributes as required by the organization or associated missions/business functions;
+
+
+
+ AC-2j.
+ Reviews accounts for compliance with account management requirements [Assignment: organization-defined frequency]; and
+
+
+ AC-2k.
+ Establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.
+
+
+
+ Information system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training.
+ AC-3
+ AC-4
+ AC-5
+ AC-6
+ AC-10
+ AC-17
+ AC-19
+ AC-20
+ AU-9
+ IA-2
+ IA-4
+ IA-5
+ IA-8
+ CM-5
+ CM-6
+ CM-11
+ MA-3
+ MA-4
+ MA-5
+ PL-4
+ SC-13
+
+
+
+ AC-2 (1)
+ AUTOMATED SYSTEM ACCOUNT MANAGEMENT
+ MODERATE
+ HIGH
+
+ The organization employs automated mechanisms to support the management of information system accounts.
+
+
+ The use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using telephonic notification to report atypical system account usage.
+
+
+
+ AC-2 (2)
+ REMOVAL OF TEMPORARY / EMERGENCY ACCOUNTS
+ MODERATE
+ HIGH
+
+ The information system automatically [Selection: removes; disables] temporary and emergency accounts after [Assignment: organization-defined time period for each type of account].
+
+
+ This control enhancement requires the removal of both temporary and emergency accounts automatically after a predefined period of time has elapsed, rather than at the convenience of the systems administrator.
+
+
+
+ AC-2 (3)
+ DISABLE INACTIVE ACCOUNTS
+ MODERATE
+ HIGH
+
+ The information system automatically disables inactive accounts after [Assignment: organization-defined time period].
+
+
+
+ AC-2 (4)
+ AUTOMATED AUDIT ACTIONS
+ MODERATE
+ HIGH
+
+ The information system automatically audits account creation, modification, enabling, disabling, and removal actions, and notifies [Assignment: organization-defined personnel or roles].
+
+
+ AU-2
+ AU-12
+
+
+
+ AC-2 (5)
+ INACTIVITY LOGOUT
+ HIGH
+
+ The organization requires that users log out when [Assignment: organization-defined time-period of expected inactivity or description of when to log out].
+
+
+ SC-23
+
+
+
+ AC-2 (6)
+ DYNAMIC PRIVILEGE MANAGEMENT
+
+ The information system implements the following dynamic privilege management capabilities: [Assignment: organization-defined list of dynamic privilege management capabilities].
+
+
+ In contrast to conventional access control approaches which employ static information system accounts and predefined sets of user privileges, dynamic access control approaches (e.g., service-oriented architectures) rely on run time access control decisions facilitated by dynamic privilege management. While user identities may remain relatively constant over time, user privileges may change more frequently based on ongoing mission/business requirements and operational needs of organizations. Dynamic privilege management can include, for example, the immediate revocation of privileges from users, as opposed to requiring that users terminate and restart their sessions to reflect any changes in privileges. Dynamic privilege management can also refer to mechanisms that change the privileges of users based on dynamic rules as opposed to editing specific user profiles. This type of privilege management includes, for example, automatic adjustments of privileges if users are operating out of their normal work times, or if information systems are under duress or in emergency maintenance situations. This control enhancement also includes the ancillary effects of privilege changes, for example, the potential changes to encryption keys used for communications. Dynamic privilege management can support requirements for information system resiliency.
+ AC-16
+
+
+
+ AC-2 (7)
+ ROLE-BASED SCHEMES
+
+ The organization:
+
+ AC-2 (7)(a)
+ Establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;
+
+
+ AC-2 (7)(b)
+ Monitors privileged role assignments; and
+
+
+ AC-2 (7)(c)
+ Takes [Assignment: organization-defined actions] when privileged role assignments are no longer appropriate.
+
+
+
+ Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. These privileged roles include, for example, key management, account management, network and system administration, database administration, and web administration.
+
+
+
+ AC-2 (8)
+ DYNAMIC ACCOUNT CREATION
+
+ The information system creates [Assignment: organization-defined information system accounts] dynamically.
+
+
+ Dynamic approaches for creating information system accounts (e.g., as implemented within service-oriented architectures) rely on establishing accounts (identities) at run time for entities that were previously unknown. Organizations plan for dynamic creation of information system accounts by establishing trust relationships and mechanisms with the appropriate authorities to validate related authorizations and privileges.
+ AC-16
+
+
+
+ AC-2 (9)
+ RESTRICTIONS ON USE OF SHARED / GROUP ACCOUNTS
+
+ The organization only permits the use of shared/group accounts that meet [Assignment: organization-defined conditions for establishing shared/group accounts].
+
+
+
+ AC-2 (10)
+ SHARED / GROUP ACCOUNT CREDENTIAL TERMINATION
+
+ The information system terminates shared/group account credentials when members leave the group.
+
+
+
+ AC-2 (11)
+ USAGE CONDITIONS
+ HIGH
+
+ The information system enforces [Assignment: organization-defined circumstances and/or usage conditions] for [Assignment: organization-defined information system accounts].
+
+
+ Organizations can describe the specific conditions or circumstances under which information system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.
+
+
+
+ AC-2 (12)
+ ACCOUNT MONITORING / ATYPICAL USAGE
+ HIGH
+
+ The organization:
+
+ AC-2 (12)(a)
+ Monitors information system accounts for [Assignment: organization-defined atypical usage]; and
+
+
+ AC-2 (12)(b)
+ Reports atypical usage of information system accounts to [Assignment: organization-defined personnel or roles].
+
+
+
+ Atypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations.
+ CA-7
+
+
+
+ AC-2 (13)
+ DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS
+ HIGH
+
+ The organization disables accounts of users posing a significant risk within [Assignment: organization-defined time period] of discovery of the risk.
+
+
+ Users posing a significant risk to organizations include individuals for whom reliable evidence or intelligence indicates either the intention to use authorized access to information systems to cause harm or through whom adversaries will cause harm. Harm includes potential adverse impacts to organizational operations and assets, individuals, other organizations, or the Nation. Close coordination between authorizing officials, information system administrators, and human resource managers is essential in order for timely execution of this control enhancement.
+ PS-4
+
+
+
+
+
+ ACCESS CONTROL
+ AC-3
+ ACCESS ENFORCEMENT
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.
+
+
+ Access control policies (e.g., identity-based policies, role-based policies, control matrices, cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, domains) in information systems. In addition to enforcing authorized access at the information system level and recognizing that information systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security.
+ AC-2
+ AC-4
+ AC-5
+ AC-6
+ AC-16
+ AC-17
+ AC-18
+ AC-19
+ AC-20
+ AC-21
+ AC-22
+ AU-9
+ CM-5
+ CM-6
+ CM-11
+ MA-3
+ MA-4
+ MA-5
+ PE-3
+
+
+
+ AC-3 (1)
+ RESTRICTED ACCESS TO PRIVILEGED FUNCTIONS
+
+ AC-6
+
+
+ [Withdrawn: Incorporated into AC-6].
+
+
+
+ AC-3 (2)
+ DUAL AUTHORIZATION
+
+ The information system enforces dual authorization for [Assignment: organization-defined privileged commands and/or other organization-defined actions].
+
+
+ Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety. Dual authorization may also be known as two-person control.
+ CP-9
+ MP-6
+
+
+
+ AC-3 (3)
+ MANDATORY ACCESS CONTROL
+
+ The information system enforces [Assignment: organization-defined mandatory access control policy] over all subjects and objects where the policy:
+
+ AC-3 (3)(a)
+ Is uniformly enforced across all subjects and objects within the boundary of the information system;
+
+
+ AC-3 (3)(b)
+ Specifies that a subject that has been granted access to information is constrained from doing any of the following;
+
+ AC-3 (3)(b)(1)
+ Passing the information to unauthorized subjects or objects;
+
+
+ AC-3 (3)(b)(2)
+ Granting its privileges to other subjects;
+
+
+ AC-3 (3)(b)(3)
+ Changing one or more security attributes on subjects, objects, the information system, or information system components;
+
+
+ AC-3 (3)(b)(4)
+ Choosing the security attributes and attribute values to be associated with newly created or modified objects; or
+
+
+ AC-3 (3)(b)(5)
+ Changing the rules governing access control; and
+
+
+
+ AC-3 (3)(c)
+ Specifies that [Assignment: organization-defined subjects] may explicitly be granted [Assignment: organization-defined privileges (i.e., they are trusted subjects)] such that they are not limited by some or all of the above constraints.
+
+
+
+ Mandatory access control as defined in this control enhancement is synonymous with nondiscretionary access control, and is not constrained only to certain historical uses (e.g., implementations using the Bell-LaPadula Model). The above class of mandatory access control policies constrains what actions subjects can take with information obtained from data objects for which they have already been granted access, thus preventing the subjects from passing the information to unauthorized subjects and objects. This class of mandatory access control policies also constrains what actions subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the information system has control. Otherwise, the access control policy can be circumvented. This enforcement typically is provided via an implementation that meets the reference monitor concept (see AC-25). The policy is bounded by the information system boundary (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect). The trusted subjects described above are granted privileges consistent with the concept of least privilege (see AC-6). Trusted subjects are only given the minimum privileges relative to the above policy necessary for satisfying organizational mission/business needs. The control is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes a policy regarding access to sensitive/classified information and some users of the information system are not authorized access to all sensitive/classified information resident in the information system. This control can operate in conjunction with AC-3 (4). A subject that is constrained in its operation by policies governed by this control is still able to operate under the less rigorous constraints of AC-3 (4), but policies governed by this control take precedence over the less rigorous constraints of AC-3 (4). For example, while a mandatory access control policy imposes a constraint preventing a subject from passing information to another subject operating at a different sensitivity label, AC-3 (4) permits the subject to pass the information to any subject with the same sensitivity label as the subject.
+ AC-25
+ SC-11
+
+
+
+ AC-3 (4)
+ DISCRETIONARY ACCESS CONTROL
+
+ The information system enforces [Assignment: organization-defined discretionary access control policy] over defined subjects and objects where the policy specifies that a subject that has been granted access to information can do one or more of the following:
+
+ AC-3 (4)(a)
+ Pass the information to any other subjects or objects;
+
+
+ AC-3 (4)(b)
+ Grant its privileges to other subjects;
+
+
+ AC-3 (4)(c)
+ Change security attributes on subjects, objects, the information system, or the information system�s components;
+
+
+ AC-3 (4)(d)
+ Choose the security attributes to be associated with newly created or revised objects; or
+
+
+ AC-3 (4)(e)
+ Change the rules governing access control.
+
+
+
+ When discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing (i.e., the subjects have the discretion to pass) the information to other subjects or objects. This control enhancement can operate in conjunction with AC-3 (3). A subject that is constrained in its operation by policies governed by AC-3 (3) is still able to operate under the less rigorous constraints of this control enhancement. Thus, while AC-3 (3) imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3 (4) permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the information system boundary. Once the information is passed outside of the control of the information system, additional means may be required to ensure that the constraints remain in effect. While the older, more traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this use of discretionary access control.
+
+
+
+ AC-3 (5)
+ SECURITY-RELEVANT INFORMATION
+
+ The information system prevents access to [Assignment: organization-defined security-relevant information] except during secure, non-operable system states.
+
+
+ Security-relevant information is any information within information systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security policies or maintain the isolation of code and data. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Secure, non-operable system states include the times in which information systems are not performing mission/business-related processing (e.g., the system is off-line for maintenance, troubleshooting, boot-up, shut down).
+ CM-3
+
+
+
+ AC-3 (6)
+ PROTECTION OF USER AND SYSTEM INFORMATION
+
+ MP-4
+ SC-28
+
+
+ [Withdrawn: Incorporated into MP-4 and SC-28].
+
+
+
+ AC-3 (7)
+ ROLE-BASED ACCESS CONTROL
+
+ The information system enforces a role-based access control policy over defined subjects and objects and controls access based upon [Assignment: organization-defined roles and users authorized to assume such roles].
+
+
+ Role-based access control (RBAC) is an access control policy that restricts information system access to authorized users. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on organizational information systems associated with the organization-defined roles. When users are assigned to the organizational roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for organizations because privileges are not assigned directly to every user (which can be a significant number of individuals for mid- to large-size organizations) but are instead acquired through role assignments. RBAC can be implemented either as a mandatory or discretionary form of access control. For organizations implementing RBAC with mandatory access controls, the requirements in AC-3 (3) define the scope of the subjects and objects covered by the policy.
+
+
+
+ AC-3 (8)
+ REVOCATION OF ACCESS AUTHORIZATIONS
+
+ The information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on [Assignment: organization-defined rules governing the timing of revocations of access authorizations].
+
+
+ Revocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process) is removed from a group, access may not be revoked until the next time the object (e.g., file) is opened or until the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations can provide alternative approaches on how to make revocations immediate if information systems cannot provide such capability and immediate revocation is necessary.
+
+
+
+ AC-3 (9)
+ CONTROLLED RELEASE
+
+ The information system does not release information outside of the established system boundary unless:
+
+ AC-3 (9)(a)
+ The receiving [Assignment: organization-defined information system or system component] provides [Assignment: organization-defined security safeguards]; and
+
+
+ AC-3 (9)(b)
+ [Assignment: organization-defined security safeguards] are used to validate the appropriateness of the information designated for release.
+
+
+
+ Information systems can only protect organizational information within the confines of established system boundaries. Additional security safeguards may be needed to ensure that such information is adequately protected once it is passed beyond the established information system boundaries. Examples of information leaving the system boundary include transmitting information to an external information system or printing the information on one of its printers. In cases where the information system is unable to make a determination of the adequacy of the protections provided by entities outside its boundary, as a mitigating control, organizations determine procedurally whether the external information systems are providing adequate security. The means used to determine the adequacy of the security provided by external information systems include, for example, conducting inspections or periodic testing, establishing agreements between the organization and its counterpart organizations, or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security policy to protect the information. This control enhancement requires information systems to employ technical or procedural means to validate the information prior to releasing it to external systems. For example, if the information system passes information to another system controlled by another organization, technical means are employed to validate that the security attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the information system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only appropriately authorized individuals gain access to the printer. This control enhancement is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes policy regarding access to the information, and that policy applies beyond the realm of a particular information system or organization.
+
+
+
+ AC-3 (10)
+ AUDITED OVERRIDE OF ACCESS CONTROL MECHANISMS
+
+ The organization employs an audited override of automated access control mechanisms under [Assignment: organization-defined conditions].
+
+
+ AU-2
+ AU-6
+
+
+
+
+
+ ACCESS CONTROL
+ AC-4
+ INFORMATION FLOW ENFORCEMENT
+ P1
+ MODERATE
+ HIGH
+
+ The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on [Assignment: organization-defined information flow control policies].
+
+
+ Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regrading mechanisms to reassign security attributes and security labels.
+Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products.
+ AC-3
+ AC-17
+ AC-19
+ AC-21
+ CM-6
+ CM-7
+ SA-8
+ SC-2
+ SC-5
+ SC-7
+ SC-18
+
+
+
+ AC-4 (1)
+ OBJECT SECURITY ATTRIBUTES
+
+ The information system uses [Assignment: organization-defined security attributes] associated with [Assignment: organization-defined information, source, and destination objects] to enforce [Assignment: organization-defined information flow control policies] as a basis for flow control decisions.
+
+
+ Information flow enforcement mechanisms compare security attributes associated with information (data content and data structure) and source/destination objects, and respond appropriately (e.g., block, quarantine, alert administrator) when the mechanisms encounter information flows not explicitly allowed by information flow policies. For example, an information object labeled Secret would be allowed to flow to a destination object labeled Secret, but an information object labeled Top Secret would not be allowed to flow to a destination object labeled Secret. Security attributes can also include, for example, source and destination addresses employed in traffic filter firewalls. Flow enforcement using explicit security attributes can be used, for example, to control the release of certain types of information.
+ AC-16
+
+
+
+ AC-4 (2)
+ PROCESSING DOMAINS
+
+ The information system uses protected processing domains to enforce [Assignment: organization-defined information flow control policies] as a basis for flow control decisions.
+
+
+ Within information systems, protected processing domains are processing spaces that have controlled interactions with other processing spaces, thus enabling control of information flows between these spaces and to/from data/information objects. A protected processing domain can be provided, for example, by implementing domain and type enforcement. In domain and type enforcement, information system processes are assigned to domains; information is identified by types; and information flows are controlled based on allowed information accesses (determined by domain and type), allowed signaling among domains, and allowed process transitions to other domains.
+
+
+
+ AC-4 (3)
+ DYNAMIC INFORMATION FLOW CONTROL
+
+ The information system enforces dynamic information flow control based on [Assignment: organization-defined policies].
+
+
+ Organizational policies regarding dynamic information flow control include, for example, allowing or disallowing information flows based on changing conditions or mission/operational considerations. Changing conditions include, for example, changes in organizational risk tolerance due to changes in the immediacy of mission/business needs, changes in the threat environment, and detection of potentially harmful or adverse events.
+ SI-4
+
+
+
+ AC-4 (4)
+ CONTENT CHECK ENCRYPTED INFORMATION
+
+ The information system prevents encrypted information from bypassing content-checking mechanisms by [Selection (one or more): decrypting the information; blocking the flow of the encrypted information; terminating communications sessions attempting to pass encrypted information; [Assignment: organization-defined procedure or method]].
+
+
+ SI-4
+
+
+
+ AC-4 (5)
+ EMBEDDED DATA TYPES
+
+ The information system enforces [Assignment: organization-defined limitations] on embedding data types within other data types.
+
+
+ Embedding data types within other data types may result in reduced flow control effectiveness. Data type embedding includes, for example, inserting executable files as objects within word processing files, inserting references or descriptive information into a media file, and compressed or archived data types that may include multiple embedded data types. Limitations on data type embedding consider the levels of embedding and prohibit levels of data type embedding that are beyond the capability of the inspection tools.
+
+
+
+ AC-4 (6)
+ METADATA
+
+ The information system enforces information flow control based on [Assignment: organization-defined metadata].
+
+
+ Metadata is information used to describe the characteristics of data. Metadata can include structural metadata describing data structures (e.g., data format, syntax, and semantics) or descriptive metadata describing data contents (e.g., age, location, telephone number). Enforcing allowed information flows based on metadata enables simpler and more effective flow control. Organizations consider the trustworthiness of metadata with regard to data accuracy (i.e., knowledge that the metadata values are correct with respect to the data), data integrity (i.e., protecting against unauthorized changes to metadata tags), and the binding of metadata to the data payload (i.e., ensuring sufficiently strong binding techniques with appropriate levels of assurance).
+ AC-16
+ SI-7
+
+
+
+ AC-4 (7)
+ ONE-WAY FLOW MECHANISMS
+
+ The information system enforces [Assignment: organization-defined one-way information flows] using hardware mechanisms.
+
+
+
+ AC-4 (8)
+ SECURITY POLICY FILTERS
+
+ The information system enforces information flow control using [Assignment: organization-defined security policy filters] as a basis for flow control decisions for [Assignment: organization-defined information flows].
+
+
+ Organization-defined security policy filters can address data structures and content. For example, security policy filters for data structures can check for maximum file lengths, maximum field sizes, and data/file types (for structured and unstructured data). Security policy filters for data content can check for specific words (e.g., dirty/clean word filters), enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data typically refers to digital information without a particular data structure or with a data structure that does not facilitate the development of rule sets to address the particular sensitivity of the information conveyed by the data or the associated flow enforcement decisions. Unstructured data consists of: (i) bitmap objects that are inherently non language-based (i.e., image, video, or audio files); and (ii) textual objects that are based on written or printed languages (e.g., commercial off-the-shelf word processing documents, spreadsheets, or emails). Organizations can implement more than one security policy filter to meet information flow control objectives (e.g., employing clean word lists in conjunction with dirty word lists may help to reduce false positives).
+
+
+
+ AC-4 (9)
+ HUMAN REVIEWS
+
+ The information system enforces the use of human reviews for [Assignment: organization-defined information flows] under the following conditions: [Assignment: organization-defined conditions].
+
+
+ Organizations define security policy filters for all situations where automated flow control decisions are possible. When a fully automated flow control decision is not possible, then a human review may be employed in lieu of, or as a complement to, automated security policy filtering. Human reviews may also be employed as deemed necessary by organizations.
+
+
+
+ AC-4 (10)
+ ENABLE / DISABLE SECURITY POLICY FILTERS
+
+ The information system provides the capability for privileged administrators to enable/disable [Assignment: organization-defined security policy filters] under the following conditions: [Assignment: organization-defined conditions].
+
+
+ For example, as allowed by the information system authorization, administrators can enable security policy filters to accommodate approved data types.
+
+
+
+ AC-4 (11)
+ CONFIGURATION OF SECURITY POLICY FILTERS
+
+ The information system provides the capability for privileged administrators to configure [Assignment: organization-defined security policy filters] to support different security policies.
+
+
+ For example, to reflect changes in security policies, administrators can change the list of �dirty words� that security policy mechanisms check in accordance with the definitions provided by organizations.
+
+
+
+ AC-4 (12)
+ DATA TYPE IDENTIFIERS
+
+ The information system, when transferring information between different security domains, uses [Assignment: organization-defined data type identifiers] to validate data essential for information flow decisions.
+
+
+ Data type identifiers include, for example, filenames, file types, file signatures/tokens, and multiple internal file signatures/tokens. Information systems may allow transfer of data only if compliant with data type format specifications.
+
+
+
+ AC-4 (13)
+ DECOMPOSITION INTO POLICY-RELEVANT SUBCOMPONENTS
+
+ The information system, when transferring information between different security domains, decomposes information into [Assignment: organization-defined policy-relevant subcomponents] for submission to policy enforcement mechanisms.
+
+
+ Policy enforcement mechanisms apply filtering, inspection, and/or sanitization rules to the policy-relevant subcomponents of information to facilitate flow enforcement prior to transferring such information to different security domains. Parsing transfer files facilitates policy decisions on source, destination, certificates, classification, attachments, and other security-related component differentiators.
+
+
+
+ AC-4 (14)
+ SECURITY POLICY FILTER CONSTRAINTS
+
+ The information system, when transferring information between different security domains, implements [Assignment: organization-defined security policy filters] requiring fully enumerated formats that restrict data structure and content.
+
+
+ Data structure and content restrictions reduce the range of potential malicious and/or unsanctioned content in cross-domain transactions. Security policy filters that restrict data structures include, for example, restricting file sizes and field lengths. Data content policy filters include, for example: (i) encoding formats for character sets (e.g., Universal Character Set Transformation Formats, American Standard Code for Information Interchange); (ii) restricting character data fields to only contain alpha-numeric characters; (iii) prohibiting special characters; and (iv) validating schema structures.
+
+
+
+ AC-4 (15)
+ DETECTION OF UNSANCTIONED INFORMATION
+
+ The information system, when transferring information between different security domains, examines the information for the presence of [Assignment: organized-defined unsanctioned information] and prohibits the transfer of such information in accordance with the [Assignment: organization-defined security policy].
+
+
+ Detection of unsanctioned information includes, for example, checking all information to be transferred for malicious code and dirty words.
+ SI-3
+
+
+
+ AC-4 (16)
+ INFORMATION TRANSFERS ON INTERCONNECTED SYSTEMS
+
+ AC-4
+
+
+ [Withdrawn: Incorporated into AC-4].
+
+
+
+ AC-4 (17)
+ DOMAIN AUTHENTICATION
+
+ The information system uniquely identifies and authenticates source and destination points by [Selection (one or more): organization, system, application, individual] for information transfer.
+
+
+ Attribution is a critical component of a security concept of operations. The ability to identify source and destination points for information flowing in information systems, allows the forensic reconstruction of events when required, and encourages policy compliance by attributing policy violations to specific organizations/individuals. Successful domain authentication requires that information system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information.
+ IA-2
+ IA-3
+ IA-4
+ IA-5
+
+
+
+ AC-4 (18)
+ SECURITY ATTRIBUTE BINDING
+
+ The information system binds security attributes to information using [Assignment: organization-defined binding techniques] to facilitate information flow policy enforcement.
+
+
+ Binding techniques implemented by information systems affect the strength of security attribute binding to information. Binding strength and the assurance associated with binding techniques play an important part in the trust organizations have in the information flow enforcement process. The binding techniques affect the number and degree of additional reviews required by organizations.
+ AC-16
+ SC-16
+
+
+
+ AC-4 (19)
+ VALIDATION OF METADATA
+
+ The information system, when transferring information between different security domains, applies the same security policy filtering to metadata as it applies to data payloads.
+
+
+ This control enhancement requires the validation of metadata and the data to which the metadata applies. Some organizations distinguish between metadata and data payloads (i.e., only the data to which the metadata is bound). Other organizations do not make such distinctions, considering metadata and the data to which the metadata applies as part of the payload. All information (including metadata and the data to which the metadata applies) is subject to filtering and inspection.
+
+
+
+ AC-4 (20)
+ APPROVED SOLUTIONS
+
+ The organization employs [Assignment: organization-defined solutions in approved configurations] to control the flow of [Assignment: organization-defined information] across security domains.
+
+
+ Organizations define approved solutions and configurations in cross-domain policies and guidance in accordance with the types of information flows across classification boundaries. The Unified Cross Domain Management Office (UCDMO) provides a baseline listing of approved cross-domain solutions.
+
+
+
+ AC-4 (21)
+ PHYSICAL / LOGICAL SEPARATION OF INFORMATION FLOWS
+
+ The information system separates information flows logically or physically using [Assignment: organization-defined mechanisms and/or techniques] to accomplish [Assignment: organization-defined required separations by types of information].
+
+
+ Enforcing the separation of information flows by type can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths perhaps not otherwise achievable. Types of separable information include, for example, inbound and outbound communications traffic, service requests and responses, and information of differing security categories.
+
+
+
+ AC-4 (22)
+ ACCESS ONLY
+
+ The information system provides access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains.
+
+
+ The information system, for example, provides a desktop for users to access each connected security domain without providing any mechanisms to allow transfer of information between the different security domains.
+
+
+
+
+
+ ACCESS CONTROL
+ AC-5
+ SEPARATION OF DUTIES
+ P1
+ MODERATE
+ HIGH
+
+ The organization:
+
+ AC-5a.
+ Separates [Assignment: organization-defined duties of individuals];
+
+
+ AC-5b.
+ Documents separation of duties of individuals; and
+
+
+ AC-5c.
+ Defines information system access authorizations to support separation of duties.
+
+
+
+ Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes, for example: (i) dividing mission functions and information system support functions among different individuals and/or roles; (ii) conducting information system support functions with different individuals (e.g., system management, programming, configuration management, quality assurance and testing, and network security); and (iii) ensuring security personnel administering access control functions do not also administer audit functions.
+ AC-3
+ AC-6
+ PE-3
+ PE-4
+ PS-2
+
+
+
+ ACCESS CONTROL
+ AC-6
+ LEAST PRIVILEGE
+ P1
+ MODERATE
+ HIGH
+
+ The organization employs the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.
+
+
+ Organizations employ least privilege for specific duties and information systems. The principle of least privilege is also applied to information system processes, ensuring that the processes operate at privilege levels no higher than necessary to accomplish required organizational missions/business functions. Organizations consider the creation of additional processes, roles, and information system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational information systems.
+ AC-2
+ AC-3
+ AC-5
+ CM-6
+ CM-7
+ PL-2
+
+
+
+ AC-6 (1)
+ AUTHORIZE ACCESS TO SECURITY FUNCTIONS
+ MODERATE
+ HIGH
+
+ The organization explicitly authorizes access to [Assignment: organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information].
+
+
+ Security functions include, for example, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Explicitly authorized personnel include, for example, security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users.
+ AC-17
+ AC-18
+ AC-19
+
+
+
+ AC-6 (2)
+ NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS
+ MODERATE
+ HIGH
+
+ The organization requires that users of information system accounts, or roles, with access to [Assignment: organization-defined security functions or security-relevant information], use non-privileged accounts or roles, when accessing nonsecurity functions.
+
+
+ This control enhancement limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies such as role-based access control and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.
+ PL-4
+
+
+
+ AC-6 (3)
+ NETWORK ACCESS TO PRIVILEGED COMMANDS
+ HIGH
+
+ The organization authorizes network access to [Assignment: organization-defined privileged commands] only for [Assignment: organization-defined compelling operational needs] and documents the rationale for such access in the security plan for the information system.
+
+
+ Network access is any access across a network connection in lieu of local access (i.e., user being physically present at the device).
+ AC-17
+
+
+
+ AC-6 (4)
+ SEPARATE PROCESSING DOMAINS
+
+ The information system provides separate processing domains to enable finer-grained allocation of user privileges.
+
+
+ Providing separate processing domains for finer-grained allocation of user privileges includes, for example: (i) using virtualization techniques to allow additional privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying actual machine; (ii) employing hardware and/or software domain separation mechanisms; and (iii) implementing separate physical domains.
+ AC-4
+ SC-3
+ SC-30
+ SC-32
+
+
+
+ AC-6 (5)
+ PRIVILEGED ACCOUNTS
+ MODERATE
+ HIGH
+
+ The organization restricts privileged accounts on the information system to [Assignment: organization-defined personnel or roles].
+
+
+ Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from having access to privileged information/functions. Organizations may differentiate in the application of this control enhancement between allowed privileges for local accounts and for domain accounts provided organizations retain the ability to control information system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk.
+ CM-6
+
+
+
+ AC-6 (6)
+ PRIVILEGED ACCESS BY NON-ORGANIZATIONAL USERS
+
+ The organization prohibits privileged access to the information system by non-organizational users.
+
+
+ IA-8
+
+
+
+ AC-6 (7)
+ REVIEW OF USER PRIVILEGES
+
+ The organization:
+
+ AC-6 (7)(a)
+ Reviews [Assignment: organization-defined frequency] the privileges assigned to [Assignment: organization-defined roles or classes of users] to validate the need for such privileges; and
+
+
+ AC-6 (7)(b)
+ Reassigns or removes privileges, if necessary, to correctly reflect organizational mission/business needs.
+
+
+
+ The need for certain assigned user privileges may change over time reflecting changes in organizational missions/business function, environments of operation, technologies, or threat. Periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions.
+ CA-7
+
+
+
+ AC-6 (8)
+ PRIVILEGE LEVELS FOR CODE EXECUTION
+
+ The information system prevents [Assignment: organization-defined software] from executing at higher privilege levels than users executing the software.
+
+
+ In certain situations, software applications/programs need to execute with elevated privileges to perform required functions. However, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications/programs, those users are indirectly provided with greater privileges than assigned by organizations.
+
+
+
+ AC-6 (9)
+ AUDITING USE OF PRIVILEGED FUNCTIONS
+ MODERATE
+ HIGH
+
+ The information system audits the execution of privileged functions.
+
+
+ Misuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised information system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Auditing the use of privileged functions is one way to detect such misuse, and in doing so, help mitigate the risk from insider threats and the advanced persistent threat (APT).
+ AU-2
+
+
+
+ AC-6 (10)
+ PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS
+ MODERATE
+ HIGH
+
+ The information system prevents non-privileged users from executing privileged functions to include disabling, circumventing, or altering implemented security safeguards/countermeasures.
+
+
+ Privileged functions include, for example, establishing information system accounts, performing system integrity checks, or administering cryptographic key management activities. Non-privileged users are individuals that do not possess appropriate authorizations. Circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms are examples of privileged functions that require protection from non-privileged users.
+
+
+
+
+
+ ACCESS CONTROL
+ AC-7
+ UNSUCCESSFUL LOGON ATTEMPTS
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The information system:
+
+ AC-7a.
+ Enforces a limit of [Assignment: organization-defined number] consecutive invalid logon attempts by a user during a [Assignment: organization-defined time period]; and
+
+
+ AC-7b.
+ Automatically [Selection: locks the account/node for an [Assignment: organization-defined time period]; locks the account/node until released by an administrator; delays next logon prompt according to [Assignment: organization-defined delay algorithm]] when the maximum number of unsuccessful attempts is exceeded.
+
+
+
+ This control applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by information systems are usually temporary and automatically release after a predetermined time period established by organizations. If a delay algorithm is selected, organizations may choose to employ different algorithms for different information system components based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at both the operating system and the application levels.
+ AC-2
+ AC-9
+ AC-14
+ IA-5
+
+
+
+ AC-7 (1)
+ AUTOMATIC ACCOUNT LOCK
+
+ AC-7
+
+
+ [Withdrawn: Incorporated into AC-7].
+
+
+
+ AC-7 (2)
+ PURGE / WIPE MOBILE DEVICE
+
+ The information system purges/wipes information from [Assignment: organization-defined mobile devices] based on [Assignment: organization-defined purging/wiping requirements/techniques] after [Assignment: organization-defined number] consecutive, unsuccessful device logon attempts.
+
+
+ This control enhancement applies only to mobile devices for which a logon occurs (e.g., personal digital assistants, smart phones, tablets). The logon is to the mobile device, not to any one account on the device. Therefore, successful logons to any accounts on mobile devices reset the unsuccessful logon count to zero. Organizations define information to be purged/wiped carefully in order to avoid over purging/wiping which may result in devices becoming unusable. Purging/wiping may be unnecessary if the information on the device is protected with sufficiently strong encryption mechanisms.
+ AC-19
+ MP-5
+ MP-6
+ SC-13
+
+
+
+
+
+ ACCESS CONTROL
+ AC-8
+ SYSTEM USE NOTIFICATION
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The information system:
+
+ AC-8a.
+ Displays to users [Assignment: organization-defined system use notification message or banner] before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance and states that:
+
+ AC-8a.1.
+ Users are accessing a U.S. Government information system;
+
+
+ AC-8a.2.
+ Information system usage may be monitored, recorded, and subject to audit;
+
+
+ AC-8a.3.
+ Unauthorized use of the information system is prohibited and subject to criminal and civil penalties; and
+
+
+ AC-8a.4.
+ Use of the information system indicates consent to monitoring and recording;
+
+
+
+ AC-8b.
+ Retains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system; and
+
+
+ AC-8c.
+ For publicly accessible systems:
+
+ AC-8c.1.
+ Displays system use information [Assignment: organization-defined conditions], before granting further access;
+
+
+ AC-8c.2.
+ Displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and
+
+
+ AC-8c.3.
+ Includes a description of the authorized uses of the system.
+
+
+
+
+ System use notifications can be implemented using messages or warning banners displayed before individuals log in to information systems. System use notifications are used only for access via logon interfaces with human users and are not required when such human interfaces do not exist. Organizations consider system use notification messages/banners displayed in multiple languages based on specific organizational needs and the demographics of information system users. Organizations also consult with the Office of the General Counsel for legal review and approval of warning banner content.
+
+
+
+ ACCESS CONTROL
+ AC-9
+ PREVIOUS LOGON (ACCESS) NOTIFICATION
+ P0
+
+ The information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access).
+
+
+ This control is applicable to logons to information systems via human user interfaces and logons to systems that occur in other types of architectures (e.g., service-oriented architectures).
+ AC-7
+ PL-4
+
+
+
+ AC-9 (1)
+ UNSUCCESSFUL LOGONS
+
+ The information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.
+
+
+
+ AC-9 (2)
+ SUCCESSFUL / UNSUCCESSFUL LOGONS
+
+ The information system notifies the user of the number of [Selection: successful logons/accesses; unsuccessful logon/access attempts; both] during [Assignment: organization-defined time period].
+
+
+
+ AC-9 (3)
+ NOTIFICATION OF ACCOUNT CHANGES
+
+ The information system notifies the user of changes to [Assignment: organization-defined security-related characteristics/parameters of the user�s account] during [Assignment: organization-defined time period].
+
+
+
+ AC-9 (4)
+ ADDITIONAL LOGON INFORMATION
+
+ The information system notifies the user, upon successful logon (access), of the following additional information: [Assignment: organization-defined information to be included in addition to the date and time of the last logon (access)].
+
+
+ This control enhancement permits organizations to specify additional information to be provided to users upon logon including, for example, the location of last logon. User location is defined as that information which can be determined by information systems, for example, IP addresses from which network logons occurred, device identifiers, or notifications of local logons.
+
+
+
+
+
+ ACCESS CONTROL
+ AC-10
+ CONCURRENT SESSION CONTROL
+ P3
+ HIGH
+
+ The information system limits the number of concurrent sessions for each [Assignment: organization-defined account and/or account type] to [Assignment: organization-defined number].
+
+
+ Organizations may define the maximum number of concurrent sessions for information system accounts globally, by account type (e.g., privileged user, non-privileged user, domain, specific application), by account, or a combination. For example, organizations may limit the number of concurrent sessions for system administrators or individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for information system accounts and does not address concurrent sessions by single users via multiple system accounts.
+
+
+
+ ACCESS CONTROL
+ AC-11
+ SESSION LOCK
+ P3
+ MODERATE
+ HIGH
+
+ The information system:
+
+ AC-11a.
+ Prevents further access to the system by initiating a session lock after [Assignment: organization-defined time period] of inactivity or upon receiving a request from a user; and
+
+
+ AC-11b.
+ Retains the session lock until the user reestablishes access using established identification and authentication procedures.
+
+
+
+ Session locks are temporary actions taken when users stop work and move away from the immediate vicinity of information systems but do not want to log out because of the temporary nature of their absences. Session locks are implemented where session activities can be determined. This is typically at the operating system level, but can also be at the application level. Session locks are not an acceptable substitute for logging out of information systems, for example, if organizations require users to log out at the end of workdays.
+ AC-7
+
+
+
+ AC-11 (1)
+ PATTERN-HIDING DISPLAYS
+ MODERATE
+ HIGH
+
+ The information system conceals, via the session lock, information previously visible on the display with a publicly viewable image.
+
+
+ Publicly viewable images can include static or dynamic images, for example, patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen, with the additional caveat that none of the images convey sensitive information.
+
+
+
+
+
+ OMB Memorandum 06-16
+
+
+
+
+ ACCESS CONTROL
+ AC-12
+ SESSION TERMINATION
+ P2
+ MODERATE
+ HIGH
+
+ The information system automatically terminates a user session after [Assignment: organization-defined conditions or trigger events requiring session disconnect].
+
+
+ This control addresses the termination of user-initiated logical sessions in contrast to SC-10 which addresses the termination of network connections that are associated with communications sessions (i.e., network disconnect). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational information system. Such user sessions can be terminated (and thus terminate user access) without terminating network sessions. Session termination terminates all processes associated with a user�s logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination can include, for example, organization-defined periods of user inactivity, targeted responses to certain types of incidents, time-of-day restrictions on information system use.
+ SC-10
+ SC-23
+
+
+
+ AC-12 (1)
+ USER-INITIATED LOGOUTS / MESSAGE DISPLAYS
+
+ The information system:
+
+ AC-12 (1)(a)
+ Provides a logout capability for user-initiated communications sessions whenever authentication is used to gain access to [Assignment: organization-defined information resources]; and
+
+
+ AC-12 (1)(b)
+ Displays an explicit logout message to users indicating the reliable termination of authenticated communications sessions.
+
+
+
+ Information resources to which users gain access via authentication include, for example, local workstations, databases, and password-protected websites/web-based services. Logout messages for web page access, for example, can be displayed after authenticated sessions have been terminated. However, for some types of interactive sessions including, for example, file transfer protocol (FTP) sessions, information systems typically send logout messages as final messages prior to terminating sessions.
+
+
+
+
+
+ ACCESS CONTROL
+ AC-13
+ SUPERVISION AND REVIEW - ACCESS CONTROL
+
+ AC-2
+ AU-6
+
+
+ [Withdrawn: Incorporated into AC-2 and AU-6].
+
+
+
+ ACCESS CONTROL
+ AC-14
+ PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ AC-14a.
+ Identifies [Assignment: organization-defined user actions] that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and
+
+
+ AC-14b.
+ Documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.
+
+
+
+ This control addresses situations in which organizations determine that no identification or authentication is required in organizational information systems. Organizations may allow a limited number of user actions without identification or authentication including, for example, when individuals access public websites or other publicly accessible federal information systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations also identify actions that normally require identification or authentication but may under certain circumstances (e.g., emergencies), allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not repeated, but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational information systems without identification and authentication and thus, the values for assignment statements can be none.
+ CP-2
+ IA-2
+
+
+
+ AC-14 (1)
+ NECESSARY USES
+
+ AC-14
+
+
+ [Withdrawn: Incorporated into AC-14].
+
+
+
+
+
+ ACCESS CONTROL
+ AC-15
+ AUTOMATED MARKING
+
+ MP-3
+
+
+ [Withdrawn: Incorporated into MP-3].
+
+
+
+ ACCESS CONTROL
+ AC-16
+ SECURITY ATTRIBUTES
+ P0
+
+ The organization:
+
+ AC-16a.
+ Provides the means to associate [Assignment: organization-defined types of security attributes] having [Assignment: organization-defined security attribute values] with information in storage, in process, and/or in transmission;
+
+
+ AC-16b.
+ Ensures that the security attribute associations are made and retained with the information;
+
+
+ AC-16c.
+ Establishes the permitted [Assignment: organization-defined security attributes] for [Assignment: organization-defined information systems]; and
+
+
+ AC-16d.
+ Determines the permitted [Assignment: organization-defined values or ranges] for each of the established security attributes.
+
+
+
+ Information is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions representing the basic properties or characteristics of active and passive entities with respect to safeguarding information. These attributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, to cause information to flow among objects, or to change the information system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of security attributes to subjects and objects is referred to as binding and is typically inclusive of setting the attribute value and the attribute type. Security attributes when bound to data/information, enables the enforcement of information security policies for access control and information flow control, either through organizational processes or information system functions or mechanisms. The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information.
+Organizations can define the types of attributes needed for selected information systems to support missions/business functions. There is potentially a wide range of values that can be assigned to any given security attribute. Release markings could include, for example, US only, NATO, or NOFORN (not releasable to foreign nationals). By specifying permitted attribute ranges and values, organizations can ensure that the security attribute values are meaningful and relevant. The term security labeling refers to the association of security attributes with subjects and objects represented by internal data structures within organizational information systems, to enable information system-based enforcement of information security policies. Security labels include, for example, access authorizations, data life cycle protection (i.e., encryption and data expiration), nationality, affiliation as contractor, and classification of information in accordance with legal and compliance requirements. The term security marking refers to the association of security attributes with objects in a human-readable form, to enable organizational process-based enforcement of information security policies. The AC-16 base control represents the requirement for user-based attribute association (marking). The enhancements to AC-16 represent additional requirements including information system-based attribute association (labeling). Types of attributes include, for example, classification level for objects and clearance (access authorization) level for subjects. An example of a value for both of these attribute types is Top Secret.
+ AC-3
+ AC-4
+ AC-6
+ AC-21
+ AU-2
+ AU-10
+ SC-16
+ MP-3
+
+
+
+ AC-16 (1)
+ DYNAMIC ATTRIBUTE ASSOCIATION
+
+ The information system dynamically associates security attributes with [Assignment: organization-defined subjects and objects] in accordance with [Assignment: organization-defined security policies] as information is created and combined.
+
+
+ Dynamic association of security attributes is appropriate whenever the security characteristics of information changes over time. Security attributes may change, for example, due to information aggregation issues (i.e., the security characteristics of individual information elements are different from the combined elements), changes in individual access authorizations (i.e., privileges), and changes in the security category of information.
+ AC-4
+
+
+
+ AC-16 (2)
+ ATTRIBUTE VALUE CHANGES BY AUTHORIZED INDIVIDUALS
+
+ The information system provides authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security attributes.
+
+
+ The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for information systems to be able to limit the ability to create or modify security attributes to authorized individuals.
+ AC-6
+ AU-2
+
+
+
+ AC-16 (3)
+ MAINTENANCE OF ATTRIBUTE ASSOCIATIONS BY INFORMATION SYSTEM
+
+ The information system maintains the association and integrity of [Assignment: organization-defined security attributes] to [Assignment: organization-defined subjects and objects].
+
+
+ Maintaining the association and integrity of security attributes to subjects and objects with sufficient assurance helps to ensure that the attribute associations can be used as the basis of automated policy actions. Automated policy actions include, for example, access control decisions or information flow control decisions.
+
+
+
+ AC-16 (4)
+ ASSOCIATION OF ATTRIBUTES BY AUTHORIZED INDIVIDUALS
+
+ The information system supports the association of [Assignment: organization-defined security attributes] with [Assignment: organization-defined subjects and objects] by authorized individuals (or processes acting on behalf of individuals).
+
+
+ The support provided by information systems can vary to include: (i) prompting users to select specific security attributes to be associated with specific information objects; (ii) employing automated mechanisms for categorizing information with appropriate attributes based on defined policies; or (iii) ensuring that the combination of selected security attributes selected is valid. Organizations consider the creation, deletion, or modification of security attributes when defining auditable events.
+
+
+
+ AC-16 (5)
+ ATTRIBUTE DISPLAYS FOR OUTPUT DEVICES
+
+ The information system displays security attributes in human-readable form on each object that the system transmits to output devices to identify [Assignment: organization-identified special dissemination, handling, or distribution instructions] using [Assignment: organization-identified human-readable, standard naming conventions].
+
+
+ Information system outputs include, for example, pages, screens, or equivalent. Information system output devices include, for example, printers and video displays on computer workstations, notebook computers, and personal digital assistants.
+
+
+
+ AC-16 (6)
+ MAINTENANCE OF ATTRIBUTE ASSOCIATION BY ORGANIZATION
+
+ The organization allows personnel to associate, and maintain the association of [Assignment: organization-defined security attributes] with [Assignment: organization-defined subjects and objects] in accordance with [Assignment: organization-defined security policies].
+
+
+ This control enhancement requires individual users (as opposed to the information system) to maintain associations of security attributes with subjects and objects.
+
+
+
+ AC-16 (7)
+ CONSISTENT ATTRIBUTE INTERPRETATION
+
+ The organization provides a consistent interpretation of security attributes transmitted between distributed information system components.
+
+
+ In order to enforce security policies across multiple components in distributed information systems (e.g., distributed database management systems, cloud-based systems, and service-oriented architectures), organizations provide a consistent interpretation of security attributes that are used in access enforcement and flow enforcement decisions. Organizations establish agreements and processes to ensure that all distributed information system components implement security attributes with consistent interpretations in automated access/flow enforcement actions.
+
+
+
+ AC-16 (8)
+ ASSOCIATION TECHNIQUES / TECHNOLOGIES
+
+ The information system implements [Assignment: organization-defined techniques or technologies] with [Assignment: organization-defined level of assurance] in associating security attributes to information.
+
+
+ The association (i.e., binding) of security attributes to information within information systems is of significant importance with regard to conducting automated access enforcement and flow enforcement actions. The association of such security attributes can be accomplished with technologies/techniques providing different levels of assurance. For example, information systems can cryptographically bind security attributes to information using digital signatures with the supporting cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust).
+
+
+
+ AC-16 (9)
+ ATTRIBUTE REASSIGNMENT
+
+ The organization ensures that security attributes associated with information are reassigned only via re-grading mechanisms validated using [Assignment: organization-defined techniques or procedures].
+
+
+ Validated re-grading mechanisms are employed by organizations to provide the requisite levels of assurance for security attribute reassignment activities. The validation is facilitated by ensuring that re-grading mechanisms are single purpose and of limited function. Since security attribute reassignments can affect security policy enforcement actions (e.g., access/flow enforcement decisions), using trustworthy re-grading mechanisms is necessary to ensure that such mechanisms perform in a consistent/correct mode of operation.
+
+
+
+ AC-16 (10)
+ ATTRIBUTE CONFIGURATION BY AUTHORIZED INDIVIDUALS
+
+ The information system provides authorized individuals the capability to define or change the type and value of security attributes available for association with subjects and objects.
+
+
+ The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for information systems to be able to limit the ability to create or modify security attributes to authorized individuals only.
+
+
+
+
+
+ ACCESS CONTROL
+ AC-17
+ REMOTE ACCESS
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ AC-17a.
+ Establishes and documents usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and
+
+
+ AC-17b.
+ Authorizes remote access to the information system prior to allowing such connections.
+
+
+
+ Remote access is access to organizational information systems by users (or processes acting on behalf of users) communicating through external networks (e.g., the Internet). Remote access methods include, for example, dial-up, broadband, and wireless. Organizations often employ encrypted virtual private networks (VPNs) to enhance confidentiality and integrity over remote connections. The use of encrypted VPNs does not make the access non-remote; however, the use of VPNs, when adequately provisioned with appropriate security controls (e.g., employing appropriate encryption techniques for confidentiality and integrity protection) may provide sufficient assurance to the organization that it can effectively treat such connections as internal networks. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. Also, VPNs with encrypted tunnels can affect the organizational capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to information systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the formats for such authorization. While organizations may use interconnection security agreements to authorize remote access connections, such agreements are not required by this control. Enforcing access restrictions for remote connections is addressed in AC-3.
+ AC-2
+ AC-3
+ AC-18
+ AC-19
+ AC-20
+ CA-3
+ CA-7
+ CM-8
+ IA-2
+ IA-3
+ IA-8
+ MA-4
+ PE-17
+ PL-4
+ SC-10
+ SI-4
+
+
+
+ AC-17 (1)
+ AUTOMATED MONITORING / CONTROL
+ MODERATE
+ HIGH
+
+ The information system monitors and controls remote access methods.
+
+
+ Automated monitoring and control of remote access sessions allows organizations to detect cyber attacks and also ensure ongoing compliance with remote access policies by auditing connection activities of remote users on a variety of information system components (e.g., servers, workstations, notebook computers, smart phones, and tablets).
+ AU-2
+ AU-12
+
+
+
+ AC-17 (2)
+ PROTECTION OF CONFIDENTIALITY / INTEGRITY USING ENCRYPTION
+ MODERATE
+ HIGH
+
+ The information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.
+
+
+ The encryption strength of mechanism is selected based on the security categorization of the information.
+ SC-8
+ SC-12
+ SC-13
+
+
+
+ AC-17 (3)
+ MANAGED ACCESS CONTROL POINTS
+ MODERATE
+ HIGH
+
+ The information system routes all remote accesses through [Assignment: organization-defined number] managed network access control points.
+
+
+ Limiting the number of access control points for remote accesses reduces the attack surface for organizations. Organizations consider the Trusted Internet Connections (TIC) initiative requirements for external network connections.
+ SC-7
+
+
+
+ AC-17 (4)
+ PRIVILEGED COMMANDS / ACCESS
+ MODERATE
+ HIGH
+
+ The organization:
+
+ AC-17 (4)(a)
+ Authorizes the execution of privileged commands and access to security-relevant information via remote access only for [Assignment: organization-defined needs]; and
+
+
+ AC-17 (4)(b)
+ Documents the rationale for such access in the security plan for the information system.
+
+
+
+ AC-6
+
+
+
+ AC-17 (5)
+ MONITORING FOR UNAUTHORIZED CONNECTIONS
+
+ SI-4
+
+
+ [Withdrawn: Incorporated into SI-4].
+
+
+
+ AC-17 (6)
+ PROTECTION OF INFORMATION
+
+ The organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.
+
+
+ AT-2
+ AT-3
+ PS-6
+
+
+
+ AC-17 (7)
+ ADDITIONAL PROTECTION FOR SECURITY FUNCTION ACCESS
+
+ AC-3 (10)
+
+
+ [Withdrawn: Incorporated into AC-3 (10)].
+
+
+
+ AC-17 (8)
+ DISABLE NONSECURE NETWORK PROTOCOLS
+
+ CM-7
+
+
+ [Withdrawn: Incorporated into CM-7].
+
+
+
+ AC-17 (9)
+ DISCONNECT / DISABLE ACCESS
+
+ The organization provides the capability to expeditiously disconnect or disable remote access to the information system within [Assignment: organization-defined time period].
+
+
+ This control enhancement requires organizations to have the capability to rapidly disconnect current users remotely accessing the information system and/or disable further remote access. The speed of disconnect or disablement varies based on the criticality of missions/business functions and the need to eliminate immediate or future remote access to organizational information systems.
+
+
+
+
+
+ NIST Special Publication 800-46
+
+
+ NIST Special Publication 800-77
+
+
+ NIST Special Publication 800-113
+
+
+ NIST Special Publication 800-114
+
+
+ NIST Special Publication 800-121
+
+
+
+
+ ACCESS CONTROL
+ AC-18
+ WIRELESS ACCESS
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ AC-18a.
+ Establishes usage restrictions, configuration/connection requirements, and implementation guidance for wireless access; and
+
+
+ AC-18b.
+ Authorizes wireless access to the information system prior to allowing such connections.
+
+
+
+ Wireless technologies include, for example, microwave, packet radio (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., EAP/TLS, PEAP), which provide credential protection and mutual authentication.
+ AC-2
+ AC-3
+ AC-17
+ AC-19
+ CA-3
+ CA-7
+ CM-8
+ IA-2
+ IA-3
+ IA-8
+ PL-4
+ SI-4
+
+
+
+ AC-18 (1)
+ AUTHENTICATION AND ENCRYPTION
+ MODERATE
+ HIGH
+
+ The information system protects wireless access to the system using authentication of [Selection (one or more): users; devices] and encryption.
+
+
+ SC-8
+ SC-13
+
+
+
+ AC-18 (2)
+ MONITORING UNAUTHORIZED CONNECTIONS
+
+ SI-4
+
+
+ [Withdrawn: Incorporated into SI-4].
+
+
+
+ AC-18 (3)
+ DISABLE WIRELESS NETWORKING
+
+ The organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.
+
+
+ AC-19
+
+
+
+ AC-18 (4)
+ RESTRICT CONFIGURATIONS BY USERS
+ HIGH
+
+ The organization identifies and explicitly authorizes users allowed to independently configure wireless networking capabilities.
+
+
+ Organizational authorizations to allow selected users to configure wireless networking capability are enforced in part, by the access enforcement mechanisms employed within organizational information systems.
+ AC-3
+ SC-15
+
+
+
+ AC-18 (5)
+ ANTENNAS / TRANSMISSION POWER LEVELS
+ HIGH
+
+ The organization selects radio antennas and calibrates transmission power levels to reduce the probability that usable signals can be received outside of organization-controlled boundaries.
+
+
+ Actions that may be taken by organizations to limit unauthorized use of wireless communications outside of organization-controlled boundaries include, for example: (i) reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be used by adversaries outside of the physical perimeters of organizations; (ii) employing measures such as TEMPEST to control wireless emanations; and (iii) using directional/beam forming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational information systems as well as other systems that may be operating in the area.
+ PE-19
+
+
+
+
+
+ NIST Special Publication 800-48
+
+
+ NIST Special Publication 800-94
+
+
+ NIST Special Publication 800-97
+
+
+
+
+ ACCESS CONTROL
+ AC-19
+ ACCESS CONTROL FOR MOBILE DEVICES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ AC-19a.
+ Establishes usage restrictions, configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices; and
+
+
+ AC-19b.
+ Authorizes the connection of mobile devices to organizational information systems.
+
+
+
+ A mobile device is a computing device that: (i) has a small form factor such that it can easily be carried by a single individual; (ii) is designed to operate without a physical connection (e.g., wirelessly transmit or receive information); (iii) possesses local, non-removable or removable data storage; and (iv) includes a self-contained power source. Mobile devices may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones, E-readers, and tablets. Mobile devices are typically associated with a single individual and the device is usually in close proximity to the individual; however, the degree of proximity can vary depending upon on the form factor and size of the device. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of desktop systems, depending upon the nature and intended purpose of the device. Due to the large variety of mobile devices with different technical characteristics and capabilities, organizational restrictions may vary for the different classes/types of such devices. Usage restrictions and specific implementation guidance for mobile devices include, for example, configuration management, device identification and authentication, implementation of mandatory protective software (e.g., malicious code detection, firewall), scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the need to provide adequate security for mobile devices goes beyond the requirements in this control. Many safeguards and countermeasures for mobile devices are reflected in other security controls in the catalog allocated in the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some degree of overlap in the requirements articulated by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled.
+ AC-3
+ AC-7
+ AC-18
+ AC-20
+ CA-9
+ CM-2
+ IA-2
+ IA-3
+ MP-2
+ MP-4
+ MP-5
+ PL-4
+ SC-7
+ SC-43
+ SI-3
+ SI-4
+
+
+
+ AC-19 (1)
+ USE OF WRITABLE / PORTABLE STORAGE DEVICES
+
+ MP-7
+
+
+ [Withdrawn: Incorporated into MP-7].
+
+
+
+ AC-19 (2)
+ USE OF PERSONALLY OWNED PORTABLE STORAGE DEVICES
+
+ MP-7
+
+
+ [Withdrawn: Incorporated into MP-7].
+
+
+
+ AC-19 (3)
+ USE OF PORTABLE STORAGE DEVICES WITH NO IDENTIFIABLE OWNER
+
+ MP-7
+
+
+ [Withdrawn: Incorporated into MP-7].
+
+
+
+ AC-19 (4)
+ RESTRICTIONS FOR CLASSIFIED INFORMATION
+
+ The organization:
+
+ AC-19 (4)(a)
+ Prohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official; and
+
+
+ AC-19 (4)(b)
+ Enforces the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information:
+
+ AC-19 (4)(b)(1)
+ Connection of unclassified mobile devices to classified information systems is prohibited;
+
+
+ AC-19 (4)(b)(2)
+ Connection of unclassified mobile devices to unclassified information systems requires approval from the authorizing official;
+
+
+ AC-19 (4)(b)(3)
+ Use of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited; and
+
+
+ AC-19 (4)(b)(4)
+ Unclassified mobile devices and the information stored on those devices are subject to random reviews and inspections by [Assignment: organization-defined security officials], and if classified information is found, the incident handling policy is followed.
+
+
+
+ AC-19 (4)(c)
+ Restricts the connection of classified mobile devices to classified information systems in accordance with [Assignment: organization-defined security policies].
+
+
+
+ CA-6
+ IR-4
+
+
+
+ AC-19 (5)
+ FULL DEVICE / CONTAINER-BASED ENCRYPTION
+ MODERATE
+ HIGH
+
+ The organization employs [Selection: full-device encryption; container encryption] to protect the confidentiality and integrity of information on [Assignment: organization-defined mobile devices].
+
+
+ Container-based encryption provides a more fine-grained approach to the encryption of data/information on mobile devices, including for example, encrypting selected data structures such as files, records, or fields.
+ MP-5
+ SC-13
+ SC-28
+
+
+
+
+
+ OMB Memorandum 06-16
+
+
+ NIST Special Publication 800-114
+
+
+ NIST Special Publication 800-124
+
+
+ NIST Special Publication 800-164
+
+
+
+
+ ACCESS CONTROL
+ AC-20
+ USE OF EXTERNAL INFORMATION SYSTEMS
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:
+
+ AC-20a.
+ Access the information system from external information systems; and
+
+
+ AC-20b.
+ Process, store, or transmit organization-controlled information using external information systems.
+
+
+
+ External information systems are information systems or components of information systems that are outside of the authorization boundary established by organizations and for which organizations typically have no direct supervision and authority over the application of required security controls or the assessment of control effectiveness. External information systems include, for example: (i) personally owned information systems/devices (e.g., notebook computers, smart phones, tablets, personal digital assistants); (ii) privately owned computing and communications devices resident in commercial or public facilities (e.g., hotels, train stations, convention centers, shopping malls, or airports); (iii) information systems owned or controlled by nonfederal governmental organizations; and (iv) federal information systems that are not owned by, operated by, or under the direct supervision and authority of organizations. This control also addresses the use of external information systems for the processing, storage, or transmission of organizational information, including, for example, accessing cloud services (e.g., infrastructure as a service, platform as a service, or software as a service) from organizational information systems.
+For some external information systems (i.e., information systems operated by other federal agencies, including organizations subordinate to those agencies), the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. Information systems within these organizations would not be considered external. These situations occur when, for example, there are pre-existing sharing/trust agreements (either implicit or explicit) established between federal agencies or organizations subordinate to those agencies, or when such trust agreements are specified by applicable laws, Executive Orders, directives, or policies. Authorized individuals include, for example, organizational personnel, contractors, or other individuals with authorized access to organizational information systems and over which organizations have the authority to impose rules of behavior with regard to system access. Restrictions that organizations impose on authorized individuals need not be uniform, as those restrictions may vary depending upon the trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments.
+This control does not apply to the use of external information systems to access public interfaces to organizational information systems (e.g., individuals accessing federal information through www.usa.gov). Organizations establish terms and conditions for the use of external information systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: types of applications that can be accessed on organizational information systems from external information systems; and the highest security category of information that can be processed, stored, or transmitted on external information systems. If terms and conditions with the owners of external information systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.
+ AC-3
+ AC-17
+ AC-19
+ CA-3
+ PL-4
+ SA-9
+
+
+
+ AC-20 (1)
+ LIMITS ON AUTHORIZED USE
+ MODERATE
+ HIGH
+
+ The organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:
+
+ AC-20 (1)(a)
+ Verifies the implementation of required security controls on the external system as specified in the organization�s information security policy and security plan; or
+
+
+ AC-20 (1)(b)
+ Retains approved information system connection or processing agreements with the organizational entity hosting the external information system.
+
+
+
+ This control enhancement recognizes that there are circumstances where individuals using external information systems (e.g., contractors, coalition partners) need to access organizational information systems. In those situations, organizations need confidence that the external information systems contain the necessary security safeguards (i.e., security controls), so as not to compromise, damage, or otherwise harm organizational information systems. Verification that the required security controls have been implemented can be achieved, for example, by third-party, independent assessments, attestations, or other means, depending on the confidence level required by organizations.
+ CA-2
+
+
+
+ AC-20 (2)
+ PORTABLE STORAGE DEVICES
+ MODERATE
+ HIGH
+
+ The organization [Selection: restricts; prohibits] the use of organization-controlled portable storage devices by authorized individuals on external information systems.
+
+
+ Limits on the use of organization-controlled portable storage devices in external information systems include, for example, complete prohibition of the use of such devices or restrictions on how the devices may be used and under what conditions the devices may be used.
+
+
+
+ AC-20 (3)
+ NON-ORGANIZATIONALLY OWNED SYSTEMS / COMPONENTS / DEVICES
+
+ The organization [Selection: restricts; prohibits] the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information.
+
+
+ Non-organizationally owned devices include devices owned by other organizations (e.g., federal/state agencies, contractors) and personally owned devices. There are risks to using non-organizationally owned devices. In some cases, the risk is sufficiently high as to prohibit such use. In other cases, it may be such that the use of non-organizationally owned devices is allowed but restricted in some way. Restrictions include, for example: (i) requiring the implementation of organization-approved security controls prior to authorizing such connections; (ii) limiting access to certain types of information, services, or applications; (iii) using virtualization techniques to limit processing and storage activities to servers or other system components provisioned by the organization; and (iv) agreeing to terms and conditions for usage. For personally owned devices, organizations consult with the Office of the General Counsel regarding legal issues associated with using such devices in operational environments, including, for example, requirements for conducting forensic analyses during investigations after an incident.
+
+
+
+ AC-20 (4)
+ NETWORK ACCESSIBLE STORAGE DEVICES
+
+ The organization prohibits the use of [Assignment: organization-defined network accessible storage devices] in external information systems.
+
+
+ Network accessible storage devices in external information systems include, for example, online storage devices in public, hybrid, or community cloud-based systems.
+
+
+
+
+
+ FIPS Publication 199
+
+
+
+
+ ACCESS CONTROL
+ AC-21
+ INFORMATION SHARING
+ P2
+ MODERATE
+ HIGH
+
+ The organization:
+
+ AC-21a.
+ Facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for [Assignment: organization-defined information sharing circumstances where user discretion is required]; and
+
+
+ AC-21b.
+ Employs [Assignment: organization-defined automated mechanisms or manual processes] to assist users in making information sharing/collaboration decisions.
+
+
+
+ This control applies to information that may be restricted in some manner (e.g., privileged medical information, contract-sensitive information, proprietary information, personally identifiable information, classified information related to special access programs or compartments) based on some formal or administrative determination. Depending on the particular information-sharing circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program/compartment.
+ AC-3
+
+
+
+ AC-21 (1)
+ AUTOMATED DECISION SUPPORT
+
+ The information system enforces information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared.
+
+
+
+ AC-21 (2)
+ INFORMATION SEARCH AND RETRIEVAL
+
+ The information system implements information search and retrieval services that enforce [Assignment: organization-defined information sharing restrictions].
+
+
+
+
+
+ ACCESS CONTROL
+ AC-22
+ PUBLICLY ACCESSIBLE CONTENT
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ AC-22a.
+ Designates individuals authorized to post information onto a publicly accessible information system;
+
+
+ AC-22b.
+ Trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;
+
+
+ AC-22c.
+ Reviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included; and
+
+
+ AC-22d.
+ Reviews the content on the publicly accessible information system for nonpublic information [Assignment: organization-defined frequency] and removes such information, if discovered.
+
+
+
+ In accordance with federal laws, Executive Orders, directives, policies, regulations, standards, and/or guidance, the general public is not authorized access to nonpublic information (e.g., information protected under the Privacy Act and proprietary information). This control addresses information systems that are controlled by the organization and accessible to the general public, typically without identification or authentication. The posting of information on non-organization information systems is covered by organizational policy.
+ AC-3
+ AC-4
+ AT-2
+ AT-3
+ AU-13
+
+
+
+ ACCESS CONTROL
+ AC-23
+ DATA MINING PROTECTION
+ P0
+
+ The organization employs [Assignment: organization-defined data mining prevention and detection techniques] for [Assignment: organization-defined data storage objects] to adequately detect and protect against data mining.
+
+
+ Data storage objects include, for example, databases, database records, and database fields. Data mining prevention and detection techniques include, for example: (i) limiting the types of responses provided to database queries; (ii) limiting the number/frequency of database queries to increase the work factor needed to determine the contents of such databases; and (iii) notifying organizational personnel when atypical database queries or accesses occur. This control focuses on the protection of organizational information from data mining while such information resides in organizational data stores. In contrast, AU-13 focuses on monitoring for organizational information that may have been mined or otherwise obtained from data stores and is now available as open source information residing on external sites, for example, through social networking or social media websites.
+
+
+
+ ACCESS CONTROL
+ AC-24
+ ACCESS CONTROL DECISIONS
+ P0
+
+ The organization establishes procedures to ensure [Assignment: organization-defined access control decisions] are applied to each access request prior to access enforcement.
+
+
+ Access control decisions (also known as authorization decisions) occur when authorization information is applied to specific accesses. In contrast, access enforcement occurs when information systems enforce access control decisions. While it is very common to have access control decisions and access enforcement implemented by the same entity, it is not required and it is not always an optimal implementation choice. For some architectures and distributed information systems, different entities may perform access control decisions and access enforcement.
+
+
+
+ AC-24 (1)
+ TRANSMIT ACCESS AUTHORIZATION INFORMATION
+
+ The information system transmits [Assignment: organization-defined access authorization information] using [Assignment: organization-defined security safeguards] to [Assignment: organization-defined information systems] that enforce access control decisions.
+
+
+ In distributed information systems, authorization processes and access control decisions may occur in separate parts of the systems. In such instances, authorization information is transmitted securely so timely access control decisions can be enforced at the appropriate locations. To support the access control decisions, it may be necessary to transmit as part of the access authorization information, supporting security attributes. This is due to the fact that in distributed information systems, there are various access control decisions that need to be made and different entities (e.g., services) make these decisions in a serial fashion, each requiring some security attributes to make the decisions. Protecting access authorization information (i.e., access control decisions) ensures that such information cannot be altered, spoofed, or otherwise compromised during transmission.
+
+
+
+ AC-24 (2)
+ NO USER OR PROCESS IDENTITY
+
+ The information system enforces access control decisions based on [Assignment: organization-defined security attributes] that do not include the identity of the user or process acting on behalf of the user.
+
+
+ In certain situations, it is important that access control decisions can be made without information regarding the identity of the users issuing the requests. These are generally instances where preserving individual privacy is of paramount importance. In other situations, user identification information is simply not needed for access control decisions and, especially in the case of distributed information systems, transmitting such information with the needed degree of assurance may be very expensive or difficult to accomplish.
+
+
+
+
+
+ ACCESS CONTROL
+ AC-25
+ REFERENCE MONITOR
+ P0
+
+ The information system implements a reference monitor for [Assignment: organization-defined access control policies] that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.
+
+
+ Information is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Reference monitors typically enforce mandatory access control policies�a type of access control that restricts access to objects based on the identity of subjects or groups to which the subjects belong. The access controls are mandatory because subjects with certain privileges (i.e., access permissions) are restricted from passing those privileges on to any other subjects, either directly or indirectly�that is, the information system strictly enforces the access control policy based on the rule set established by the policy. The tamperproof property of the reference monitor prevents adversaries from compromising the functioning of the mechanism. The always invoked property prevents adversaries from bypassing the mechanism and hence violating the security policy. The smallness property helps to ensure the completeness in the analysis and testing of the mechanism to detect weaknesses or deficiencies (i.e., latent flaws) that would prevent the enforcement of the security policy.
+ AC-3
+ AC-16
+ SC-3
+ SC-39
+
+
+
+ AWARENESS AND TRAINING
+ AT-1
+ SECURITY AWARENESS AND TRAINING POLICY AND PROCEDURES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ AT-1a.
+ Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
+
+ AT-1a.1.
+ A security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ AT-1a.2.
+ Procedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls; and
+
+
+
+ AT-1b.
+ Reviews and updates the current:
+
+ AT-1b.1.
+ Security awareness and training policy [Assignment: organization-defined frequency]; and
+
+
+ AT-1b.2.
+ Security awareness and training procedures [Assignment: organization-defined frequency].
+
+
+
+
+ This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AT family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-16
+
+
+ NIST Special Publication 800-50
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ AWARENESS AND TRAINING
+ AT-2
+ SECURITY AWARENESS TRAINING
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization provides basic security awareness training to information system users (including managers, senior executives, and contractors):
+
+ AT-2a.
+ As part of initial training for new users;
+
+
+ AT-2b.
+ When required by information system changes; and
+
+
+ AT-2c.
+ [Assignment: organization-defined frequency] thereafter.
+
+
+
+ Organizations determine the appropriate content of security awareness training and security awareness techniques based on the specific organizational requirements and the information systems to which personnel have authorized access. The content includes a basic understanding of the need for information security and user actions to maintain security and to respond to suspected security incidents. The content also addresses awareness of the need for operations security. Security awareness techniques can include, for example, displaying posters, offering supplies inscribed with security reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security awareness events.
+ AT-3
+ AT-4
+ PL-4
+
+
+
+ AT-2 (1)
+ PRACTICAL EXERCISES
+
+ The organization includes practical exercises in security awareness training that simulate actual cyber attacks.
+
+
+ Practical exercises may include, for example, no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments or invoking, via spear phishing attacks, malicious web links.
+ CA-2
+ CA-7
+ CP-4
+ IR-3
+
+
+
+ AT-2 (2)
+ INSIDER THREAT
+ MODERATE
+ HIGH
+
+ The organization includes security awareness training on recognizing and reporting potential indicators of insider threat.
+
+
+ Potential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction, attempts to gain access to information not required for job performance, unexplained access to financial resources, bullying or sexual harassment of fellow employees, workplace violence, and other serious violations of organizational policies, procedures, directives, rules, or practices. Security awareness training includes how to communicate employee and management concerns regarding potential indicators of insider threat through appropriate organizational channels in accordance with established organizational policies and procedures.
+ PL-4
+ PM-12
+ PS-3
+ PS-6
+
+
+
+
+
+ C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)
+
+
+ Executive Order 13587
+
+
+ NIST Special Publication 800-50
+
+
+
+
+ AWARENESS AND TRAINING
+ AT-3
+ ROLE-BASED SECURITY TRAINING
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization provides role-based security training to personnel with assigned security roles and responsibilities:
+
+ AT-3a.
+ Before authorizing access to the information system or performing assigned duties;
+
+
+ AT-3b.
+ When required by information system changes; and
+
+
+ AT-3c.
+ [Assignment: organization-defined frequency] thereafter.
+
+
+
+ Organizations determine the appropriate content of security training based on the assigned roles and responsibilities of individuals and the specific security requirements of organizations and the information systems to which personnel have authorized access. In addition, organizations provide enterprise architects, information system developers, software developers, acquisition/procurement officials, information system managers, system/network administrators, personnel conducting configuration management and auditing activities, personnel performing independent verification and validation activities, security control assessors, and other personnel having access to system-level software, adequate security-related technical training specifically tailored for their assigned duties. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. Such training can include for example, policies, procedures, tools, and artifacts for the organizational security roles defined. Organizations also provide the training necessary for individuals to carry out their responsibilities related to operations and supply chain security within the context of organizational information security programs. Role-based security training also applies to contractors providing services to federal agencies.
+ AT-2
+ AT-4
+ PL-4
+ PS-7
+ SA-3
+ SA-12
+ SA-16
+
+
+
+ AT-3 (1)
+ ENVIRONMENTAL CONTROLS
+
+ The organization provides [Assignment: organization-defined personnel or roles] with initial and [Assignment: organization-defined frequency] training in the employment and operation of environmental controls.
+
+
+ Environmental controls include, for example, fire suppression and detection devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature/humidity, HVAC, and power within the facility. Organizations identify personnel with specific roles and responsibilities associated with environmental controls requiring specialized training.
+ PE-1
+ PE-13
+ PE-14
+ PE-15
+
+
+
+ AT-3 (2)
+ PHYSICAL SECURITY CONTROLS
+
+ The organization provides [Assignment: organization-defined personnel or roles] with initial and [Assignment: organization-defined frequency] training in the employment and operation of physical security controls.
+
+
+ Physical security controls include, for example, physical access control devices, physical intrusion alarms, monitoring/surveillance equipment, and security guards (deployment and operating procedures). Organizations identify personnel with specific roles and responsibilities associated with physical security controls requiring specialized training.
+ PE-2
+ PE-3
+ PE-4
+ PE-5
+
+
+
+ AT-3 (3)
+ PRACTICAL EXERCISES
+
+ The organization includes practical exercises in security training that reinforce training objectives.
+
+
+ Practical exercises may include, for example, security training for software developers that includes simulated cyber attacks exploiting common software vulnerabilities (e.g., buffer overflows), or spear/whale phishing attacks targeted at senior leaders/executives. These types of practical exercises help developers better understand the effects of such vulnerabilities and appreciate the need for security coding standards and processes.
+
+
+
+ AT-3 (4)
+ SUSPICIOUS COMMUNICATIONS AND ANOMALOUS SYSTEM BEHAVIOR
+
+ The organization provides training to its personnel on [Assignment: organization-defined indicators of malicious code] to recognize suspicious communications and anomalous behavior in organizational information systems.
+
+
+ A well-trained workforce provides another organizational safeguard that can be employed as part of a defense-in-depth strategy to protect organizations against malicious code coming in to organizations via email or the web applications. Personnel are trained to look for indications of potentially suspicious email (e.g., receiving an unexpected email, receiving an email containing strange or poor grammar, or receiving an email from an unfamiliar sender but who appears to be from a known sponsor or contractor). Personnel are also trained on how to respond to such suspicious email or web communications (e.g., not opening attachments, not clicking on embedded web links, and checking the source of email addresses). For this process to work effectively, all organizational personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in organizational information systems can potentially provide early warning for the presence of malicious code. Recognition of such anomalous behavior by organizational personnel can supplement automated malicious code detection and protection tools and systems employed by organizations.
+
+
+
+
+
+ C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)
+
+
+ NIST Special Publication 800-16
+
+
+ NIST Special Publication 800-50
+
+
+
+
+ AWARENESS AND TRAINING
+ AT-4
+ SECURITY TRAINING RECORDS
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ AT-4a.
+ Documents and monitors individual information system security training activities including basic security awareness training and specific information system security training; and
+
+
+ AT-4b.
+ Retains individual training records for [Assignment: organization-defined time period].
+
+
+
+ Documentation for specialized training may be maintained by individual supervisors at the option of the organization.
+ AT-2
+ AT-3
+ PM-14
+
+
+
+ AWARENESS AND TRAINING
+ AT-5
+ CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS
+
+ PM-15
+
+
+ [Withdrawn: Incorporated into PM-15].
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-1
+ AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ AU-1a.
+ Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
+
+ AU-1a.1.
+ An audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ AU-1a.2.
+ Procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls; and
+
+
+
+ AU-1b.
+ Reviews and updates the current:
+
+ AU-1b.1.
+ Audit and accountability policy [Assignment: organization-defined frequency]; and
+
+
+ AU-1b.2.
+ Audit and accountability procedures [Assignment: organization-defined frequency].
+
+
+
+
+ This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AU family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-2
+ AUDIT EVENTS
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ AU-2a.
+ Determines that the information system is capable of auditing the following events: [Assignment: organization-defined auditable events];
+
+
+ AU-2b.
+ Coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;
+
+
+ AU-2c.
+ Provides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents; and
+
+
+ AU-2d.
+ Determines that the following events are to be audited within the information system: [Assignment: organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event].
+
+
+
+ An event is any observable occurrence in an organizational information system. Organizations identify audit events as those events which are significant and relevant to the security of information systems and the environments in which those systems operate in order to meet specific and ongoing audit needs. Audit events can include, for example, password changes, failed logons, or failed accesses related to information systems, administrative privilege usage, PIV credential usage, or third-party credential usage. In determining the set of auditable events, organizations consider the auditing appropriate for each of the security controls to be implemented. To balance auditing requirements with other information system needs, this control also requires identifying that subset of auditable events that are audited at a given point in time. For example, organizations may determine that information systems must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. Auditing requirements, including the need for auditable events, may be referenced in other security controls and control enhancements. Organizations also include auditable events that are required by applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the appropriate level of abstraction is a critical aspect of an audit capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of auditable events, the auditing necessary to cover related events such as the steps in distributed, transaction-based processes (e.g., processes that are distributed across multiple organizations) and actions that occur in service-oriented architectures.
+ AC-6
+ AC-17
+ AU-3
+ AU-12
+ MA-4
+ MP-2
+ MP-4
+ SI-4
+
+
+
+ AU-2 (1)
+ COMPILATION OF AUDIT RECORDS FROM MULTIPLE SOURCES
+
+ AU-12
+
+
+ [Withdrawn: Incorporated into AU-12].
+
+
+
+ AU-2 (2)
+ SELECTION OF AUDIT EVENTS BY COMPONENT
+
+ AU-12
+
+
+ [Withdrawn: Incorporated into AU-12].
+
+
+
+ AU-2 (3)
+ REVIEWS AND UPDATES
+ MODERATE
+ HIGH
+
+ The organization reviews and updates the audited events [Assignment: organization-defined frequency].
+
+
+ Over time, the events that organizations believe should be audited may change. Reviewing and updating the set of audited events periodically is necessary to ensure that the current set is still necessary and sufficient.
+
+
+
+ AU-2 (4)
+ PRIVILEGED FUNCTIONS
+
+ AC-6 (9)
+
+
+ [Withdrawn: Incorporated into AC-6 (9)].
+
+
+
+
+
+ NIST Special Publication 800-92
+
+
+ http://idmanagement.gov
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-3
+ CONTENT OF AUDIT RECORDS
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event.
+
+
+ Audit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Event outcomes can include indicators of event success or failure and event-specific results (e.g., the security state of the information system after the event occurred).
+ AU-2
+ AU-8
+ AU-12
+ SI-11
+
+
+
+ AU-3 (1)
+ ADDITIONAL AUDIT INFORMATION
+ MODERATE
+ HIGH
+
+ The information system generates audit records containing the following additional information: [Assignment: organization-defined additional, more detailed information].
+
+
+ Detailed information that organizations may consider in audit records includes, for example, full text recording of privileged commands or the individual identities of group account users. Organizations consider limiting the additional audit information to only that information explicitly needed for specific audit requirements. This facilitates the use of audit trails and audit logs by not including information that could potentially be misleading or could make it more difficult to locate information of interest.
+
+
+
+ AU-3 (2)
+ CENTRALIZED MANAGEMENT OF PLANNED AUDIT RECORD CONTENT
+ HIGH
+
+ The information system provides centralized management and configuration of the content to be captured in audit records generated by [Assignment: organization-defined information system components].
+
+
+ This control enhancement requires that the content to be captured in audit records be configured from a central location (necessitating automation). Organizations coordinate the selection of required audit content to support the centralized management and configuration capability provided by the information system.
+ AU-6
+ AU-7
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-4
+ AUDIT STORAGE CAPACITY
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization allocates audit record storage capacity in accordance with [Assignment: organization-defined audit record storage requirements].
+
+
+ Organizations consider the types of auditing to be performed and the audit processing requirements when allocating audit storage capacity. Allocating sufficient audit storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of auditing capability.
+ AU-2
+ AU-5
+ AU-6
+ AU-7
+ AU-11
+ SI-4
+
+
+
+ AU-4 (1)
+ TRANSFER TO ALTERNATE STORAGE
+
+ The information system off-loads audit records [Assignment: organization-defined frequency] onto a different system or media than the system being audited.
+
+
+ Off-loading is a process designed to preserve the confidentiality and integrity of audit records by moving the records from the primary information system to a secondary or alternate system. It is a common process in information systems with limited audit storage capacity; the audit storage is used only in a transitory fashion until the system can communicate with the secondary or alternate system designated for storing the audit records, at which point the information is transferred.
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-5
+ RESPONSE TO AUDIT PROCESSING FAILURES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The information system:
+
+ AU-5a.
+ Alerts [Assignment: organization-defined personnel or roles] in the event of an audit processing failure; and
+
+
+ AU-5b.
+ Takes the following additional actions: [Assignment: organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)].
+
+
+
+ Audit processing failures include, for example, software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. Organizations may choose to define additional actions for different audit processing failures (e.g., by type, by location, by severity, or a combination of such factors). This control applies to each audit data storage repository (i.e., distinct information system component where audit records are stored), the total audit storage capacity of organizations (i.e., all audit data storage repositories combined), or both.
+ AU-4
+ SI-12
+
+
+
+ AU-5 (1)
+ AUDIT STORAGE CAPACITY
+ HIGH
+
+ The information system provides a warning to [Assignment: organization-defined personnel, roles, and/or locations] within [Assignment: organization-defined time period] when allocated audit record storage volume reaches [Assignment: organization-defined percentage] of repository maximum audit record storage capacity.
+
+
+ Organizations may have multiple audit data storage repositories distributed across multiple information system components, with each repository having different storage volume capacities.
+
+
+
+ AU-5 (2)
+ REAL-TIME ALERTS
+ HIGH
+
+ The information system provides an alert in [Assignment: organization-defined real-time period] to [Assignment: organization-defined personnel, roles, and/or locations] when the following audit failure events occur: [Assignment: organization-defined audit failure events requiring real-time alerts].
+
+
+ Alerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less).
+
+
+
+ AU-5 (3)
+ CONFIGURABLE TRAFFIC VOLUME THRESHOLDS
+
+ The information system enforces configurable network communications traffic volume thresholds reflecting limits on auditing capacity and [Selection: rejects; delays] network traffic above those thresholds.
+
+
+ Organizations have the capability to reject or delay the processing of network communications traffic if auditing such traffic is determined to exceed the storage capacity of the information system audit function. The rejection or delay response is triggered by the established organizational traffic volume thresholds which can be adjusted based on changes to audit storage capacity.
+
+
+
+ AU-5 (4)
+ SHUTDOWN ON FAILURE
+
+ The information system invokes a [Selection: full system shutdown; partial system shutdown; degraded operational mode with limited mission/business functionality available] in the event of [Assignment: organization-defined audit failures], unless an alternate audit capability exists.
+
+
+ Organizations determine the types of audit failures that can trigger automatic information system shutdowns or degraded operations. Because of the importance of ensuring mission/business continuity, organizations may determine that the nature of the audit failure is not so severe that it warrants a complete shutdown of the information system supporting the core organizational missions/business operations. In those instances, partial information system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives.
+ AU-15
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-6
+ AUDIT REVIEW, ANALYSIS, AND REPORTING
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ AU-6a.
+ Reviews and analyzes information system audit records [Assignment: organization-defined frequency] for indications of [Assignment: organization-defined inappropriate or unusual activity]; and
+
+
+ AU-6b.
+ Reports findings to [Assignment: organization-defined personnel or roles].
+
+
+
+ Audit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority.
+ AC-2
+ AC-3
+ AC-6
+ AC-17
+ AT-3
+ AU-7
+ AU-16
+ CA-7
+ CM-5
+ CM-10
+ CM-11
+ IA-3
+ IA-5
+ IR-5
+ IR-6
+ MA-4
+ MP-4
+ PE-3
+ PE-6
+ PE-14
+ PE-16
+ RA-5
+ SC-7
+ SC-18
+ SC-19
+ SI-3
+ SI-4
+ SI-7
+
+
+
+ AU-6 (1)
+ PROCESS INTEGRATION
+ MODERATE
+ HIGH
+
+ The organization employs automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.
+
+
+ Organizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits.
+ AU-12
+ PM-7
+
+
+
+ AU-6 (2)
+ AUTOMATED SECURITY ALERTS
+
+ SI-4
+
+
+ [Withdrawn: Incorporated into SI-4].
+
+
+
+ AU-6 (3)
+ CORRELATE AUDIT REPOSITORIES
+ MODERATE
+ HIGH
+
+ The organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.
+
+
+ Organization-wide situational awareness includes awareness across all three tiers of risk management (i.e., organizational, mission/business process, and information system) and supports cross-organization awareness.
+ AU-12
+ IR-4
+
+
+
+ AU-6 (4)
+ CENTRAL REVIEW AND ANALYSIS
+
+ The information system provides the capability to centrally review and analyze audit records from multiple components within the system.
+
+
+ Automated mechanisms for centralized reviews and analyses include, for example, Security Information Management products.
+ AU-2
+ AU-12
+
+
+
+ AU-6 (5)
+ INTEGRATION / SCANNING AND MONITORING CAPABILITIES
+ HIGH
+
+ The organization integrates analysis of audit records with analysis of [Selection (one or more): vulnerability scanning information; performance data; information system monitoring information; [Assignment: organization-defined data/information collected from other sources]] to further enhance the ability to identify inappropriate or unusual activity.
+
+
+ This control enhancement does not require vulnerability scanning, the generation of performance data, or information system monitoring. Rather, the enhancement requires that the analysis of information being otherwise produced in these areas is integrated with the analysis of audit information. Security Event and Information Management System tools can facilitate audit record aggregation/consolidation from multiple information system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans and correlating attack detection events with scanning results. Correlation with performance data can help uncover denial of service attacks or cyber attacks resulting in unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations.
+ AU-12
+ IR-4
+ RA-5
+
+
+
+ AU-6 (6)
+ CORRELATION WITH PHYSICAL MONITORING
+ HIGH
+
+ The organization correlates information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.
+
+
+ The correlation of physical audit information and audit logs from information systems may assist organizations in identifying examples of suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual�s identity for logical access to certain information systems with the additional physical security information that the individual was actually present at the facility when the logical access occurred, may prove to be useful in investigations.
+
+
+
+ AU-6 (7)
+ PERMITTED ACTIONS
+
+ The organization specifies the permitted actions for each [Selection (one or more): information system process; role; user] associated with the review, analysis, and reporting of audit information.
+
+
+ Organizations specify permitted actions for information system processes, roles, and/or users associated with the review, analysis, and reporting of audit records through account management techniques. Specifying permitted actions on audit information is a way to enforce the principle of least privilege. Permitted actions are enforced by the information system and include, for example, read, write, execute, append, and delete.
+
+
+
+ AU-6 (8)
+ FULL TEXT ANALYSIS OF PRIVILEGED COMMANDS
+
+ The organization performs a full text analysis of audited privileged commands in a physically distinct component or subsystem of the information system, or other information system that is dedicated to that analysis.
+
+
+ This control enhancement requires a distinct environment for the dedicated analysis of audit information related to privileged users without compromising such information on the information system where the users have elevated privileges including the capability to execute privileged commands. Full text analysis refers to analysis that considers the full text of privileged commands (i.e., commands and all parameters) as opposed to analysis that considers only the name of the command. Full text analysis includes, for example, the use of pattern matching and heuristics.
+ AU-3
+ AU-9
+ AU-11
+ AU-12
+
+
+
+ AU-6 (9)
+ CORRELATION WITH INFORMATION FROM NONTECHNICAL SOURCES
+
+ The organization correlates information from nontechnical sources with audit information to enhance organization-wide situational awareness.
+
+
+ Nontechnical sources include, for example, human resources records documenting organizational policy violations (e.g., sexual harassment incidents, improper use of organizational information assets). Such information can lead organizations to a more directed analytical effort to detect potential malicious insider activity. Due to the sensitive nature of the information available from nontechnical sources, organizations limit access to such information to minimize the potential for the inadvertent release of privacy-related information to individuals that do not have a need to know. Thus, correlation of information from nontechnical sources with audit information generally occurs only when individuals are suspected of being involved in a security incident. Organizations obtain legal advice prior to initiating such actions.
+ AT-2
+
+
+
+ AU-6 (10)
+ AUDIT LEVEL ADJUSTMENT
+
+ The organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information.
+
+
+ The frequency, scope, and/or depth of the audit review, analysis, and reporting may be adjusted to meet organizational needs based on new information received.
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-7
+ AUDIT REDUCTION AND REPORT GENERATION
+ P2
+ MODERATE
+ HIGH
+
+ The information system provides an audit reduction and report generation capability that:
+
+ AU-7a.
+ Supports on-demand audit review, analysis, and reporting requirements and after-the-fact investigations of security incidents; and
+
+
+ AU-7b.
+ Does not alter the original content or time ordering of audit records.
+
+
+
+ Audit reduction is a process that manipulates collected audit information and organizes such information in a summary format that is more meaningful to analysts. Audit reduction and report generation capabilities do not always emanate from the same information system or from the same organizational entities conducting auditing activities. Audit reduction capability can include, for example, modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the information system can generate customizable reports. Time ordering of audit records can be a significant issue if the granularity of the timestamp in the record is insufficient.
+ AU-6
+
+
+
+ AU-7 (1)
+ AUTOMATIC PROCESSING
+ MODERATE
+ HIGH
+
+ The information system provides the capability to process audit records for events of interest based on [Assignment: organization-defined audit fields within audit records].
+
+
+ Events of interest can be identified by the content of specific audit record fields including, for example, identities of individuals, event types, event locations, event times, event dates, system resources involved, IP addresses involved, or information objects accessed. Organizations may define audit event criteria to any degree of granularity required, for example, locations selectable by general networking location (e.g., by network or subnetwork) or selectable by specific information system component.
+ AU-2
+ AU-12
+
+
+
+ AU-7 (2)
+ AUTOMATIC SORT AND SEARCH
+
+ The information system provides the capability to sort and search audit records for events of interest based on the content of [Assignment: organization-defined audit fields within audit records].
+
+
+ Sorting and searching of audit records may be based upon the contents of audit record fields, for example: (i) date/time of events; (ii) user identifiers; (iii) Internet Protocol (IP) addresses involved in the event; (iv) type of event; or (v) event success/failure.
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-8
+ TIME STAMPS
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The information system:
+
+ AU-8a.
+ Uses internal system clocks to generate time stamps for audit records; and
+
+
+ AU-8b.
+ Records time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT) and meets [Assignment: organization-defined granularity of time measurement].
+
+
+
+ Time stamps generated by the information system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between information system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or within tens of milliseconds. Organizations may define different time granularities for different system components. Time service can also be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities.
+ AU-3
+ AU-12
+
+
+
+ AU-8 (1)
+ SYNCHRONIZATION WITH AUTHORITATIVE TIME SOURCE
+ MODERATE
+ HIGH
+
+ The information system:
+
+ AU-8 (1)(a)
+ Compares the internal information system clocks [Assignment: organization-defined frequency] with [Assignment: organization-defined authoritative time source]; and
+
+
+ AU-8 (1)(b)
+ Synchronizes the internal system clocks to the authoritative time source when the time difference is greater than [Assignment: organization-defined time period].
+
+
+
+ This control enhancement provides uniformity of time stamps for information systems with multiple system clocks and systems connected over a network.
+
+
+
+ AU-8 (2)
+ SECONDARY AUTHORITATIVE TIME SOURCE
+
+ The information system identifies a secondary authoritative time source that is located in a different geographic region than the primary authoritative time source.
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-9
+ PROTECTION OF AUDIT INFORMATION
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The information system protects audit information and audit tools from unauthorized access, modification, and deletion.
+
+
+ Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. This control focuses on technical protection of audit information. Physical protection of audit information is addressed by media protection controls and physical and environmental protection controls.
+ AC-3
+ AC-6
+ MP-2
+ MP-4
+ PE-2
+ PE-3
+ PE-6
+
+
+
+ AU-9 (1)
+ HARDWARE WRITE-ONCE MEDIA
+
+ The information system writes audit trails to hardware-enforced, write-once media.
+
+
+ This control enhancement applies to the initial generation of audit trails (i.e., the collection of audit records that represents the audit information to be used for detection, analysis, and reporting purposes) and to the backup of those audit trails. The enhancement does not apply to the initial generation of audit records prior to being written to an audit trail. Write-once, read-many (WORM) media includes, for example, Compact Disk-Recordable (CD-R) and Digital Video Disk-Recordable (DVD-R). In contrast, the use of switchable write-protection media such as on tape cartridges or Universal Serial Bus (USB) drives results in write-protected, but not write-once, media.
+ AU-4
+ AU-5
+
+
+
+ AU-9 (2)
+ AUDIT BACKUP ON SEPARATE PHYSICAL SYSTEMS / COMPONENTS
+ HIGH
+
+ The information system backs up audit records [Assignment: organization-defined frequency] onto a physically different system or system component than the system or component being audited.
+
+
+ This control enhancement helps to ensure that a compromise of the information system being audited does not also result in a compromise of the audit records.
+ AU-4
+ AU-5
+ AU-11
+
+
+
+ AU-9 (3)
+ CRYPTOGRAPHIC PROTECTION
+ HIGH
+
+ The information system implements cryptographic mechanisms to protect the integrity of audit information and audit tools.
+
+
+ Cryptographic mechanisms used for protecting the integrity of audit information include, for example, signed hash functions using asymmetric cryptography enabling distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash.
+ AU-10
+ SC-12
+ SC-13
+
+
+
+ AU-9 (4)
+ ACCESS BY SUBSET OF PRIVILEGED USERS
+ MODERATE
+ HIGH
+
+ The organization authorizes access to management of audit functionality to only [Assignment: organization-defined subset of privileged users].
+
+
+ Individuals with privileged access to an information system and who are also the subject of an audit by that system, may affect the reliability of audit information by inhibiting audit activities or modifying audit records. This control enhancement requires that privileged access be further defined between audit-related privileges and other privileges, thus limiting the users with audit-related privileges.
+ AC-5
+
+
+
+ AU-9 (5)
+ DUAL AUTHORIZATION
+
+ The organization enforces dual authorization for [Selection (one or more): movement; deletion] of [Assignment: organization-defined audit information].
+
+
+ Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Dual authorization may also be known as two-person control.
+ AC-3
+ MP-2
+
+
+
+ AU-9 (6)
+ READ ONLY ACCESS
+
+ The organization authorizes read-only access to audit information to [Assignment: organization-defined subset of privileged users].
+
+
+ Restricting privileged user authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users (e.g., deleting audit records to cover up malicious activity).
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-10
+ NON-REPUDIATION
+ P2
+ HIGH
+
+ The information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed [Assignment: organization-defined actions to be covered by non-repudiation].
+
+
+ Types of individual actions covered by non-repudiation include, for example, creating information, sending and receiving messages, approving information (e.g., indicating concurrence or signing a contract). Non-repudiation protects individuals against later claims by: (i) authors of not having authored particular documents; (ii) senders of not having transmitted messages; (iii) receivers of not having received messages; or (iv) signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from a particular individual, or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request) or received specific information. Organizations obtain non-repudiation services by employing various techniques or mechanisms (e.g., digital signatures, digital message receipts).
+ SC-12
+ SC-8
+ SC-13
+ SC-16
+ SC-17
+ SC-23
+
+
+
+ AU-10 (1)
+ ASSOCIATION OF IDENTITIES
+
+ The information system:
+
+ AU-10 (1)(a)
+ Binds the identity of the information producer with the information to [Assignment: organization-defined strength of binding]; and
+
+
+ AU-10 (1)(b)
+ Provides the means for authorized individuals to determine the identity of the producer of the information.
+
+
+
+ This control enhancement supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of the binding between the information producer and the information based on the security category of the information and relevant risk factors.
+ AC-4
+ AC-16
+
+
+
+ AU-10 (2)
+ VALIDATE BINDING OF INFORMATION PRODUCER IDENTITY
+
+ The information system:
+
+ AU-10 (2)(a)
+ Validates the binding of the information producer identity to the information at [Assignment: organization-defined frequency]; and
+
+
+ AU-10 (2)(b)
+ Performs [Assignment: organization-defined actions] in the event of a validation error.
+
+
+
+ This control enhancement prevents the modification of information between production and review. The validation of bindings can be achieved, for example, by the use of cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically.
+ AC-3
+ AC-4
+ AC-16
+
+
+
+ AU-10 (3)
+ CHAIN OF CUSTODY
+
+ The information system maintains reviewer/releaser identity and credentials within the established chain of custody for all information reviewed or released.
+
+
+ Chain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each person who handled the evidence, the date and time it was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release/transfer function, the information system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, this control enhancement provides organizational officials the means to identify who reviewed and released the information. In the case of automated reviews, this control enhancement ensures that only approved review functions are employed.
+ AC-4
+ AC-16
+
+
+
+ AU-10 (4)
+ VALIDATE BINDING OF INFORMATION REVIEWER IDENTITY
+
+ The information system:
+
+ AU-10 (4)(a)
+ Validates the binding of the information reviewer identity to the information at the transfer or release points prior to release/transfer between [Assignment: organization-defined security domains]; and
+
+
+ AU-10 (4)(b)
+ Performs [Assignment: organization-defined actions] in the event of a validation error.
+
+
+
+ This control enhancement prevents the modification of information between review and transfer/release. The validation of bindings can be achieved, for example, by the use of cryptographic checksums. Organizations determine validations are in response to user requests or generated automatically.
+ AC-4
+ AC-16
+
+
+
+ AU-10 (5)
+ DIGITAL SIGNATURES
+
+ SI-7
+
+
+ [Withdrawn: Incorporated into SI-7].
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-11
+ AUDIT RECORD RETENTION
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+ The organization retains audit records for [Assignment: organization-defined time period consistent with records retention policy] to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements.
+
+
+ Organizations retain audit records until it is determined that they are no longer needed for administrative, legal, audit, or other operational purposes. This includes, for example, retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on record retention.
+ AU-4
+ AU-5
+ AU-9
+ MP-6
+
+
+
+ AU-11 (1)
+ LONG-TERM RETRIEVAL CAPABILITY
+
+ The organization employs [Assignment: organization-defined measures] to ensure that long-term audit records generated by the information system can be retrieved.
+
+
+ Measures employed by organizations to help facilitate the retrieval of audit records include, for example, converting records to newer formats, retaining equipment capable of reading the records, and retaining necessary documentation to help organizational personnel understand how to interpret the records.
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-12
+ AUDIT GENERATION
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The information system:
+
+ AU-12a.
+ Provides audit record generation capability for the auditable events defined in AU-2 a. at [Assignment: organization-defined information system components];
+
+
+ AU-12b.
+ Allows [Assignment: organization-defined personnel or roles] to select which auditable events are to be audited by specific components of the information system; and
+
+
+ AU-12c.
+ Generates audit records for the events defined in AU-2 d. with the content defined in AU-3.
+
+
+
+ Audit records can be generated from many different information system components. The list of audited events is the set of events for which audits are to be generated. These events are typically a subset of all events for which the information system is capable of generating audit records.
+ AC-3
+ AU-2
+ AU-3
+ AU-6
+ AU-7
+
+
+
+ AU-12 (1)
+ SYSTEM-WIDE / TIME-CORRELATED AUDIT TRAIL
+ HIGH
+
+ The information system compiles audit records from [Assignment: organization-defined information system components] into a system-wide (logical or physical) audit trail that is time-correlated to within [Assignment: organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail].
+
+
+ Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances.
+ AU-8
+ AU-12
+
+
+
+ AU-12 (2)
+ STANDARDIZED FORMATS
+
+ The information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.
+
+
+ Audit information that is normalized to common standards promotes interoperability and exchange of such information between dissimilar devices and information systems. This facilitates production of event information that can be more readily analyzed and correlated. Standard formats for audit records include, for example, system log records and audit records compliant with Common Event Expressions (CEE). If logging mechanisms within information systems do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails.
+
+
+
+ AU-12 (3)
+ CHANGES BY AUTHORIZED INDIVIDUALS
+ HIGH
+
+ The information system provides the capability for [Assignment: organization-defined individuals or roles] to change the auditing to be performed on [Assignment: organization-defined information system components] based on [Assignment: organization-defined selectable event criteria] within [Assignment: organization-defined time thresholds].
+
+
+ This control enhancement enables organizations to extend or limit auditing as necessary to meet organizational requirements. Auditing that is limited to conserve information system resources may be extended to address certain threat situations. In addition, auditing may be limited to a specific set of events to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which audit actions are changed, for example, near real-time, within minutes, or within hours.
+ AU-7
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-13
+ MONITORING FOR INFORMATION DISCLOSURE
+ P0
+
+ The organization monitors [Assignment: organization-defined open source information and/or information sites] [Assignment: organization-defined frequency] for evidence of unauthorized disclosure of organizational information.
+
+
+ Open source information includes, for example, social networking sites.
+ PE-3
+ SC-7
+
+
+
+ AU-13 (1)
+ USE OF AUTOMATED TOOLS
+
+ The organization employs automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner.
+
+
+ Automated mechanisms can include, for example, automated scripts to monitor new posts on selected websites, and commercial services providing notifications and alerts to organizations.
+
+
+
+ AU-13 (2)
+ REVIEW OF MONITORED SITES
+
+ The organization reviews the open source information sites being monitored [Assignment: organization-defined frequency].
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-14
+ SESSION AUDIT
+ P0
+
+ The information system provides the capability for authorized users to select a user session to capture/record or view/hear.
+
+
+ Session audits include, for example, monitoring keystrokes, tracking websites visited, and recording information and/or file transfers. Session auditing activities are developed, integrated, and used in consultation with legal counsel in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, or standards.
+ AC-3
+ AU-4
+ AU-5
+ AU-9
+ AU-11
+
+
+
+ AU-14 (1)
+ SYSTEM START-UP
+
+ The information system initiates session audits at system start-up.
+
+
+
+ AU-14 (2)
+ CAPTURE/RECORD AND LOG CONTENT
+
+ The information system provides the capability for authorized users to capture/record and log content related to a user session.
+
+
+
+ AU-14 (3)
+ REMOTE VIEWING / LISTENING
+
+ The information system provides the capability for authorized users to remotely view/hear all content related to an established user session in real time.
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-15
+ ALTERNATE AUDIT CAPABILITY
+ P0
+
+ The organization provides an alternate audit capability in the event of a failure in primary audit capability that provides [Assignment: organization-defined alternate audit functionality].
+
+
+ Since an alternate audit capability may be a short-term protection employed until the failure in the primary auditing capability is corrected, organizations may determine that the alternate audit capability need only provide a subset of the primary audit functionality that is impacted by the failure.
+ AU-5
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-16
+ CROSS-ORGANIZATIONAL AUDITING
+ P0
+
+ The organization employs [Assignment: organization-defined methods] for coordinating [Assignment: organization-defined audit information] among external organizations when audit information is transmitted across organizational boundaries.
+
+
+ When organizations use information systems and/or services of external organizations, the auditing capability necessitates a coordinated approach across organizations. For example, maintaining the identity of individuals that requested particular services across organizational boundaries may often be very difficult, and doing so may prove to have significant performance ramifications. Therefore, it is often the case that cross-organizational auditing (e.g., the type of auditing capability provided by service-oriented architectures) simply captures the identity of individuals issuing requests at the initial information system, and subsequent systems record that the requests emanated from authorized individuals.
+ AU-6
+
+
+
+ AU-16 (1)
+ IDENTITY PRESERVATION
+
+ The organization requires that the identity of individuals be preserved in cross-organizational audit trails.
+
+
+ This control enhancement applies when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual.
+
+
+
+ AU-16 (2)
+ SHARING OF AUDIT INFORMATION
+
+ The organization provides cross-organizational audit information to [Assignment: organization-defined organizations] based on [Assignment: organization-defined cross-organizational sharing agreements].
+
+
+ Because of the distributed nature of the audit information, cross-organization sharing of audit information may be essential for effective analysis of the auditing being performed. For example, the audit records of one organization may not provide sufficient information to determine the appropriate or inappropriate use of organizational information resources by individuals in other organizations. In some instances, only the home organizations of individuals have the appropriate knowledge to make such determinations, thus requiring the sharing of audit information among organizations.
+
+
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+ CA-1
+ SECURITY ASSESSMENT AND AUTHORIZATION POLICY AND PROCEDURES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CA-1a.
+ Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
+
+ CA-1a.1.
+ A security assessment and authorization policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ CA-1a.2.
+ Procedures to facilitate the implementation of the security assessment and authorization policy and associated security assessment and authorization controls; and
+
+
+
+ CA-1b.
+ Reviews and updates the current:
+
+ CA-1b.1.
+ Security assessment and authorization policy [Assignment: organization-defined frequency]; and
+
+
+ CA-1b.2.
+ Security assessment and authorization procedures [Assignment: organization-defined frequency].
+
+
+
+
+ This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-53A
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+ CA-2
+ SECURITY ASSESSMENTS
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CA-2a.
+ Develops a security assessment plan that describes the scope of the assessment including:
+
+ CA-2a.1.
+ Security controls and control enhancements under assessment;
+
+
+ CA-2a.2.
+ Assessment procedures to be used to determine security control effectiveness; and
+
+
+ CA-2a.3.
+ Assessment environment, assessment team, and assessment roles and responsibilities;
+
+
+
+ CA-2b.
+ Assesses the security controls in the information system and its environment of operation [Assignment: organization-defined frequency] to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;
+
+
+ CA-2c.
+ Produces a security assessment report that documents the results of the assessment; and
+
+
+ CA-2d.
+ Provides the results of the security control assessment to [Assignment: organization-defined individuals or roles].
+
+
+
+ Organizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F (main catalog) and Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives.
+To satisfy annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control.
+ CA-5
+ CA-6
+ CA-7
+ PM-9
+ RA-5
+ SA-11
+ SA-12
+ SI-4
+
+
+
+ CA-2 (1)
+ INDEPENDENT ASSESSORS
+ MODERATE
+ HIGH
+
+ The organization employs assessors or assessment teams with [Assignment: organization-defined level of independence] to conduct security control assessments.
+
+
+ Independent assessors or assessment teams are individuals or groups who conduct impartial assessments of organizational information systems. Impartiality implies that assessors are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the organizational information systems under assessment or to the determination of security control effectiveness. To achieve impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of information systems and/or the ultimate risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. This includes determining whether contracted security assessment services have sufficient independence, for example, when information system owners are not directly involved in contracting processes or cannot unduly influence the impartiality of assessors conducting assessments. In special situations, for example, when organizations that own the information systems are small or organizational structures require that assessments are conducted by individuals that are in the developmental, operational, or management chain of system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Organizations recognize that assessments performed for purposes other than direct support to authorization decisions are, when performed by assessors with sufficient independence, more likely to be useable for such decisions, thereby reducing the need to repeat assessments.
+
+
+
+ CA-2 (2)
+ SPECIALIZED ASSESSMENTS
+ HIGH
+
+ The organization includes as part of security control assessments, [Assignment: organization-defined frequency], [Selection: announced; unannounced], [Selection (one or more): in-depth monitoring; vulnerability scanning; malicious user testing; insider threat assessment; performance/load testing; [Assignment: organization-defined other forms of security assessment]].
+
+
+ Organizations can employ information system monitoring, insider threat assessments, malicious user testing, and other forms of testing (e.g., verification and validation) to improve readiness by exercising organizational capabilities and indicating current performance levels as a means of focusing actions to improve security. Organizations conduct assessment activities in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can incorporate vulnerabilities uncovered during assessments into vulnerability remediation processes.
+ PE-3
+ SI-2
+
+
+
+ CA-2 (3)
+ EXTERNAL ORGANIZATIONS
+
+ The organization accepts the results of an assessment of [Assignment: organization-defined information system] performed by [Assignment: organization-defined external organization] when the assessment meets [Assignment: organization-defined requirements].
+
+
+ Organizations may often rely on assessments of specific information systems by other (external) organizations. Utilizing such existing assessments (i.e., reusing existing assessment evidence) can significantly decrease the time and resources required for organizational assessments by limiting the amount of independent assessment activities that organizations need to perform. The factors that organizations may consider in determining whether to accept assessment results from external organizations can vary. Determinations for accepting assessment results can be based on, for example, past assessment experiences one organization has had with another organization, the reputation that organizations have with regard to assessments, the level of detail of supporting assessment documentation provided, or mandates imposed upon organizations by federal legislation, policies, or directives.
+
+
+
+
+
+ Executive Order 13587
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-39
+
+
+ NIST Special Publication 800-53A
+
+
+ NIST Special Publication 800-115
+
+
+ NIST Special Publication 800-137
+
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+ CA-3
+ SYSTEM INTERCONNECTIONS
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CA-3a.
+ Authorizes connections from the information system to other information systems through the use of Interconnection Security Agreements;
+
+
+ CA-3b.
+ Documents, for each interconnection, the interface characteristics, security requirements, and the nature of the information communicated; and
+
+
+ CA-3c.
+ Reviews and updates Interconnection Security Agreements [Assignment: organization-defined frequency].
+
+
+
+ This control applies to dedicated connections between information systems (i.e., system interconnections) and does not apply to transitory, user-controlled connections such as email and website browsing. Organizations carefully consider the risks that may be introduced when information systems are connected to other systems with different security requirements and security controls, both within organizations and external to organizations. Authorizing officials determine the risk associated with information system connections and the appropriate controls employed. If interconnecting systems have the same authorizing official, organizations do not need to develop Interconnection Security Agreements. Instead, organizations can describe the interface characteristics between those interconnecting systems in their respective security plans. If interconnecting systems have different authorizing officials within the same organization, organizations can either develop Interconnection Security Agreements or describe the interface characteristics between systems in the security plans for the respective systems. Organizations may also incorporate Interconnection Security Agreement information into formal contracts, especially for interconnections established between federal agencies and nonfederal (i.e., private sector) organizations. Risk considerations also include information systems sharing the same networks. For certain technologies (e.g., space, unmanned aerial vehicles, and medical devices), there may be specialized connections in place during preoperational testing. Such connections may require Interconnection Security Agreements and be subject to additional security controls.
+ AC-3
+ AC-4
+ AC-20
+ AU-2
+ AU-12
+ AU-16
+ CA-7
+ IA-3
+ SA-9
+ SC-7
+ SI-4
+
+
+
+ CA-3 (1)
+ UNCLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS
+
+ The organization prohibits the direct connection of an [Assignment: organization-defined unclassified, national security system] to an external network without the use of [Assignment: organization-defined boundary protection device].
+
+
+ Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).
+
+
+
+ CA-3 (2)
+ CLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS
+
+ The organization prohibits the direct connection of a classified, national security system to an external network without the use of [Assignment: organization-defined boundary protection device].
+
+
+ Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between classified national security systems and external networks. In addition, approved boundary protection devices (typically managed interface/cross-domain systems) provide information flow enforcement from information systems to external networks.
+
+
+
+ CA-3 (3)
+ UNCLASSIFIED NON-NATIONAL SECURITY SYSTEM CONNECTIONS
+
+ The organization prohibits the direct connection of an [Assignment: organization-defined unclassified, non-national security system] to an external network without the use of [Assignment; organization-defined boundary protection device].
+
+
+ Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified non-national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).
+
+
+
+ CA-3 (4)
+ CONNECTIONS TO PUBLIC NETWORKS
+
+ The organization prohibits the direct connection of an [Assignment: organization-defined information system] to a public network.
+
+
+ A public network is any network accessible to the general public including, for example, the Internet and organizational extranets with public access.
+
+
+
+ CA-3 (5)
+ RESTRICTIONS ON EXTERNAL SYSTEM CONNECTIONS
+ MODERATE
+ HIGH
+
+ The organization employs [Selection: allow-all, deny-by-exception; deny-all, permit-by-exception] policy for allowing [Assignment: organization-defined information systems] to connect to external information systems.
+
+
+ Organizations can constrain information system connectivity to external domains (e.g., websites) by employing one of two policies with regard to such connectivity: (i) allow-all, deny by exception, also known as blacklisting (the weaker of the two policies); or (ii) deny-all, allow by exception, also known as whitelisting (the stronger of the two policies). For either policy, organizations determine what exceptions, if any, are acceptable.
+ CM-7
+
+
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-47
+
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+ CA-4
+ SECURITY CERTIFICATION
+
+ CA-2
+
+
+ [Withdrawn: Incorporated into CA-2].
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+ CA-5
+ PLAN OF ACTION AND MILESTONES
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CA-5a.
+ Develops a plan of action and milestones for the information system to document the organization�s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system; and
+
+
+ CA-5b.
+ Updates existing plan of action and milestones [Assignment: organization-defined frequency] based on the findings from security controls assessments, security impact analyses, and continuous monitoring activities.
+
+
+
+ Plans of action and milestones are key documents in security authorization packages and are subject to federal reporting requirements established by OMB.
+ CA-2
+ CA-7
+ CM-4
+ PM-4
+
+
+
+ CA-5 (1)
+ AUTOMATION SUPPORT FOR ACCURACY / CURRENCY
+
+ The organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is accurate, up to date, and readily available.
+
+
+
+
+
+ OMB Memorandum 02-01
+
+
+ NIST Special Publication 800-37
+
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+ CA-6
+ SECURITY AUTHORIZATION
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CA-6a.
+ Assigns a senior-level executive or manager as the authorizing official for the information system;
+
+
+ CA-6b.
+ Ensures that the authorizing official authorizes the information system for processing before commencing operations; and
+
+
+ CA-6c.
+ Updates the security authorization [Assignment: organization-defined frequency].
+
+
+
+ Security authorizations are official management decisions, conveyed through authorization decision documents, by senior organizational officials or executives (i.e., authorizing officials) to authorize operation of information systems and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon security controls. Authorizing officials provide budgetary oversight for organizational information systems or assume responsibility for the mission/business operations supported by those systems. The security authorization process is an inherently federal responsibility and therefore, authorizing officials must be federal employees. Through the security authorization process, authorizing officials assume responsibility and are accountable for security risks associated with the operation and use of organizational information systems. Accordingly, authorizing officials are in positions with levels of authority commensurate with understanding and accepting such information security-related risks. OMB policy requires that organizations conduct ongoing authorizations of information systems by implementing continuous monitoring programs. Continuous monitoring programs can satisfy three-year reauthorization requirements, so separate reauthorization processes are not necessary. Through the employment of comprehensive continuous monitoring processes, critical information contained in authorization packages (i.e., security plans, security assessment reports, and plans of action and milestones) is updated on an ongoing basis, providing authorizing officials and information system owners with an up-to-date status of the security state of organizational information systems and environments of operation. To reduce the administrative cost of security reauthorization, authorizing officials use the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.
+ CA-2
+ CA-7
+ PM-9
+ PM-10
+
+
+
+ OMB Circular A-130
+
+
+ OMB Memorandum 11-33
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-137
+
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+ CA-7
+ CONTINUOUS MONITORING
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes:
+
+ CA-7a.
+ Establishment of [Assignment: organization-defined metrics] to be monitored;
+
+
+ CA-7b.
+ Establishment of [Assignment: organization-defined frequencies] for monitoring and [Assignment: organization-defined frequencies] for assessments supporting such monitoring;
+
+
+ CA-7c.
+ Ongoing security control assessments in accordance with the organizational continuous monitoring strategy;
+
+
+ CA-7d.
+ Ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;
+
+
+ CA-7e.
+ Correlation and analysis of security-related information generated by assessments and monitoring;
+
+
+ CA-7f.
+ Response actions to address results of the analysis of security-related information; and
+
+
+ CA-7g.
+ Reporting the security status of organization and the information system to [Assignment: organization-defined personnel or roles] [Assignment: organization-defined frequency].
+
+
+
+ Continuous monitoring programs facilitate ongoing awareness of threats, vulnerabilities, and information security to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess/analyze security controls and information security-related risks at a frequency sufficient to support organizational risk-based decisions. The results of continuous monitoring programs generate appropriate risk response actions by organizations. Continuous monitoring programs also allow organizations to maintain the security authorizations of information systems and common controls over time in highly dynamic environments of operation with changing mission/business needs, threats, vulnerabilities, and technologies. Having access to security-related information on a continuing basis through reports/dashboards gives organizational officials the capability to make more effective and timely risk management decisions, including ongoing security authorization decisions. Automation supports more frequent updates to security authorization packages, hardware/software/firmware inventories, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of information systems.
+ CA-2
+ CA-5
+ CA-6
+ CM-3
+ CM-4
+ PM-6
+ PM-9
+ RA-5
+ SA-11
+ SA-12
+ SI-2
+ SI-4
+
+
+
+ CA-7 (1)
+ INDEPENDENT ASSESSMENT
+ MODERATE
+ HIGH
+
+ The organization employs assessors or assessment teams with [Assignment: organization-defined level of independence] to monitor the security controls in the information system on an ongoing basis.
+
+
+ Organizations can maximize the value of assessments of security controls during the continuous monitoring process by requiring that such assessments be conducted by assessors or assessment teams with appropriate levels of independence based on continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in advocacy positions for the organizations acquiring their services.
+
+
+
+ CA-7 (2)
+ TYPES OF ASSESSMENTS
+
+ CA-2
+
+
+ [Withdrawn: Incorporated into CA-2].
+
+
+
+ CA-7 (3)
+ TREND ANALYSES
+
+ The organization employs trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/or the types of activities used in the continuous monitoring process need to be modified based on empirical data.
+
+
+ Trend analyses can include, for example, examining recent threat information regarding the types of threat events that have occurred within the organization or across the federal government, success rates of certain types of cyber attacks, emerging vulnerabilities in information technologies, evolving social engineering techniques, results from multiple security control assessments, the effectiveness of configuration settings, and findings from Inspectors General or auditors.
+
+
+
+
+
+ OMB Memorandum 11-33
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-39
+
+
+ NIST Special Publication 800-53A
+
+
+ NIST Special Publication 800-115
+
+
+ NIST Special Publication 800-137
+
+
+ US-CERT Technical Cyber Security Alerts
+
+
+ DoD Information Assurance Vulnerability Alerts
+
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+ CA-8
+ PENETRATION TESTING
+ P2
+ HIGH
+
+ The organization conducts penetration testing [Assignment: organization-defined frequency] on [Assignment: organization-defined information systems or system components].
+
+
+ Penetration testing is a specialized type of assessment conducted on information systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Such testing can be used to either validate vulnerabilities or determine the degree of resistance organizational information systems have to adversaries within a set of specified constraints (e.g., time, resources, and/or skills). Penetration testing attempts to duplicate the actions of adversaries in carrying out hostile cyber attacks against organizations and provides a more in-depth analysis of security-related weaknesses/deficiencies. Organizations can also use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted on the hardware, software, or firmware components of an information system and can exercise both physical and technical security controls. A standard method for penetration testing includes, for example: (i) pretest analysis based on full knowledge of the target system; (ii) pretest identification of potential vulnerabilities based on pretest analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. All parties agree to the rules of engagement before the commencement of penetration testing scenarios. Organizations correlate the penetration testing rules of engagement with the tools, techniques, and procedures that are anticipated to be employed by adversaries carrying out attacks. Organizational risk assessments guide decisions on the level of independence required for personnel conducting penetration testing.
+ SA-12
+
+
+
+ CA-8 (1)
+ INDEPENDENT PENETRATION AGENT OR TEAM
+
+ The organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components.
+
+
+ Independent penetration agents or teams are individuals or groups who conduct impartial penetration testing of organizational information systems. Impartiality implies that penetration agents or teams are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the information systems that are the targets of the penetration testing. Supplemental guidance for CA-2 (1) provides additional information regarding independent assessments that can be applied to penetration testing.
+ CA-2
+
+
+
+ CA-8 (2)
+ RED TEAM EXERCISES
+
+ The organization employs [Assignment: organization-defined red team exercises] to simulate attempts by adversaries to compromise organizational information systems in accordance with [Assignment: organization-defined rules of engagement].
+
+
+ Red team exercises extend the objectives of penetration testing by examining the security posture of organizations and their ability to implement effective cyber defenses. As such, red team exercises reflect simulated adversarial attempts to compromise organizational mission/business functions and provide a comprehensive assessment of the security state of information systems and organizations. Simulated adversarial attempts to compromise organizational missions/business functions and the information systems that support those missions/functions may include technology-focused attacks (e.g., interactions with hardware, software, or firmware components and/or mission/business processes) and social engineering-based attacks (e.g., interactions via email, telephone, shoulder surfing, or personal conversations). While penetration testing may be largely laboratory-based testing, organizations use red team exercises to provide more comprehensive assessments that reflect real-world conditions. Red team exercises can be used to improve security awareness and training and to assess levels of security control effectiveness.
+
+
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+ CA-9
+ INTERNAL SYSTEM CONNECTIONS
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CA-9a.
+ Authorizes internal connections of [Assignment: organization-defined information system components or classes of components] to the information system; and
+
+
+ CA-9b.
+ Documents, for each internal connection, the interface characteristics, security requirements, and the nature of the information communicated.
+
+
+
+ This control applies to connections between organizational information systems and (separate) constituent system components (i.e., intra-system connections) including, for example, system connections with mobile devices, notebook/desktop computers, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal connection, organizations can authorize internal connections for a class of components with common characteristics and/or configurations, for example, all digital printers, scanners, and copiers with a specified processing, storage, and transmission capability or all smart phones with a specific baseline configuration.
+ AC-3
+ AC-4
+ AC-18
+ AC-19
+ AU-2
+ AU-12
+ CA-7
+ CM-2
+ IA-3
+ SC-7
+ SI-4
+
+
+
+ CA-9 (1)
+ SECURITY COMPLIANCE CHECKS
+
+ The information system performs security compliance checks on constituent system components prior to the establishment of the internal connection.
+
+
+ Security compliance checks may include, for example, verification of the relevant baseline configuration.
+ CM-6
+
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-1
+ CONFIGURATION MANAGEMENT POLICY AND PROCEDURES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CM-1a.
+ Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
+
+ CM-1a.1.
+ A configuration management policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ CM-1a.2.
+ Procedures to facilitate the implementation of the configuration management policy and associated configuration management controls; and
+
+
+
+ CM-1b.
+ Reviews and updates the current:
+
+ CM-1b.1.
+ Configuration management policy [Assignment: organization-defined frequency]; and
+
+
+ CM-1b.2.
+ Configuration management procedures [Assignment: organization-defined frequency].
+
+
+
+
+ This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CM family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-2
+ BASELINE CONFIGURATION
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system.
+
+
+ This control establishes baseline configurations for information systems and system components including communications and connectivity-related aspects of systems. Baseline configurations are documented, formally reviewed and agreed-upon sets of specifications for information systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, and/or changes to information systems. Baseline configurations include information about information system components (e.g., standard software packages installed on workstations, notebook computers, servers, network components, or mobile devices; current version numbers and patch information on operating systems and applications; and configuration settings/parameters), network topology, and the logical placement of those components within the system architecture. Maintaining baseline configurations requires creating new baselines as organizational information systems change over time. Baseline configurations of information systems reflect the current enterprise architecture.
+ CM-3
+ CM-6
+ CM-8
+ CM-9
+ SA-10
+ PM-5
+ PM-7
+
+
+
+ CM-2 (1)
+ REVIEWS AND UPDATES
+ MODERATE
+ HIGH
+
+ The organization reviews and updates the baseline configuration of the information system:
+
+ CM-2 (1)(a)
+ [Assignment: organization-defined frequency];
+
+
+ CM-2 (1)(b)
+ When required due to [Assignment organization-defined circumstances]; and
+
+
+ CM-2 (1)(c)
+ As an integral part of information system component installations and upgrades.
+
+
+
+ CM-5
+
+
+
+ CM-2 (2)
+ AUTOMATION SUPPORT FOR ACCURACY / CURRENCY
+ HIGH
+
+ The organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the information system.
+
+
+ Automated mechanisms that help organizations maintain consistent baseline configurations for information systems include, for example, hardware and software inventory tools, configuration management tools, and network management tools. Such tools can be deployed and/or allocated as common controls, at the information system level, or at the operating system or component level (e.g., on workstations, servers, notebook computers, network components, or mobile devices). Tools can be used, for example, to track version numbers on operating system applications, types of software installed, and current patch levels. This control enhancement can be satisfied by the implementation of CM-8 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.
+ CM-7
+ RA-5
+
+
+
+ CM-2 (3)
+ RETENTION OF PREVIOUS CONFIGURATIONS
+ MODERATE
+ HIGH
+
+ The organization retains [Assignment: organization-defined previous versions of baseline configurations of the information system] to support rollback.
+
+
+ Retaining previous versions of baseline configurations to support rollback may include, for example, hardware, software, firmware, configuration files, and configuration records.
+
+
+
+ CM-2 (4)
+ UNAUTHORIZED SOFTWARE
+
+ CM-7
+
+
+ [Withdrawn: Incorporated into CM-7].
+
+
+
+ CM-2 (5)
+ AUTHORIZED SOFTWARE
+
+ CM-7
+
+
+ [Withdrawn: Incorporated into CM-7].
+
+
+
+ CM-2 (6)
+ DEVELOPMENT AND TEST ENVIRONMENTS
+
+ The organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration.
+
+
+ Establishing separate baseline configurations for development, testing, and operational environments helps protect information systems from unplanned/unexpected events related to development and testing activities. Separate baseline configurations allow organizations to apply the configuration management that is most appropriate for each type of configuration. For example, management of operational configurations typically emphasizes the need for stability, while management of development/test configurations requires greater flexibility. Configurations in the test environment mirror the configurations in the operational environment to the extent practicable so that the results of the testing are representative of the proposed changes to the operational systems. This control enhancement requires separate configurations but not necessarily separate physical environments.
+ CM-4
+ SC-3
+ SC-7
+
+
+
+ CM-2 (7)
+ CONFIGURE SYSTEMS, COMPONENTS, OR DEVICES FOR HIGH-RISK AREAS
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CM-2 (7)(a)
+ Issues [Assignment: organization-defined information systems, system components, or devices] with [Assignment: organization-defined configurations] to individuals traveling to locations that the organization deems to be of significant risk; and
+
+
+ CM-2 (7)(b)
+ Applies [Assignment: organization-defined security safeguards] to the devices when the individuals return.
+
+
+
+ When it is known that information systems, system components, or devices (e.g., notebook computers, mobile devices) will be located in high-risk areas, additional security controls may be implemented to counter the greater threat in such areas coupled with the lack of physical security relative to organizational-controlled areas. For example, organizational policies and procedures for notebook computers used by individuals departing on and returning from travel include, for example, determining which locations are of concern, defining required configurations for the devices, ensuring that the devices are configured as intended before travel is initiated, and applying specific safeguards to the device after travel is completed. Specially configured notebook computers include, for example, computers with sanitized hard drives, limited applications, and additional hardening (e.g., more stringent configuration settings). Specified safeguards applied to mobile devices upon return from travel include, for example, examining the device for signs of physical tampering and purging/reimaging the hard disk drive. Protecting information residing on mobile devices is covered in the media protection family.
+
+
+
+
+
+ NIST Special Publication 800-128
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-3
+ CONFIGURATION CHANGE CONTROL
+ P1
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CM-3a.
+ Determines the types of changes to the information system that are configuration-controlled;
+
+
+ CM-3b.
+ Reviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses;
+
+
+ CM-3c.
+ Documents configuration change decisions associated with the information system;
+
+
+ CM-3d.
+ Implements approved configuration-controlled changes to the information system;
+
+
+ CM-3e.
+ Retains records of configuration-controlled changes to the information system for [Assignment: organization-defined time period];
+
+
+ CM-3f.
+ Audits and reviews activities associated with configuration-controlled changes to the information system; and
+
+
+ CM-3g.
+ Coordinates and provides oversight for configuration change control activities through [Assignment: organization-defined configuration change control element (e.g., committee, board)] that convenes [Selection (one or more): [Assignment: organization-defined frequency]; [Assignment: organization-defined configuration change conditions]].
+
+
+
+ Configuration change controls for organizational information systems involve the systematic proposal, justification, implementation, testing, review, and disposition of changes to the systems, including system upgrades and modifications. Configuration change control includes changes to baseline configurations for components and configuration items of information systems, changes to configuration settings for information technology products (e.g., operating systems, applications, firewalls, routers, and mobile devices), unscheduled/unauthorized changes, and changes to remediate vulnerabilities. Typical processes for managing configuration changes to information systems include, for example, Configuration Control Boards that approve proposed changes to systems. For new development information systems or systems undergoing major upgrades, organizations consider including representatives from development organizations on the Configuration Control Boards. Auditing of changes includes activities before and after changes are made to organizational information systems and the auditing activities required to implement such changes.
+ CA-7
+ CM-2
+ CM-4
+ CM-5
+ CM-6
+ CM-9
+ SA-10
+ SI-2
+ SI-12
+
+
+
+ CM-3 (1)
+ AUTOMATED DOCUMENT / NOTIFICATION / PROHIBITION OF CHANGES
+ HIGH
+
+ The organization employs automated mechanisms to:
+
+ CM-3 (1)(a)
+ Document proposed changes to the information system;
+
+
+ CM-3 (1)(b)
+ Notify [Assignment: organized-defined approval authorities] of proposed changes to the information system and request change approval;
+
+
+ CM-3 (1)(c)
+ Highlight proposed changes to the information system that have not been approved or disapproved by [Assignment: organization-defined time period];
+
+
+ CM-3 (1)(d)
+ Prohibit changes to the information system until designated approvals are received;
+
+
+ CM-3 (1)(e)
+ Document all changes to the information system; and
+
+
+ CM-3 (1)(f)
+ Notify [Assignment: organization-defined personnel] when approved changes to the information system are completed.
+
+
+
+
+ CM-3 (2)
+ TEST / VALIDATE / DOCUMENT CHANGES
+ MODERATE
+ HIGH
+
+ The organization tests, validates, and documents changes to the information system before implementing the changes on the operational system.
+
+
+ Changes to information systems include modifications to hardware, software, or firmware components and configuration settings defined in CM-6. Organizations ensure that testing does not interfere with information system operations. Individuals/groups conducting tests understand organizational security policies and procedures, information system security policies and procedures, and the specific health, safety, and environmental risks associated with particular facilities/processes. Operational systems may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If information systems must be taken off-line for testing, the tests are scheduled to occur during planned system outages whenever possible. If testing cannot be conducted on operational systems, organizations employ compensating controls (e.g., testing on replicated systems).
+
+
+
+ CM-3 (3)
+ AUTOMATED CHANGE IMPLEMENTATION
+
+ The organization employs automated mechanisms to implement changes to the current information system baseline and deploys the updated baseline across the installed base.
+
+
+
+ CM-3 (4)
+ SECURITY REPRESENTATIVE
+
+ The organization requires an information security representative to be a member of the [Assignment: organization-defined configuration change control element].
+
+
+ Information security representatives can include, for example, senior agency information security officers, information system security officers, or information system security managers. Representation by personnel with information security expertise is important because changes to information system configurations can have unintended side effects, some of which may be security-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security state of organizational information systems. The configuration change control element in this control enhancement reflects the change control elements defined by organizations in CM-3.
+
+
+
+ CM-3 (5)
+ AUTOMATED SECURITY RESPONSE
+
+ The information system implements [Assignment: organization-defined security responses] automatically if baseline configurations are changed in an unauthorized manner.
+
+
+ Security responses include, for example, halting information system processing, halting selected system functions, or issuing alerts/notifications to organizational personnel when there is an unauthorized modification of a configuration item.
+
+
+
+ CM-3 (6)
+ CRYPTOGRAPHY MANAGEMENT
+
+ The organization ensures that cryptographic mechanisms used to provide [Assignment: organization-defined security safeguards] are under configuration management.
+
+
+ Regardless of the cryptographic means employed (e.g., public key, private key, shared secrets), organizations ensure that there are processes and procedures in place to effectively manage those means. For example, if devices use certificates as a basis for identification and authentication, there needs to be a process in place to address the expiration of those certificates.
+ SC-13
+
+
+
+
+
+ NIST Special Publication 800-128
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-4
+ SECURITY IMPACT ANALYSIS
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The organization analyzes changes to the information system to determine potential security impacts prior to change implementation.
+
+
+ Organizational personnel with information security responsibilities (e.g., Information System Administrators, Information System Security Officers, Information System Security Managers, and Information System Security Engineers) conduct security impact analyses. Individuals conducting security impact analyses possess the necessary skills/technical expertise to analyze the changes to information systems and the associated security ramifications. Security impact analysis may include, for example, reviewing security plans to understand security control requirements and reviewing system design documentation to understand control implementation and how specific changes might affect the controls. Security impact analyses may also include assessments of risk to better understand the impact of the changes and to determine if additional security controls are required. Security impact analyses are scaled in accordance with the security categories of the information systems.
+ CA-2
+ CA-7
+ CM-3
+ CM-9
+ SA-4
+ SA-5
+ SA-10
+ SI-2
+
+
+
+ CM-4 (1)
+ SEPARATE TEST ENVIRONMENTS
+ HIGH
+
+ The organization analyzes changes to the information system in a separate test environment before implementation in an operational environment, looking for security impacts due to flaws, weaknesses, incompatibility, or intentional malice.
+
+
+ Separate test environment in this context means an environment that is physically or logically isolated and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment, and information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not used, organizations determine the strength of mechanism required when implementing logical separation (e.g., separation achieved through virtual machines).
+ SA-11
+ SC-3
+ SC-7
+
+
+
+ CM-4 (2)
+ VERIFICATION OF SECURITY FUNCTIONS
+
+ The organization, after the information system is changed, checks the security functions to verify that the functions are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security requirements for the system.
+
+
+ Implementation is this context refers to installing changed code in the operational information system.
+ SA-11
+
+
+
+
+
+ NIST Special Publication 800-128
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-5
+ ACCESS RESTRICTIONS FOR CHANGE
+ P1
+ MODERATE
+ HIGH
+
+ The organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system.
+
+
+ Any changes to the hardware, software, and/or firmware components of information systems can potentially have significant effects on the overall security of the systems. Therefore, organizations permit only qualified and authorized individuals to access information systems for purposes of initiating changes, including upgrades and modifications. Organizations maintain records of access to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes. Access restrictions for change also include software libraries. Access restrictions include, for example, physical and logical access controls (see AC-3 and PE-3), workflow automation, media libraries, abstract layers (e.g., changes implemented into third-party interfaces rather than directly into information systems), and change windows (e.g., changes occur only during specified times, making unauthorized changes easy to discover).
+ AC-3
+ AC-6
+ PE-3
+
+
+
+ CM-5 (1)
+ AUTOMATED ACCESS ENFORCEMENT / AUDITING
+ HIGH
+
+ The information system enforces access restrictions and supports auditing of the enforcement actions.
+
+
+ AU-2
+ AU-12
+ AU-6
+ CM-3
+ CM-6
+
+
+
+ CM-5 (2)
+ REVIEW SYSTEM CHANGES
+ HIGH
+
+ The organization reviews information system changes [Assignment: organization-defined frequency] and [Assignment: organization-defined circumstances] to determine whether unauthorized changes have occurred.
+
+
+ Indications that warrant review of information system changes and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process.
+ AU-6
+ AU-7
+ CM-3
+ CM-5
+ PE-6
+ PE-8
+
+
+
+ CM-5 (3)
+ SIGNED COMPONENTS
+ HIGH
+
+ The information system prevents the installation of [Assignment: organization-defined software and firmware components] without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization.
+
+
+ Software and firmware components prevented from installation unless signed with recognized and approved certificates include, for example, software and firmware version updates, patches, service packs, device drivers, and basic input output system (BIOS) updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures, is a method of code authentication.
+ CM-7
+ SC-13
+ SI-7
+
+
+
+ CM-5 (4)
+ DUAL AUTHORIZATION
+
+ The organization enforces dual authorization for implementing changes to [Assignment: organization-defined information system components and system-level information].
+
+
+ Organizations employ dual authorization to ensure that any changes to selected information system components and information cannot occur unless two qualified individuals implement such changes. The two individuals possess sufficient skills/expertise to determine if the proposed changes are correct implementations of approved changes. Dual authorization may also be known as two-person control.
+ AC-5
+ CM-3
+
+
+
+ CM-5 (5)
+ LIMIT PRODUCTION / OPERATIONAL PRIVILEGES
+
+ The organization:
+
+ CM-5 (5)(a)
+ Limits privileges to change information system components and system-related information within a production or operational environment; and
+
+
+ CM-5 (5)(b)
+ Reviews and reevaluates privileges [Assignment: organization-defined frequency].
+
+
+
+ In many organizations, information systems support multiple core missions/business functions. Limiting privileges to change information system components with respect to operational systems is necessary because changes to a particular information system component may have far-reaching effects on mission/business processes supported by the system where the component resides. The complex, many-to-many relationships between systems and mission/business processes are in some cases, unknown to developers.
+ AC-2
+
+
+
+ CM-5 (6)
+ LIMIT LIBRARY PRIVILEGES
+
+ The organization limits privileges to change software resident within software libraries.
+
+
+ Software libraries include privileged programs.
+ AC-2
+
+
+
+ CM-5 (7)
+ AUTOMATIC IMPLEMENTATION OF SECURITY SAFEGUARDS
+
+ SI-7
+
+
+ [Withdrawn: Incorporated into SI-7].
+
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-6
+ CONFIGURATION SETTINGS
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CM-6a.
+ Establishes and documents configuration settings for information technology products employed within the information system using [Assignment: organization-defined security configuration checklists] that reflect the most restrictive mode consistent with operational requirements;
+
+
+ CM-6b.
+ Implements the configuration settings;
+
+
+ CM-6c.
+ Identifies, documents, and approves any deviations from established configuration settings for [Assignment: organization-defined information system components] based on [Assignment: organization-defined operational requirements]; and
+
+
+ CM-6d.
+ Monitors and controls changes to the configuration settings in accordance with organizational policies and procedures.
+
+
+
+ Configuration settings are the set of parameters that can be changed in hardware, software, or firmware components of the information system that affect the security posture and/or functionality of the system. Information technology products for which security-related configuration settings can be defined include, for example, mainframe computers, servers (e.g., database, electronic mail, authentication, web, proxy, file, domain name), workstations, input/output devices (e.g., scanners, copiers, and printers), network components (e.g., firewalls, routers, gateways, voice and data switches, wireless access points, network appliances, sensors), operating systems, middleware, and applications. Security-related parameters are those parameters impacting the security state of information systems including the parameters required to satisfy other security control requirements. Security-related parameters include, for example: (i) registry settings; (ii) account, file, directory permission settings; and (iii) settings for functions, ports, protocols, services, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific settings for information systems. The established settings become part of the systems configuration baseline.
+Common secure configurations (also referred to as security configuration checklists, lockdown and hardening guides, security reference guides, security technical implementation guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for specific information technology platforms/products and instructions for configuring those information system components to meet operational requirements. Common secure configurations can be developed by a variety of organizations including, for example, information technology product developers, manufacturers, vendors, consortia, academia, industry, federal agencies, and other organizations in the public and private sectors. Common secure configurations include the United States Government Configuration Baseline (USGCB) which affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and the defined standards within the protocol (e.g., Common Configuration Enumeration) provide an effective method to uniquely identify, track, and control configuration settings. OMB establishes federal policy on configuration requirements for federal information systems.
+ AC-19
+ CM-2
+ CM-3
+ CM-7
+ SI-4
+
+
+
+ CM-6 (1)
+ AUTOMATED CENTRAL MANAGEMENT / APPLICATION / VERIFICATION
+ HIGH
+
+ The organization employs automated mechanisms to centrally manage, apply, and verify configuration settings for [Assignment: organization-defined information system components].
+
+
+ CA-7
+ CM-4
+
+
+
+ CM-6 (2)
+ RESPOND TO UNAUTHORIZED CHANGES
+ HIGH
+
+ The organization employs [Assignment: organization-defined security safeguards] to respond to unauthorized changes to [Assignment: organization-defined configuration settings].
+
+
+ Responses to unauthorized changes to configuration settings can include, for example, alerting designated organizational personnel, restoring established configuration settings, or in extreme cases, halting affected information system processing.
+ IR-4
+ SI-7
+
+
+
+ CM-6 (3)
+ UNAUTHORIZED CHANGE DETECTION
+
+ SI-7
+
+
+ [Withdrawn: Incorporated into SI-7].
+
+
+
+ CM-6 (4)
+ CONFORMANCE DEMONSTRATION
+
+ CM-4
+
+
+ [Withdrawn: Incorporated into CM-4].
+
+
+
+
+
+ OMB Memorandum 07-11
+
+
+ OMB Memorandum 07-18
+
+
+ OMB Memorandum 08-22
+
+
+ NIST Special Publication 800-70
+
+
+ NIST Special Publication 800-128
+
+
+ http://nvd.nist.gov
+
+
+ http://checklists.nist.gov
+
+
+ http://www.nsa.gov
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-7
+ LEAST FUNCTIONALITY
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CM-7a.
+ Configures the information system to provide only essential capabilities; and
+
+
+ CM-7b.
+ Prohibits or restricts the use of the following functions, ports, protocols, and/or services: [Assignment: organization-defined prohibited or restricted functions, ports, protocols, and/or services].
+
+
+
+ Information systems can provide a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions). Additionally, it is sometimes convenient to provide multiple services from single information system components, but doing so increases risk over limiting the services provided by any one component. Where feasible, organizations limit component functionality to a single function per device (e.g., email servers or web servers, but not both). Organizations review functions and services provided by information systems or individual components of information systems, to determine which functions and services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant Messaging, auto-execute, and file sharing). Organizations consider disabling unused or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize network scanning tools, intrusion detection and prevention systems, and end-point protections such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, ports, protocols, and services.
+ AC-6
+ CM-2
+ RA-5
+ SA-5
+ SC-7
+
+
+
+ CM-7 (1)
+ PERIODIC REVIEW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CM-7 (1)(a)
+ Reviews the information system [Assignment: organization-defined frequency] to identify unnecessary and/or nonsecure functions, ports, protocols, and services; and
+
+
+ CM-7 (1)(b)
+ Disables [Assignment: organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure].
+
+
+
+ The organization can either make a determination of the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are examples of less than secure protocols.
+ AC-18
+ CM-7
+ IA-2
+
+
+
+ CM-7 (2)
+ PREVENT PROGRAM EXECUTION
+ MODERATE
+ HIGH
+
+ The information system prevents program execution in accordance with [Selection (one or more): [Assignment: organization-defined policies regarding software program usage and restrictions]; rules authorizing the terms and conditions of software program usage].
+
+
+ CM-8
+ PM-5
+
+
+
+ CM-7 (3)
+ REGISTRATION COMPLIANCE
+
+ The organization ensures compliance with [Assignment: organization-defined registration requirements for functions, ports, protocols, and services].
+
+
+ Organizations use the registration process to manage, track, and provide oversight for information systems and implemented functions, ports, protocols, and services.
+
+
+
+ CM-7 (4)
+ UNAUTHORIZED SOFTWARE / BLACKLISTING
+ MODERATE
+
+ The organization:
+
+ CM-7 (4)(a)
+ Identifies [Assignment: organization-defined software programs not authorized to execute on the information system];
+
+
+ CM-7 (4)(b)
+ Employs an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the information system; and
+
+
+ CM-7 (4)(c)
+ Reviews and updates the list of unauthorized software programs [Assignment: organization-defined frequency].
+
+
+
+ The process used to identify software programs that are not authorized to execute on organizational information systems is commonly referred to as blacklisting. Organizations can implement CM-7 (5) instead of this control enhancement if whitelisting (the stronger of the two policies) is the preferred approach for restricting software program execution.
+ CM-6
+ CM-8
+ PM-5
+
+
+
+ CM-7 (5)
+ AUTHORIZED SOFTWARE / WHITELISTING
+ HIGH
+
+ The organization:
+
+ CM-7 (5)(a)
+ Identifies [Assignment: organization-defined software programs authorized to execute on the information system];
+
+
+ CM-7 (5)(b)
+ Employs a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system; and
+
+
+ CM-7 (5)(c)
+ Reviews and updates the list of authorized software programs [Assignment: organization-defined frequency].
+
+
+
+ The process used to identify software programs that are authorized to execute on organizational information systems is commonly referred to as whitelisting. In addition to whitelisting, organizations consider verifying the integrity of white-listed software programs using, for example, cryptographic checksums, digital signatures, or hash functions. Verification of white-listed software can occur either prior to execution or at system startup.
+ CM-2
+ CM-6
+ CM-8
+ PM-5
+ SA-10
+ SC-34
+ SI-7
+
+
+
+
+
+ DoD Instruction 8551.01
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-8
+ INFORMATION SYSTEM COMPONENT INVENTORY
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CM-8a.
+ Develops and documents an inventory of information system components that:
+
+ CM-8a.1.
+ Accurately reflects the current information system;
+
+
+ CM-8a.2.
+ Includes all components within the authorization boundary of the information system;
+
+
+ CM-8a.3.
+ Is at the level of granularity deemed necessary for tracking and reporting; and
+
+
+ CM-8a.4.
+ Includes [Assignment: organization-defined information deemed necessary to achieve effective information system component accountability]; and
+
+
+
+ CM-8b.
+ Reviews and updates the information system component inventory [Assignment: organization-defined frequency].
+
+
+
+ Organizations may choose to implement centralized information system component inventories that include components from all organizational information systems. In such situations, organizations ensure that the resulting inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner). Information deemed necessary for effective accountability of information system components includes, for example, hardware inventory specifications, software license information, software version numbers, component owners, and for networked components or devices, machine names and network addresses. Inventory specifications include, for example, manufacturer, device type, model, serial number, and physical location.
+ CM-2
+ CM-6
+ PM-5
+
+
+
+ CM-8 (1)
+ UPDATES DURING INSTALLATIONS / REMOVALS
+ MODERATE
+ HIGH
+
+ The organization updates the inventory of information system components as an integral part of component installations, removals, and information system updates.
+
+
+
+ CM-8 (2)
+ AUTOMATED MAINTENANCE
+ HIGH
+
+ The organization employs automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of information system components.
+
+
+ Organizations maintain information system inventories to the extent feasible. Virtual machines, for example, can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. This control enhancement can be satisfied by the implementation of CM-2 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.
+ SI-7
+
+
+
+ CM-8 (3)
+ AUTOMATED UNAUTHORIZED COMPONENT DETECTION
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CM-8 (3)(a)
+ Employs automated mechanisms [Assignment: organization-defined frequency] to detect the presence of unauthorized hardware, software, and firmware components within the information system; and
+
+
+ CM-8 (3)(b)
+ Takes the following actions when unauthorized components are detected: [Selection (one or more): disables network access by such components; isolates the components; notifies [Assignment: organization-defined personnel or roles]].
+
+
+
+ This control enhancement is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms can be implemented within information systems or in other separate devices. Isolation can be achieved, for example, by placing unauthorized information system components in separate domains or subnets or otherwise quarantining such components. This type of component isolation is commonly referred to as sandboxing.
+ AC-17
+ AC-18
+ AC-19
+ CA-7
+ SI-3
+ SI-4
+ SI-7
+ RA-5
+
+
+
+ CM-8 (4)
+ ACCOUNTABILITY INFORMATION
+ HIGH
+
+ The organization includes in the information system component inventory information, a means for identifying by [Selection (one or more): name; position; role], individuals responsible/accountable for administering those components.
+
+
+ Identifying individuals who are both responsible and accountable for administering information system components helps to ensure that the assigned components are properly administered and organizations can contact those individuals if some action is required (e.g., component is determined to be the source of a breach/compromise, component needs to be recalled/replaced, or component needs to be relocated).
+
+
+
+ CM-8 (5)
+ NO DUPLICATE ACCOUNTING OF COMPONENTS
+ MODERATE
+ HIGH
+
+ The organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system component inventories.
+
+
+ This control enhancement addresses the potential problem of duplicate accounting of information system components in large or complex interconnected systems.
+
+
+
+ CM-8 (6)
+ ASSESSED CONFIGURATIONS / APPROVED DEVIATIONS
+
+ The organization includes assessed component configurations and any approved deviations to current deployed configurations in the information system component inventory.
+
+
+ This control enhancement focuses on configuration settings established by organizations for information system components, the specific components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings.
+ CM-2
+ CM-6
+
+
+
+ CM-8 (7)
+ CENTRALIZED REPOSITORY
+
+ The organization provides a centralized repository for the inventory of information system components.
+
+
+ Organizations may choose to implement centralized information system component inventories that include components from all organizational information systems. Centralized repositories of information system component inventories provide opportunities for efficiencies in accounting for organizational hardware, software, and firmware assets. Such repositories may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions. Organizations ensure that the resulting centralized inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner).
+
+
+
+ CM-8 (8)
+ AUTOMATED LOCATION TRACKING
+
+ The organization employs automated mechanisms to support tracking of information system components by geographic location.
+
+
+ The use of automated mechanisms to track the location of information system components can increase the accuracy of component inventories. Such capability may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions.
+
+
+
+ CM-8 (9)
+ ASSIGNMENT OF COMPONENTS TO SYSTEMS
+
+ The organization:
+
+ CM-8 (9)(a)
+ Assigns [Assignment: organization-defined acquired information system components] to an information system; and
+
+
+ CM-8 (9)(b)
+ Receives an acknowledgement from the information system owner of this assignment.
+
+
+
+ Organizations determine the criteria for or types of information system components (e.g., microprocessors, motherboards, software, programmable logic controllers, and network devices) that are subject to this control enhancement.
+ SA-4
+
+
+
+
+
+ NIST Special Publication 800-128
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-9
+ CONFIGURATION MANAGEMENT PLAN
+ P1
+ MODERATE
+ HIGH
+
+ The organization develops, documents, and implements a configuration management plan for the information system that:
+
+ CM-9a.
+ Addresses roles, responsibilities, and configuration management processes and procedures;
+
+
+ CM-9b.
+ Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;
+
+
+ CM-9c.
+ Defines the configuration items for the information system and places the configuration items under configuration management; and
+
+
+ CM-9d.
+ Protects the configuration management plan from unauthorized disclosure and modification.
+
+
+
+ Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual information systems. Such plans define detailed processes and procedures for how configuration management is used to support system development life cycle activities at the information system level. Configuration management plans are typically developed during the development/acquisition phase of the system development life cycle. The plans describe how to move changes through change management processes, how to update configuration settings and baselines, how to maintain information system component inventories, how to control development, test, and operational environments, and how to develop, release, and update key documents. Organizations can employ templates to help ensure consistent and timely development and implementation of configuration management plans. Such templates can represent a master configuration management plan for the organization at large with subsets of the plan implemented on a system by system basis. Configuration management approval processes include designation of key management stakeholders responsible for reviewing and approving proposed changes to information systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the information system items (hardware, software, firmware, and documentation) to be configuration-managed. As information systems continue through the system development life cycle, new configuration items may be identified and some existing configuration items may no longer need to be under configuration control.
+ CM-2
+ CM-3
+ CM-4
+ CM-5
+ CM-8
+ SA-10
+
+
+
+ CM-9 (1)
+ ASSIGNMENT OF RESPONSIBILITY
+
+ The organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in information system development.
+
+
+ In the absence of dedicated configuration management teams assigned within organizations, system developers may be tasked to develop configuration management processes using personnel who are not directly involved in system development or integration. This separation of duties ensures that organizations establish and maintain a sufficient degree of independence between the information system development and integration processes and configuration management processes to facilitate quality control and more effective oversight.
+
+
+
+
+
+ NIST Special Publication 800-128
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-10
+ SOFTWARE USAGE RESTRICTIONS
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CM-10a.
+ Uses software and associated documentation in accordance with contract agreements and copyright laws;
+
+
+ CM-10b.
+ Tracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and
+
+
+ CM-10c.
+ Controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.
+
+
+
+ Software license tracking can be accomplished by manual methods (e.g., simple spreadsheets) or automated methods (e.g., specialized tracking applications) depending on organizational needs.
+ AC-17
+ CM-8
+ SC-7
+
+
+
+ CM-10 (1)
+ OPEN SOURCE SOFTWARE
+
+ The organization establishes the following restrictions on the use of open source software: [Assignment: organization-defined restrictions].
+
+
+ Open source software refers to software that is available in source code form. Certain software rights normally reserved for copyright holders are routinely provided under software license agreements that permit individuals to study, change, and improve the software. From a security perspective, the major advantage of open source software is that it provides organizations with the ability to examine the source code. However, there are also various licensing issues associated with open source software including, for example, the constraints on derivative use of such software.
+
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-11
+ USER-INSTALLED SOFTWARE
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CM-11a.
+ Establishes [Assignment: organization-defined policies] governing the installation of software by users;
+
+
+ CM-11b.
+ Enforces software installation policies through [Assignment: organization-defined methods]; and
+
+
+ CM-11c.
+ Monitors policy compliance at [Assignment: organization-defined frequency].
+
+
+
+ If provided the necessary privileges, users have the ability to install software in organizational information systems. To maintain control over the types of software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations may include, for example, updates and security patches to existing software and downloading applications from organization-approved �app stores.� Prohibited software installations may include, for example, software with unknown or suspect pedigrees or software that organizations consider potentially malicious. The policies organizations select governing user-installed software may be organization-developed or provided by some external entity. Policy enforcement methods include procedural methods (e.g., periodic examination of user accounts), automated methods (e.g., configuration settings implemented on organizational information systems), or both.
+ AC-3
+ CM-2
+ CM-3
+ CM-5
+ CM-6
+ CM-7
+ PL-4
+
+
+
+ CM-11 (1)
+ ALERTS FOR UNAUTHORIZED INSTALLATIONS
+
+ The information system alerts [Assignment: organization-defined personnel or roles] when the unauthorized installation of software is detected.
+
+
+ CA-7
+ SI-4
+
+
+
+ CM-11 (2)
+ PROHIBIT INSTALLATION WITHOUT PRIVILEGED STATUS
+
+ The information system prohibits user installation of software without explicit privileged status.
+
+
+ Privileged status can be obtained, for example, by serving in the role of system administrator.
+ AC-6
+
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-1
+ CONTINGENCY PLANNING POLICY AND PROCEDURES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CP-1a.
+ Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
+
+ CP-1a.1.
+ A contingency planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ CP-1a.2.
+ Procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls; and
+
+
+
+ CP-1b.
+ Reviews and updates the current:
+
+ CP-1b.1.
+ Contingency planning policy [Assignment: organization-defined frequency]; and
+
+
+ CP-1b.2.
+ Contingency planning procedures [Assignment: organization-defined frequency].
+
+
+
+
+ This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+
+ Federal Continuity Directive 1
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-34
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-2
+ CONTINGENCY PLAN
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CP-2a.
+ Develops a contingency plan for the information system that:
+
+ CP-2a.1.
+ Identifies essential missions and business functions and associated contingency requirements;
+
+
+ CP-2a.2.
+ Provides recovery objectives, restoration priorities, and metrics;
+
+
+ CP-2a.3.
+ Addresses contingency roles, responsibilities, assigned individuals with contact information;
+
+
+ CP-2a.4.
+ Addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;
+
+
+ CP-2a.5.
+ Addresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented; and
+
+
+ CP-2a.6.
+ Is reviewed and approved by [Assignment: organization-defined personnel or roles];
+
+
+
+ CP-2b.
+ Distributes copies of the contingency plan to [Assignment: organization-defined key contingency personnel (identified by name and/or by role) and organizational elements];
+
+
+ CP-2c.
+ Coordinates contingency planning activities with incident handling activities;
+
+
+ CP-2d.
+ Reviews the contingency plan for the information system [Assignment: organization-defined frequency];
+
+
+ CP-2e.
+ Updates the contingency plan to address changes to the organization, information system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;
+
+
+ CP-2f.
+ Communicates contingency plan changes to [Assignment: organization-defined key contingency personnel (identified by name and/or by role) and organizational elements]; and
+
+
+ CP-2g.
+ Protects the contingency plan from unauthorized disclosure and modification.
+
+
+
+ Contingency planning for information systems is part of an overall organizational program for achieving continuity of operations for mission/business functions. Contingency planning addresses both information system restoration and implementation of alternative mission/business processes when systems are compromised. The effectiveness of contingency planning is maximized by considering such planning throughout the phases of the system development life cycle. Performing contingency planning on hardware, software, and firmware development can be an effective means of achieving information system resiliency. Contingency plans reflect the degree of restoration required for organizational information systems since not all systems may need to fully recover to achieve the level of continuity of operations desired. Information system recovery objectives reflect applicable laws, Executive Orders, directives, policies, standards, regulations, and guidelines. In addition to information system availability, contingency plans also address other security-related events resulting in a reduction in mission and/or business effectiveness, such as malicious attacks compromising the confidentiality or integrity of information systems. Actions addressed in contingency plans include, for example, orderly/graceful degradation, information system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By closely coordinating contingency planning with incident handling activities, organizations can ensure that the necessary contingency planning activities are in place and activated in the event of a security incident.
+ AC-14
+ CP-6
+ CP-7
+ CP-8
+ CP-9
+ CP-10
+ IR-4
+ IR-8
+ MP-2
+ MP-4
+ MP-5
+ PM-8
+ PM-11
+
+
+
+ CP-2 (1)
+ COORDINATE WITH RELATED PLANS
+ MODERATE
+ HIGH
+
+ The organization coordinates contingency plan development with organizational elements responsible for related plans.
+
+
+ Plans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant Emergency Plans.
+
+
+
+ CP-2 (2)
+ CAPACITY PLANNING
+ HIGH
+
+ The organization conducts capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.
+
+
+ Capacity planning is needed because different types of threats (e.g., natural disasters, targeted cyber attacks) can result in a reduction of the available processing, telecommunications, and support services originally intended to support the organizational missions/business functions. Organizations may need to anticipate degraded operations during contingency operations and factor such degradation into capacity planning.
+
+
+
+ CP-2 (3)
+ RESUME ESSENTIAL MISSIONS / BUSINESS FUNCTIONS
+ MODERATE
+ HIGH
+
+ The organization plans for the resumption of essential missions and business functions within [Assignment: organization-defined time period] of contingency plan activation.
+
+
+ Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time period for resumption of essential missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.
+ PE-12
+
+
+
+ CP-2 (4)
+ RESUME ALL MISSIONS / BUSINESS FUNCTIONS
+ HIGH
+
+ The organization plans for the resumption of all missions and business functions within [Assignment: organization-defined time period] of contingency plan activation.
+
+
+ Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time period for resumption of all missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.
+ PE-12
+
+
+
+ CP-2 (5)
+ CONTINUE ESSENTIAL MISSIONS / BUSINESS FUNCTIONS
+ HIGH
+
+ The organization plans for the continuance of essential missions and business functions with little or no loss of operational continuity and sustains that continuity until full information system restoration at primary processing and/or storage sites.
+
+
+ Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency (e.g., backup sites may become primary sites).
+ PE-12
+
+
+
+ CP-2 (6)
+ ALTERNATE PROCESSING / STORAGE SITE
+
+ The organization plans for the transfer of essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity and sustains that continuity through information system restoration to primary processing and/or storage sites.
+
+
+ Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency (e.g., backup sites may become primary sites).
+ PE-12
+
+
+
+ CP-2 (7)
+ COORDINATE WITH EXTERNAL SERVICE PROVIDERS
+
+ The organization coordinates its contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.
+
+
+ When the capability of an organization to successfully carry out its core missions/business functions is dependent on external service providers, developing a timely and comprehensive contingency plan may become more challenging. In this situation, organizations coordinate contingency planning activities with the external entities to ensure that the individual plans reflect the overall contingency needs of the organization.
+ SA-9
+
+
+
+ CP-2 (8)
+ IDENTIFY CRITICAL ASSETS
+ MODERATE
+ HIGH
+
+ The organization identifies critical information system assets supporting essential missions and business functions.
+
+
+ Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Organizations identify critical information system assets so that additional safeguards and countermeasures can be employed (above and beyond those safeguards and countermeasures routinely implemented) to help ensure that organizational missions/business functions can continue to be conducted during contingency operations. In addition, the identification of critical information assets facilitates the prioritization of organizational resources. Critical information system assets include technical and operational aspects. Technical aspects include, for example, information technology services, information system components, information technology products, and mechanisms. Operational aspects include, for example, procedures (manually executed operations) and personnel (individuals operating technical safeguards and/or executing manual procedures). Organizational program protection plans can provide assistance in identifying critical assets.
+ SA-14
+ SA-15
+
+
+
+
+
+ Federal Continuity Directive 1
+
+
+ NIST Special Publication 800-34
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-3
+ CONTINGENCY TRAINING
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The organization provides contingency training to information system users consistent with assigned roles and responsibilities:
+
+ CP-3a.
+ Within [Assignment: organization-defined time period] of assuming a contingency role or responsibility;
+
+
+ CP-3b.
+ When required by information system changes; and
+
+
+ CP-3c.
+ [Assignment: organization-defined frequency] thereafter.
+
+
+
+ Contingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, regular users may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to set up information systems at alternate processing and storage sites; and managers/senior leaders may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles/responsibilities reflects the specific continuity requirements in the contingency plan.
+ AT-2
+ AT-3
+ CP-2
+ IR-2
+
+
+
+ CP-3 (1)
+ SIMULATED EVENTS
+ HIGH
+
+ The organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.
+
+
+
+ CP-3 (2)
+ AUTOMATED TRAINING ENVIRONMENTS
+
+ The organization employs automated mechanisms to provide a more thorough and realistic contingency training environment.
+
+
+
+
+
+ Federal Continuity Directive 1
+
+
+ NIST Special Publication 800-16
+
+
+ NIST Special Publication 800-50
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-4
+ CONTINGENCY PLAN TESTING
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CP-4a.
+ Tests the contingency plan for the information system [Assignment: organization-defined frequency] using [Assignment: organization-defined tests] to determine the effectiveness of the plan and the organizational readiness to execute the plan;
+
+
+ CP-4b.
+ Reviews the contingency plan test results; and
+
+
+ CP-4c.
+ Initiates corrective actions, if needed.
+
+
+
+ Methods for testing contingency plans to determine the effectiveness of the plans and to identify potential weaknesses in the plans include, for example, walk-through and tabletop exercises, checklists, simulations (parallel, full interrupt), and comprehensive exercises. Organizations conduct testing based on the continuity requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals arising due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions.
+ CP-2
+ CP-3
+ IR-3
+
+
+
+ CP-4 (1)
+ COORDINATE WITH RELATED PLANS
+ MODERATE
+ HIGH
+
+ The organization coordinates contingency plan testing with organizational elements responsible for related plans.
+
+
+ Plans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. This control enhancement does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. It does require, however, that if such organizational elements are responsible for related plans, organizations should coordinate with those elements.
+ IR-8
+ PM-8
+
+
+
+ CP-4 (2)
+ ALTERNATE PROCESSING SITE
+ HIGH
+
+ The organization tests the contingency plan at the alternate processing site:
+
+ CP-4 (2)(a)
+ To familiarize contingency personnel with the facility and available resources; and
+
+
+ CP-4 (2)(b)
+ To evaluate the capabilities of the alternate processing site to support contingency operations.
+
+
+
+ CP-7
+
+
+
+ CP-4 (3)
+ AUTOMATED TESTING
+
+ The organization employs automated mechanisms to more thoroughly and effectively test the contingency plan.
+
+
+ Automated mechanisms provide more thorough and effective testing of contingency plans, for example: (i) by providing more complete coverage of contingency issues; (ii) by selecting more realistic test scenarios and environments; and (iii) by effectively stressing the information system and supported missions.
+
+
+
+ CP-4 (4)
+ FULL RECOVERY / RECONSTITUTION
+
+ The organization includes a full recovery and reconstitution of the information system to a known state as part of contingency plan testing.
+
+
+ CP-10
+ SC-24
+
+
+
+
+
+ Federal Continuity Directive 1
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-34
+
+
+ NIST Special Publication 800-84
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-5
+ CONTINGENCY PLAN UPDATE
+
+ CP-2
+
+
+ [Withdrawn: Incorporated into CP-2].
+
+
+
+ CONTINGENCY PLANNING
+ CP-6
+ ALTERNATE STORAGE SITE
+ P1
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CP-6a.
+ Establishes an alternate storage site including necessary agreements to permit the storage and retrieval of information system backup information; and
+
+
+ CP-6b.
+ Ensures that the alternate storage site provides information security safeguards equivalent to that of the primary site.
+
+
+
+ Alternate storage sites are sites that are geographically distinct from primary storage sites. An alternate storage site maintains duplicate copies of information and data in the event that the primary storage site is not available. Items covered by alternate storage site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination of delivery/retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.
+ CP-2
+ CP-7
+ CP-9
+ CP-10
+ MP-4
+
+
+
+ CP-6 (1)
+ SEPARATION FROM PRIMARY SITE
+ MODERATE
+ HIGH
+
+ The organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats.
+
+
+ Threats that affect alternate storage sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant.
+ RA-3
+
+
+
+ CP-6 (2)
+ RECOVERY TIME / POINT OBJECTIVES
+ HIGH
+
+ The organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.
+
+
+
+ CP-6 (3)
+ ACCESSIBILITY
+ MODERATE
+ HIGH
+
+ The organization identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.
+
+
+ Area-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include, for example: (i) duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites; or (ii) planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted.
+ RA-3
+
+
+
+
+
+ NIST Special Publication 800-34
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-7
+ ALTERNATE PROCESSING SITE
+ P1
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CP-7a.
+ Establishes an alternate processing site including necessary agreements to permit the transfer and resumption of [Assignment: organization-defined information system operations] for essential missions/business functions within [Assignment: organization-defined time period consistent with recovery time and recovery point objectives] when the primary processing capabilities are unavailable;
+
+
+ CP-7b.
+ Ensures that equipment and supplies required to transfer and resume operations are available at the alternate processing site or contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption; and
+
+
+ CP-7c.
+ Ensures that the alternate processing site provides information security safeguards equivalent to those of the primary site.
+
+
+
+ Alternate processing sites are sites that are geographically distinct from primary processing sites. An alternate processing site provides processing capability in the event that the primary processing site is not available. Items covered by alternate processing site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination for the transfer/assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.
+ CP-2
+ CP-6
+ CP-8
+ CP-9
+ CP-10
+ MA-6
+
+
+
+ CP-7 (1)
+ SEPARATION FROM PRIMARY SITE
+ MODERATE
+ HIGH
+
+ The organization identifies an alternate processing site that is separated from the primary processing site to reduce susceptibility to the same threats.
+
+
+ Threats that affect alternate processing sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant.
+ RA-3
+
+
+
+ CP-7 (2)
+ ACCESSIBILITY
+ MODERATE
+ HIGH
+
+ The organization identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.
+
+
+ Area-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk.
+ RA-3
+
+
+
+ CP-7 (3)
+ PRIORITY OF SERVICE
+ MODERATE
+ HIGH
+
+ The organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives).
+
+
+ Priority-of-service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources at the alternate processing site.
+
+
+
+ CP-7 (4)
+ PREPARATION FOR USE
+ HIGH
+
+ The organization prepares the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.
+
+
+ Site preparation includes, for example, establishing configuration settings for information system components at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and other logistical considerations are in place.
+ CM-2
+ CM-6
+
+
+
+ CP-7 (5)
+ EQUIVALENT INFORMATION SECURITY SAFEGUARDS
+
+ CP-7
+
+
+ [Withdrawn: Incorporated into CP-7].
+
+
+
+ CP-7 (6)
+ INABILITY TO RETURN TO PRIMARY SITE
+
+ The organization plans and prepares for circumstances that preclude returning to the primary processing site.
+
+
+
+
+
+ NIST Special Publication 800-34
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-8
+ TELECOMMUNICATIONS SERVICES
+ P1
+ MODERATE
+ HIGH
+
+ The organization establishes alternate telecommunications services including necessary agreements to permit the resumption of [Assignment: organization-defined information system operations] for essential missions and business functions within [Assignment: organization-defined time period] when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.
+
+
+ This control applies to telecommunications services (data and voice) for primary and alternate processing and storage sites. Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential missions/business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary/alternate sites. Alternate telecommunications services include, for example, additional organizational or commercial ground-based circuits/lines or satellites in lieu of ground-based communications. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements.
+ CP-2
+ CP-6
+ CP-7
+
+
+
+ CP-8 (1)
+ PRIORITY OF SERVICE PROVISIONS
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CP-8 (1)(a)
+ Develops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives); and
+
+
+ CP-8 (1)(b)
+ Requests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.
+
+
+
+ Organizations consider the potential mission/business impact in situations where telecommunications service providers are servicing other organizations with similar priority-of-service provisions.
+
+
+
+ CP-8 (2)
+ SINGLE POINTS OF FAILURE
+ MODERATE
+ HIGH
+
+ The organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.
+
+
+
+ CP-8 (3)
+ SEPARATION OF PRIMARY / ALTERNATE PROVIDERS
+ HIGH
+
+ The organization obtains alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.
+
+
+ Threats that affect telecommunications services are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber/physical attacks, and errors of omission/commission. Organizations seek to reduce common susceptibilities by, for example, minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services meeting the separation needs addressed in the risk assessment.
+
+
+
+ CP-8 (4)
+ PROVIDER CONTINGENCY PLAN
+ HIGH
+
+ The organization:
+
+ CP-8 (4)(a)
+ Requires primary and alternate telecommunications service providers to have contingency plans;
+
+
+ CP-8 (4)(b)
+ Reviews provider contingency plans to ensure that the plans meet organizational contingency requirements; and
+
+
+ CP-8 (4)(c)
+ Obtains evidence of contingency testing/training by providers [Assignment: organization-defined frequency].
+
+
+
+ Reviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with the Department of Homeland Security, state, and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training.
+
+
+
+ CP-8 (5)
+ ALTERNATE TELECOMMUNICATION SERVICE TESTING
+
+ The organization tests alternate telecommunication services [Assignment: organization-defined frequency].
+
+
+
+
+
+ NIST Special Publication 800-34
+
+
+ National Communications Systems Directive 3-10
+
+
+ http://www.dhs.gov/telecommunications-service-priority-tsp
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-9
+ INFORMATION SYSTEM BACKUP
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ CP-9a.
+ Conducts backups of user-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives];
+
+
+ CP-9b.
+ Conducts backups of system-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives];
+
+
+ CP-9c.
+ Conducts backups of information system documentation including security-related documentation [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; and
+
+
+ CP-9d.
+ Protects the confidentiality, integrity, and availability of backup information at storage locations.
+
+
+
+ System-level information includes, for example, system-state information, operating system and application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed by organizations to protect the integrity of information system backups include, for example, digital signatures and cryptographic hashes. Protection of system backup information while in transit is beyond the scope of this control. Information system backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information.
+ CP-2
+ CP-6
+ MP-4
+ MP-5
+ SC-13
+
+
+
+ CP-9 (1)
+ TESTING FOR RELIABILITY / INTEGRITY
+ MODERATE
+ HIGH
+
+ The organization tests backup information [Assignment: organization-defined frequency] to verify media reliability and information integrity.
+
+
+ CP-4
+
+
+
+ CP-9 (2)
+ TEST RESTORATION USING SAMPLING
+ HIGH
+
+ The organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing.
+
+
+ CP-4
+
+
+
+ CP-9 (3)
+ SEPARATE STORAGE FOR CRITICAL INFORMATION
+ HIGH
+
+ The organization stores backup copies of [Assignment: organization-defined critical information system software and other security-related information] in a separate facility or in a fire-rated container that is not collocated with the operational system.
+
+
+ Critical information system software includes, for example, operating systems, cryptographic key management systems, and intrusion detection/prevention systems. Security-related information includes, for example, organizational inventories of hardware, software, and firmware components. Alternate storage sites typically serve as separate storage facilities for organizations.
+ CM-2
+ CM-8
+
+
+
+ CP-9 (4)
+ PROTECTION FROM UNAUTHORIZED MODIFICATION
+
+ CP-9
+
+
+ [Withdrawn: Incorporated into CP-9].
+
+
+
+ CP-9 (5)
+ TRANSFER TO ALTERNATE STORAGE SITE
+ HIGH
+
+ The organization transfers information system backup information to the alternate storage site [Assignment: organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives].
+
+
+ Information system backup information can be transferred to alternate storage sites either electronically or by physical shipment of storage media.
+
+
+
+ CP-9 (6)
+ REDUNDANT SECONDARY SYSTEM
+
+ The organization accomplishes information system backup by maintaining a redundant secondary system that is not collocated with the primary system and that can be activated without loss of information or disruption to operations.
+
+
+ CP-7
+ CP-10
+
+
+
+ CP-9 (7)
+ DUAL AUTHORIZATION
+
+ The organization enforces dual authorization for the deletion or destruction of [Assignment: organization-defined backup information].
+
+
+ Dual authorization ensures that the deletion or destruction of backup information cannot occur unless two qualified individuals carry out the task. Individuals deleting/destroying backup information possess sufficient skills/expertise to determine if the proposed deletion/destruction of backup information reflects organizational policies and procedures. Dual authorization may also be known as two-person control.
+ AC-3
+ MP-2
+
+
+
+
+
+ NIST Special Publication 800-34
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-10
+ INFORMATION SYSTEM RECOVERY AND RECONSTITUTION
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization provides for the recovery and reconstitution of the information system to a known state after a disruption, compromise, or failure.
+
+
+ Recovery is executing information system contingency plan activities to restore organizational missions/business functions. Reconstitution takes place following recovery and includes activities for returning organizational information systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities, recovery point/time and reconstitution objectives, and established organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of any interim information system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored information system capabilities, reestablishment of continuous monitoring activities, potential information system reauthorizations, and activities to prepare the systems against future disruptions, compromises, or failures. Recovery/reconstitution capabilities employed by organizations can include both automated mechanisms and manual procedures.
+ CA-2
+ CA-6
+ CA-7
+ CP-2
+ CP-6
+ CP-7
+ CP-9
+ SC-24
+
+
+
+ CP-10 (1)
+ CONTINGENCY PLAN TESTING
+
+ CP-4
+
+
+ [Withdrawn: Incorporated into CP-4].
+
+
+
+ CP-10 (2)
+ TRANSACTION RECOVERY
+ MODERATE
+ HIGH
+
+ The information system implements transaction recovery for systems that are transaction-based.
+
+
+ Transaction-based information systems include, for example, database management systems and transaction processing systems. Mechanisms supporting transaction recovery include, for example, transaction rollback and transaction journaling.
+
+
+
+ CP-10 (3)
+ COMPENSATING SECURITY CONTROLS
+
+ Chapter 3
+
+
+ [Withdrawn: Addressed through tailoring procedures].
+
+
+
+ CP-10 (4)
+ RESTORE WITHIN TIME PERIOD
+ HIGH
+
+ The organization provides the capability to restore information system components within [Assignment: organization-defined restoration time-periods] from configuration-controlled and integrity-protected information representing a known, operational state for the components.
+
+
+ Restoration of information system components includes, for example, reimaging which restores components to known, operational states.
+ CM-2
+
+
+
+ CP-10 (5)
+ FAILOVER CAPABILITY
+
+ SI-13
+
+
+ [Withdrawn: Incorporated into SI-13].
+
+
+
+ CP-10 (6)
+ COMPONENT PROTECTION
+
+ The organization protects backup and restoration hardware, firmware, and software.
+
+
+ Protection of backup and restoration hardware, firmware, and software components includes both physical and technical safeguards. Backup and restoration software includes, for example, router tables, compilers, and other security-relevant system software.
+ AC-3
+ AC-6
+ PE-3
+
+
+
+
+
+ Federal Continuity Directive 1
+
+
+ NIST Special Publication 800-34
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-11
+ ALTERNATE COMMUNICATIONS PROTOCOLS
+ P0
+
+ The information system provides the capability to employ [Assignment: organization-defined alternative communications protocols] in support of maintaining continuity of operations.
+
+
+ Contingency plans and the associated training and testing for those plans, incorporate an alternate communications protocol capability as part of increasing the resilience of organizational information systems. Alternate communications protocols include, for example, switching from Transmission Control Protocol/Internet Protocol (TCP/IP) Version 4 to TCP/IP Version 6. Switching communications protocols may affect software applications and therefore, the potential side effects of introducing alternate communications protocols are analyzed prior to implementation.
+
+
+
+ CONTINGENCY PLANNING
+ CP-12
+ SAFE MODE
+ P0
+
+ The information system, when [Assignment: organization-defined conditions] are detected, enters a safe mode of operation with [Assignment: organization-defined restrictions of safe mode of operation].
+
+
+ For information systems supporting critical missions/business functions including, for example, military operations and weapons systems, civilian space operations, nuclear power plant operations, and air traffic control operations (especially real-time operational environments), organizations may choose to identify certain conditions under which those systems revert to a predefined safe mode of operation. The safe mode of operation, which can be activated automatically or manually, restricts the types of activities or operations information systems could execute when those conditions are encountered. Restriction includes, for example, allowing only certain functions that could be carried out under limited power or with reduced communications bandwidth.
+
+
+
+ CONTINGENCY PLANNING
+ CP-13
+ ALTERNATIVE SECURITY MECHANISMS
+ P0
+
+ The organization employs [Assignment: organization-defined alternative or supplemental security mechanisms] for satisfying [Assignment: organization-defined security functions] when the primary means of implementing the security function is unavailable or compromised.
+
+
+ This control supports information system resiliency and contingency planning/continuity of operations. To ensure mission/business continuity, organizations can implement alternative or supplemental security mechanisms. These mechanisms may be less effective than the primary mechanisms (e.g., not as easy to use, not as scalable, or not as secure). However, having the capability to readily employ these alternative/supplemental mechanisms enhances overall mission/business continuity that might otherwise be adversely impacted if organizational operations had to be curtailed until the primary means of implementing the functions was restored. Given the cost and level of effort required to provide such alternative capabilities, this control would typically be applied only to critical security capabilities provided by information systems, system components, or information system services. For example, an organization may issue to senior executives and system administrators one-time pads in case multifactor tokens, the organization�s standard means for secure remote authentication, is compromised.
+ CP-2
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-1
+ IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ IA-1a.
+ Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
+
+ IA-1a.1.
+ An identification and authentication policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ IA-1a.2.
+ Procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls; and
+
+
+
+ IA-1b.
+ Reviews and updates the current:
+
+ IA-1b.1.
+ Identification and authentication policy [Assignment: organization-defined frequency]; and
+
+
+ IA-1b.2.
+ Identification and authentication procedures [Assignment: organization-defined frequency].
+
+
+
+
+ This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-63
+
+
+ NIST Special Publication 800-73
+
+
+ NIST Special Publication 800-76
+
+
+ NIST Special Publication 800-78
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-2
+ IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).
+
+
+ Organizational users include employees or individuals that organizations deem to have equivalent status of employees (e.g., contractors, guest researchers). This control applies to all accesses other than: (i) accesses that are explicitly identified and documented in AC-14; and (ii) accesses that occur through authorized use of group authenticators without individual authentication. Organizations may require unique identification of individuals in group accounts (e.g., shared privilege accounts) or for detailed accountability of individual activity. Organizations employ passwords, tokens, or biometrics to authenticate user identities, or in the case multifactor authentication, or some combination thereof. Access to organizational information systems is defined as either local access or network access. Local access is any access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained by direct connections without the use of networks. Network access is access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks (e.g., the Internet). Internal networks include local area networks and wide area networks. In addition, the use of encrypted virtual private networks (VPNs) for network connections between organization-controlled endpoints and non-organization controlled endpoints may be treated as internal networks from the perspective of protecting the confidentiality and integrity of information traversing the network.
+Organizations can satisfy the identification and authentication requirements in this control by complying with the requirements in Homeland Security Presidential Directive 12 consistent with the specific organizational implementation plans. Multifactor authentication requires the use of two or more different factors to achieve authentication. The factors are defined as: (i) something you know (e.g., password, personal identification number [PIN]); (ii) something you have (e.g., cryptographic identification device, token); or (iii) something you are (e.g., biometric). Multifactor solutions that require devices separate from information systems gaining access include, for example, hardware tokens providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card and the DoD common access card. In addition to identifying and authenticating users at the information system level (i.e., at logon), organizations also employ identification and authentication mechanisms at the application level, when necessary, to provide increased information security. Identification and authentication requirements for other than organizational users are described in IA-8.
+ AC-2
+ AC-3
+ AC-14
+ AC-17
+ AC-18
+ IA-4
+ IA-5
+ IA-8
+
+
+
+ IA-2 (1)
+ NETWORK ACCESS TO PRIVILEGED ACCOUNTS
+ LOW
+ MODERATE
+ HIGH
+
+ The information system implements multifactor authentication for network access to privileged accounts.
+
+
+ AC-6
+
+
+
+ IA-2 (2)
+ NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS
+ MODERATE
+ HIGH
+
+ The information system implements multifactor authentication for network access to non-privileged accounts.
+
+
+
+ IA-2 (3)
+ LOCAL ACCESS TO PRIVILEGED ACCOUNTS
+ MODERATE
+ HIGH
+
+ The information system implements multifactor authentication for local access to privileged accounts.
+
+
+ AC-6
+
+
+
+ IA-2 (4)
+ LOCAL ACCESS TO NON-PRIVILEGED ACCOUNTS
+ HIGH
+
+ The information system implements multifactor authentication for local access to non-privileged accounts.
+
+
+
+ IA-2 (5)
+ GROUP AUTHENTICATION
+
+ The organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed.
+
+
+ Requiring individuals to use individual authenticators as a second level of authentication helps organizations to mitigate the risk of using group authenticators.
+
+
+
+ IA-2 (6)
+ NETWORK ACCESS TO PRIVILEGED ACCOUNTS - SEPARATE DEVICE
+
+ The information system implements multifactor authentication for network access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets [Assignment: organization-defined strength of mechanism requirements].
+
+
+ AC-6
+
+
+
+ IA-2 (7)
+ NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - SEPARATE DEVICE
+
+ The information system implements multifactor authentication for network access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets [Assignment: organization-defined strength of mechanism requirements].
+
+
+
+ IA-2 (8)
+ NETWORK ACCESS TO PRIVILEGED ACCOUNTS - REPLAY RESISTANT
+ MODERATE
+ HIGH
+
+ The information system implements replay-resistant authentication mechanisms for network access to privileged accounts.
+
+
+ Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.
+
+
+
+ IA-2 (9)
+ NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - REPLAY RESISTANT
+ HIGH
+
+ The information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts.
+
+
+ Authentication processes resist replay attacks if it is impractical to achieve successful authentications by recording/replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.
+
+
+
+ IA-2 (10)
+ SINGLE SIGN-ON
+
+ The information system provides a single sign-on capability for [Assignment: organization-defined information system accounts and services].
+
+
+ Single sign-on enables users to log in once and gain access to multiple information system resources. Organizations consider the operational efficiencies provided by single sign-on capabilities with the increased risk from disclosures of single authenticators providing access to multiple system resources.
+
+
+
+ IA-2 (11)
+ REMOTE ACCESS - SEPARATE DEVICE
+ MODERATE
+ HIGH
+
+ The information system implements multifactor authentication for remote access to privileged and non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets [Assignment: organization-defined strength of mechanism requirements].
+
+
+ For remote access to privileged/non-privileged accounts, the purpose of requiring a device that is separate from the information system gaining access for one of the factors during multifactor authentication is to reduce the likelihood of compromising authentication credentials stored on the system. For example, adversaries deploying malicious code on organizational information systems can potentially compromise such credentials resident on the system and subsequently impersonate authorized users.
+ AC-6
+
+
+
+ IA-2 (12)
+ ACCEPTANCE OF PIV CREDENTIALS
+ LOW
+ MODERATE
+ HIGH
+
+ The information system accepts and electronically verifies Personal Identity Verification (PIV) credentials.
+
+
+ This control enhancement applies to organizations implementing logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.
+ AU-2
+ PE-3
+ SA-4
+
+
+
+ IA-2 (13)
+ OUT-OF-BAND AUTHENTICATION
+
+ The information system implements [Assignment: organization-defined out-of-band authentication] under [Assignment: organization-defined conditions].
+
+
+ Out-of-band authentication (OOBA) refers to the use of two separate communication paths to identify and authenticate users or devices to an information system. The first path (i.e., the in-band path), is used to identify and authenticate users or devices, and generally is the path through which information flows. The second path (i.e., the out-of-band path) is used to independently verify the authentication and/or requested action. For example, a user authenticates via a notebook computer to a remote server to which the user desires access, and requests some action of the server via that communication path. Subsequently, the server contacts the user via the user�s cell phone to verify that the requested action originated from the user. The user may either confirm the intended action to an individual on the telephone or provide an authentication code via the telephone. This type of authentication can be employed by organizations to mitigate actual or suspected man-in the-middle attacks. The conditions for activation can include, for example, suspicious activities, new threat indicators or elevated threat levels, or the impact level or classification level of information in requested transactions.
+ IA-10
+ IA-11
+ SC-37
+
+
+
+
+
+ HSPD-12
+
+
+ OMB Memorandum 04-04
+
+
+ OMB Memorandum 06-16
+
+
+ OMB Memorandum 11-11
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-63
+
+
+ NIST Special Publication 800-73
+
+
+ NIST Special Publication 800-76
+
+
+ NIST Special Publication 800-78
+
+
+ FICAM Roadmap and Implementation Guidance
+
+
+ http://idmanagement.gov
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-3
+ DEVICE IDENTIFICATION AND AUTHENTICATION
+ P1
+ MODERATE
+ HIGH
+
+ The information system uniquely identifies and authenticates [Assignment: organization-defined specific and/or types of devices] before establishing a [Selection (one or more): local; remote; network] connection.
+
+
+ Organizational devices requiring unique device-to-device identification and authentication may be defined by type, by device, or by a combination of type/device. Information systems typically use either shared known information (e.g., Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on local and/or wide area networks. Organizations determine the required strength of authentication mechanisms by the security categories of information systems. Because of the challenges of applying this control on large scale, organizations are encouraged to only apply the control to those limited number (and type) of devices that truly need to support this capability.
+ AC-17
+ AC-18
+ AC-19
+ CA-3
+ IA-4
+ IA-5
+
+
+
+ IA-3 (1)
+ CRYPTOGRAPHIC BIDIRECTIONAL AUTHENTICATION
+
+ The information system authenticates [Assignment: organization-defined specific devices and/or types of devices] before establishing [Selection (one or more): local; remote; network] connection using bidirectional authentication that is cryptographically based.
+
+
+ A local connection is any connection with a device communicating without the use of a network. A network connection is any connection with a device that communicates through a network (e.g., local area or wide area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Bidirectional authentication provides stronger safeguards to validate the identity of other devices for connections that are of greater risk (e.g., remote connections).
+ SC-8
+ SC-12
+ SC-13
+
+
+
+ IA-3 (2)
+ CRYPTOGRAPHIC BIDIRECTIONAL NETWORK AUTHENTICATION
+
+ IA-3 (1)
+
+
+ [Withdrawn: Incorporated into IA-3 (1)].
+
+
+
+ IA-3 (3)
+ DYNAMIC ADDRESS ALLOCATION
+
+ The organization:
+
+ IA-3 (3)(a)
+ Standardizes dynamic address allocation lease information and the lease duration assigned to devices in accordance with [Assignment: organization-defined lease information and lease duration]; and
+
+
+ IA-3 (3)(b)
+ Audits lease information when assigned to a device.
+
+
+
+ DHCP-enabled clients obtaining leases for IP addresses from DHCP servers, is a typical example of dynamic address allocation for devices.
+ AU-2
+ AU-3
+ AU-6
+ AU-12
+
+
+
+ IA-3 (4)
+ DEVICE ATTESTATION
+
+ The organization ensures that device identification and authentication based on attestation is handled by [Assignment: organization-defined configuration management process].
+
+
+ Device attestation refers to the identification and authentication of a device based on its configuration and known operating state. This might be determined via some cryptographic hash of the device. If device attestation is the means of identification and authentication, then it is important that patches and updates to the device are handled via a configuration management process such that the those patches/updates are done securely and at the same time do not disrupt the identification and authentication to other devices.
+
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-4
+ IDENTIFIER MANAGEMENT
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization manages information system identifiers by:
+
+ IA-4a.
+ Receiving authorization from [Assignment: organization-defined personnel or roles] to assign an individual, group, role, or device identifier;
+
+
+ IA-4b.
+ Selecting an identifier that identifies an individual, group, role, or device;
+
+
+ IA-4c.
+ Assigning the identifier to the intended individual, group, role, or device;
+
+
+ IA-4d.
+ Preventing reuse of identifiers for [Assignment: organization-defined time period]; and
+
+
+ IA-4e.
+ Disabling the identifier after [Assignment: organization-defined time period of inactivity].
+
+
+
+ Common device identifiers include, for example, media access control (MAC), Internet protocol (IP) addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared information system accounts (e.g., guest and anonymous accounts). Typically, individual identifiers are the user names of the information system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4. This control also addresses individual identifiers not necessarily associated with information system accounts (e.g., identifiers used in physical security control databases accessed by badge reader systems for access to information systems). Preventing reuse of identifiers implies preventing the assignment of previously used individual, group, role, or device identifiers to different individuals, groups, roles, or devices.
+ AC-2
+ IA-2
+ IA-3
+ IA-5
+ IA-8
+ SC-37
+
+
+
+ IA-4 (1)
+ PROHIBIT ACCOUNT IDENTIFIERS AS PUBLIC IDENTIFIERS
+
+ The organization prohibits the use of information system account identifiers that are the same as public identifiers for individual electronic mail accounts.
+
+
+ Prohibiting the use of information systems account identifiers that are the same as some public identifier such as the individual identifier section of an electronic mail address, makes it more difficult for adversaries to guess user identifiers on organizational information systems.
+ AT-2
+
+
+
+ IA-4 (2)
+ SUPERVISOR AUTHORIZATION
+
+ The organization requires that the registration process to receive an individual identifier includes supervisor authorization.
+
+
+
+ IA-4 (3)
+ MULTIPLE FORMS OF CERTIFICATION
+
+ The organization requires multiple forms of certification of individual identification be presented to the registration authority.
+
+
+ Requiring multiple forms of identification, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity, or at least increases the work factor of potential adversaries.
+
+
+
+ IA-4 (4)
+ IDENTIFY USER STATUS
+
+ The organization manages individual identifiers by uniquely identifying each individual as [Assignment: organization-defined characteristic identifying individual status].
+
+
+ Characteristics identifying the status of individuals include, for example, contractors and foreign nationals. Identifying the status of individuals by specific characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor.
+ AT-2
+
+
+
+ IA-4 (5)
+ DYNAMIC MANAGEMENT
+
+ The information system dynamically manages identifiers.
+
+
+ In contrast to conventional approaches to identification which presume static accounts for preregistered users, many distributed information systems including, for example, service-oriented architectures, rely on establishing identifiers at run time for entities that were previously unknown. In these situations, organizations anticipate and provision for the dynamic establishment of identifiers. Preestablished trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.
+ AC-16
+
+
+
+ IA-4 (6)
+ CROSS-ORGANIZATION MANAGEMENT
+
+ The organization coordinates with [Assignment: organization-defined external organizations] for cross-organization management of identifiers.
+
+
+ Cross-organization identifier management provides the capability for organizations to appropriately identify individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.
+
+
+
+ IA-4 (7)
+ IN-PERSON REGISTRATION
+
+ The organization requires that the registration process to receive an individual identifier be conducted in person before a designated registration authority.
+
+
+ In-person registration reduces the likelihood of fraudulent identifiers being issued because it requires the physical presence of individuals and actual face-to-face interactions with designated registration authorities.
+
+
+
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-73
+
+
+ NIST Special Publication 800-76
+
+
+ NIST Special Publication 800-78
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-5
+ AUTHENTICATOR MANAGEMENT
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization manages information system authenticators by:
+
+ IA-5a.
+ Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, or device receiving the authenticator;
+
+
+ IA-5b.
+ Establishing initial authenticator content for authenticators defined by the organization;
+
+
+ IA-5c.
+ Ensuring that authenticators have sufficient strength of mechanism for their intended use;
+
+
+ IA-5d.
+ Establishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators;
+
+
+ IA-5e.
+ Changing default content of authenticators prior to information system installation;
+
+
+ IA-5f.
+ Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators;
+
+
+ IA-5g.
+ Changing/refreshing authenticators [Assignment: organization-defined time period by authenticator type];
+
+
+ IA-5h.
+ Protecting authenticator content from unauthorized disclosure and modification;
+
+
+ IA-5i.
+ Requiring individuals to take, and having devices implement, specific security safeguards to protect authenticators; and
+
+
+ IA-5j.
+ Changing authenticators for group/role accounts when membership to those accounts changes.
+
+
+
+ Individual authenticators include, for example, passwords, tokens, biometrics, PKI certificates, and key cards. Initial authenticator content is the actual content (e.g., the initial password) as opposed to requirements about authenticator content (e.g., minimum password length). In many cases, developers ship information system components with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant security risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 for authenticators stored within organizational information systems (e.g., passwords stored in hashed or encrypted formats, files containing encrypted or hashed passwords accessible with administrator privileges). Information systems support individual authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, password composition, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication. Specific actions that can be taken to safeguard authenticators include, for example, maintaining possession of individual authenticators, not loaning or sharing individual authenticators with others, and reporting lost, stolen, or compromised authenticators immediately. Authenticator management includes issuing and revoking, when no longer needed, authenticators for temporary access such as that required for remote maintenance. Device authenticators include, for example, certificates and passwords.
+ AC-2
+ AC-3
+ AC-6
+ CM-6
+ IA-2
+ IA-4
+ IA-8
+ PL-4
+ PS-5
+ PS-6
+ SC-12
+ SC-13
+ SC-17
+ SC-28
+
+
+
+ IA-5 (1)
+ PASSWORD-BASED AUTHENTICATION
+ LOW
+ MODERATE
+ HIGH
+
+ The information system, for password-based authentication:
+
+ IA-5 (1)(a)
+ Enforces minimum password complexity of [Assignment: organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type];
+
+
+ IA-5 (1)(b)
+ Enforces at least the following number of changed characters when new passwords are created: [Assignment: organization-defined number];
+
+
+ IA-5 (1)(c)
+ Stores and transmits only cryptographically-protected passwords;
+
+
+ IA-5 (1)(d)
+ Enforces password minimum and maximum lifetime restrictions of [Assignment: organization-defined numbers for lifetime minimum, lifetime maximum];
+
+
+ IA-5 (1)(e)
+ Prohibits password reuse for [Assignment: organization-defined number] generations; and
+
+
+ IA-5 (1)(f)
+ Allows the use of a temporary password for system logons with an immediate change to a permanent password.
+
+
+
+ This control enhancement applies to single-factor authentication of individuals using passwords as individual or group authenticators, and in a similar manner, when passwords are part of multifactor authenticators. This control enhancement does not apply when passwords are used to unlock hardware authenticators (e.g., Personal Identity Verification cards). The implementation of such password mechanisms may not meet all of the requirements in the enhancement. Cryptographically-protected passwords include, for example, encrypted versions of passwords and one-way cryptographic hashes of passwords. The number of changed characters refers to the number of changes required with respect to the total number of positions in the current password. Password lifetime restrictions do not apply to temporary passwords. To mitigate certain brute force attacks against passwords, organizations may also consider salting passwords.
+ IA-6
+
+
+
+ IA-5 (2)
+ PKI-BASED AUTHENTICATION
+ MODERATE
+ HIGH
+
+ The information system, for PKI-based authentication:
+
+ IA-5 (2)(a)
+ Validates certifications by constructing and verifying a certification path to an accepted trust anchor including checking certificate status information;
+
+
+ IA-5 (2)(b)
+ Enforces authorized access to the corresponding private key;
+
+
+ IA-5 (2)(c)
+ Maps the authenticated identity to the account of the individual or group; and
+
+
+ IA-5 (2)(d)
+ Implements a local cache of revocation data to support path discovery and validation in case of inability to access revocation information via the network.
+
+
+
+ Status information for certification paths includes, for example, certificate revocation lists or certificate status protocol responses. For PIV cards, validation of certifications involves the construction and verification of a certification path to the Common Policy Root trust anchor including certificate policy processing.
+ IA-6
+
+
+
+ IA-5 (3)
+ IN-PERSON OR TRUSTED THIRD-PARTY REGISTRATION
+ MODERATE
+ HIGH
+
+ The organization requires that the registration process to receive [Assignment: organization-defined types of and/or specific authenticators] be conducted [Selection: in person; by a trusted third party] before [Assignment: organization-defined registration authority] with authorization by [Assignment: organization-defined personnel or roles].
+
+
+
+ IA-5 (4)
+ AUTOMATED SUPPORT FOR PASSWORD STRENGTH DETERMINATION
+
+ The organization employs automated tools to determine if password authenticators are sufficiently strong to satisfy [Assignment: organization-defined requirements].
+
+
+ This control enhancement focuses on the creation of strong passwords and the characteristics of such passwords (e.g., complexity) prior to use, the enforcement of which is carried out by organizational information systems in IA-5 (1).
+ CA-2
+ CA-7
+ RA-5
+
+
+
+ IA-5 (5)
+ CHANGE AUTHENTICATORS PRIOR TO DELIVERY
+
+ The organization requires developers/installers of information system components to provide unique authenticators or change default authenticators prior to delivery/installation.
+
+
+ This control enhancement extends the requirement for organizations to change default authenticators upon information system installation, by requiring developers and/or installers to provide unique authenticators or change default authenticators for system components prior to delivery and/or installation. However, it typically does not apply to the developers of commercial off-the-shelve information technology products. Requirements for unique authenticators can be included in acquisition documents prepared by organizations when procuring information systems or system components.
+
+
+
+ IA-5 (6)
+ PROTECTION OF AUTHENTICATORS
+
+ The organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access.
+
+
+ For information systems containing multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems.
+
+
+
+ IA-5 (7)
+ NO EMBEDDED UNENCRYPTED STATIC AUTHENTICATORS
+
+ The organization ensures that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys.
+
+
+ Organizations exercise caution in determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators. This is irrespective of whether that representation is perhaps an encrypted version of something else (e.g., a password).
+
+
+
+ IA-5 (8)
+ MULTIPLE INFORMATION SYSTEM ACCOUNTS
+
+ The organization implements [Assignment: organization-defined security safeguards] to manage the risk of compromise due to individuals having accounts on multiple information systems.
+
+
+ When individuals have accounts on multiple information systems, there is the risk that the compromise of one account may lead to the compromise of other accounts if individuals use the same authenticators. Possible alternatives include, for example: (i) having different authenticators on all systems; (ii) employing some form of single sign-on mechanism; or (iii) including some form of one-time passwords on all systems.
+
+
+
+ IA-5 (9)
+ CROSS-ORGANIZATION CREDENTIAL MANAGEMENT
+
+ The organization coordinates with [Assignment: organization-defined external organizations] for cross-organization management of credentials.
+
+
+ Cross-organization management of credentials provides the capability for organizations to appropriately authenticate individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.
+
+
+
+ IA-5 (10)
+ DYNAMIC CREDENTIAL ASSOCIATION
+
+ The information system dynamically provisions identities.
+
+
+ Authentication requires some form of binding between an identity and the authenticator used to confirm the identity. In conventional approaches, this binding is established by pre-provisioning both the identity and the authenticator to the information system. For example, the binding between a username (i.e., identity) and a password (i.e., authenticator) is accomplished by provisioning the identity and authenticator as a pair in the information system. New authentication techniques allow the binding between the identity and the authenticator to be implemented outside an information system. For example, with smartcard credentials, the identity and the authenticator are bound together on the card. Using these credentials, information systems can authenticate identities that have not been pre-provisioned, dynamically provisioning the identity after authentication. In these situations, organizations can anticipate the dynamic provisioning of identities. Preestablished trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.
+
+
+
+ IA-5 (11)
+ HARDWARE TOKEN-BASED AUTHENTICATION
+ LOW
+ MODERATE
+ HIGH
+
+ The information system, for hardware token-based authentication, employs mechanisms that satisfy [Assignment: organization-defined token quality requirements].
+
+
+ Hardware token-based authentication typically refers to the use of PKI-based tokens, such as the U.S. Government Personal Identity Verification (PIV) card. Organizations define specific requirements for tokens, such as working with a particular PKI.
+
+
+
+ IA-5 (12)
+ BIOMETRIC-BASED AUTHENTICATION
+
+ The information system, for biometric-based authentication, employs mechanisms that satisfy [Assignment: organization-defined biometric quality requirements].
+
+
+ Unlike password-based authentication which provides exact matches of user-input passwords to stored passwords, biometric authentication does not provide such exact matches. Depending upon the type of biometric and the type of collection mechanism, there is likely to be some divergence from the presented biometric and stored biometric which serves as the basis of comparison. There will likely be both false positives and false negatives when making such comparisons. The rate at which the false accept and false reject rates are equal is known as the crossover rate. Biometric quality requirements include, for example, acceptable crossover rates, as that essentially reflects the accuracy of the biometric.
+
+
+
+ IA-5 (13)
+ EXPIRATION OF CACHED AUTHENTICATORS
+
+ The information system prohibits the use of cached authenticators after [Assignment: organization-defined time period].
+
+
+
+ IA-5 (14)
+ MANAGING CONTENT OF PKI TRUST STORES
+
+ The organization, for PKI-based authentication, employs a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including networks, operating systems, browsers, and applications.
+
+
+
+ IA-5 (15)
+ FICAM-APPROVED PRODUCTS AND SERVICES
+
+ The organization uses only FICAM-approved path discovery and validation products and services.
+
+
+ Federal Identity, Credential, and Access Management (FICAM)-approved path discovery and validation products and services are those products and services that have been approved through the FICAM conformance program, where applicable.
+
+
+
+
+
+ OMB Memorandum 04-04
+
+
+ OMB Memorandum 11-11
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-73
+
+
+ NIST Special Publication 800-63
+
+
+ NIST Special Publication 800-76
+
+
+ NIST Special Publication 800-78
+
+
+ FICAM Roadmap and Implementation Guidance
+
+
+ http://idmanagement.gov
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-6
+ AUTHENTICATOR FEEDBACK
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.
+
+
+ The feedback from information systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of information systems or system components, for example, desktops/notebooks with relatively large monitors, the threat (often referred to as shoulder surfing) may be significant. For other types of systems or components, for example, mobile devices with 2-4 inch screens, this threat may be less significant, and may need to be balanced against the increased likelihood of typographic input errors due to the small keyboards. Therefore, the means for obscuring the authenticator feedback is selected accordingly. Obscuring the feedback of authentication information includes, for example, displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before fully obscuring it.
+ PE-18
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-7
+ CRYPTOGRAPHIC MODULE AUTHENTICATION
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.
+
+
+ Authentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role.
+ SC-12
+ SC-13
+
+
+
+ FIPS Publication 140
+
+
+ http://csrc.nist.gov/groups/STM/cmvp/index.html
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-8
+ IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).
+
+
+ Non-organizational users include information system users other than organizational users explicitly covered by IA-2. These individuals are uniquely identified and authenticated for accesses other than those accesses explicitly identified and documented in AC-14. In accordance with the E-Authentication E-Government initiative, authentication of non-organizational users accessing federal information systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations use risk assessments to determine authentication needs and consider scalability, practicality, and security in balancing the need to ensure ease of use for access to federal information and information systems with the need to protect and adequately mitigate risk. IA-2 addresses identification and authentication requirements for access to information systems by organizational users.
+ AC-2
+ AC-14
+ AC-17
+ AC-18
+ IA-2
+ IA-4
+ IA-5
+ MA-4
+ RA-3
+ SA-12
+ SC-8
+
+
+
+ IA-8 (1)
+ ACCEPTANCE OF PIV CREDENTIALS FROM OTHER AGENCIES
+ LOW
+ MODERATE
+ HIGH
+
+ The information system accepts and electronically verifies Personal Identity Verification (PIV) credentials from other federal agencies.
+
+
+ This control enhancement applies to logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.
+ AU-2
+ PE-3
+ SA-4
+
+
+
+ IA-8 (2)
+ ACCEPTANCE OF THIRD-PARTY CREDENTIALS
+ LOW
+ MODERATE
+ HIGH
+
+ The information system accepts only FICAM-approved third-party credentials.
+
+
+ This control enhancement typically applies to organizational information systems that are accessible to the general public, for example, public-facing websites. Third-party credentials are those credentials issued by nonfederal government entities approved by the Federal Identity, Credential, and Access Management (FICAM) Trust Framework Solutions initiative. Approved third-party credentials meet or exceed the set of minimum federal government-wide technical, security, privacy, and organizational maturity requirements. This allows federal government relying parties to trust such credentials at their approved assurance levels.
+ AU-2
+
+
+
+ IA-8 (3)
+ USE OF FICAM-APPROVED PRODUCTS
+ LOW
+ MODERATE
+ HIGH
+
+ The organization employs only FICAM-approved information system components in [Assignment: organization-defined information systems] to accept third-party credentials.
+
+
+ This control enhancement typically applies to information systems that are accessible to the general public, for example, public-facing websites. FICAM-approved information system components include, for example, information technology products and software libraries that have been approved by the Federal Identity, Credential, and Access Management conformance program.
+ SA-4
+
+
+
+ IA-8 (4)
+ USE OF FICAM-ISSUED PROFILES
+ LOW
+ MODERATE
+ HIGH
+
+ The information system conforms to FICAM-issued profiles.
+
+
+ This control enhancement addresses open identity management standards. To ensure that these standards are viable, robust, reliable, sustainable (e.g., available in commercial information technology products), and interoperable as documented, the United States Government assesses and scopes identity management standards and technology implementations against applicable federal legislation, directives, policies, and requirements. The result is FICAM-issued implementation profiles of approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute Exchange).
+ SA-4
+
+
+
+ IA-8 (5)
+ ACCEPTANCE OF PIV-I CREDENTIALS
+
+ The information system accepts and electronically verifies Personal Identity Verification-I (PIV-I) credentials.
+
+
+ This control enhancement: (i) applies to logical and physical access control systems; and (ii) addresses Non-Federal Issuers (NFIs) of identity cards that desire to interoperate with United States Government Personal Identity Verification (PIV) information systems and that can be trusted by federal government-relying parties. The X.509 certificate policy for the Federal Bridge Certification Authority (FBCA) addresses PIV-I requirements. The PIV-I card is suitable for Assurance Level 4 as defined in OMB Memorandum 04-04 and NIST Special Publication 800-63, and multifactor authentication as defined in NIST Special Publication 800-116. PIV-I credentials are those credentials issued by a PIV-I provider whose PIV-I certificate policy maps to the Federal Bridge PIV-I Certificate Policy. A PIV-I provider is cross-certified (directly or through another PKI bridge) with the FBCA with policies that have been mapped and approved as meeting the requirements of the PIV-I policies defined in the FBCA certificate policy.
+ AU-2
+
+
+
+
+
+ OMB Memorandum 04-04
+
+
+ OMB Memorandum 11-11
+
+
+ OMB Memorandum 10-06-2011
+
+
+ FICAM Roadmap and Implementation Guidance
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-63
+
+
+ NIST Special Publication 800-116
+
+
+ National Strategy for Trusted Identities in Cyberspace
+
+
+ http://idmanagement.gov
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-9
+ SERVICE IDENTIFICATION AND AUTHENTICATION
+ P0
+
+ The organization identifies and authenticates [Assignment: organization-defined information system services] using [Assignment: organization-defined security safeguards].
+
+
+ This control supports service-oriented architectures and other distributed architectural approaches requiring the identification and authentication of information system services. In such architectures, external services often appear dynamically. Therefore, information systems should be able to determine in a dynamic manner, if external providers and associated services are authentic. Safeguards implemented by organizational information systems to validate provider and service authenticity include, for example, information or code signing, provenance graphs, and/or electronic signatures indicating or including the sources of services.
+
+
+
+ IA-9 (1)
+ INFORMATION EXCHANGE
+
+ The organization ensures that service providers receive, validate, and transmit identification and authentication information.
+
+
+
+ IA-9 (2)
+ TRANSMISSION OF DECISIONS
+
+ The organization ensures that identification and authentication decisions are transmitted between [Assignment: organization-defined services] consistent with organizational policies.
+
+
+ For distributed architectures (e.g., service-oriented architectures), the decisions regarding the validation of identification and authentication claims may be made by services separate from the services acting on those decisions. In such situations, it is necessary to provide the identification and authentication decisions (as opposed to the actual identifiers and authenticators) to the services that need to act on those decisions.
+ SC-8
+
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-10
+ ADAPTIVE IDENTIFICATION AND AUTHENTICATION
+ P0
+
+ The organization requires that individuals accessing the information system employ [Assignment: organization-defined supplemental authentication techniques or mechanisms] under specific [Assignment: organization-defined circumstances or situations].
+
+
+ Adversaries may compromise individual authentication mechanisms and subsequently attempt to impersonate legitimate users. This situation can potentially occur with any authentication mechanisms employed by organizations. To address this threat, organizations may employ specific techniques/mechanisms and establish protocols to assess suspicious behavior (e.g., individuals accessing information that they do not typically access as part of their normal duties, roles, or responsibilities, accessing greater quantities of information than the individuals would routinely access, or attempting to access information from suspicious network addresses). In these situations when certain preestablished conditions or triggers occur, organizations can require selected individuals to provide additional authentication information. Another potential use for adaptive identification and authentication is to increase the strength of mechanism based on the number and/or types of records being accessed.
+ AU-6
+ SI-4
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-11
+ RE-AUTHENTICATION
+ P0
+
+ The organization requires users and devices to re-authenticate when [Assignment: organization-defined circumstances or situations requiring re-authentication].
+
+
+ In addition to the re-authentication requirements associated with session locks, organizations may require re-authentication of individuals and/or devices in other situations including, for example: (i) when authenticators change; (ii), when roles change; (iii) when security categories of information systems change; (iv), when the execution of privileged functions occurs; (v) after a fixed period of time; or (vi) periodically.
+ AC-11
+
+
+
+ INCIDENT RESPONSE
+ IR-1
+ INCIDENT RESPONSE POLICY AND PROCEDURES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ IR-1a.
+ Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
+
+ IR-1a.1.
+ An incident response policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ IR-1a.2.
+ Procedures to facilitate the implementation of the incident response policy and associated incident response controls; and
+
+
+
+ IR-1b.
+ Reviews and updates the current:
+
+ IR-1b.1.
+ Incident response policy [Assignment: organization-defined frequency]; and
+
+
+ IR-1b.2.
+ Incident response procedures [Assignment: organization-defined frequency].
+
+
+
+
+ This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IR family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-61
+
+
+ NIST Special Publication 800-83
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ INCIDENT RESPONSE
+ IR-2
+ INCIDENT RESPONSE TRAINING
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The organization provides incident response training to information system users consistent with assigned roles and responsibilities:
+
+ IR-2a.
+ Within [Assignment: organization-defined time period] of assuming an incident response role or responsibility;
+
+
+ IR-2b.
+ When required by information system changes; and
+
+
+ IR-2c.
+ [Assignment: organization-defined frequency] thereafter.
+
+
+
+ Incident response training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, regular users may only need to know who to call or how to recognize an incident on the information system; system administrators may require additional training on how to handle/remediate incidents; and incident responders may receive more specific training on forensics, reporting, system recovery, and restoration. Incident response training includes user training in the identification and reporting of suspicious activities, both from external and internal sources.
+ AT-3
+ CP-3
+ IR-8
+
+
+
+ IR-2 (1)
+ SIMULATED EVENTS
+ HIGH
+
+ The organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations.
+
+
+
+ IR-2 (2)
+ AUTOMATED TRAINING ENVIRONMENTS
+ HIGH
+
+ The organization employs automated mechanisms to provide a more thorough and realistic incident response training environment.
+
+
+
+
+
+ NIST Special Publication 800-16
+
+
+ NIST Special Publication 800-50
+
+
+
+
+ INCIDENT RESPONSE
+ IR-3
+ INCIDENT RESPONSE TESTING
+ P2
+ MODERATE
+ HIGH
+
+ The organization tests the incident response capability for the information system [Assignment: organization-defined frequency] using [Assignment: organization-defined tests] to determine the incident response effectiveness and documents the results.
+
+
+ Organizations test incident response capabilities to determine the overall effectiveness of the capabilities and to identify potential weaknesses or deficiencies. Incident response testing includes, for example, the use of checklists, walk-through or tabletop exercises, simulations (parallel/full interrupt), and comprehensive exercises. Incident response testing can also include a determination of the effects on organizational operations (e.g., reduction in mission capabilities), organizational assets, and individuals due to incident response.
+ CP-4
+ IR-8
+
+
+
+ IR-3 (1)
+ AUTOMATED TESTING
+
+ The organization employs automated mechanisms to more thoroughly and effectively test the incident response capability.
+
+
+ Organizations use automated mechanisms to more thoroughly and effectively test incident response capabilities, for example: (i) by providing more complete coverage of incident response issues; (ii) by selecting more realistic test scenarios and test environments; and (iii) by stressing the response capability.
+ AT-2
+
+
+
+ IR-3 (2)
+ COORDINATION WITH RELATED PLANS
+ MODERATE
+ HIGH
+
+ The organization coordinates incident response testing with organizational elements responsible for related plans.
+
+
+ Organizational plans related to incident response testing include, for example, Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, and Occupant Emergency Plans.
+
+
+
+
+
+ NIST Special Publication 800-84
+
+
+ NIST Special Publication 800-115
+
+
+
+
+ INCIDENT RESPONSE
+ IR-4
+ INCIDENT HANDLING
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ IR-4a.
+ Implements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery;
+
+
+ IR-4b.
+ Coordinates incident handling activities with contingency planning activities; and
+
+
+ IR-4c.
+ Incorporates lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implements the resulting changes accordingly.
+
+
+
+ Organizations recognize that incident response capability is dependent on the capabilities of organizational information systems and the mission/business processes being supported by those systems. Therefore, organizations consider incident response as part of the definition, design, and development of mission/business processes and information systems. Incident-related information can be obtained from a variety of sources including, for example, audit monitoring, network monitoring, physical access monitoring, user/administrator reports, and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities including, for example, mission/business owners, information system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive (function).
+ AU-6
+ CM-6
+ CP-2
+ CP-4
+ IR-2
+ IR-3
+ IR-8
+ PE-6
+ SC-5
+ SC-7
+ SI-3
+ SI-4
+ SI-7
+
+
+
+ IR-4 (1)
+ AUTOMATED INCIDENT HANDLING PROCESSES
+ MODERATE
+ HIGH
+
+ The organization employs automated mechanisms to support the incident handling process.
+
+
+ Automated mechanisms supporting incident handling processes include, for example, online incident management systems.
+
+
+
+ IR-4 (2)
+ DYNAMIC RECONFIGURATION
+
+ The organization includes dynamic reconfiguration of [Assignment: organization-defined information system components] as part of the incident response capability.
+
+
+ Dynamic reconfiguration includes, for example, changes to router rules, access control lists, intrusion detection/prevention system parameters, and filter rules for firewalls and gateways. Organizations perform dynamic reconfiguration of information systems, for example, to stop attacks, to misdirect attackers, and to isolate components of systems, thus limiting the extent of the damage from breaches or compromises. Organizations include time frames for achieving the reconfiguration of information systems in the definition of the reconfiguration capability, considering the potential need for rapid response in order to effectively address sophisticated cyber threats.
+ AC-2
+ AC-4
+ AC-16
+ CM-2
+ CM-3
+ CM-4
+
+
+
+ IR-4 (3)
+ CONTINUITY OF OPERATIONS
+
+ The organization identifies [Assignment: organization-defined classes of incidents] and [Assignment: organization-defined actions to take in response to classes of incidents] to ensure continuation of organizational missions and business functions.
+
+
+ Classes of incidents include, for example, malfunctions due to design/implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Appropriate incident response actions include, for example, graceful degradation, information system shutdown, fall back to manual mode/alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved solely for when systems are under attack.
+
+
+
+ IR-4 (4)
+ INFORMATION CORRELATION
+ HIGH
+
+ The organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.
+
+
+ Sometimes the nature of a threat event, for example, a hostile cyber attack, is such that it can only be observed by bringing together information from different sources including various reports and reporting procedures established by organizations.
+
+
+
+ IR-4 (5)
+ AUTOMATIC DISABLING OF INFORMATION SYSTEM
+
+ The organization implements a configurable capability to automatically disable the information system if [Assignment: organization-defined security violations] are detected.
+
+
+
+ IR-4 (6)
+ INSIDER THREATS - SPECIFIC CAPABILITIES
+
+ The organization implements incident handling capability for insider threats.
+
+
+ While many organizations address insider threat incidents as an inherent part of their organizational incident response capability, this control enhancement provides additional emphasis on this type of threat and the need for specific incident handling capabilities (as defined within organizations) to provide appropriate and timely responses.
+
+
+
+ IR-4 (7)
+ INSIDER THREATS - INTRA-ORGANIZATION COORDINATION
+
+ The organization coordinates incident handling capability for insider threats across [Assignment: organization-defined components or elements of the organization].
+
+
+ Incident handling for insider threat incidents (including preparation, detection and analysis, containment, eradication, and recovery) requires close coordination among a variety of organizational components or elements to be effective. These components or elements include, for example, mission/business owners, information system owners, human resources offices, procurement offices, personnel/physical security offices, operations personnel, and risk executive (function). In addition, organizations may require external support from federal, state, and local law enforcement agencies.
+
+
+
+ IR-4 (8)
+ CORRELATION WITH EXTERNAL ORGANIZATIONS
+
+ The organization coordinates with [Assignment: organization-defined external organizations] to correlate and share [Assignment: organization-defined incident information] to achieve a cross-organization perspective on incident awareness and more effective incident responses.
+
+
+ The coordination of incident information with external organizations including, for example, mission/business partners, military/coalition partners, customers, and multitiered developers, can provide significant benefits. Cross-organizational coordination with respect to incident handling can serve as an important risk management capability. This capability allows organizations to leverage critical information from a variety of sources to effectively respond to information security-related incidents potentially affecting the organization�s operations, assets, and individuals.
+
+
+
+ IR-4 (9)
+ DYNAMIC RESPONSE CAPABILITY
+
+ The organization employs [Assignment: organization-defined dynamic response capabilities] to effectively respond to security incidents.
+
+
+ This control enhancement addresses the deployment of replacement or new capabilities in a timely manner in response to security incidents (e.g., adversary actions during hostile cyber attacks). This includes capabilities implemented at the mission/business process level (e.g., activating alternative mission/business processes) and at the information system level.
+ CP-10
+
+
+
+ IR-4 (10)
+ SUPPLY CHAIN COORDINATION
+
+ The organization coordinates incident handling activities involving supply chain events with other organizations involved in the supply chain.
+
+
+ Organizations involved in supply chain activities include, for example, system/product developers, integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include, for example, compromises/breaches involving information system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities.
+
+
+
+
+
+ Executive Order 13587
+
+
+ NIST Special Publication 800-61
+
+
+
+
+ INCIDENT RESPONSE
+ IR-5
+ INCIDENT MONITORING
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization tracks and documents information system security incidents.
+
+
+ Documenting information system security incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics, evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources including, for example, incident reports, incident response teams, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports.
+ AU-6
+ IR-8
+ PE-6
+ SC-5
+ SC-7
+ SI-3
+ SI-4
+ SI-7
+
+
+
+ IR-5 (1)
+ AUTOMATED TRACKING / DATA COLLECTION / ANALYSIS
+ HIGH
+
+ The organization employs automated mechanisms to assist in the tracking of security incidents and in the collection and analysis of incident information.
+
+
+ Automated mechanisms for tracking security incidents and collecting/analyzing incident information include, for example, the Einstein network monitoring device and monitoring online Computer Incident Response Centers (CIRCs) or other electronic databases of incidents.
+ AU-7
+ IR-4
+
+
+
+
+
+ NIST Special Publication 800-61
+
+
+
+
+ INCIDENT RESPONSE
+ IR-6
+ INCIDENT REPORTING
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ IR-6a.
+ Requires personnel to report suspected security incidents to the organizational incident response capability within [Assignment: organization-defined time period]; and
+
+
+ IR-6b.
+ Reports security incident information to [Assignment: organization-defined authorities].
+
+
+
+ The intent of this control is to address both specific incident reporting requirements within an organization and the formal incident reporting requirements for federal agencies and their subordinate organizations. Suspected security incidents include, for example, the receipt of suspicious email communications that can potentially contain malicious code. The types of security incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Current federal policy requires that all federal agencies (unless specifically exempted from such requirements) report security incidents to the United States Computer Emergency Readiness Team (US-CERT) within specified time frames designated in the US-CERT Concept of Operations for Federal Cyber Security Incident Handling.
+ IR-4
+ IR-5
+ IR-8
+
+
+
+ IR-6 (1)
+ AUTOMATED REPORTING
+ MODERATE
+ HIGH
+
+ The organization employs automated mechanisms to assist in the reporting of security incidents.
+
+
+ IR-7
+
+
+
+ IR-6 (2)
+ VULNERABILITIES RELATED TO INCIDENTS
+
+ The organization reports information system vulnerabilities associated with reported security incidents to [Assignment: organization-defined personnel or roles].
+
+
+
+ IR-6 (3)
+ COORDINATION WITH SUPPLY CHAIN
+
+ The organization provides security incident information to other organizations involved in the supply chain for information systems or information system components related to the incident.
+
+
+ Organizations involved in supply chain activities include, for example, system/product developers, integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include, for example, compromises/breaches involving information system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities. Organizations determine the appropriate information to share considering the value gained from support by external organizations with the potential for harm due to sensitive information being released to outside organizations of perhaps questionable trustworthiness.
+
+
+
+
+
+ NIST Special Publication 800-61
+
+
+ http://www.us-cert.gov
+
+
+
+
+ INCIDENT RESPONSE
+ IR-7
+ INCIDENT RESPONSE ASSISTANCE
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The organization provides an incident response support resource, integral to the organizational incident response capability that offers advice and assistance to users of the information system for the handling and reporting of security incidents.
+
+
+ Incident response support resources provided by organizations include, for example, help desks, assistance groups, and access to forensics services, when required.
+ AT-2
+ IR-4
+ IR-6
+ IR-8
+ SA-9
+
+
+
+ IR-7 (1)
+ AUTOMATION SUPPORT FOR AVAILABILITY OF INFORMATION / SUPPORT
+ MODERATE
+ HIGH
+
+ The organization employs automated mechanisms to increase the availability of incident response-related information and support.
+
+
+ Automated mechanisms can provide a push and/or pull capability for users to obtain incident response assistance. For example, individuals might have access to a website to query the assistance capability, or conversely, the assistance capability may have the ability to proactively send information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.
+
+
+
+ IR-7 (2)
+ COORDINATION WITH EXTERNAL PROVIDERS
+
+ The organization:
+
+ IR-7 (2)(a)
+ Establishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and
+
+
+ IR-7 (2)(b)
+ Identifies organizational incident response team members to the external providers.
+
+
+
+ External providers of information system protection capability include, for example, the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks.
+
+
+
+
+
+ INCIDENT RESPONSE
+ IR-8
+ INCIDENT RESPONSE PLAN
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ IR-8a.
+ Develops an incident response plan that:
+
+ IR-8a.1.
+ Provides the organization with a roadmap for implementing its incident response capability;
+
+
+ IR-8a.2.
+ Describes the structure and organization of the incident response capability;
+
+
+ IR-8a.3.
+ Provides a high-level approach for how the incident response capability fits into the overall organization;
+
+
+ IR-8a.4.
+ Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;
+
+
+ IR-8a.5.
+ Defines reportable incidents;
+
+
+ IR-8a.6.
+ Provides metrics for measuring the incident response capability within the organization;
+
+
+ IR-8a.7.
+ Defines the resources and management support needed to effectively maintain and mature an incident response capability; and
+
+
+ IR-8a.8.
+ Is reviewed and approved by [Assignment: organization-defined personnel or roles];
+
+
+
+ IR-8b.
+ Distributes copies of the incident response plan to [Assignment: organization-defined incident response personnel (identified by name and/or by role) and organizational elements];
+
+
+ IR-8c.
+ Reviews the incident response plan [Assignment: organization-defined frequency];
+
+
+ IR-8d.
+ Updates the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing;
+
+
+ IR-8e.
+ Communicates incident response plan changes to [Assignment: organization-defined incident response personnel (identified by name and/or by role) and organizational elements]; and
+
+
+ IR-8f.
+ Protects the incident response plan from unauthorized disclosure and modification.
+
+
+
+ It is important that organizations develop and implement a coordinated approach to incident response. Organizational missions, business functions, strategies, goals, and objectives for incident response help to determine the structure of incident response capabilities. As part of a comprehensive incident response capability, organizations consider the coordination and sharing of information with external organizations, including, for example, external service providers and organizations involved in the supply chain for organizational information systems.
+ MP-2
+ MP-4
+ MP-5
+
+
+
+ NIST Special Publication 800-61
+
+
+
+
+ INCIDENT RESPONSE
+ IR-9
+ INFORMATION SPILLAGE RESPONSE
+ P0
+
+ The organization responds to information spills by:
+
+ IR-9a.
+ Identifying the specific information involved in the information system contamination;
+
+
+ IR-9b.
+ Alerting [Assignment: organization-defined personnel or roles] of the information spill using a method of communication not associated with the spill;
+
+
+ IR-9c.
+ Isolating the contaminated information system or system component;
+
+
+ IR-9d.
+ Eradicating the information from the contaminated information system or component;
+
+
+ IR-9e.
+ Identifying other information systems or system components that may have been subsequently contaminated; and
+
+
+ IR-9f.
+ Performing other [Assignment: organization-defined actions].
+
+
+
+ Information spillage refers to instances where either classified or sensitive information is inadvertently placed on information systems that are not authorized to process such information. Such information spills often occur when information that is initially thought to be of lower sensitivity is transmitted to an information system and then is subsequently determined to be of higher sensitivity. At that point, corrective action is required. The nature of the organizational response is generally based upon the degree of sensitivity of the spilled information (e.g., security category or classification level), the security capabilities of the information system, the specific nature of contaminated storage media, and the access authorizations (e.g., security clearances) of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated.
+
+
+
+ IR-9 (1)
+ RESPONSIBLE PERSONNEL
+
+ The organization assigns [Assignment: organization-defined personnel or roles] with responsibility for responding to information spills.
+
+
+
+ IR-9 (2)
+ TRAINING
+
+ The organization provides information spillage response training [Assignment: organization-defined frequency].
+
+
+
+ IR-9 (3)
+ POST-SPILL OPERATIONS
+
+ The organization implements [Assignment: organization-defined procedures] to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.
+
+
+ Correction actions for information systems contaminated due to information spillages may be very time-consuming. During those periods, personnel may not have access to the contaminated systems, which may potentially affect their ability to conduct organizational business.
+
+
+
+ IR-9 (4)
+ EXPOSURE TO UNAUTHORIZED PERSONNEL
+
+ The organization employs [Assignment: organization-defined security safeguards] for personnel exposed to information not within assigned access authorizations.
+
+
+ Security safeguards include, for example, making personnel exposed to spilled information aware of the federal laws, directives, policies, and/or regulations regarding the information and the restrictions imposed based on exposure to such information.
+
+
+
+
+
+ INCIDENT RESPONSE
+ IR-10
+ INTEGRATED INFORMATION SECURITY ANALYSIS TEAM
+ P0
+
+ The organization establishes an integrated team of forensic/malicious code analysts, tool developers, and real-time operations personnel.
+
+
+ Having an integrated team for incident response facilitates information sharing. Such capability allows organizational personnel, including developers, implementers, and operators, to leverage the team knowledge of the threat in order to implement defensive measures that will enable organizations to deter intrusions more effectively. Moreover, it promotes the rapid detection of intrusions, development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated security analysis team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing intelligence development. This enables the team to identify adversary TTPs that are linked to the operations tempo or to specific missions/business functions, and to define responsive actions in a way that does not disrupt the mission/business operations. Ideally, information security analysis teams are distributed within organizations to make the capability more resilient.
+
+
+
+ MAINTENANCE
+ MA-1
+ SYSTEM MAINTENANCE POLICY AND PROCEDURES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ MA-1a.
+ Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
+
+ MA-1a.1.
+ A system maintenance policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ MA-1a.2.
+ Procedures to facilitate the implementation of the system maintenance policy and associated system maintenance controls; and
+
+
+
+ MA-1b.
+ Reviews and updates the current:
+
+ MA-1b.1.
+ System maintenance policy [Assignment: organization-defined frequency]; and
+
+
+ MA-1b.2.
+ System maintenance procedures [Assignment: organization-defined frequency].
+
+
+
+
+ This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ MAINTENANCE
+ MA-2
+ CONTROLLED MAINTENANCE
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ MA-2a.
+ Schedules, performs, documents, and reviews records of maintenance and repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements;
+
+
+ MA-2b.
+ Approves and monitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;
+
+
+ MA-2c.
+ Requires that [Assignment: organization-defined personnel or roles] explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;
+
+
+ MA-2d.
+ Sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs;
+
+
+ MA-2e.
+ Checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions; and
+
+
+ MA-2f.
+ Includes [Assignment: organization-defined maintenance-related information] in organizational maintenance records.
+
+
+
+ This control addresses the information security aspects of the information system maintenance program and applies to all types of maintenance to any system component (including applications) conducted by any local or nonlocal entity (e.g., in-contract, warranty, in-house, software maintenance agreement). System maintenance also includes those components not directly associated with information processing and/or data/information retention such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes, for example: (i) date and time of maintenance; (ii) name of individuals or group performing the maintenance; (iii) name of escort, if necessary; (iv) a description of the maintenance performed; and (v) information system components/equipment removed or replaced (including identification numbers, if applicable). The level of detail included in maintenance records can be informed by the security categories of organizational information systems. Organizations consider supply chain issues associated with replacement components for information systems.
+ CM-3
+ CM-4
+ MA-4
+ MP-6
+ PE-16
+ SA-12
+ SI-2
+
+
+
+ MA-2 (1)
+ RECORD CONTENT
+
+ MA-2
+
+
+ [Withdrawn: Incorporated into MA-2].
+
+
+
+ MA-2 (2)
+ AUTOMATED MAINTENANCE ACTIVITIES
+ HIGH
+
+ The organization:
+
+ MA-2 (2)(a)
+ Employs automated mechanisms to schedule, conduct, and document maintenance and repairs; and
+
+
+ MA-2 (2)(b)
+ Produces up-to date, accurate, and complete records of all maintenance and repair actions requested, scheduled, in process, and completed.
+
+
+
+ CA-7
+ MA-3
+
+
+
+
+
+ MAINTENANCE
+ MA-3
+ MAINTENANCE TOOLS
+ P3
+ MODERATE
+ HIGH
+
+ The organization approves, controls, and monitors information system maintenance tools.
+
+
+ This control addresses security-related issues associated with maintenance tools used specifically for diagnostic and repair actions on organizational information systems. Maintenance tools can include hardware, software, and firmware items. Maintenance tools are potential vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into organizational information systems. Maintenance tools can include, for example, hardware/software diagnostic test equipment and hardware/software packet sniffers. This control does not cover hardware/software components that may support information system maintenance, yet are a part of the system, for example, the software implementing �ping,� �ls,� �ipconfig,� or the hardware and software implementing the monitoring port of an Ethernet switch.
+ MA-2
+ MA-5
+ MP-6
+
+
+
+ MA-3 (1)
+ INSPECT TOOLS
+ MODERATE
+ HIGH
+
+ The organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications.
+
+
+ If, upon inspection of maintenance tools, organizations determine that the tools have been modified in an improper/unauthorized manner or contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling.
+ SI-7
+
+
+
+ MA-3 (2)
+ INSPECT MEDIA
+ MODERATE
+ HIGH
+
+ The organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system.
+
+
+ If, upon inspection of media containing maintenance diagnostic and test programs, organizations determine that the media contain malicious code, the incident is handled consistent with organizational incident handling policies and procedures.
+ SI-3
+
+
+
+ MA-3 (3)
+ PREVENT UNAUTHORIZED REMOVAL
+ HIGH
+
+ The organization prevents the unauthorized removal of maintenance equipment containing organizational information by:
+
+ MA-3 (3)(a)
+ Verifying that there is no organizational information contained on the equipment;
+
+
+ MA-3 (3)(b)
+ Sanitizing or destroying the equipment;
+
+
+ MA-3 (3)(c)
+ Retaining the equipment within the facility; or
+
+
+ MA-3 (3)(d)
+ Obtaining an exemption from [Assignment: organization-defined personnel or roles] explicitly authorizing removal of the equipment from the facility.
+
+
+
+ Organizational information includes all information specifically owned by organizations and information provided to organizations in which organizations serve as information stewards.
+
+
+
+ MA-3 (4)
+ RESTRICTED TOOL USE
+
+ The information system restricts the use of maintenance tools to authorized personnel only.
+
+
+ This control enhancement applies to information systems that are used to carry out maintenance functions.
+ AC-2
+ AC-3
+ AC-5
+ AC-6
+
+
+
+
+
+ NIST Special Publication 800-88
+
+
+
+
+ MAINTENANCE
+ MA-4
+ NONLOCAL MAINTENANCE
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ MA-4a.
+ Approves and monitors nonlocal maintenance and diagnostic activities;
+
+
+ MA-4b.
+ Allows the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the information system;
+
+
+ MA-4c.
+ Employs strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;
+
+
+ MA-4d.
+ Maintains records for nonlocal maintenance and diagnostic activities; and
+
+
+ MA-4e.
+ Terminates session and network connections when nonlocal maintenance is completed.
+
+
+
+ Nonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. Authentication techniques used in the establishment of nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2. Typically, strong authentication requires authenticators that are resistant to replay attacks and employ multifactor authentication. Strong authenticators include, for example, PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by other controls.
+ AC-2
+ AC-3
+ AC-6
+ AC-17
+ AU-2
+ AU-3
+ IA-2
+ IA-4
+ IA-5
+ IA-8
+ MA-2
+ MA-5
+ MP-6
+ PL-2
+ SC-7
+ SC-10
+ SC-17
+
+
+
+ MA-4 (1)
+ AUDITING AND REVIEW
+
+ The organization:
+
+ MA-4 (1)(a)
+ Audits nonlocal maintenance and diagnostic sessions [Assignment: organization-defined audit events]; and
+
+
+ MA-4 (1)(b)
+ Reviews the records of the maintenance and diagnostic sessions.
+
+
+
+ AU-2
+ AU-6
+ AU-12
+
+
+
+ MA-4 (2)
+ DOCUMENT NONLOCAL MAINTENANCE
+ MODERATE
+ HIGH
+
+ The organization documents in the security plan for the information system, the policies and procedures for the establishment and use of nonlocal maintenance and diagnostic connections.
+
+
+
+ MA-4 (3)
+ COMPARABLE SECURITY / SANITIZATION
+ HIGH
+
+ The organization:
+
+ MA-4 (3)(a)
+ Requires that nonlocal maintenance and diagnostic services be performed from an information system that implements a security capability comparable to the capability implemented on the system being serviced; or
+
+
+ MA-4 (3)(b)
+ Removes the component to be serviced from the information system prior to nonlocal maintenance or diagnostic services, sanitizes the component (with regard to organizational information) before removal from organizational facilities, and after the service is performed, inspects and sanitizes the component (with regard to potentially malicious software) before reconnecting the component to the information system.
+
+
+
+ Comparable security capability on information systems, diagnostic tools, and equipment providing maintenance services implies that the implemented security controls on those systems, tools, and equipment are at least as comprehensive as the controls on the information system being serviced.
+ MA-3
+ SA-12
+ SI-3
+ SI-7
+
+
+
+ MA-4 (4)
+ AUTHENTICATION / SEPARATION OF MAINTENANCE SESSIONS
+
+ The organization protects nonlocal maintenance sessions by:
+
+ MA-4 (4)(a)
+ Employing [Assignment: organization-defined authenticators that are replay resistant]; and
+
+
+ MA-4 (4)(b)
+ Separating the maintenance sessions from other network sessions with the information system by either:
+
+ MA-4 (4)(b)(1)
+ Physically separated communications paths; or
+
+
+ MA-4 (4)(b)(2)
+ Logically separated communications paths based upon encryption.
+
+
+
+
+ SC-13
+
+
+
+ MA-4 (5)
+ APPROVALS AND NOTIFICATIONS
+
+ The organization:
+
+ MA-4 (5)(a)
+ Requires the approval of each nonlocal maintenance session by [Assignment: organization-defined personnel or roles]; and
+
+
+ MA-4 (5)(b)
+ Notifies [Assignment: organization-defined personnel or roles] of the date and time of planned nonlocal maintenance.
+
+
+
+ Notification may be performed by maintenance personnel. Approval of nonlocal maintenance sessions is accomplished by organizational personnel with sufficient information security and information system knowledge to determine the appropriateness of the proposed maintenance.
+
+
+
+ MA-4 (6)
+ CRYPTOGRAPHIC PROTECTION
+
+ The information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications.
+
+
+ SC-8
+ SC-13
+
+
+
+ MA-4 (7)
+ REMOTE DISCONNECT VERIFICATION
+
+ The information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions.
+
+
+ Remote disconnect verification ensures that remote connections from nonlocal maintenance sessions have been terminated and are no longer available for use.
+ SC-13
+
+
+
+
+
+ FIPS Publication 140-2
+
+
+ FIPS Publication 197
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-63
+
+
+ NIST Special Publication 800-88
+
+
+ CNSS Policy 15
+
+
+
+
+ MAINTENANCE
+ MA-5
+ MAINTENANCE PERSONNEL
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ MA-5a.
+ Establishes a process for maintenance personnel authorization and maintains a list of authorized maintenance organizations or personnel;
+
+
+ MA-5b.
+ Ensures that non-escorted personnel performing maintenance on the information system have required access authorizations; and
+
+
+ MA-5c.
+ Designates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.
+
+
+
+ This control applies to individuals performing hardware or software maintenance on organizational information systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems (e.g., custodial staff, physical plant maintenance personnel). Technical competence of supervising individuals relates to the maintenance performed on the information systems while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel, such as information technology manufacturers, vendors, systems integrators, and consultants, may require privileged access to organizational information systems, for example, when required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods.
+ AC-2
+ IA-8
+ MP-2
+ PE-2
+ PE-3
+ PE-4
+ RA-3
+
+
+
+ MA-5 (1)
+ INDIVIDUALS WITHOUT APPROPRIATE ACCESS
+ HIGH
+
+ The organization:
+
+ MA-5 (1)(a)
+ Implements procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:
+
+ MA-5 (1)(a)(1)
+ Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;
+
+
+ MA-5 (1)(a)(2)
+ Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the information system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and
+
+
+
+ MA-5 (1)(b)
+ Develops and implements alternate security safeguards in the event an information system component cannot be sanitized, removed, or disconnected from the system.
+
+
+
+ This control enhancement denies individuals who lack appropriate security clearances (i.e., individuals who do not possess security clearances or possess security clearances at a lower level than required) or who are not U.S. citizens, visual and electronic access to any classified information, Controlled Unclassified Information (CUI), or any other sensitive information contained on organizational information systems. Procedures for the use of maintenance personnel can be documented in security plans for the information systems.
+ MP-6
+ PL-2
+
+
+
+ MA-5 (2)
+ SECURITY CLEARANCES FOR CLASSIFIED SYSTEMS
+
+ The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information possess security clearances and formal access approvals for at least the highest classification level and for all compartments of information on the system.
+
+
+ PS-3
+
+
+
+ MA-5 (3)
+ CITIZENSHIP REQUIREMENTS FOR CLASSIFIED SYSTEMS
+
+ The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens.
+
+
+ PS-3
+
+
+
+ MA-5 (4)
+ FOREIGN NATIONALS
+
+ The organization ensures that:
+
+ MA-5 (4)(a)
+ Cleared foreign nationals (i.e., foreign nationals with appropriate security clearances), are used to conduct maintenance and diagnostic activities on classified information systems only when the systems are jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and
+
+
+ MA-5 (4)(b)
+ Approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified information systems are fully documented within Memoranda of Agreements.
+
+
+
+ PS-3
+
+
+
+ MA-5 (5)
+ NONSYSTEM-RELATED MAINTENANCE
+
+ The organization ensures that non-escorted personnel performing maintenance activities not directly associated with the information system but in the physical proximity of the system, have required access authorizations.
+
+
+ Personnel performing maintenance activities in other capacities not directly related to the information system include, for example, physical plant personnel and janitorial personnel.
+
+
+
+
+
+ MAINTENANCE
+ MA-6
+ TIMELY MAINTENANCE
+ P2
+ MODERATE
+ HIGH
+
+ The organization obtains maintenance support and/or spare parts for [Assignment: organization-defined information system components] within [Assignment: organization-defined time period] of failure.
+
+
+ Organizations specify the information system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support typically include having appropriate contracts in place.
+ CM-8
+ CP-2
+ CP-7
+ SA-14
+ SA-15
+
+
+
+ MA-6 (1)
+ PREVENTIVE MAINTENANCE
+
+ The organization performs preventive maintenance on [Assignment: organization-defined information system components] at [Assignment: organization-defined time intervals].
+
+
+ Preventive maintenance includes proactive care and servicing of organizational information systems components for the purpose of maintaining equipment and facilities in satisfactory operating condition. Such maintenance provides for the systematic inspection, tests, measurements, adjustments, parts replacement, detection, and correction of incipient failures either before they occur or before they develop into major defects. The primary goal of preventive maintenance is to avoid/mitigate the consequences of equipment failures. Preventive maintenance is designed to preserve and restore equipment reliability by replacing worn components before they actually fail. Methods of determining what preventive (or other) failure management policies to apply include, for example, original equipment manufacturer (OEM) recommendations, statistical failure records, requirements of codes, legislation, or regulations within a jurisdiction, expert opinion, maintenance that has already been conducted on similar equipment, or measured values and performance indications.
+
+
+
+ MA-6 (2)
+ PREDICTIVE MAINTENANCE
+
+ The organization performs predictive maintenance on [Assignment: organization-defined information system components] at [Assignment: organization-defined time intervals].
+
+
+ Predictive maintenance, or condition-based maintenance, attempts to evaluate the condition of equipment by performing periodic or continuous (online) equipment condition monitoring. The goal of predictive maintenance is to perform maintenance at a scheduled point in time when the maintenance activity is most cost-effective and before the equipment loses performance within a threshold. The predictive component of predictive maintenance stems from the goal of predicting the future trend of the equipment's condition. This approach uses principles of statistical process control to determine at what point in the future maintenance activities will be appropriate. Most predictive maintenance inspections are performed while equipment is in service, thereby minimizing disruption of normal system operations. Predictive maintenance can result in substantial cost savings and higher system reliability. Predictive maintenance tends to include measurement of the item. To evaluate equipment condition, predictive maintenance utilizes nondestructive testing technologies such as infrared, acoustic (partial discharge and airborne ultrasonic), corona detection, vibration analysis, sound level measurements, oil analysis, and other specific online tests.
+
+
+
+ MA-6 (3)
+ AUTOMATED SUPPORT FOR PREDICTIVE MAINTENANCE
+
+ The organization employs automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.
+
+
+ A computerized maintenance management system maintains a computer database of information about the maintenance operations of organizations and automates processing equipment condition data in order to trigger maintenance planning, execution, and reporting.
+
+
+
+
+
+ MEDIA PROTECTION
+ MP-1
+ MEDIA PROTECTION POLICY AND PROCEDURES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ MP-1a.
+ Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
+
+ MP-1a.1.
+ A media protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ MP-1a.2.
+ Procedures to facilitate the implementation of the media protection policy and associated media protection controls; and
+
+
+
+ MP-1b.
+ Reviews and updates the current:
+
+ MP-1b.1.
+ Media protection policy [Assignment: organization-defined frequency]; and
+
+
+ MP-1b.2.
+ Media protection procedures [Assignment: organization-defined frequency].
+
+
+
+
+ This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ MEDIA PROTECTION
+ MP-2
+ MEDIA ACCESS
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization restricts access to [Assignment: organization-defined types of digital and/or non-digital media] to [Assignment: organization-defined personnel or roles].
+
+
+ Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Restricting non-digital media access includes, for example, denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers. Restricting access to digital media includes, for example, limiting access to design specifications stored on compact disks in the media library to the project leader and the individuals on the development team.
+ AC-3
+ IA-2
+ MP-4
+ PE-2
+ PE-3
+ PL-2
+
+
+
+ MP-2 (1)
+ AUTOMATED RESTRICTED ACCESS
+
+ MP-4 (2)
+
+
+ [Withdrawn: Incorporated into MP-4 (2)].
+
+
+
+ MP-2 (2)
+ CRYPTOGRAPHIC PROTECTION
+
+ SC-28 (1)
+
+
+ [Withdrawn: Incorporated into SC-28 (1)].
+
+
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-111
+
+
+
+
+ MEDIA PROTECTION
+ MP-3
+ MEDIA MARKING
+ P2
+ MODERATE
+ HIGH
+
+ The organization:
+
+ MP-3a.
+ Marks information system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and
+
+
+ MP-3b.
+ Exempts [Assignment: organization-defined types of information system media] from marking as long as the media remain within [Assignment: organization-defined controlled areas].
+
+
+
+ The term security marking refers to the application/use of human-readable security attributes. The term security labeling refers to the application/use of security attributes with regard to internal data structures within information systems (see AC-16). Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Security marking is generally not required for media containing information determined by organizations to be in the public domain or to be publicly releasable. However, some organizations may require markings for public information indicating that the information is publicly releasable. Marking of information system media reflects applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+ AC-16
+ PL-2
+ RA-3
+
+
+
+ FIPS Publication 199
+
+
+
+
+ MEDIA PROTECTION
+ MP-4
+ MEDIA STORAGE
+ P1
+ MODERATE
+ HIGH
+
+ The organization:
+
+ MP-4a.
+ Physically controls and securely stores [Assignment: organization-defined types of digital and/or non-digital media] within [Assignment: organization-defined controlled areas]; and
+
+
+ MP-4b.
+ Protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.
+
+
+
+ Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Physically controlling information system media includes, for example, conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the media library, and maintaining accountability for all stored media. Secure storage includes, for example, a locked drawer, desk, or cabinet, or a controlled media library. The type of media storage is commensurate with the security category and/or classification of the information residing on the media. Controlled areas are areas for which organizations provide sufficient physical and procedural safeguards to meet the requirements established for protecting information and/or information systems. For media containing information determined by organizations to be in the public domain, to be publicly releasable, or to have limited or no adverse impact on organizations or individuals if accessed by other than authorized personnel, fewer safeguards may be needed. In these situations, physical access controls provide adequate protection.
+ CP-6
+ CP-9
+ MP-2
+ MP-7
+ PE-3
+
+
+
+ MP-4 (1)
+ CRYPTOGRAPHIC PROTECTION
+
+ SC-28 (1)
+
+
+ [Withdrawn: Incorporated into SC-28 (1)].
+
+
+
+ MP-4 (2)
+ AUTOMATED RESTRICTED ACCESS
+
+ The organization employs automated mechanisms to restrict access to media storage areas and to audit access attempts and access granted.
+
+
+ Automated mechanisms can include, for example, keypads on the external entries to media storage areas.
+ AU-2
+ AU-9
+ AU-6
+ AU-12
+
+
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-56
+
+
+ NIST Special Publication 800-57
+
+
+ NIST Special Publication 800-111
+
+
+
+
+ MEDIA PROTECTION
+ MP-5
+ MEDIA TRANSPORT
+ P1
+ MODERATE
+ HIGH
+
+ The organization:
+
+ MP-5a.
+ Protects and controls [Assignment: organization-defined types of information system media] during transport outside of controlled areas using [Assignment: organization-defined security safeguards];
+
+
+ MP-5b.
+ Maintains accountability for information system media during transport outside of controlled areas;
+
+
+ MP-5c.
+ Documents activities associated with the transport of information system media; and
+
+
+ MP-5d.
+ Restricts the activities associated with the transport of information system media to authorized personnel.
+
+
+
+ Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers), that are transported outside of controlled areas. Controlled areas are areas or spaces for which organizations provide sufficient physical and/or procedural safeguards to meet the requirements established for protecting information and/or information systems.
+Physical and technical safeguards for media are commensurate with the security category or classification of the information residing on the media. Safeguards to protect media during transport include, for example, locked containers and cryptography. Cryptographic mechanisms can provide confidentiality and integrity protections depending upon the mechanisms used. Activities associated with transport include the actual transport as well as those activities such as releasing media for transport and ensuring that media enters the appropriate transport processes. For the actual transport, authorized transport and courier personnel may include individuals from outside the organization (e.g., U.S. Postal Service or a commercial transport or delivery service). Maintaining accountability of media during transport includes, for example, restricting transport activities to authorized personnel, and tracking and/or obtaining explicit records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of information system media in accordance with organizational assessments of risk to include the flexibility to define different record-keeping methods for the different types of media transport as part of an overall system of transport-related records.
+ AC-19
+ CP-9
+ MP-3
+ MP-4
+ RA-3
+ SC-8
+ SC-13
+ SC-28
+
+
+
+ MP-5 (1)
+ PROTECTION OUTSIDE OF CONTROLLED AREAS
+
+ MP-5
+
+
+ [Withdrawn: Incorporated into MP-5].
+
+
+
+ MP-5 (2)
+ DOCUMENTATION OF ACTIVITIES
+
+ MP-5
+
+
+ [Withdrawn: Incorporated into MP-5].
+
+
+
+ MP-5 (3)
+ CUSTODIANS
+
+ The organization employs an identified custodian during transport of information system media outside of controlled areas.
+
+
+ Identified custodians provide organizations with specific points of contact during the media transport process and facilitate individual accountability. Custodial responsibilities can be transferred from one individual to another as long as an unambiguous custodian is identified at all times.
+
+
+
+ MP-5 (4)
+ CRYPTOGRAPHIC PROTECTION
+ MODERATE
+ HIGH
+
+ The information system implements cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.
+
+
+ This control enhancement applies to both portable storage devices (e.g., USB memory sticks, compact disks, digital video disks, external/removable hard disk drives) and mobile devices with storage capability (e.g., smart phones, tablets, E-readers).
+ MP-2
+
+
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-60
+
+
+
+
+ MEDIA PROTECTION
+ MP-6
+ MEDIA SANITIZATION
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ MP-6a.
+ Sanitizes [Assignment: organization-defined information system media] prior to disposal, release out of organizational control, or release for reuse using [Assignment: organization-defined sanitization techniques and procedures] in accordance with applicable federal and organizational standards and policies; and
+
+
+ MP-6b.
+ Employs sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.
+
+
+
+ This control applies to all information system media, both digital and non-digital, subject to disposal or reuse, whether or not the media is considered removable. Examples include media found in scanners, copiers, printers, notebook computers, workstations, network components, and mobile devices. The sanitization process removes information from the media such that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, cryptographic erase, and destruction, prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable, or deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes, for example, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections/words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media containing classified information.
+ MA-2
+ MA-4
+ RA-3
+ SC-4
+
+
+
+ MP-6 (1)
+ REVIEW / APPROVE / TRACK / DOCUMENT / VERIFY
+ HIGH
+
+ The organization reviews, approves, tracks, documents, and verifies media sanitization and disposal actions.
+
+
+ Organizations review and approve media to be sanitized to ensure compliance with records-retention policies. Tracking/documenting actions include, for example, listing personnel who reviewed and approved sanitization and disposal actions, types of media sanitized, specific files stored on the media, sanitization methods used, date and time of the sanitization actions, personnel who performed the sanitization, verification actions taken, personnel who performed the verification, and disposal action taken. Organizations verify that the sanitization of the media was effective prior to disposal.
+ SI-12
+
+
+
+ MP-6 (2)
+ EQUIPMENT TESTING
+ HIGH
+
+ The organization tests sanitization equipment and procedures [Assignment: organization-defined frequency] to verify that the intended sanitization is being achieved.
+
+
+ Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities (e.g., other federal agencies or external service providers).
+
+
+
+ MP-6 (3)
+ NONDESTRUCTIVE TECHNIQUES
+ HIGH
+
+ The organization applies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under the following circumstances: [Assignment: organization-defined circumstances requiring sanitization of portable storage devices].
+
+
+ This control enhancement applies to digital media containing classified information and Controlled Unclassified Information (CUI). Portable storage devices can be the source of malicious code insertions into organizational information systems. Many of these devices are obtained from unknown and potentially untrustworthy sources and may contain malicious code that can be readily transferred to information systems through USB ports or other entry portals. While scanning such storage devices is always recommended, sanitization provides additional assurance that the devices are free of malicious code to include code capable of initiating zero-day attacks. Organizations consider nondestructive sanitization of portable storage devices when such devices are first purchased from the manufacturer or vendor prior to initial use or when organizations lose a positive chain of custody for the devices.
+ SI-3
+
+
+
+ MP-6 (4)
+ CONTROLLED UNCLASSIFIED INFORMATION
+
+ MP-6
+
+
+ [Withdrawn: Incorporated into MP-6].
+
+
+
+ MP-6 (5)
+ CLASSIFIED INFORMATION
+
+ MP-6
+
+
+ [Withdrawn: Incorporated into MP-6].
+
+
+
+ MP-6 (6)
+ MEDIA DESTRUCTION
+
+ MP-6
+
+
+ [Withdrawn: Incorporated into MP-6].
+
+
+
+ MP-6 (7)
+ DUAL AUTHORIZATION
+
+ The organization enforces dual authorization for the sanitization of [Assignment: organization-defined information system media].
+
+
+ Organizations employ dual authorization to ensure that information system media sanitization cannot occur unless two technically qualified individuals conduct the task. Individuals sanitizing information system media possess sufficient skills/expertise to determine if the proposed sanitization reflects applicable federal/organizational standards, policies, and procedures. Dual authorization also helps to ensure that sanitization occurs as intended, both protecting against errors and false claims of having performed the sanitization actions. Dual authorization may also be known as two-person control.
+ AC-3
+ MP-2
+
+
+
+ MP-6 (8)
+ REMOTE PURGING / WIPING OF INFORMATION
+
+ The organization provides the capability to purge/wipe information from [Assignment: organization-defined information systems, system components, or devices] either remotely or under the following conditions: [Assignment: organization-defined conditions].
+
+
+ This control enhancement protects data/information on organizational information systems, system components, or devices (e.g., mobile devices) if such systems, components, or devices are obtained by unauthorized individuals. Remote purge/wipe commands require strong authentication to mitigate the risk of unauthorized individuals purging/wiping the system/component/device. The purge/wipe function can be implemented in a variety of ways including, for example, by overwriting data/information multiple times or by destroying the key necessary to decrypt encrypted data.
+
+
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-60
+
+
+ NIST Special Publication 800-88
+
+
+ http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml
+
+
+
+
+ MEDIA PROTECTION
+ MP-7
+ MEDIA USE
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization [Selection: restricts; prohibits] the use of [Assignment: organization-defined types of information system media] on [Assignment: organization-defined information systems or system components] using [Assignment: organization-defined security safeguards].
+
+
+ Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers). In contrast to MP-2, which restricts user access to media, this control restricts the use of certain types of media on information systems, for example, restricting/prohibiting the use of flash drives or external hard disk drives. Organizations can employ technical and nontechnical safeguards (e.g., policies, procedures, rules of behavior) to restrict the use of information system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports, or disabling/removing the ability to insert, read or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices including, for example, devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, for example, prohibiting the use of writeable, portable storage devices, and implementing this restriction by disabling or removing the capability to write to such devices.
+ AC-19
+ PL-4
+
+
+
+ MP-7 (1)
+ PROHIBIT USE WITHOUT OWNER
+ MODERATE
+ HIGH
+
+ The organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner.
+
+
+ Requiring identifiable owners (e.g., individuals, organizations, or projects) for portable storage devices reduces the risk of using such technologies by allowing organizations to assign responsibility and accountability for addressing known vulnerabilities in the devices (e.g., malicious code insertion).
+ PL-4
+
+
+
+ MP-7 (2)
+ PROHIBIT USE OF SANITIZATION-RESISTANT MEDIA
+
+ The organization prohibits the use of sanitization-resistant media in organizational information systems.
+
+
+ Sanitization-resistance applies to the capability to purge information from media. Certain types of media do not support sanitize commands, or if supported, the interfaces are not supported in a standardized way across these devices. Sanitization-resistant media include, for example, compact flash, embedded flash on boards and devices, solid state drives, and USB removable media.
+ MP-6
+
+
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-111
+
+
+
+
+ MEDIA PROTECTION
+ MP-8
+ MEDIA DOWNGRADING
+ P0
+
+ The organization:
+
+ MP-8a.
+ Establishes [Assignment: organization-defined information system media downgrading process] that includes employing downgrading mechanisms with [Assignment: organization-defined strength and integrity];
+
+
+ MP-8b.
+ Ensures that the information system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downgraded information;
+
+
+ MP-8c.
+ Identifies [Assignment: organization-defined information system media requiring downgrading]; and
+
+
+ MP-8d.
+ Downgrades the identified information system media using the established process.
+
+
+
+ This control applies to all information system media, digital and non-digital, subject to release outside of the organization, whether or not the media is considered removable. The downgrading process, when applied to system media, removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. Downgrading of media also ensures that empty space on the media (e.g., slack space within files) is devoid of information.
+
+
+
+ MP-8 (1)
+ DOCUMENTATION OF PROCESS
+
+ The organization documents information system media downgrading actions.
+
+
+ Organizations can document the media downgrading process by providing information such as the downgrading technique employed, the identification number of the downgraded media, and the identity of the individual that authorized and/or performed the downgrading action.
+
+
+
+ MP-8 (2)
+ EQUIPMENT TESTING
+
+ The organization employs [Assignment: organization-defined tests] of downgrading equipment and procedures to verify correct performance [Assignment: organization-defined frequency].
+
+
+
+ MP-8 (3)
+ CONTROLLED UNCLASSIFIED INFORMATION
+
+ The organization downgrades information system media containing [Assignment: organization-defined Controlled Unclassified Information (CUI)] prior to public release in accordance with applicable federal and organizational standards and policies.
+
+
+
+ MP-8 (4)
+ CLASSIFIED INFORMATION
+
+ The organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies.
+
+
+ Downgrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified information systems to unclassified media.
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-1
+ PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ PE-1a.
+ Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
+
+ PE-1a.1.
+ A physical and environmental protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ PE-1a.2.
+ Procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls; and
+
+
+
+ PE-1b.
+ Reviews and updates the current:
+
+ PE-1b.1.
+ Physical and environmental protection policy [Assignment: organization-defined frequency]; and
+
+
+ PE-1b.2.
+ Physical and environmental protection procedures [Assignment: organization-defined frequency].
+
+
+
+
+ This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PE family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-2
+ PHYSICAL ACCESS AUTHORIZATIONS
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ PE-2a.
+ Develops, approves, and maintains a list of individuals with authorized access to the facility where the information system resides;
+
+
+ PE-2b.
+ Issues authorization credentials for facility access;
+
+
+ PE-2c.
+ Reviews the access list detailing authorized facility access by individuals [Assignment: organization-defined frequency]; and
+
+
+ PE-2d.
+ Removes individuals from the facility access list when access is no longer required.
+
+
+
+ This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Authorization credentials include, for example, badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed (including level of forge-proof badges, smart cards, or identification cards) consistent with federal standards, policies, and procedures. This control only applies to areas within facilities that have not been designated as publicly accessible.
+ PE-3
+ PE-4
+ PS-3
+
+
+
+ PE-2 (1)
+ ACCESS BY POSITION / ROLE
+
+ The organization authorizes physical access to the facility where the information system resides based on position or role.
+
+
+ AC-2
+ AC-3
+ AC-6
+
+
+
+ PE-2 (2)
+ TWO FORMS OF IDENTIFICATION
+
+ The organization requires two forms of identification from [Assignment: organization-defined list of acceptable forms of identification] for visitor access to the facility where the information system resides.
+
+
+ Acceptable forms of government photo identification include, for example, passports, Personal Identity Verification (PIV) cards, and drivers� licenses. In the case of gaining access to facilities using automated mechanisms, organizations may use PIV cards, key cards, PINs, and biometrics.
+ IA-2
+ IA-4
+ IA-5
+
+
+
+ PE-2 (3)
+ RESTRICT UNESCORTED ACCESS
+
+ The organization restricts unescorted access to the facility where the information system resides to personnel with [Selection (one or more): security clearances for all information contained within the system; formal access authorizations for all information contained within the system; need for access to all information contained within the system; [Assignment: organization-defined credentials]].
+
+
+ Due to the highly sensitive nature of classified information stored within certain facilities, it is important that individuals lacking sufficient security clearances, access approvals, or need to know, be escorted by individuals with appropriate credentials to ensure that such information is not exposed or otherwise compromised.
+ PS-2
+ PS-6
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-3
+ PHYSICAL ACCESS CONTROL
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ PE-3a.
+ Enforces physical access authorizations at [Assignment: organization-defined entry/exit points to the facility where the information system resides] by;
+
+ PE-3a.1.
+ Verifying individual access authorizations before granting access to the facility; and
+
+
+ PE-3a.2.
+ Controlling ingress/egress to the facility using [Selection (one or more): [Assignment: organization-defined physical access control systems/devices]; guards];
+
+
+
+ PE-3b.
+ Maintains physical access audit logs for [Assignment: organization-defined entry/exit points];
+
+
+ PE-3c.
+ Provides [Assignment: organization-defined security safeguards] to control access to areas within the facility officially designated as publicly accessible;
+
+
+ PE-3d.
+ Escorts visitors and monitors visitor activity [Assignment: organization-defined circumstances requiring visitor escorts and monitoring];
+
+
+ PE-3e.
+ Secures keys, combinations, and other physical access devices;
+
+
+ PE-3f.
+ Inventories [Assignment: organization-defined physical access devices] every [Assignment: organization-defined frequency]; and
+
+
+ PE-3g.
+ Changes combinations and keys [Assignment: organization-defined frequency] and/or when keys are lost, combinations are compromised, or individuals are transferred or terminated.
+
+
+
+ This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of facility guards needed including, for example, professional physical security staff or other personnel such as administrative staff or information system users. Physical access devices include, for example, keys, locks, combinations, and card readers. Safeguards for publicly accessible areas within organizational facilities include, for example, cameras, monitoring by guards, and isolating selected information systems and/or system components in secured areas. Physical access control systems comply with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The Federal Identity, Credential, and Access Management Program provides implementation guidance for identity, credential, and access management capabilities for physical access control systems. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural (e.g., a written log of individuals accessing the facility and when such access occurred), automated (e.g., capturing ID provided by a PIV card), or some combination thereof. Physical access points can include facility access points, interior access points to information systems and/or components requiring supplemental access controls, or both. Components of organizational information systems (e.g., workstations, terminals) may be located in areas designated as publicly accessible with organizations safeguarding access to such devices.
+ AU-2
+ AU-6
+ MP-2
+ MP-4
+ PE-2
+ PE-4
+ PE-5
+ PS-3
+ RA-3
+
+
+
+ PE-3 (1)
+ INFORMATION SYSTEM ACCESS
+ HIGH
+
+ The organization enforces physical access authorizations to the information system in addition to the physical access controls for the facility at [Assignment: organization-defined physical spaces containing one or more components of the information system].
+
+
+ This control enhancement provides additional physical security for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, data and communications centers).
+ PS-2
+
+
+
+ PE-3 (2)
+ FACILITY / INFORMATION SYSTEM BOUNDARIES
+
+ The organization performs security checks [Assignment: organization-defined frequency] at the physical boundary of the facility or information system for unauthorized exfiltration of information or removal of information system components.
+
+
+ Organizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration.
+ AC-4
+ SC-7
+
+
+
+ PE-3 (3)
+ CONTINUOUS GUARDS / ALARMS / MONITORING
+
+ The organization employs guards and/or alarms to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week.
+
+
+ CP-6
+ CP-7
+
+
+
+ PE-3 (4)
+ LOCKABLE CASINGS
+
+ The organization uses lockable physical casings to protect [Assignment: organization-defined information system components] from unauthorized physical access.
+
+
+
+ PE-3 (5)
+ TAMPER PROTECTION
+
+ The organization employs [Assignment: organization-defined security safeguards] to [Selection (one or more): detect; prevent] physical tampering or alteration of [Assignment: organization-defined hardware components] within the information system.
+
+
+ Organizations may implement tamper detection/prevention at selected hardware components or tamper detection at some components and tamper prevention at other components. Tamper detection/prevention activities can employ many types of anti-tamper technologies including, for example, tamper-detection seals and anti-tamper coatings. Anti-tamper programs help to detect hardware alterations through counterfeiting and other supply chain-related risks.
+ SA-12
+
+
+
+ PE-3 (6)
+ FACILITY PENETRATION TESTING
+
+ The organization employs a penetration testing process that includes [Assignment: organization-defined frequency], unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility.
+
+
+ CA-2
+ CA-7
+
+
+
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-73
+
+
+ NIST Special Publication 800-76
+
+
+ NIST Special Publication 800-78
+
+
+ NIST Special Publication 800-116
+
+
+ ICD 704
+
+
+ ICD 705
+
+
+ DoD Instruction 5200.39
+
+
+ Personal Identity Verification (PIV) in Enterprise Physical Access Control System (E-PACS)
+
+
+ http://idmanagement.gov
+
+
+ http://fips201ep.cio.gov
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-4
+ ACCESS CONTROL FOR TRANSMISSION MEDIUM
+ P1
+ MODERATE
+ HIGH
+
+ The organization controls physical access to [Assignment: organization-defined information system distribution and transmission lines] within organizational facilities using [Assignment: organization-defined security safeguards].
+
+
+ Physical security safeguards applied to information system distribution and transmission lines help to prevent accidental damage, disruption, and physical tampering. In addition, physical safeguards may be necessary to help prevent eavesdropping or in transit modification of unencrypted transmissions. Security safeguards to control physical access to system distribution and transmission lines include, for example: (i) locked wiring closets; (ii) disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable trays.
+ MP-2
+ MP-4
+ PE-2
+ PE-3
+ PE-5
+ SC-7
+ SC-8
+
+
+
+ NSTISSI No. 7003
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-5
+ ACCESS CONTROL FOR OUTPUT DEVICES
+ P2
+ MODERATE
+ HIGH
+
+ The organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.
+
+
+ Controlling physical access to output devices includes, for example, placing output devices in locked rooms or other secured areas and allowing access to authorized individuals only, and placing output devices in locations that can be monitored by organizational personnel. Monitors, printers, copiers, scanners, facsimile machines, and audio devices are examples of information system output devices.
+ PE-2
+ PE-3
+ PE-4
+ PE-18
+
+
+
+ PE-5 (1)
+ ACCESS TO OUTPUT BY AUTHORIZED INDIVIDUALS
+
+ The organization:
+
+ PE-5 (1)(a)
+ Controls physical access to output from [Assignment: organization-defined output devices]; and
+
+
+ PE-5 (1)(b)
+ Ensures that only authorized individuals receive output from the device.
+
+
+
+ Controlling physical access to selected output devices includes, for example, placing printers, copiers, and facsimile machines in controlled areas with keypad access controls or limiting access to individuals with certain types of badges.
+
+
+
+ PE-5 (2)
+ ACCESS TO OUTPUT BY INDIVIDUAL IDENTITY
+
+ The information system:
+
+ PE-5 (2)(a)
+ Controls physical access to output from [Assignment: organization-defined output devices]; and
+
+
+ PE-5 (2)(b)
+ Links individual identity to receipt of the output from the device.
+
+
+
+ Controlling physical access to selected output devices includes, for example, installing security functionality on printers, copiers, and facsimile machines that allows organizations to implement authentication (e.g., using a PIN or hardware token) on output devices prior to the release of output to individuals.
+
+
+
+ PE-5 (3)
+ MARKING OUTPUT DEVICES
+
+ The organization marks [Assignment: organization-defined information system output devices] indicating the appropriate security marking of the information permitted to be output from the device.
+
+
+ Outputs devices include, for example, printers, monitors, facsimile machines, scanners, copiers, and audio devices. This control enhancement is generally applicable to information system output devices other than mobiles devices.
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-6
+ MONITORING PHYSICAL ACCESS
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ PE-6a.
+ Monitors physical access to the facility where the information system resides to detect and respond to physical security incidents;
+
+
+ PE-6b.
+ Reviews physical access logs [Assignment: organization-defined frequency] and upon occurrence of [Assignment: organization-defined events or potential indications of events]; and
+
+
+ PE-6c.
+ Coordinates results of reviews and investigations with the organizational incident response capability.
+
+
+
+ Organizational incident response capabilities include investigations of and responses to detected physical security incidents. Security incidents include, for example, apparent security violations or suspicious physical access activities. Suspicious physical access activities include, for example: (i) accesses outside of normal work hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for unusual lengths of time; and (iv) out-of-sequence accesses.
+ CA-7
+ IR-4
+ IR-8
+
+
+
+ PE-6 (1)
+ INTRUSION ALARMS / SURVEILLANCE EQUIPMENT
+ MODERATE
+ HIGH
+
+ The organization monitors physical intrusion alarms and surveillance equipment.
+
+
+
+ PE-6 (2)
+ AUTOMATED INTRUSION RECOGNITION / RESPONSES
+
+ The organization employs automated mechanisms to recognize [Assignment: organization-defined classes/types of intrusions] and initiate [Assignment: organization-defined response actions].
+
+
+ SI-4
+
+
+
+ PE-6 (3)
+ VIDEO SURVEILLANCE
+
+ The organization employs video surveillance of [Assignment: organization-defined operational areas] and retains video recordings for [Assignment: organization-defined time period].
+
+
+ This control enhancement focuses on recording surveillance video for purposes of subsequent review, if circumstances so warrant (e.g., a break-in detected by other means). It does not require monitoring surveillance video although organizations may choose to do so. Note that there may be legal considerations when performing and retaining video surveillance, especially if such surveillance is in a public location.
+
+
+
+ PE-6 (4)
+ MONITORING PHYSICAL ACCESS TO INFORMATION SYSTEMS
+ HIGH
+
+ The organization monitors physical access to the information system in addition to the physical access monitoring of the facility as [Assignment: organization-defined physical spaces containing one or more components of the information system].
+
+
+ This control enhancement provides additional monitoring for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, communications centers).
+ PS-2
+ PS-3
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-7
+ VISITOR CONTROL
+
+ PE-2
+ PE-3
+
+
+ [Withdrawn: Incorporated into PE-2 and PE-3].
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-8
+ VISITOR ACCESS RECORDS
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ PE-8a.
+ Maintains visitor access records to the facility where the information system resides for [Assignment: organization-defined time period]; and
+
+
+ PE-8b.
+ Reviews visitor access records [Assignment: organization-defined frequency].
+
+
+
+ Visitor access records include, for example, names and organizations of persons visiting, visitor signatures, forms of identification, dates of access, entry and departure times, purposes of visits, and names and organizations of persons visited. Visitor access records are not required for publicly accessible areas.
+
+
+
+ PE-8 (1)
+ AUTOMATED RECORDS MAINTENANCE / REVIEW
+ HIGH
+
+ The organization employs automated mechanisms to facilitate the maintenance and review of visitor access records.
+
+
+
+ PE-8 (2)
+ PHYSICAL ACCESS RECORDS
+
+ PE-2
+
+
+ [Withdrawn: Incorporated into PE-2].
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-9
+ POWER EQUIPMENT AND CABLING
+ P1
+ MODERATE
+ HIGH
+
+ The organization protects power equipment and power cabling for the information system from damage and destruction.
+
+
+ Organizations determine the types of protection necessary for power equipment and cabling employed at different locations both internal and external to organizational facilities and environments of operation. This includes, for example, generators and power cabling outside of buildings, internal cabling and uninterruptable power sources within an office or data center, and power sources for self-contained entities such as vehicles and satellites.
+ PE-4
+
+
+
+ PE-9 (1)
+ REDUNDANT CABLING
+
+ The organization employs redundant power cabling paths that are physically separated by [Assignment: organization-defined distance].
+
+
+ Physically separate, redundant power cables help to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.
+
+
+
+ PE-9 (2)
+ AUTOMATIC VOLTAGE CONTROLS
+
+ The organization employs automatic voltage controls for [Assignment: organization-defined critical information system components].
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-10
+ EMERGENCY SHUTOFF
+ P1
+ MODERATE
+ HIGH
+
+ The organization:
+
+ PE-10a.
+ Provides the capability of shutting off power to the information system or individual system components in emergency situations;
+
+
+ PE-10b.
+ Places emergency shutoff switches or devices in [Assignment: organization-defined location by information system or system component] to facilitate safe and easy access for personnel; and
+
+
+ PE-10c.
+ Protects emergency power shutoff capability from unauthorized activation.
+
+
+
+ This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.
+ PE-15
+
+
+
+ PE-10 (1)
+ ACCIDENTAL / UNAUTHORIZED ACTIVATION
+
+ PE-10
+
+
+ [Withdrawn: Incorporated into PE-10].
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-11
+ EMERGENCY POWER
+ P1
+ MODERATE
+ HIGH
+
+ The organization provides a short-term uninterruptible power supply to facilitate [Selection (one or more): an orderly shutdown of the information system; transition of the information system to long-term alternate power] in the event of a primary power source loss.
+
+
+ AT-3
+ CP-2
+ CP-7
+
+
+
+ PE-11 (1)
+ LONG-TERM ALTERNATE POWER SUPPLY - MINIMAL OPERATIONAL CAPABILITY
+ HIGH
+
+ The organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source.
+
+
+ This control enhancement can be satisfied, for example, by the use of a secondary commercial power supply or other external power supply. Long-term alternate power supplies for the information system can be either manually or automatically activated.
+
+
+
+ PE-11 (2)
+ LONG-TERM ALTERNATE POWER SUPPLY - SELF-CONTAINED
+
+ The organization provides a long-term alternate power supply for the information system that is:
+
+ PE-11 (2)(a)
+ Self-contained;
+
+
+ PE-11 (2)(b)
+ Not reliant on external power generation; and
+
+
+ PE-11 (2)(c)
+ Capable of maintaining [Selection: minimally required operational capability; full operational capability] in the event of an extended loss of the primary power source.
+
+
+
+ This control enhancement can be satisfied, for example, by the use of one or more generators with sufficient capacity to meet the needs of the organization. Long-term alternate power supplies for organizational information systems are either manually or automatically activated.
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-12
+ EMERGENCY LIGHTING
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.
+
+
+ This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.
+ CP-2
+ CP-7
+
+
+
+ PE-12 (1)
+ ESSENTIAL MISSIONS / BUSINESS FUNCTIONS
+
+ The organization provides emergency lighting for all areas within the facility supporting essential missions and business functions.
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-13
+ FIRE PROTECTION
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.
+
+
+ This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Fire suppression and detection devices/systems include, for example, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors.
+
+
+
+ PE-13 (1)
+ DETECTION DEVICES / SYSTEMS
+ HIGH
+
+ The organization employs fire detection devices/systems for the information system that activate automatically and notify [Assignment: organization-defined personnel or roles] and [Assignment: organization-defined emergency responders] in the event of a fire.
+
+
+ Organizations can identify specific personnel, roles, and emergency responders in the event that individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.
+
+
+
+ PE-13 (2)
+ SUPPRESSION DEVICES / SYSTEMS
+ HIGH
+
+ The organization employs fire suppression devices/systems for the information system that provide automatic notification of any activation to Assignment: organization-defined personnel or roles] and [Assignment: organization-defined emergency responders].
+
+
+ Organizations can identify specific personnel, roles, and emergency responders in the event that individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.
+
+
+
+ PE-13 (3)
+ AUTOMATIC FIRE SUPPRESSION
+ MODERATE
+ HIGH
+
+ The organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis.
+
+
+
+ PE-13 (4)
+ INSPECTIONS
+
+ The organization ensures that the facility undergoes [Assignment: organization-defined frequency] inspections by authorized and qualified inspectors and resolves identified deficiencies within [Assignment: organization-defined time period].
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-14
+ TEMPERATURE AND HUMIDITY CONTROLS
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ PE-14a.
+ Maintains temperature and humidity levels within the facility where the information system resides at [Assignment: organization-defined acceptable levels]; and
+
+
+ PE-14b.
+ Monitors temperature and humidity levels [Assignment: organization-defined frequency].
+
+
+
+ This control applies primarily to facilities containing concentrations of information system resources, for example, data centers, server rooms, and mainframe computer rooms.
+ AT-3
+
+
+
+ PE-14 (1)
+ AUTOMATIC CONTROLS
+
+ The organization employs automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the information system.
+
+
+
+ PE-14 (2)
+ MONITORING WITH ALARMS / NOTIFICATIONS
+
+ The organization employs temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment.
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-15
+ WATER DAMAGE PROTECTION
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.
+
+
+ This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern, without affecting entire organizations.
+ AT-3
+
+
+
+ PE-15 (1)
+ AUTOMATION SUPPORT
+ HIGH
+
+ The organization employs automated mechanisms to detect the presence of water in the vicinity of the information system and alerts [Assignment: organization-defined personnel or roles].
+
+
+ Automated mechanisms can include, for example, water detection sensors, alarms, and notification systems.
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-16
+ DELIVERY AND REMOVAL
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The organization authorizes, monitors, and controls [Assignment: organization-defined types of information system components] entering and exiting the facility and maintains records of those items.
+
+
+ Effectively enforcing authorizations for entry and exit of information system components may require restricting access to delivery areas and possibly isolating the areas from the information system and media libraries.
+ CM-3
+ MA-2
+ MA-3
+ MP-5
+ SA-12
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-17
+ ALTERNATE WORK SITE
+ P2
+ MODERATE
+ HIGH
+
+ The organization:
+
+ PE-17a.
+ Employs [Assignment: organization-defined security controls] at alternate work sites;
+
+
+ PE-17b.
+ Assesses as feasible, the effectiveness of security controls at alternate work sites; and
+
+
+ PE-17c.
+ Provides a means for employees to communicate with information security personnel in case of security incidents or problems.
+
+
+
+ Alternate work sites may include, for example, government facilities or private residences of employees. While commonly distinct from alternative processing sites, alternate work sites may provide readily available alternate locations as part of contingency operations. Organizations may define different sets of security controls for specific alternate work sites or types of sites depending on the work-related activities conducted at those sites. This control supports the contingency planning activities of organizations and the federal telework initiative.
+ AC-17
+ CP-7
+
+
+
+ NIST Special Publication 800-46
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-18
+ LOCATION OF INFORMATION SYSTEM COMPONENTS
+ P3
+ HIGH
+
+ The organization positions information system components within the facility to minimize potential damage from [Assignment: organization-defined physical and environmental hazards] and to minimize the opportunity for unauthorized access.
+
+
+ Physical and environmental hazards include, for example, flooding, fire, tornados, earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. In addition, organizations consider the location of physical entry points where unauthorized individuals, while not being granted access, might nonetheless be in close proximity to information systems and therefore increase the potential for unauthorized access to organizational communications (e.g., through the use of wireless sniffers or microphones).
+ CP-2
+ PE-19
+ RA-3
+
+
+
+ PE-18 (1)
+ FACILITY SITE
+
+ The organization plans the location or site of the facility where the information system resides with regard to physical and environmental hazards and for existing facilities, considers the physical and environmental hazards in its risk mitigation strategy.
+
+
+ PM-8
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-19
+ INFORMATION LEAKAGE
+ P0
+
+ The organization protects the information system from information leakage due to electromagnetic signals emanations.
+
+
+ Information leakage is the intentional or unintentional release of information to an untrusted environment from electromagnetic signals emanations. Security categories or classifications of information systems (with respect to confidentiality) and organizational security policies guide the selection of security controls employed to protect systems against information leakage due to electromagnetic signals emanations.
+
+
+
+ PE-19 (1)
+ NATIONAL EMISSIONS / TEMPEST POLICIES AND PROCEDURES
+
+ The organization ensures that information system components, associated data communications, and networks are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information.
+
+
+
+
+
+ FIPS Publication 199
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-20
+ ASSET MONITORING AND TRACKING
+ P0
+
+ The organization:
+
+ PE-20a.
+ Employs [Assignment: organization-defined asset location technologies] to track and monitor the location and movement of [Assignment: organization-defined assets] within [Assignment: organization-defined controlled areas]; and
+
+
+ PE-20b.
+ Ensures that asset location technologies are employed in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.
+
+
+
+ Asset location technologies can help organizations ensure that critical assets such as vehicles or essential information system components remain in authorized locations. Organizations consult with the Office of the General Counsel and the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) regarding the deployment and use of asset location technologies to address potential privacy concerns.
+ CM-8
+
+
+
+ PLANNING
+ PL-1
+ SECURITY PLANNING POLICY AND PROCEDURES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ PL-1a.
+ Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
+
+ PL-1a.1.
+ A security planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ PL-1a.2.
+ Procedures to facilitate the implementation of the security planning policy and associated security planning controls; and
+
+
+
+ PL-1b.
+ Reviews and updates the current:
+
+ PL-1b.1.
+ Security planning policy [Assignment: organization-defined frequency]; and
+
+
+ PL-1b.2.
+ Security planning procedures [Assignment: organization-defined frequency].
+
+
+
+
+ This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PL family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-18
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ PLANNING
+ PL-2
+ SYSTEM SECURITY PLAN
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ PL-2a.
+ Develops a security plan for the information system that:
+
+ PL-2a.1.
+ Is consistent with the organization�s enterprise architecture;
+
+
+ PL-2a.2.
+ Explicitly defines the authorization boundary for the system;
+
+
+ PL-2a.3.
+ Describes the operational context of the information system in terms of missions and business processes;
+
+
+ PL-2a.4.
+ Provides the security categorization of the information system including supporting rationale;
+
+
+ PL-2a.5.
+ Describes the operational environment for the information system and relationships with or connections to other information systems;
+
+
+ PL-2a.6.
+ Provides an overview of the security requirements for the system;
+
+
+ PL-2a.7.
+ Identifies any relevant overlays, if applicable;
+
+
+ PL-2a.8.
+ Describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring decisions; and
+
+
+ PL-2a.9.
+ Is reviewed and approved by the authorizing official or designated representative prior to plan implementation;
+
+
+
+ PL-2b.
+ Distributes copies of the security plan and communicates subsequent changes to the plan to [Assignment: organization-defined personnel or roles];
+
+
+ PL-2c.
+ Reviews the security plan for the information system [Assignment: organization-defined frequency];
+
+
+ PL-2d.
+ Updates the plan to address changes to the information system/environment of operation or problems identified during plan implementation or security control assessments; and
+
+
+ PL-2e.
+ Protects the security plan from unauthorized disclosure and modification.
+
+
+
+ Security plans relate security requirements to a set of security controls and control enhancements. Security plans also describe, at a high level, how the security controls and control enhancements meet those security requirements, but do not provide detailed, technical descriptions of the specific design or implementation of the controls/enhancements. Security plans contain sufficient information (including the specification of parameter values for assignment and selection statements either explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented as intended. Organizations can also apply tailoring guidance to the security control baselines in Appendix D and CNSS Instruction 1253 to develop overlays for community-wide use or to address specialized requirements, technologies, or missions/environments of operation (e.g., DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and Access Management, space operations). Appendix I provides guidance on developing overlays.
+Security plans need not be single documents; the plans can be a collection of various documents including documents that already exist. Effective security plans make extensive use of references to policies, procedures, and additional documents (e.g., design and implementation specifications) where more detailed information can be obtained. This reduces the documentation requirements associated with security programs and maintains security-related information in other established management/operational areas related to enterprise architecture, system development life cycle, systems engineering, and acquisition. For example, security plans do not contain detailed contingency plan or incident response plan information but instead provide explicitly or by reference, sufficient information to define what needs to be accomplished by those plans.
+ AC-2
+ AC-6
+ AC-14
+ AC-17
+ AC-20
+ CA-2
+ CA-3
+ CA-7
+ CM-9
+ CP-2
+ IR-8
+ MA-4
+ MA-5
+ MP-2
+ MP-4
+ MP-5
+ PL-7
+ PM-1
+ PM-7
+ PM-8
+ PM-9
+ PM-11
+ SA-5
+ SA-17
+
+
+
+ PL-2 (1)
+ CONCEPT OF OPERATIONS
+
+ PL-7
+
+
+ [Withdrawn: Incorporated into PL-7].
+
+
+
+ PL-2 (2)
+ FUNCTIONAL ARCHITECTURE
+
+ PL-8
+
+
+ [Withdrawn: Incorporated into PL-8].
+
+
+
+ PL-2 (3)
+ PLAN / COORDINATE WITH OTHER ORGANIZATIONAL ENTITIES
+ MODERATE
+ HIGH
+
+ The organization plans and coordinates security-related activities affecting the information system with [Assignment: organization-defined individuals or groups] before conducting such activities in order to reduce the impact on other organizational entities.
+
+
+ Security-related activities include, for example, security assessments, audits, hardware and software maintenance, patch management, and contingency plan testing. Advance planning and coordination includes emergency and nonemergency (i.e., planned or nonurgent unplanned) situations. The process defined by organizations to plan and coordinate security-related activities can be included in security plans for information systems or other documents, as appropriate.
+ CP-4
+ IR-4
+
+
+
+
+
+ NIST Special Publication 800-18
+
+
+
+
+ PLANNING
+ PL-3
+ SYSTEM SECURITY PLAN UPDATE
+
+ PL-2
+
+
+ [Withdrawn: Incorporated into PL-2].
+
+
+
+ PLANNING
+ PL-4
+ RULES OF BEHAVIOR
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ PL-4a.
+ Establishes and makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;
+
+
+ PL-4b.
+ Receives a signed acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system;
+
+
+ PL-4c.
+ Reviews and updates the rules of behavior [Assignment: organization-defined frequency]; and
+
+
+ PL-4d.
+ Requires individuals who have signed a previous version of the rules of behavior to read and re-sign when the rules of behavior are revised/updated.
+
+
+
+ This control enhancement applies to organizational users. Organizations consider rules of behavior based on individual user roles and responsibilities, differentiating, for example, between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users including, for example, individuals who simply receive data/information from federal information systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for both organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4 b. (the signed acknowledgment portion of this control) may be satisfied by the security awareness training and role-based security training programs conducted by organizations if such training includes rules of behavior. Organizations can use electronic signatures for acknowledging rules of behavior.
+ AC-2
+ AC-6
+ AC-8
+ AC-9
+ AC-17
+ AC-18
+ AC-19
+ AC-20
+ AT-2
+ AT-3
+ CM-11
+ IA-2
+ IA-4
+ IA-5
+ MP-7
+ PS-6
+ PS-8
+ SA-5
+
+
+
+ PL-4 (1)
+ SOCIAL MEDIA AND NETWORKING RESTRICTIONS
+ MODERATE
+ HIGH
+
+ The organization includes in the rules of behavior, explicit restrictions on the use of social media/networking sites and posting organizational information on public websites.
+
+
+ This control enhancement addresses rules of behavior related to the use of social media/networking sites: (i) when organizational personnel are using such sites for official duties or in the conduct of official business; (ii) when organizational information is involved in social media/networking transactions; and (iii) when personnel are accessing social media/networking sites from organizational information systems. Organizations also address specific rules that prevent unauthorized entities from obtaining and/or inferring non-public organizational information (e.g., system account information, personally identifiable information) from social media/networking sites.
+
+
+
+
+
+ NIST Special Publication 800-18
+
+
+
+
+ PLANNING
+ PL-5
+ PRIVACY IMPACT ASSESSMENT
+
+ Appendix J
+ AR-2
+
+
+ [Withdrawn: Incorporated into Appendix J, AR-2].
+
+
+
+ PLANNING
+ PL-6
+ SECURITY-RELATED ACTIVITY PLANNING
+
+ PL-2
+
+
+ [Withdrawn: Incorporated into PL-2].
+
+
+
+ PLANNING
+ PL-7
+ SECURITY CONCEPT OF OPERATIONS
+ P0
+
+ The organization:
+
+ PL-7a.
+ Develops a security Concept of Operations (CONOPS) for the information system containing at a minimum, how the organization intends to operate the system from the perspective of information security; and
+
+
+ PL-7b.
+ Reviews and updates the CONOPS [Assignment: organization-defined frequency].
+
+
+
+ The security CONOPS may be included in the security plan for the information system or in other system development life cycle-related documents, as appropriate. Changes to the CONOPS are reflected in ongoing updates to the security plan, the information security architecture, and other appropriate organizational documents (e.g., security specifications for procurements/acquisitions, system development life cycle documents, and systems/security engineering documents).
+ PL-2
+
+
+
+ PLANNING
+ PL-8
+ INFORMATION SECURITY ARCHITECTURE
+ P1
+ MODERATE
+ HIGH
+
+ The organization:
+
+ PL-8a.
+ Develops an information security architecture for the information system that:
+
+ PL-8a.1.
+ Describes the overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information;
+
+
+ PL-8a.2.
+ Describes how the information security architecture is integrated into and supports the enterprise architecture; and
+
+
+ PL-8a.3.
+ Describes any information security assumptions about, and dependencies on, external services;
+
+
+
+ PL-8b.
+ Reviews and updates the information security architecture [Assignment: organization-defined frequency] to reflect updates in the enterprise architecture; and
+
+
+ PL-8c.
+ Ensures that planned information security architecture changes are reflected in the security plan, the security Concept of Operations (CONOPS), and organizational procurements/acquisitions.
+
+
+
+ This control addresses actions taken by organizations in the design and development of information systems. The information security architecture at the individual information system level is consistent with and complements the more global, organization-wide information security architecture described in PM-7 that is integral to and developed as part of the enterprise architecture. The information security architecture includes an architectural description, the placement/allocation of security functionality (including security controls), security-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. In addition, the security architecture can include other important security-related information, for example, user roles and access privileges assigned to each role, unique security requirements, the types of information processed, stored, and transmitted by the information system, restoration priorities of information and information system services, and any other specific protection needs.
+In today�s modern architecture, it is becoming less common for organizations to control all information resources. There are going to be key dependencies on external information services and service providers. Describing such dependencies in the information security architecture is important to developing a comprehensive mission/business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational information systems is critical to implementing and maintaining an effective information security architecture. The development of the information security architecture is coordinated with the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to support privacy requirements are identified and effectively implemented. PL-8 is primarily directed at organizations (i.e., internally focused) to help ensure that organizations develop an information security architecture for the information system, and that the security architecture is integrated with or tightly coupled to the enterprise architecture through the organization-wide information security architecture. In contrast, SA-17 is primarily directed at external information technology product/system developers and integrators (although SA-17 could be used internally within organizations for in-house system development). SA-17, which is complementary to PL-8, is selected when organizations outsource the development of information systems or information system components to external entities, and there is a need to demonstrate/show consistency with the organization�s enterprise architecture and information security architecture.
+ CM-2
+ CM-6
+ PL-2
+ PM-7
+ SA-5
+ SA-17
+ Appendix J
+
+
+
+ PL-8 (1)
+ DEFENSE-IN-DEPTH
+
+ The organization designs its security architecture using a defense-in-depth approach that:
+
+ PL-8 (1)(a)
+ Allocates [Assignment: organization-defined security safeguards] to [Assignment: organization-defined locations and architectural layers]; and
+
+
+ PL-8 (1)(b)
+ Ensures that the allocated security safeguards operate in a coordinated and mutually reinforcing manner.
+
+
+
+ Organizations strategically allocate security safeguards (procedural, technical, or both) in the security architecture so that adversaries have to overcome multiple safeguards to achieve their objective. Requiring adversaries to defeat multiple mechanisms makes it more difficult to successfully attack critical information resources (i.e., increases adversary work factor) and also increases the likelihood of detection. The coordination of allocated safeguards is essential to ensure that an attack that involves one safeguard does not create adverse unintended consequences (e.g., lockout, cascading alarms) by interfering with another safeguard. Placement of security safeguards is a key activity. Greater asset criticality or information value merits additional layering. Thus, an organization may choose to place anti-virus software at organizational boundary layers, email/web servers, notebook computers, and workstations to maximize the number of related safeguards adversaries must penetrate before compromising the information and information systems.
+ SC-29
+ SC-36
+
+
+
+ PL-8 (2)
+ SUPPLIER DIVERSITY
+
+ The organization requires that [Assignment: organization-defined security safeguards] allocated to [Assignment: organization-defined locations and architectural layers] are obtained from different suppliers.
+
+
+ Different information technology products have different strengths and weaknesses. Providing a broad spectrum of products complements the individual offerings. For example, vendors offering malicious code protection typically update their products at different times, often developing solutions for known viruses, Trojans, or worms according to their priorities and development schedules. By having different products at different locations (e.g., server, boundary, desktop) there is an increased likelihood that at least one will detect the malicious code.
+ SA-12
+
+
+
+
+
+ PLANNING
+ PL-9
+ CENTRAL MANAGEMENT
+ P0
+
+ The organization centrally manages [Assignment: organization-defined security controls and related processes].
+
+
+ Central management refers to the organization-wide management and implementation of selected security controls and related processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed security controls and processes. As central management of security controls is generally associated with common controls, such management promotes and facilitates standardization of security control implementations and management and judicious use of organizational resources. Centrally-managed security controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate as part of organizational continuous monitoring. As part of the security control selection process, organizations determine which controls may be suitable for central management based on organizational resources and capabilities. Organizations consider that it may not always be possible to centrally manage every aspect of a security control. In such cases, the security control is treated as a hybrid control with the control managed and implemented either centrally or at the information system level. Controls and control enhancements that are candidates for full or partial central management include, but are not limited to: AC-2 (1) (2) (3) (4); AC-17 (1) (2) (3) (9); AC-18 (1) (3) (4) (5); AC-19 (4); AC-22; AC-23; AT-2 (1) (2); AT-3 (1) (2) (3); AT-4; AU-6 (1) (3) (5) (6) (9); AU-7 (1) (2); AU-11, AU-13, AU-16, CA-2 (1) (2) (3); CA-3 (1) (2) (3); CA-7 (1); CA-9; CM-2 (1) (2); CM-3 (1) (4); CM-4; CM-6 (1); CM-7 (4) (5); CM-8 (all); CM-9 (1); CM-10; CM-11; CP-7 (all); CP-8 (all); SC-43; SI-2; SI-3; SI-7; and SI-8.
+
+
+
+ NIST Special Publication 800-37
+
+
+
+
+ PERSONNEL SECURITY
+ PS-1
+ PERSONNEL SECURITY POLICY AND PROCEDURES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ PS-1a.
+ Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
+
+ PS-1a.1.
+ A personnel security policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ PS-1a.2.
+ Procedures to facilitate the implementation of the personnel security policy and associated personnel security controls; and
+
+
+
+ PS-1b.
+ Reviews and updates the current:
+
+ PS-1b.1.
+ Personnel security policy [Assignment: organization-defined frequency]; and
+
+
+ PS-1b.2.
+ Personnel security procedures [Assignment: organization-defined frequency].
+
+
+
+
+ This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PS family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ PERSONNEL SECURITY
+ PS-2
+ POSITION RISK DESIGNATION
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ PS-2a.
+ Assigns a risk designation to all organizational positions;
+
+
+ PS-2b.
+ Establishes screening criteria for individuals filling those positions; and
+
+
+ PS-2c.
+ Reviews and updates position risk designations [Assignment: organization-defined frequency].
+
+
+
+ Position risk designations reflect Office of Personnel Management policy and guidance. Risk designations can guide and inform the types of authorizations individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements (e.g., training, security clearances).
+ AT-3
+ PL-2
+ PS-3
+
+
+
+ 5 C.F.R. 731.106
+
+
+
+
+ PERSONNEL SECURITY
+ PS-3
+ PERSONNEL SCREENING
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ PS-3a.
+ Screens individuals prior to authorizing access to the information system; and
+
+
+ PS-3b.
+ Rescreens individuals according to [Assignment: organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening].
+
+
+
+ Personnel screening and rescreening activities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, guidance, and specific criteria established for the risk designations of assigned positions. Organizations may define different rescreening conditions and frequencies for personnel accessing information systems based on types of information processed, stored, or transmitted by the systems.
+ AC-2
+ IA-4
+ PE-2
+ PS-2
+
+
+
+ PS-3 (1)
+ CLASSIFIED INFORMATION
+
+ The organization ensures that individuals accessing an information system processing, storing, or transmitting classified information are cleared and indoctrinated to the highest classification level of the information to which they have access on the system.
+
+
+ AC-3
+ AC-4
+
+
+
+ PS-3 (2)
+ FORMAL INDOCTRINATION
+
+ The organization ensures that individuals accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, are formally indoctrinated for all of the relevant types of information to which they have access on the system.
+
+
+ Types of classified information requiring formal indoctrination include, for example, Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information (SCI).
+ AC-3
+ AC-4
+
+
+
+ PS-3 (3)
+ INFORMATION WITH SPECIAL PROTECTION MEASURES
+
+ The organization ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection:
+
+ PS-3 (3)(a)
+ Have valid access authorizations that are demonstrated by assigned official government duties; and
+
+
+ PS-3 (3)(b)
+ Satisfy [Assignment: organization-defined additional personnel screening criteria].
+
+
+
+ Organizational information requiring special protection includes, for example, Controlled Unclassified Information (CUI) and Sources and Methods Information (SAMI). Personnel security criteria include, for example, position sensitivity background screening requirements.
+
+
+
+
+
+ 5 C.F.R. 731.106
+
+
+ FIPS Publication 199
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-60
+
+
+ NIST Special Publication 800-73
+
+
+ NIST Special Publication 800-76
+
+
+ NIST Special Publication 800-78
+
+
+ ICD 704
+
+
+
+
+ PERSONNEL SECURITY
+ PS-4
+ PERSONNEL TERMINATION
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization, upon termination of individual employment:
+
+ PS-4a.
+ Disables information system access within [Assignment: organization-defined time period];
+
+
+ PS-4b.
+ Terminates/revokes any authenticators/credentials associated with the individual;
+
+
+ PS-4c.
+ Conducts exit interviews that include a discussion of [Assignment: organization-defined information security topics];
+
+
+ PS-4d.
+ Retrieves all security-related organizational information system-related property;
+
+
+ PS-4e.
+ Retains access to organizational information and information systems formerly controlled by terminated individual; and
+
+
+ PS-4f.
+ Notifies [Assignment: organization-defined personnel or roles] within [Assignment: organization-defined time period].
+
+
+
+ Information system-related property includes, for example, hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for information system-related property. Security topics of interest at exit interviews can include, for example, reminding terminated individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not be possible for some terminated individuals, for example, in cases related to job abandonment, illnesses, and nonavailability of supervisors. Exit interviews are important for individuals with security clearances. Timely execution of termination actions is essential for individuals terminated for cause. In certain situations, organizations consider disabling the information system accounts of individuals that are being terminated prior to the individuals being notified.
+ AC-2
+ IA-4
+ PE-2
+ PS-5
+ PS-6
+
+
+
+ PS-4 (1)
+ POST-EMPLOYMENT REQUIREMENTS
+
+ The organization:
+
+ PS-4 (1)(a)
+ Notifies terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information; and
+
+
+ PS-4 (1)(b)
+ Requires terminated individuals to sign an acknowledgment of post-employment requirements as part of the organizational termination process.
+
+
+
+ Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.
+
+
+
+ PS-4 (2)
+ AUTOMATED NOTIFICATION
+ HIGH
+
+ The organization employs automated mechanisms to notify [Assignment: organization-defined personnel or roles] upon termination of an individual.
+
+
+ In organizations with a large number of employees, not all personnel who need to know about termination actions receive the appropriate notifications�or, if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to specific organizational personnel or roles (e.g., management personnel, supervisors, personnel security officers, information security officers, systems administrators, or information technology administrators) when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including, for example, telephonically, via electronic mail, via text message, or via websites.
+
+
+
+
+
+ PERSONNEL SECURITY
+ PS-5
+ PERSONNEL TRANSFER
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ PS-5a.
+ Reviews and confirms ongoing operational need for current logical and physical access authorizations to information systems/facilities when individuals are reassigned or transferred to other positions within the organization;
+
+
+ PS-5b.
+ Initiates [Assignment: organization-defined transfer or reassignment actions] within [Assignment: organization-defined time period following the formal transfer action];
+
+
+ PS-5c.
+ Modifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and
+
+
+ PS-5d.
+ Notifies [Assignment: organization-defined personnel or roles] within [Assignment: organization-defined time period].
+
+
+
+ This control applies when reassignments or transfers of individuals are permanent or of such extended durations as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include, for example: (i) returning old and issuing new keys, identification cards, and building passes; (ii) closing information system accounts and establishing new accounts; (iii) changing information system access authorizations (i.e., privileges); and (iv) providing for access to official records to which individuals had access at previous work locations and in previous information system accounts.
+ AC-2
+ IA-4
+ PE-2
+ PS-4
+
+
+
+ PERSONNEL SECURITY
+ PS-6
+ ACCESS AGREEMENTS
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ PS-6a.
+ Develops and documents access agreements for organizational information systems;
+
+
+ PS-6b.
+ Reviews and updates the access agreements [Assignment: organization-defined frequency]; and
+
+
+ PS-6c.
+ Ensures that individuals requiring access to organizational information and information systems:
+
+ PS-6c.1.
+ Sign appropriate access agreements prior to being granted access; and
+
+
+ PS-6c.2.
+ Re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or [Assignment: organization-defined frequency].
+
+
+
+
+ Access agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational information systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.
+ PL-4
+ PS-2
+ PS-3
+ PS-4
+ PS-8
+
+
+
+ PS-6 (1)
+ INFORMATION REQUIRING SPECIAL PROTECTION
+
+ PS-3
+
+
+ [Withdrawn: Incorporated into PS-3].
+
+
+
+ PS-6 (2)
+ CLASSIFIED INFORMATION REQUIRING SPECIAL PROTECTION
+
+ The organization ensures that access to classified information requiring special protection is granted only to individuals who:
+
+ PS-6 (2)(a)
+ Have a valid access authorization that is demonstrated by assigned official government duties;
+
+
+ PS-6 (2)(b)
+ Satisfy associated personnel security criteria; and
+
+
+ PS-6 (2)(c)
+ Have read, understood, and signed a nondisclosure agreement.
+
+
+
+ Classified information requiring special protection includes, for example, collateral information, Special Access Program (SAP) information, and Sensitive Compartmented Information (SCI). Personnel security criteria reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.
+
+
+
+ PS-6 (3)
+ POST-EMPLOYMENT REQUIREMENTS
+
+ The organization:
+
+ PS-6 (3)(a)
+ Notifies individuals of applicable, legally binding post-employment requirements for protection of organizational information; and
+
+
+ PS-6 (3)(b)
+ Requires individuals to sign an acknowledgment of these requirements, if applicable, as part of granting initial access to covered information.
+
+
+
+ Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.
+
+
+
+
+
+ PERSONNEL SECURITY
+ PS-7
+ THIRD-PARTY PERSONNEL SECURITY
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ PS-7a.
+ Establishes personnel security requirements including security roles and responsibilities for third-party providers;
+
+
+ PS-7b.
+ Requires third-party providers to comply with personnel security policies and procedures established by the organization;
+
+
+ PS-7c.
+ Documents personnel security requirements;
+
+
+ PS-7d.
+ Requires third-party providers to notify [Assignment: organization-defined personnel or roles] of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges within [Assignment: organization-defined time period]; and
+
+
+ PS-7e.
+ Monitors provider compliance.
+
+
+
+ Third-party providers include, for example, service bureaus, contractors, and other organizations providing information system development, information technology services, outsourced applications, and network and security management. Organizations explicitly include personnel security requirements in acquisition-related documents. Third-party providers may have personnel working at organizational facilities with credentials, badges, or information system privileges issued by organizations. Notifications of third-party personnel changes ensure appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include, for example, functions, roles, and nature of credentials/privileges associated with individuals transferred or terminated.
+ PS-2
+ PS-3
+ PS-4
+ PS-5
+ PS-6
+ SA-9
+ SA-21
+
+
+
+ NIST Special Publication 800-35
+
+
+
+
+ PERSONNEL SECURITY
+ PS-8
+ PERSONNEL SANCTIONS
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ PS-8a.
+ Employs a formal sanctions process for individuals failing to comply with established information security policies and procedures; and
+
+
+ PS-8b.
+ Notifies [Assignment: organization-defined personnel or roles] within [Assignment: organization-defined time period] when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.
+
+
+
+ Organizational sanctions processes reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Sanctions processes are described in access agreements and can be included as part of general personnel policies and procedures for organizations. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions.
+ PL-4
+ PS-6
+
+
+
+ RISK ASSESSMENT
+ RA-1
+ RISK ASSESSMENT POLICY AND PROCEDURES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ RA-1a.
+ Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
+
+ RA-1a.1.
+ A risk assessment policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ RA-1a.2.
+ Procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls; and
+
+
+
+ RA-1b.
+ Reviews and updates the current:
+
+ RA-1b.1.
+ Risk assessment policy [Assignment: organization-defined frequency]; and
+
+
+ RA-1b.2.
+ Risk assessment procedures [Assignment: organization-defined frequency].
+
+
+
+
+ This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the RA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-30
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ RISK ASSESSMENT
+ RA-2
+ SECURITY CATEGORIZATION
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ RA-2a.
+ Categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+
+
+ RA-2b.
+ Documents the security categorization results (including supporting rationale) in the security plan for the information system; and
+
+
+ RA-2c.
+ Ensures that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.
+
+
+
+ Clearly defined authorization boundaries are a prerequisite for effective security categorization decisions. Security categories describe the potential adverse impacts to organizational operations, organizational assets, and individuals if organizational information and information systems are comprised through a loss of confidentiality, integrity, or availability. Organizations conduct the security categorization process as an organization-wide activity with the involvement of chief information officers, senior information security officers, information system owners, mission/business owners, and information owners/stewards. Organizations also consider the potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential national-level adverse impacts. Security categorization processes carried out by organizations facilitate the development of inventories of information assets, and along with CM-8, mappings to specific information system components where information is processed, stored, or transmitted.
+ CM-8
+ MP-4
+ RA-3
+ SC-7
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-30
+
+
+ NIST Special Publication 800-39
+
+
+ NIST Special Publication 800-60
+
+
+
+
+ RISK ASSESSMENT
+ RA-3
+ RISK ASSESSMENT
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ RA-3a.
+ Conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of the information system and the information it processes, stores, or transmits;
+
+
+ RA-3b.
+ Documents risk assessment results in [Selection: security plan; risk assessment report; [Assignment: organization-defined document]];
+
+
+ RA-3c.
+ Reviews risk assessment results [Assignment: organization-defined frequency];
+
+
+ RA-3d.
+ Disseminates risk assessment results to [Assignment: organization-defined personnel or roles]; and
+
+
+ RA-3e.
+ Updates the risk assessment [Assignment: organization-defined frequency] or whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security state of the system.
+
+
+
+ Clearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments take into account threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of information systems. Risk assessments also take into account risk from external parties (e.g., service providers, contractors operating information systems on behalf of the organization, individuals accessing organizational information systems, outsourcing entities). In accordance with OMB policy and related E-authentication initiatives, authentication of public users accessing federal information systems may also be required to protect nonpublic or privacy-related information. As such, organizational assessments of risk also address public access to federal information systems.
+Risk assessments (either formal or informal) can be conducted at all three tiers in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any phase in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including categorization, security control selection, security control implementation, security control assessment, information system authorization, and security control monitoring. RA-3 is noteworthy in that the control must be partially implemented prior to the implementation of other controls in order to complete the first two steps in the Risk Management Framework. Risk assessments can play an important role in security control selection processes, particularly during the application of tailoring guidance, which includes security control supplementation.
+ RA-2
+ PM-9
+
+
+
+ OMB Memorandum 04-04
+
+
+ NIST Special Publication 800-30
+
+
+ NIST Special Publication 800-39
+
+
+ http://idmanagement.gov
+
+
+
+
+ RISK ASSESSMENT
+ RA-4
+ RISK ASSESSMENT UPDATE
+
+ RA-3
+
+
+ [Withdrawn: Incorporated into RA-3].
+
+
+
+ RISK ASSESSMENT
+ RA-5
+ VULNERABILITY SCANNING
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ RA-5a.
+ Scans for vulnerabilities in the information system and hosted applications [Assignment: organization-defined frequency and/or randomly in accordance with organization-defined process] and when new vulnerabilities potentially affecting the system/applications are identified and reported;
+
+
+ RA-5b.
+ Employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:
+
+ RA-5b.1.
+ Enumerating platforms, software flaws, and improper configurations;
+
+
+ RA-5b.2.
+ Formatting checklists and test procedures; and
+
+
+ RA-5b.3.
+ Measuring vulnerability impact;
+
+
+
+ RA-5c.
+ Analyzes vulnerability scan reports and results from security control assessments;
+
+
+ RA-5d.
+ Remediates legitimate vulnerabilities [Assignment: organization-defined response times] in accordance with an organizational assessment of risk; and
+
+
+ RA-5e.
+ Shares information obtained from the vulnerability scanning process and security control assessments with [Assignment: organization-defined personnel or roles] to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).
+
+
+
+ Security categorization of information systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for all information system components, ensuring that potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. Vulnerability analyses for custom software applications may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Vulnerability scanning includes, for example: (i) scanning for patch levels; (ii) scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and (iii) scanning for improperly configured or incorrectly operating information flow control mechanisms. Organizations consider using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to determine/test for the presence of vulnerabilities. Suggested sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In addition, security control assessments such as red team exercises provide other sources of potential vulnerabilities for which to scan. Organizations also consider using tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).
+ CA-2
+ CA-7
+ CM-4
+ CM-6
+ RA-2
+ RA-3
+ SA-11
+ SI-2
+
+
+
+ RA-5 (1)
+ UPDATE TOOL CAPABILITY
+ MODERATE
+ HIGH
+
+ The organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned.
+
+
+ The vulnerabilities to be scanned need to be readily updated as new vulnerabilities are discovered, announced, and scanning methods developed. This updating process helps to ensure that potential vulnerabilities in the information system are identified and addressed as quickly as possible.
+ SI-3
+ SI-7
+
+
+
+ RA-5 (2)
+ UPDATE BY FREQUENCY / PRIOR TO NEW SCAN / WHEN IDENTIFIED
+ MODERATE
+ HIGH
+
+ The organization updates the information system vulnerabilities scanned [Selection (one or more): [Assignment: organization-defined frequency]; prior to a new scan; when new vulnerabilities are identified and reported].
+
+
+ SI-3
+ SI-5
+
+
+
+ RA-5 (3)
+ BREADTH / DEPTH OF COVERAGE
+
+ The organization employs vulnerability scanning procedures that can identify the breadth and depth of coverage (i.e., information system components scanned and vulnerabilities checked).
+
+
+
+ RA-5 (4)
+ DISCOVERABLE INFORMATION
+ HIGH
+
+ The organization determines what information about the information system is discoverable by adversaries and subsequently takes [Assignment: organization-defined corrective actions].
+
+
+ Discoverable information includes information that adversaries could obtain without directly compromising or breaching the information system, for example, by collecting information the system is exposing or by conducting extensive searches of the web. Corrective actions can include, for example, notifying appropriate organizational personnel, removing designated information, or changing the information system to make designated information less relevant or attractive to adversaries.
+ AU-13
+
+
+
+ RA-5 (5)
+ PRIVILEGED ACCESS
+ MODERATE
+ HIGH
+
+ The information system implements privileged access authorization to [Assignment: organization-identified information system components] for selected [Assignment: organization-defined vulnerability scanning activities].
+
+
+ In certain situations, the nature of the vulnerability scanning may be more intrusive or the information system component that is the subject of the scanning may contain highly sensitive information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and also protects the sensitive nature of such scanning.
+
+
+
+ RA-5 (6)
+ AUTOMATED TREND ANALYSES
+
+ The organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.
+
+
+ IR-4
+ IR-5
+ SI-4
+
+
+
+ RA-5 (7)
+ AUTOMATED DETECTION AND NOTIFICATION OF UNAUTHORIZED COMPONENTS
+
+ CM-8
+
+
+ [Withdrawn: Incorporated into CM-8].
+
+
+
+ RA-5 (8)
+ REVIEW HISTORIC AUDIT LOGS
+
+ The organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.
+
+
+ AU-6
+
+
+
+ RA-5 (9)
+ PENETRATION TESTING AND ANALYSES
+
+ CA-8
+
+
+ [Withdrawn: Incorporated into CA-8].
+
+
+
+ RA-5 (10)
+ CORRELATE SCANNING INFORMATION
+
+ The organization correlates the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors.
+
+
+
+
+
+ NIST Special Publication 800-40
+
+
+ NIST Special Publication 800-70
+
+
+ NIST Special Publication 800-115
+
+
+ http://cwe.mitre.org
+
+
+ http://nvd.nist.gov
+
+
+
+
+ RISK ASSESSMENT
+ RA-6
+ TECHNICAL SURVEILLANCE COUNTERMEASURES SURVEY
+ P0
+
+ The organization employs a technical surveillance countermeasures survey at [Assignment: organization-defined locations] [Selection (one or more): [Assignment: organization-defined frequency]; [Assignment: organization-defined events or indicators occur]].
+
+
+ Technical surveillance countermeasures surveys are performed by qualified personnel to detect the presence of technical surveillance devices/hazards and to identify technical security weaknesses that could aid in the conduct of technical penetrations of surveyed facilities. Such surveys provide evaluations of the technical security postures of organizations and facilities and typically include thorough visual, electronic, and physical examinations in and about surveyed facilities. The surveys also provide useful input into risk assessments and organizational exposure to potential adversaries.
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-1
+ SYSTEM AND SERVICES ACQUISITION POLICY AND PROCEDURES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ SA-1a.
+ Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
+
+ SA-1a.1.
+ A system and services acquisition policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ SA-1a.2.
+ Procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls; and
+
+
+
+ SA-1b.
+ Reviews and updates the current:
+
+ SA-1b.1.
+ System and services acquisition policy [Assignment: organization-defined frequency]; and
+
+
+ SA-1b.2.
+ System and services acquisition procedures [Assignment: organization-defined frequency].
+
+
+
+
+ This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-2
+ ALLOCATION OF RESOURCES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ SA-2a.
+ Determines information security requirements for the information system or information system service in mission/business process planning;
+
+
+ SA-2b.
+ Determines, documents, and allocates the resources required to protect the information system or information system service as part of its capital planning and investment control process; and
+
+
+ SA-2c.
+ Establishes a discrete line item for information security in organizational programming and budgeting documentation.
+
+
+
+ Resource allocation for information security includes funding for the initial information system or information system service acquisition and funding for the sustainment of the system/service.
+ PM-3
+ PM-11
+
+
+
+ NIST Special Publication 800-65
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-3
+ SYSTEM DEVELOPMENT LIFE CYCLE
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ SA-3a.
+ Manages the information system using [Assignment: organization-defined system development life cycle] that incorporates information security considerations;
+
+
+ SA-3b.
+ Defines and documents information security roles and responsibilities throughout the system development life cycle;
+
+
+ SA-3c.
+ Identifies individuals having information security roles and responsibilities; and
+
+
+ SA-3d.
+ Integrates the organizational information security risk management process into system development life cycle activities.
+
+
+
+ A well-defined system development life cycle provides the foundation for the successful development, implementation, and operation of organizational information systems. To apply the required security controls within the system development life cycle requires a basic understanding of information security, threats, vulnerabilities, adverse impacts, and risk to critical missions/business functions. The security engineering principles in SA-8 cannot be properly applied if individuals that design, code, and test information systems and system components (including information technology products) do not understand security. Therefore, organizations include qualified personnel, for example, chief information security officers, security architects, security engineers, and information system security officers in system development life cycle activities to ensure that security requirements are incorporated into organizational information systems. It is equally important that developers include individuals on the development team that possess the requisite security expertise and skills to ensure that needed security capabilities are effectively integrated into the information system. Security awareness and training programs can help ensure that individuals having key security roles and responsibilities have the appropriate experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security requirements into enterprise architecture also helps to ensure that important security considerations are addressed early in the system development life cycle and that those considerations are directly related to the organizational mission/business processes. This process also facilitates the integration of the information security architecture into the enterprise architecture, consistent with organizational risk management and information security strategies.
+ AT-3
+ PM-7
+ SA-8
+
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-64
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-4
+ ACQUISITION PROCESS
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:
+
+ SA-4a.
+ Security functional requirements;
+
+
+ SA-4b.
+ Security strength requirements;
+
+
+ SA-4c.
+ Security assurance requirements;
+
+
+ SA-4d.
+ Security-related documentation requirements;
+
+
+ SA-4e.
+ Requirements for protecting security-related documentation;
+
+
+ SA-4f.
+ Description of the information system development environment and environment in which the system is intended to operate; and
+
+
+ SA-4g.
+ Acceptance criteria.
+
+
+
+ Information system components are discrete, identifiable information technology assets (e.g., hardware, software, or firmware) that represent the building blocks of an information system. Information system components include commercial information technology products. Security functional requirements include security capabilities, security functions, and security mechanisms. Security strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to direct attack, and resistance to tampering or bypass. Security assurance requirements include: (i) development processes, procedures, practices, and methodologies; and (ii) evidence from development and assessment activities providing grounds for confidence that the required security functionality has been implemented and the required security strength has been achieved. Security documentation requirements address all phases of the system development life cycle.
+Security functionality, assurance, and documentation requirements are expressed in terms of security controls and control enhancements that have been selected through the tailoring process. The security control tailoring process includes, for example, the specification of parameter values through the use of assignment and selection statements and the specification of platform dependencies and implementation information. Security documentation provides user and administrator guidance regarding the implementation and operation of security controls. The level of detail required in security documentation is based on the security category or classification level of the information system and the degree to which organizations depend on the stated security capability, functions, or mechanisms to meet overall risk response expectations (as defined in the organizational risk management strategy). Security requirements can also include organizationally mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for information systems, information system components, and information system services are defined in the same manner as such criteria for any organizational acquisition or procurement. The Federal Acquisition Regulation (FAR) Section 7.103 contains information security requirements from FISMA.
+ CM-6
+ PL-2
+ PS-7
+ SA-3
+ SA-5
+ SA-8
+ SA-11
+ SA-12
+
+
+
+ SA-4 (1)
+ FUNCTIONAL PROPERTIES OF SECURITY CONTROLS
+ MODERATE
+ HIGH
+
+ The organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed.
+
+
+ Functional properties of security controls describe the functionality (i.e., security capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls.
+ SA-5
+
+
+
+ SA-4 (2)
+ DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS
+ MODERATE
+ HIGH
+
+ The organization requires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes: [Selection (one or more): security-relevant external system interfaces; high-level design; low-level design; source code or hardware schematics; [Assignment: organization-defined design/implementation information]] at [Assignment: organization-defined level of detail].
+
+
+ Organizations may require different levels of detail in design and implementation documentation for security controls employed in organizational information systems, system components, or information system services based on mission/business requirements, requirements for trustworthiness/resiliency, and requirements for analysis and testing. Information systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of multiple subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules with particular emphasis on software and firmware (but not excluding hardware) and the interfaces between modules providing security-relevant functionality. Source code and hardware schematics are typically referred to as the implementation representation of the information system.
+ SA-5
+
+
+
+ SA-4 (3)
+ DEVELOPMENT METHODS / TECHNIQUES / PRACTICES
+
+ The organization requires the developer of the information system, system component, or information system service to demonstrate the use of a system development life cycle that includes [Assignment: organization-defined state-of-the-practice system/security engineering methods, software development methods, testing/evaluation/validation techniques, and quality control processes].
+
+
+ Following a well-defined system development life cycle that includes state-of-the-practice software development methods, systems/security engineering methods, quality control processes, and testing, evaluation, and validation techniques helps to reduce the number and severity of latent errors within information systems, system components, and information system services. Reducing the number/severity of such errors reduces the number of vulnerabilities in those systems, components, and services.
+ SA-12
+
+
+
+ SA-4 (4)
+ ASSIGNMENT OF COMPONENTS TO SYSTEMS
+
+ CM-8 (9)
+
+
+ [Withdrawn: Incorporated into CM-8 (9)].
+
+
+
+ SA-4 (5)
+ SYSTEM / COMPONENT / SERVICE CONFIGURATIONS
+
+ The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-4 (5)(a)
+ Deliver the system, component, or service with [Assignment: organization-defined security configurations] implemented; and
+
+
+ SA-4 (5)(b)
+ Use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.
+
+
+
+ Security configurations include, for example, the U.S. Government Configuration Baseline (USGCB) and any limitations on functions, ports, protocols, and services. Security characteristics include, for example, requiring that all default passwords have been changed.
+ CM-8
+
+
+
+ SA-4 (6)
+ USE OF INFORMATION ASSURANCE PRODUCTS
+
+ The organization:
+
+ SA-4 (6)(a)
+ Employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and
+
+
+ SA-4 (6)(b)
+ Ensures that these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures.
+
+
+
+ COTS IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management.
+ SC-8
+ SC-12
+ SC-13
+
+
+
+ SA-4 (7)
+ NIAP-APPROVED PROTECTION PROFILES
+
+ The organization:
+
+ SA-4 (7)(a)
+ Limits the use of commercially provided information assurance (IA) and IA-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and
+
+
+ SA-4 (7)(b)
+ Requires, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated.
+
+
+
+ SC-12
+ SC-13
+
+
+
+ SA-4 (8)
+ CONTINUOUS MONITORING PLAN
+
+ The organization requires the developer of the information system, system component, or information system service to produce a plan for the continuous monitoring of security control effectiveness that contains [Assignment: organization-defined level of detail].
+
+
+ The objective of continuous monitoring plans is to determine if the complete set of planned, required, and deployed security controls within the information system, system component, or information system service continue to be effective over time based on the inevitable changes that occur. Developer continuous monitoring plans include a sufficient level of detail such that the information can be incorporated into the continuous monitoring strategies and programs implemented by organizations.
+ CA-7
+
+
+
+ SA-4 (9)
+ FUNCTIONS / PORTS / PROTOCOLS / SERVICES IN USE
+ MODERATE
+ HIGH
+
+ The organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle, the functions, ports, protocols, and services intended for organizational use.
+
+
+ The identification of functions, ports, protocols, and services early in the system development life cycle (e.g., during the initial requirements definition and design phases) allows organizations to influence the design of the information system, information system component, or information system service. This early involvement in the life cycle helps organizations to avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services (or when requiring information system service providers to do so). Early identification of functions, ports, protocols, and services avoids costly retrofitting of security controls after the information system, system component, or information system service has been implemented. SA-9 describes requirements for external information system services with organizations identifying which functions, ports, protocols, and services are provided from external sources.
+ CM-7
+ SA-9
+
+
+
+ SA-4 (10)
+ USE OF APPROVED PIV PRODUCTS
+ LOW
+ MODERATE
+ HIGH
+
+ The organization employs only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational information systems.
+
+
+ IA-2
+ IA-8
+
+
+
+
+
+ HSPD-12
+
+
+ ISO/IEC 15408
+
+
+ FIPS Publication 140-2
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-23
+
+
+ NIST Special Publication 800-35
+
+
+ NIST Special Publication 800-36
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-64
+
+
+ NIST Special Publication 800-70
+
+
+ NIST Special Publication 800-137
+
+
+ Federal Acquisition Regulation
+
+
+ http://www.niap-ccevs.org
+
+
+ http://fips201ep.cio.gov
+
+
+ http://www.acquisition.gov/far
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-5
+ INFORMATION SYSTEM DOCUMENTATION
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ SA-5a.
+ Obtains administrator documentation for the information system, system component, or information system service that describes:
+
+ SA-5a.1.
+ Secure configuration, installation, and operation of the system, component, or service;
+
+
+ SA-5a.2.
+ Effective use and maintenance of security functions/mechanisms; and
+
+
+ SA-5a.3.
+ Known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions;
+
+
+
+ SA-5b.
+ Obtains user documentation for the information system, system component, or information system service that describes:
+
+ SA-5b.1.
+ User-accessible security functions/mechanisms and how to effectively use those security functions/mechanisms;
+
+
+ SA-5b.2.
+ Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner; and
+
+
+ SA-5b.3.
+ User responsibilities in maintaining the security of the system, component, or service;
+
+
+
+ SA-5c.
+ Documents attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent and takes [Assignment: organization-defined actions] in response;
+
+
+ SA-5d.
+ Protects documentation as required, in accordance with the risk management strategy; and
+
+
+ SA-5e.
+ Distributes documentation to [Assignment: organization-defined personnel or roles].
+
+
+
+ This control helps organizational personnel understand the implementation and operation of security controls associated with information systems, system components, and information system services. Organizations consider establishing specific measures to determine the quality/completeness of the content provided. The inability to obtain needed documentation may occur, for example, due to the age of the information system/component or lack of support from developers and contractors. In those situations, organizations may need to recreate selected documentation if such documentation is essential to the effective implementation or operation of security controls. The level of protection provided for selected information system, component, or service documentation is commensurate with the security category or classification of the system. For example, documentation associated with a key DoD weapons system or command and control system would typically require a higher level of protection than a routine administrative system. Documentation that addresses information system vulnerabilities may also require an increased level of protection. Secure operation of the information system, includes, for example, initially starting the system and resuming secure system operation after any lapse in system operation.
+ CM-6
+ CM-8
+ PL-2
+ PL-4
+ PS-2
+ SA-3
+ SA-4
+
+
+
+ SA-5 (1)
+ FUNCTIONAL PROPERTIES OF SECURITY CONTROLS
+
+ SA-4 (1)
+
+
+ [Withdrawn: Incorporated into SA-4 (1)].
+
+
+
+ SA-5 (2)
+ SECURITY-RELEVANT EXTERNAL SYSTEM INTERFACES
+
+ SA-4 (2)
+
+
+ [Withdrawn: Incorporated into SA-4 (2)].
+
+
+
+ SA-5 (3)
+ HIGH-LEVEL DESIGN
+
+ SA-4 (2)
+
+
+ [Withdrawn: Incorporated into SA-4 (2)].
+
+
+
+ SA-5 (4)
+ LOW-LEVEL DESIGN
+
+ SA-4 (2)
+
+
+ [Withdrawn: Incorporated into SA-4 (2)].
+
+
+
+ SA-5 (5)
+ SOURCE CODE
+
+ SA-4 (2)
+
+
+ [Withdrawn: Incorporated into SA-4 (2)].
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-6
+ SOFTWARE USAGE RESTRICTIONS
+
+ CM-10
+ SI-7
+
+
+ [Withdrawn: Incorporated into CM-10 and SI-7].
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-7
+ USER-INSTALLED SOFTWARE
+
+ CM-11
+ SI-7
+
+
+ [Withdrawn: Incorporated into CM-11 and SI-7].
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-8
+ SECURITY ENGINEERING PRINCIPLES
+ P1
+ MODERATE
+ HIGH
+
+ The organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system.
+
+
+ Organizations apply security engineering principles primarily to new development information systems or systems undergoing major upgrades. For legacy systems, organizations apply security engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware within those systems. Security engineering principles include, for example: (i) developing layered protections; (ii) establishing sound security policy, architecture, and controls as the foundation for design; (iii) incorporating security requirements into the system development life cycle; (iv) delineating physical and logical security boundaries; (v) ensuring that system developers are trained on how to build secure software; (vi) tailoring security controls to meet organizational and operational needs; (vii) performing threat modeling to identify use cases, threat agents, attack vectors, and attack patterns as well as compensating controls and design patterns needed to mitigate risk; and (viii) reducing risk to acceptable levels, thus enabling informed risk management decisions.
+ PM-7
+ SA-3
+ SA-4
+ SA-17
+ SC-2
+ SC-3
+
+
+
+ NIST Special Publication 800-27
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-9
+ EXTERNAL INFORMATION SYSTEM SERVICES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ SA-9a.
+ Requires that providers of external information system services comply with organizational information security requirements and employ [Assignment: organization-defined security controls] in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+
+
+ SA-9b.
+ Defines and documents government oversight and user roles and responsibilities with regard to external information system services; and
+
+
+ SA-9c.
+ Employs [Assignment: organization-defined processes, methods, and techniques] to monitor security control compliance by external service providers on an ongoing basis.
+
+
+
+ External information system services are services that are implemented outside of the authorization boundaries of organizational information systems. This includes services that are used by, but not a part of, organizational information systems. FISMA and OMB policy require that organizations using external service providers that are processing, storing, or transmitting federal information or operating information systems on behalf of the federal government ensure that such providers meet the same security requirements that federal agencies are required to meet. Organizations establish relationships with external service providers in a variety of ways including, for example, through joint ventures, business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, and supply chain exchanges. The responsibility for managing risks from the use of external information system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a level of confidence that each participating provider in the potentially complex consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust varies based on the relationships between organizations and the external providers. Organizations document the basis for trust relationships so the relationships can be monitored over time. External information system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define expectations of performance for security controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.
+ CA-3
+ IR-7
+ PS-7
+
+
+
+ SA-9 (1)
+ RISK ASSESSMENTS / ORGANIZATIONAL APPROVALS
+
+ The organization:
+
+ SA-9 (1)(a)
+ Conducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services; and
+
+
+ SA-9 (1)(b)
+ Ensures that the acquisition or outsourcing of dedicated information security services is approved by [Assignment: organization-defined personnel or roles].
+
+
+
+ Dedicated information security services include, for example, incident monitoring, analysis and response, operation of information security-related devices such as firewalls, or key management services.
+ CA-6
+ RA-3
+
+
+
+ SA-9 (2)
+ IDENTIFICATION OF FUNCTIONS / PORTS / PROTOCOLS / SERVICES
+ MODERATE
+ HIGH
+
+ The organization requires providers of [Assignment: organization-defined external information system services] to identify the functions, ports, protocols, and other services required for the use of such services.
+
+
+ Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be particularly useful when the need arises to understand the trade-offs involved in restricting certain functions/services or blocking certain ports/protocols.
+ CM-7
+
+
+
+ SA-9 (3)
+ ESTABLISH / MAINTAIN TRUST RELATIONSHIP WITH PROVIDERS
+
+ The organization establishes, documents, and maintains trust relationships with external service providers based on [Assignment: organization-defined security requirements, properties, factors, or conditions defining acceptable trust relationships].
+
+
+ The degree of confidence that the risk from using external services is at an acceptable level depends on the trust that organizations place in the external providers, individually or in combination. Trust relationships can help organization to gain increased levels of confidence that participating service providers are providing adequate protection for the services rendered. Such relationships can be complicated due to the number of potential entities participating in the consumer-provider interactions, subordinate relationships and levels of trust, and the types of interactions between the parties. In some cases, the degree of trust is based on the amount of direct control organizations are able to exert on external service providers with regard to employment of security controls necessary for the protection of the service/information and the evidence brought forth as to the effectiveness of those controls. The level of control is typically established by the terms and conditions of the contracts or service-level agreements and can range from extensive control (e.g., negotiating contracts or agreements that specify security requirements for the providers) to very limited control (e.g., using contracts or service-level agreements to obtain commodity services such as commercial telecommunications services). In other cases, levels of trust are based on factors that convince organizations that required security controls have been employed and that determinations of control effectiveness exist. For example, separately authorized external information system services provided to organizations through well-established business relationships may provide degrees of trust in such services within the tolerable risk range of the organizations using the services. External service providers may also outsource selected services to other external entities, making the trust relationship more difficult and complicated to manage. Depending on the nature of the services, organizations may find it very difficult to place significant trust in external providers. This is not due to any inherent untrustworthiness on the part of providers, but to the intrinsic level of risk in the services.
+
+
+
+ SA-9 (4)
+ CONSISTENT INTERESTS OF CONSUMERS AND PROVIDERS
+
+ The organization employs [Assignment: organization-defined security safeguards] to ensure that the interests of [Assignment: organization-defined external service providers] are consistent with and reflect organizational interests.
+
+
+ As organizations increasingly use external service providers, the possibility exists that the interests of the service providers may diverge from organizational interests. In such situations, simply having the correct technical, procedural, or operational safeguards in place may not be sufficient if the service providers that implement and control those safeguards are not operating in a manner consistent with the interests of the consuming organizations. Possible actions that organizations might take to address such concerns include, for example, requiring background checks for selected service provider personnel, examining ownership records, employing only trustworthy service providers (i.e., providers with which organizations have had positive experiences), and conducting periodic/unscheduled visits to service provider facilities.
+
+
+
+ SA-9 (5)
+ PROCESSING, STORAGE, AND SERVICE LOCATION
+
+ The organization restricts the location of [Selection (one or more): information processing; information/data; information system services] to [Assignment: organization-defined locations] based on [Assignment: organization-defined requirements or conditions].
+
+
+ The location of information processing, information/data storage, or information system services that are critical to organizations can have a direct impact on the ability of those organizations to successfully execute their missions/business functions. This situation exists when external providers control the location of processing, storage or services. The criteria external providers use for the selection of processing, storage, or service locations may be different from organizational criteria. For example, organizations may want to ensure that data/information storage locations are restricted to certain locations to facilitate incident response activities (e.g., forensic analyses, after-the-fact investigations) in case of information security breaches/compromises. Such incident response activities may be adversely affected by the governing laws or protocols in the locations where processing and storage occur and/or the locations from which information system services emanate.
+
+
+
+
+
+ NIST Special Publication 800-35
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-10
+ DEVELOPER CONFIGURATION MANAGEMENT
+ P1
+ MODERATE
+ HIGH
+
+ The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-10a.
+ Perform configuration management during system, component, or service [Selection (one or more): design; development; implementation; operation];
+
+
+ SA-10b.
+ Document, manage, and control the integrity of changes to [Assignment: organization-defined configuration items under configuration management];
+
+
+ SA-10c.
+ Implement only organization-approved changes to the system, component, or service;
+
+
+ SA-10d.
+ Document approved changes to the system, component, or service and the potential security impacts of such changes; and
+
+
+ SA-10e.
+ Track security flaws and flaw resolution within the system, component, or service and report findings to [Assignment: organization-defined personnel].
+
+
+
+ This control also applies to organizations conducting internal information systems development and integration. Organizations consider the quality and completeness of the configuration management activities conducted by developers as evidence of applying effective security safeguards. Safeguards include, for example, protecting from unauthorized modification or destruction, the master copies of all material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the information system, information system component, or information system service requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes. Configuration items that are placed under configuration management (if existence/use is required by other security controls) include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and software/firmware source code with previous versions; and test fixtures and documentation. Depending on the mission/business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance phases of the life cycle.
+ CM-3
+ CM-4
+ CM-9
+ SA-12
+ SI-2
+
+
+
+ SA-10 (1)
+ SOFTWARE / FIRMWARE INTEGRITY VERIFICATION
+
+ The organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components.
+
+
+ This control enhancement allows organizations to detect unauthorized changes to software and firmware components through the use of tools, techniques, and/or mechanisms provided by developers. Integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components.
+ SI-7
+
+
+
+ SA-10 (2)
+ ALTERNATIVE CONFIGURATION MANAGEMENT PROCESSES
+
+ The organization provides an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team.
+
+
+ Alternate configuration management processes may be required, for example, when organizations use commercial off-the-shelf (COTS) information technology products. Alternate configuration management processes include organizational personnel that: (i) are responsible for reviewing/approving proposed changes to information systems, system components, and information system services; and (ii) conduct security impact analyses prior to the implementation of any changes to systems, components, or services (e.g., a configuration control board that considers security impacts of changes during development and includes representatives of both the organization and the developer, when applicable).
+
+
+
+ SA-10 (3)
+ HARDWARE INTEGRITY VERIFICATION
+
+ The organization requires the developer of the information system, system component, or information system service to enable integrity verification of hardware components.
+
+
+ This control enhancement allows organizations to detect unauthorized changes to hardware components through the use of tools, techniques, and/or mechanisms provided by developers. Organizations verify the integrity of hardware components, for example, with hard-to-copy labels and verifiable serial numbers provided by developers, and by requiring the implementation of anti-tamper technologies. Delivered hardware components also include updates to such components.
+ SI-7
+
+
+
+ SA-10 (4)
+ TRUSTED GENERATION
+
+ The organization requires the developer of the information system, system component, or information system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions and software/firmware source and object code with previous versions.
+
+
+ This control enhancement addresses changes to hardware, software, and firmware components between versions during development. In contrast, SA-10 (1) and SA-10 (3) allow organizations to detect unauthorized changes to hardware, software, and firmware components through the use of tools, techniques, and/or mechanisms provided by developers.
+
+
+
+ SA-10 (5)
+ MAPPING INTEGRITY FOR VERSION CONTROL
+
+ The organization requires the developer of the information system, system component, or information system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.
+
+
+ This control enhancement addresses changes to hardware, software, and firmware components during initial development and during system life cycle updates. Maintaining the integrity between the master copies of security-relevant hardware, software, and firmware (including designs and source code) and the equivalent data in master copies on-site in operational environments is essential to ensure the availability of organizational information systems supporting critical missions and/or business functions.
+
+
+
+ SA-10 (6)
+ TRUSTED DISTRIBUTION
+
+ The organization requires the developer of the information system, system component, or information system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.
+
+
+ The trusted distribution of security-relevant hardware, software, and firmware updates helps to ensure that such updates are faithful representations of the master copies maintained by the developer and have not been tampered with during distribution.
+
+
+
+
+
+ NIST Special Publication 800-128
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-11
+ DEVELOPER SECURITY TESTING AND EVALUATION
+ P1
+ MODERATE
+ HIGH
+
+ The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-11a.
+ Create and implement a security assessment plan;
+
+
+ SA-11b.
+ Perform [Selection (one or more): unit; integration; system; regression] testing/evaluation at [Assignment: organization-defined depth and coverage];
+
+
+ SA-11c.
+ Produce evidence of the execution of the security assessment plan and the results of the security testing/evaluation;
+
+
+ SA-11d.
+ Implement a verifiable flaw remediation process; and
+
+
+ SA-11e.
+ Correct flaws identified during security testing/evaluation.
+
+
+
+ Developmental security testing/evaluation occurs at all post-design phases of the system development life cycle. Such testing/evaluation confirms that the required security controls are implemented correctly, operating as intended, enforcing the desired security policy, and meeting established security requirements. Security properties of information systems may be affected by the interconnection of system components or changes to those components. These interconnections or changes (e.g., upgrading or replacing applications and operating systems) may adversely affect previously implemented security controls. This control provides additional types of security testing/evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Developers can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Security assessment plans provide the specific activities that developers plan to carry out including the types of analyses, testing, evaluation, and reviews of software and firmware components, the degree of rigor to be applied, and the types of artifacts produced during those processes. The depth of security testing/evaluation refers to the rigor and level of detail associated with the assessment process (e.g., black box, gray box, or white box testing). The coverage of security testing/evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security assessment plans, flaw remediation processes, and the evidence that the plans/processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.
+ CA-2
+ CM-4
+ SA-3
+ SA-4
+ SA-5
+ SI-2
+
+
+
+ SA-11 (1)
+ STATIC CODE ANALYSIS
+
+ The organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis.
+
+
+ Static code analysis provides a technology and methodology for security reviews. Such analysis can be used to identify security vulnerabilities and enforce security coding practices. Static code analysis is most effective when used early in the development process, when each code change can be automatically scanned for potential weaknesses. Static analysis can provide clear remediation guidance along with defects to enable developers to fix such defects. Evidence of correct implementation of static analysis can include, for example, aggregate defect density for critical defect types, evidence that defects were inspected by developers or security professionals, and evidence that defects were fixed. An excessively high density of ignored findings (commonly referred to as ignored or false positives) indicates a potential problem with the analysis process or tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources.
+
+
+
+ SA-11 (2)
+ THREAT AND VULNERABILITY ANALYSES
+
+ The organization requires the developer of the information system, system component, or information system service to perform threat and vulnerability analyses and subsequent testing/evaluation of the as-built system, component, or service.
+
+
+ Applications may deviate significantly from the functional and design specifications created during the requirements and design phases of the system development life cycle. Therefore, threat and vulnerability analyses of information systems, system components, and information system services prior to delivery are critical to the effective operation of those systems, components, and services. Threat and vulnerability analyses at this phase of the life cycle help to ensure that design or implementation changes have been accounted for, and that any new vulnerabilities created as a result of those changes have been reviewed and mitigated.
+ PM-15
+ RA-5
+
+
+
+ SA-11 (3)
+ INDEPENDENT VERIFICATION OF ASSESSMENT PLANS / EVIDENCE
+
+ The organization:
+
+ SA-11 (3)(a)
+ Requires an independent agent satisfying [Assignment: organization-defined independence criteria] to verify the correct implementation of the developer security assessment plan and the evidence produced during security testing/evaluation; and
+
+
+ SA-11 (3)(b)
+ Ensures that the independent agent is either provided with sufficient information to complete the verification process or granted the authority to obtain such information.
+
+
+
+ Independent agents have the necessary qualifications (i.e., expertise, skills, training, and experience) to verify the correct implementation of developer security assessment plans.
+ AT-3
+ CA-7
+ RA-5
+ SA-12
+
+
+
+ SA-11 (4)
+ MANUAL CODE REVIEWS
+
+ The organization requires the developer of the information system, system component, or information system service to perform a manual code review of [Assignment: organization-defined specific code] using [Assignment: organization-defined processes, procedures, and/or techniques].
+
+
+ Manual code reviews are usually reserved for the critical software and firmware components of information systems. Such code reviews are uniquely effective at identifying weaknesses that require knowledge of the application�s requirements or context which are generally unavailable to more automated analytic tools and techniques such as static or dynamic analysis. Components benefiting from manual review include for example, verifying access control matrices against application controls and reviewing more detailed aspects of cryptographic implementations and controls.
+
+
+
+ SA-11 (5)
+ PENETRATION TESTING
+
+ The organization requires the developer of the information system, system component, or information system service to perform penetration testing at [Assignment: organization-defined breadth/depth] and with [Assignment: organization-defined constraints].
+
+
+ Penetration testing is an assessment methodology in which assessors, using all available information technology product and/or information system documentation (e.g., product/system design specifications, source code, and administrator/operator manuals) and working under specific constraints, attempt to circumvent implemented security features of information technology products and information systems. Penetration testing can include, for example, white, gray, or black box testing with analyses performed by skilled security professionals simulating adversary actions. The objective of penetration testing is to uncover potential vulnerabilities in information technology products and information systems resulting from implementation errors, configuration faults, or other operational deployment weaknesses or deficiencies. Penetration tests can be performed in conjunction with automated and manual code reviews to provide greater levels of analysis than would ordinarily be possible.
+
+
+
+ SA-11 (6)
+ ATTACK SURFACE REVIEWS
+
+ The organization requires the developer of the information system, system component, or information system service to perform attack surface reviews.
+
+
+ Attack surfaces of information systems are exposed areas that make those systems more vulnerable to cyber attacks. This includes any accessible areas where weaknesses or deficiencies in information systems (including the hardware, software, and firmware components) provide opportunities for adversaries to exploit vulnerabilities. Attack surface reviews ensure that developers: (i) analyze both design and implementation changes to information systems; and (ii) mitigate attack vectors generated as a result of the changes. Correction of identified flaws includes, for example, deprecation of unsafe functions.
+
+
+
+ SA-11 (7)
+ VERIFY SCOPE OF TESTING / EVALUATION
+
+ The organization requires the developer of the information system, system component, or information system service to verify that the scope of security testing/evaluation provides complete coverage of required security controls at [Assignment: organization-defined depth of testing/evaluation].
+
+
+ Verifying that security testing/evaluation provides complete coverage of required security controls can be accomplished by a variety of analytic techniques ranging from informal to formal. Each of these techniques provides an increasing level of assurance corresponding to the degree of formality of the analysis. Rigorously demonstrating security control coverage at the highest levels of assurance can be provided by the use of formal modeling and analysis techniques including correlation between control implementation and corresponding test cases.
+
+
+
+ SA-11 (8)
+ DYNAMIC CODE ANALYSIS
+
+ The organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.
+
+
+ Dynamic code analysis provides run-time verification of software programs, using tools capable of monitoring programs for memory corruption, user privilege issues, and other potential security problems. Dynamic code analysis employs run-time tools to help to ensure that security functionality performs in the manner in which it was designed. A specialized type of dynamic analysis, known as fuzz testing, induces program failures by deliberately introducing malformed or random data into software programs. Fuzz testing strategies derive from the intended use of applications and the functional and design specifications for the applications. To understand the scope of dynamic code analysis and hence the assurance provided, organizations may also consider conducting code coverage analysis (checking the degree to which the code has been tested using metrics such as percent of subroutines tested or percent of program statements called during execution of the test suite) and/or concordance analysis (checking for words that are out of place in software code such as non-English language words or derogatory terms).
+
+
+
+
+
+ ISO/IEC 15408
+
+
+ NIST Special Publication 800-53A
+
+
+ http://nvd.nist.gov
+
+
+ http://cwe.mitre.org
+
+
+ http://cve.mitre.org
+
+
+ http://capec.mitre.org
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-12
+ SUPPLY CHAIN PROTECTION
+ P1
+ HIGH
+
+ The organization protects against supply chain threats to the information system, system component, or information system service by employing [Assignment: organization-defined security safeguards] as part of a comprehensive, defense-in-breadth information security strategy.
+
+
+ Information systems (including system components that compose those systems) need to be protected throughout the system development life cycle (i.e., during design, development, manufacturing, packaging, assembly, distribution, system integration, operations, maintenance, and retirement). Protection of organizational information systems is accomplished through threat awareness, by the identification, management, and reduction of vulnerabilities at each phase of the life cycle and the use of complementary, mutually reinforcing strategies to respond to risk. Organizations consider implementing a standardized process to address supply chain risk with respect to information systems and system components, and to educate the acquisition workforce on threats, risk, and required security controls. Organizations use the acquisition/procurement processes to require supply chain entities to implement necessary security safeguards to: (i) reduce the likelihood of unauthorized modifications at each stage in the supply chain; and (ii) protect information systems and information system components, prior to taking delivery of such systems/components. This control also applies to information system services. Security safeguards include, for example: (i) security controls for development systems, development facilities, and external connections to development systems; (ii) vetting development personnel; and (iii) use of tamper-evident packaging during shipping/warehousing. Methods for reviewing and protecting development plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.
+ AT-3
+ CM-8
+ IR-4
+ PE-16
+ PL-8
+ SA-3
+ SA-4
+ SA-8
+ SA-10
+ SA-14
+ SA-15
+ SA-18
+ SA-19
+ SC-29
+ SC-30
+ SC-38
+ SI-7
+
+
+
+ SA-12 (1)
+ ACQUISITION STRATEGIES / TOOLS / METHODS
+
+ The organization employs [Assignment: organization-defined tailored acquisition strategies, contract tools, and procurement methods] for the purchase of the information system, system component, or information system service from suppliers.
+
+
+ The use of acquisition and procurement processes by organizations early in the system development life cycle provides an important vehicle to protect the supply chain. Organizations use available all-source intelligence analysis to inform the tailoring of acquisition strategies, tools, and methods. There are a number of different tools and techniques available (e.g., obscuring the end use of an information system or system component, using blind or filtered buys). Organizations also consider creating incentives for suppliers who: (i) implement required security safeguards; (ii) promote transparency into their organizational processes and security practices; (iii) provide additional vetting of the processes and security practices of subordinate suppliers, critical information system components, and services; (iv) restrict purchases from specific suppliers or countries; and (v) provide contract language regarding the prohibition of tainted or counterfeit components. In addition, organizations consider minimizing the time between purchase decisions and required delivery to limit opportunities for adversaries to corrupt information system components or products. Finally, organizations can use trusted/controlled distribution, delivery, and warehousing options to reduce supply chain risk (e.g., requiring tamper-evident packaging of information system components during shipping and warehousing).
+ SA-19
+
+
+
+ SA-12 (2)
+ SUPPLIER REVIEWS
+
+ The organization conducts a supplier review prior to entering into a contractual agreement to acquire the information system, system component, or information system service.
+
+
+ Supplier reviews include, for example: (i) analysis of supplier processes used to design, develop, test, implement, verify, deliver, and support information systems, system components, and information system services; and (ii) assessment of supplier training and experience in developing systems, components, or services with the required security capability. These reviews provide organizations with increased levels of visibility into supplier activities during the system development life cycle to promote more effective supply chain risk management. Supplier reviews can also help to determine whether primary suppliers have security safeguards in place and a practice for vetting subordinate suppliers, for example, second- and third-tier suppliers, and any subcontractors.
+
+
+
+ SA-12 (3)
+ TRUSTED SHIPPING AND WAREHOUSING
+
+ SA-12 (1)
+
+
+ [Withdrawn: Incorporated into SA-12 (1)].
+
+
+
+ SA-12 (4)
+ DIVERSITY OF SUPPLIERS
+
+ SA-12 (13)
+
+
+ [Withdrawn: Incorporated into SA-12 (13)].
+
+
+
+ SA-12 (5)
+ LIMITATION OF HARM
+
+ The organization employs [Assignment: organization-defined security safeguards] to limit harm from potential adversaries identifying and targeting the organizational supply chain.
+
+
+ Supply chain risk is part of the advanced persistent threat (APT). Security safeguards and countermeasures to reduce the probability of adversaries successfully identifying and targeting the supply chain include, for example: (i) avoiding the purchase of custom configurations to reduce the risk of acquiring information systems, components, or products that have been corrupted via supply chain actions targeted at specific organizations; (ii) employing a diverse set of suppliers to limit the potential harm from any given supplier in the supply chain; (iii) employing approved vendor lists with standing reputations in industry, and (iv) using procurement carve outs (i.e., exclusions to commitments or obligations).
+
+
+
+ SA-12 (6)
+ MINIMIZING PROCUREMENT TIME
+
+ SA-12 (1)
+
+
+ [Withdrawn: Incorporated into SA-12 (1)].
+
+
+
+ SA-12 (7)
+ ASSESSMENTS PRIOR TO SELECTION / ACCEPTANCE / UPDATE
+
+ The organization conducts an assessment of the information system, system component, or information system service prior to selection, acceptance, or update.
+
+
+ Assessments include, for example, testing, evaluations, reviews, and analyses. Independent, third-party entities or organizational personnel conduct assessments of systems, components, products, tools, and services. Organizations conduct assessments to uncover unintentional vulnerabilities and intentional vulnerabilities including, for example, malicious code, malicious processes, defective software, and counterfeits. Assessments can include, for example, static analyses, dynamic analyses, simulations, white, gray, and black box testing, fuzz testing, penetration testing, and ensuring that components or services are genuine (e.g., using tags, cryptographic hash verifications, or digital signatures). Evidence generated during security assessments is documented for follow-on actions carried out by organizations.
+ CA-2
+ SA-11
+
+
+
+ SA-12 (8)
+ USE OF ALL-SOURCE INTELLIGENCE
+
+ The organization uses all-source intelligence analysis of suppliers and potential suppliers of the information system, system component, or information system service.
+
+
+ All-source intelligence analysis is employed by organizations to inform engineering, acquisition, and risk management decisions. All-source intelligence consists of intelligence products and/or organizations and activities that incorporate all sources of information, most frequently including human intelligence, imagery intelligence, measurement and signature intelligence, signals intelligence, and open source data in the production of finished intelligence. Where available, such information is used to analyze the risk of both intentional and unintentional vulnerabilities from development, manufacturing, and delivery processes, people, and the environment. This review is performed on suppliers at multiple tiers in the supply chain sufficient to manage risks.
+ SA-15
+
+
+
+ SA-12 (9)
+ OPERATIONS SECURITY
+
+ The organization employs [Assignment: organization-defined Operations Security (OPSEC) safeguards] in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service.
+
+
+ Supply chain information includes, for example: user identities; uses for information systems, information system components, and information system services; supplier identities; supplier processes; security requirements; design specifications; testing and evaluation results; and system/component configurations. This control enhancement expands the scope of OPSEC to include suppliers and potential suppliers. OPSEC is a process of identifying critical information and subsequently analyzing friendly actions attendant to operations and other activities to: (i) identify those actions that can be observed by potential adversaries; (ii) determine indicators that adversaries might obtain that could be interpreted or pieced together to derive critical information in sufficient time to cause harm to organizations; (iii) implement safeguards or countermeasures to eliminate or reduce to an acceptable level, exploitable vulnerabilities; and (iv) consider how aggregated information may compromise the confidentiality of users or uses of the supply chain. OPSEC may require organizations to withhold critical mission/business information from suppliers and may include the use of intermediaries to hide the end use, or users, of information systems, system components, or information system services.
+
+
+
+ SA-12 (10)
+ VALIDATE AS GENUINE AND NOT ALTERED
+
+ The organization employs [Assignment: organization-defined security safeguards] to validate that the information system or system component received is genuine and has not been altered.
+
+
+ For some information system components, especially hardware, there are technical means to help determine if the components are genuine or have been altered. Security safeguards used to validate the authenticity of information systems and information system components include, for example, optical/nanotechnology tagging and side-channel analysis. For hardware, detailed bill of material information can highlight the elements with embedded logic complete with component and production location.
+
+
+
+ SA-12 (11)
+ PENETRATION TESTING / ANALYSIS OF ELEMENTS, PROCESSES, AND ACTORS
+
+ The organization employs [Selection (one or more): organizational analysis, independent third-party analysis, organizational penetration testing, independent third-party penetration testing] of [Assignment: organization-defined supply chain elements, processes, and actors] associated with the information system, system component, or information system service.
+
+
+ This control enhancement addresses analysis and/or testing of the supply chain, not just delivered items. Supply chain elements are information technology products or product components that contain programmable logic and that are critically important to information system functions. Supply chain processes include, for example: (i) hardware, software, and firmware development processes; (ii) shipping/handling procedures; (iii) personnel and physical security programs; (iv) configuration management tools/measures to maintain provenance; or (v) any other programs, processes, or procedures associated with the production/distribution of supply chain elements. Supply chain actors are individuals with specific roles and responsibilities in the supply chain. The evidence generated during analyses and testing of supply chain elements, processes, and actors is documented and used to inform organizational risk management activities and decisions.
+ RA-5
+
+
+
+ SA-12 (12)
+ INTER-ORGANIZATIONAL AGREEMENTS
+
+ The organization establishes inter-organizational agreements and procedures with entities involved in the supply chain for the information system, system component, or information system service.
+
+
+ The establishment of inter-organizational agreements and procedures provides for notification of supply chain compromises. Early notification of supply chain compromises that can potentially adversely affect or have adversely affected organizational information systems, including critical system components, is essential for organizations to provide appropriate responses to such incidents.
+
+
+
+ SA-12 (13)
+ CRITICAL INFORMATION SYSTEM COMPONENTS
+
+ The organization employs [Assignment: organization-defined security safeguards] to ensure an adequate supply of [Assignment: organization-defined critical information system components].
+
+
+ Adversaries can attempt to impede organizational operations by disrupting the supply of critical information system components or corrupting supplier operations. Safeguards to ensure adequate supplies of critical information system components include, for example: (i) the use of multiple suppliers throughout the supply chain for the identified critical components; and (ii) stockpiling of spare components to ensure operation during mission-critical times.
+
+
+
+ SA-12 (14)
+ IDENTITY AND TRACEABILITY
+
+ The organization establishes and retains unique identification of [Assignment: organization-defined supply chain elements, processes, and actors] for the information system, system component, or information system service.
+
+
+ Knowing who and what is in the supply chains of organizations is critical to gaining visibility into what is happening within such supply chains, as well as monitoring and identifying high-risk events and activities. Without reasonable visibility and traceability into supply chains (i.e., elements, processes, and actors), it is very difficult for organizations to understand and therefore manage risk, and to reduce the likelihood of adverse events. Uniquely identifying acquirer and integrator roles, organizations, personnel, mission and element processes, testing and evaluation procedures, delivery mechanisms, support mechanisms, communications/delivery paths, and disposal/final disposition activities as well as the components and tools used, establishes a foundational identity structure for assessment of supply chain activities. For example, labeling (using serial numbers) and tagging (using radio-frequency identification [RFID] tags) individual supply chain elements including software packages, modules, and hardware devices, and processes associated with those elements can be used for this purpose. Identification methods are sufficient to support the provenance in the event of a supply chain issue or adverse supply chain event.
+
+
+
+ SA-12 (15)
+ PROCESSES TO ADDRESS WEAKNESSES OR DEFICIENCIES
+
+ The organization establishes a process to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements.
+
+
+ Evidence generated during independent or organizational assessments of supply chain elements (e.g., penetration testing, audits, verification/validation activities) is documented and used in follow-on processes implemented by organizations to respond to the risks related to the identified weaknesses and deficiencies. Supply chain elements include, for example, supplier development processes and supplier distribution systems.
+
+
+
+
+
+ NIST Special Publication 800-161
+
+
+ NIST Interagency Report 7622
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-13
+ TRUSTWORTHINESS
+ P0
+
+ The organization:
+
+ SA-13a.
+ Describes the trustworthiness required in the [Assignment: organization-defined information system, information system component, or information system service] supporting its critical missions/business functions; and
+
+
+ SA-13b.
+ Implements [Assignment: organization-defined assurance overlay] to achieve such trustworthiness.
+
+
+
+ This control helps organizations to make explicit trustworthiness decisions when designing, developing, and implementing information systems that are needed to conduct critical organizational missions/business functions. Trustworthiness is a characteristic/property of an information system that expresses the degree to which the system can be expected to preserve the confidentiality, integrity, and availability of the information it processes, stores, or transmits. Trustworthy information systems are systems that are capable of being trusted to operate within defined levels of risk despite the environmental disruptions, human errors, and purposeful attacks that are expected to occur in the specified environments of operation. Trustworthy systems are important to mission/business success. Two factors affecting the trustworthiness of information systems include: (i) security functionality (i.e., the security features, functions, and/or mechanisms employed within the system and its environment of operation); and (ii) security assurance (i.e., the grounds for confidence that the security functionality is effective in its application). Developers, implementers, operators, and maintainers of organizational information systems can increase the level of assurance (and trustworthiness), for example, by employing well-defined security policy models, structured and rigorous hardware, software, and firmware development techniques, sound system/security engineering principles, and secure configuration settings (defined by a set of assurance-related security controls in Appendix E).
+Assurance is also based on the assessment of evidence produced during the system development life cycle. Critical missions/business functions are supported by high-impact systems and the associated assurance requirements for such systems. The additional assurance controls in Table E-4 in Appendix E (designated as optional) can be used to develop and implement high-assurance solutions for specific information systems and system components using the concept of overlays described in Appendix I. Organizations select assurance overlays that have been developed, validated, and approved for community adoption (e.g., cross-organization, governmentwide), limiting the development of such overlays on an organization-by-organization basis. Organizations can conduct criticality analyses as described in SA-14, to determine the information systems, system components, or information system services that require high-assurance solutions. Trustworthiness requirements and assurance overlays can be described in the security plans for organizational information systems.
+ RA-2
+ SA-4
+ SA-8
+ SA-14
+ SC-3
+
+
+
+ FIPS Publication 199
+
+
+ FIPS Publication 200
+
+
+ NIST Special Publication 800-53
+
+
+ NIST Special Publication 800-53A
+
+
+ NIST Special Publication 800-60
+
+
+ NIST Special Publication 800-64
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-14
+ CRITICALITY ANALYSIS
+ P0
+
+ The organization identifies critical information system components and functions by performing a criticality analysis for [Assignment: organization-defined information systems, information system components, or information system services] at [Assignment: organization-defined decision points in the system development life cycle].
+
+
+ Criticality analysis is a key tenet of supply chain risk management and informs the prioritization of supply chain protection activities such as attack surface reduction, use of all-source intelligence, and tailored acquisition strategies. Information system engineers can conduct an end-to-end functional decomposition of an information system to identify mission-critical functions and components. The functional decomposition includes the identification of core organizational missions supported by the system, decomposition into the specific functions to perform those missions, and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and beyond the information system boundary. Information system components that allow for unmediated access to critical components or functions are considered critical due to the inherent vulnerabilities such components create. Criticality is assessed in terms of the impact of the function or component failure on the ability of the component to complete the organizational missions supported by the information system. A criticality analysis is performed whenever an architecture or design is being developed or modified, including upgrades.
+ CP-2
+ PL-2
+ PL-8
+ PM-1
+ SA-8
+ SA-12
+ SA-13
+ SA-15
+ SA-20
+
+
+
+ SA-14 (1)
+ CRITICAL COMPONENTS WITH NO VIABLE ALTERNATIVE SOURCING
+
+ SA-20
+
+
+ [Withdrawn: Incorporated into SA-20].
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-15
+ DEVELOPMENT PROCESS, STANDARDS, AND TOOLS
+ P2
+ HIGH
+
+ The organization:
+
+ SA-15a.
+ Requires the developer of the information system, system component, or information system service to follow a documented development process that:
+
+ SA-15a.1.
+ Explicitly addresses security requirements;
+
+
+ SA-15a.2.
+ Identifies the standards and tools used in the development process;
+
+
+ SA-15a.3.
+ Documents the specific tool options and tool configurations used in the development process; and
+
+
+ SA-15a.4.
+ Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and
+
+
+
+ SA-15b.
+ Reviews the development process, standards, tools, and tool options/configurations [Assignment: organization-defined frequency] to determine if the process, standards, tools, and tool options/configurations selected and employed can satisfy [Assignment: organization-defined security requirements].
+
+
+
+ Development tools include, for example, programming languages and computer-aided design (CAD) systems. Reviews of development processes can include, for example, the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes enables accurate supply chain risk assessment and mitigation, and requires robust configuration control throughout the life cycle (including design, development, transport, delivery, integration, and maintenance) to track authorized changes and prevent unauthorized changes.
+ SA-3
+ SA-8
+
+
+
+ SA-15 (1)
+ QUALITY METRICS
+
+ The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-15 (1)(a)
+ Define quality metrics at the beginning of the development process; and
+
+
+ SA-15 (1)(b)
+ Provide evidence of meeting the quality metrics [Selection (one or more): [Assignment: organization-defined frequency]; [Assignment: organization-defined program review milestones]; upon delivery].
+
+
+
+ Organizations use quality metrics to establish minimum acceptable levels of information system quality. Metrics may include quality gates which are collections of completion criteria or sufficiency standards representing the satisfactory execution of particular phases of the system development project. A quality gate, for example, may require the elimination of all compiler warnings or an explicit determination that the warnings have no impact on the effectiveness of required security capabilities. During the execution phases of development projects, quality gates provide clear, unambiguous indications of progress. Other metrics apply to the entire development project. These metrics can include defining the severity thresholds of vulnerabilities, for example, requiring no known vulnerabilities in the delivered information system with a Common Vulnerability Scoring System (CVSS) severity of Medium or High.
+
+
+
+ SA-15 (2)
+ SECURITY TRACKING TOOLS
+
+ The organization requires the developer of the information system, system component, or information system service to select and employ a security tracking tool for use during the development process.
+
+
+ Information system development teams select and deploy security tracking tools, including, for example, vulnerability/work item tracking systems that facilitate assignment, sorting, filtering, and tracking of completed work items or tasks associated with system development processes.
+
+
+
+ SA-15 (3)
+ CRITICALITY ANALYSIS
+
+ The organization requires the developer of the information system, system component, or information system service to perform a criticality analysis at [Assignment: organization-defined breadth/depth] and at [Assignment: organization-defined decision points in the system development life cycle].
+
+
+ This control enhancement provides developer input to the criticality analysis performed by organizations in SA-14. Developer input is essential to such analysis because organizations may not have access to detailed design documentation for information system components that are developed as commercial off-the-shelf (COTS) information technology products (e.g., functional specifications, high-level designs, low-level designs, and source code/hardware schematics).
+ SA-4
+ SA-14
+
+
+
+ SA-15 (4)
+ THREAT MODELING / VULNERABILITY ANALYSIS
+
+ The organization requires that developers perform threat modeling and a vulnerability analysis for the information system at [Assignment: organization-defined breadth/depth] that:
+
+ SA-15 (4)(a)
+ Uses [Assignment: organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels];
+
+
+ SA-15 (4)(b)
+ Employs [Assignment: organization-defined tools and methods]; and
+
+
+ SA-15 (4)(c)
+ Produces evidence that meets [Assignment: organization-defined acceptance criteria].
+
+
+
+ SA-4
+
+
+
+ SA-15 (5)
+ ATTACK SURFACE REDUCTION
+
+ The organization requires the developer of the information system, system component, or information system service to reduce attack surfaces to [Assignment: organization-defined thresholds].
+
+
+ Attack surface reduction is closely aligned with developer threat and vulnerability analyses and information system architecture and design. Attack surface reduction is a means of reducing risk to organizations by giving attackers less opportunity to exploit weaknesses or deficiencies (i.e., potential vulnerabilities) within information systems, information system components, and information system services. Attack surface reduction includes, for example, applying the principle of least privilege, employing layered defenses, applying the principle of least functionality (i.e., restricting ports, protocols, functions, and services), deprecating unsafe functions, and eliminating application programming interfaces (APIs) that are vulnerable to cyber attacks.
+ CM-7
+
+
+
+ SA-15 (6)
+ CONTINUOUS IMPROVEMENT
+
+ The organization requires the developer of the information system, system component, or information system service to implement an explicit process to continuously improve the development process.
+
+
+ Developers of information systems, information system components, and information system services consider the effectiveness/efficiency of current development processes for meeting quality objectives and addressing security capabilities in current threat environments.
+
+
+
+ SA-15 (7)
+ AUTOMATED VULNERABILITY ANALYSIS
+
+ The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-15 (7)(a)
+ Perform an automated vulnerability analysis using [Assignment: organization-defined tools];
+
+
+ SA-15 (7)(b)
+ Determine the exploitation potential for discovered vulnerabilities;
+
+
+ SA-15 (7)(c)
+ Determine potential risk mitigations for delivered vulnerabilities; and
+
+
+ SA-15 (7)(d)
+ Deliver the outputs of the tools and results of the analysis to [Assignment: organization-defined personnel or roles].
+
+
+
+ RA-5
+
+
+
+ SA-15 (8)
+ REUSE OF THREAT / VULNERABILITY INFORMATION
+
+ The organization requires the developer of the information system, system component, or information system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.
+
+
+ Analysis of vulnerabilities found in similar software applications can inform potential design or implementation issues for information systems under development. Similar information systems or system components may exist within developer organizations. Authoritative vulnerability information is available from a variety of public and private sector sources including, for example, the National Vulnerability Database.
+
+
+
+ SA-15 (9)
+ USE OF LIVE DATA
+
+ The organization approves, documents, and controls the use of live data in development and test environments for the information system, system component, or information system service.
+
+
+ The use of live data in preproduction environments can result in significant risk to organizations. Organizations can minimize such risk by using test or dummy data during the development and testing of information systems, information system components, and information system services.
+
+
+
+ SA-15 (10)
+ INCIDENT RESPONSE PLAN
+
+ The organization requires the developer of the information system, system component, or information system service to provide an incident response plan.
+
+
+ The incident response plan for developers of information systems, system components, and information system services is incorporated into organizational incident response plans to provide the type of incident response information not readily available to organizations. Such information may be extremely helpful, for example, when organizations respond to vulnerabilities in commercial off-the-shelf (COTS) information technology products.
+ IR-8
+
+
+
+ SA-15 (11)
+ ARCHIVE INFORMATION SYSTEM / COMPONENT
+
+ The organization requires the developer of the information system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security review.
+
+
+ Archiving relevant documentation from the development process can provide a readily available baseline of information that can be helpful during information system/component upgrades or modifications.
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-16
+ DEVELOPER-PROVIDED TRAINING
+ P2
+ HIGH
+
+ The organization requires the developer of the information system, system component, or information system service to provide [Assignment: organization-defined training] on the correct use and operation of the implemented security functions, controls, and/or mechanisms.
+
+
+ This control applies to external and internal (in-house) developers. Training of personnel is an essential element to ensure the effectiveness of security controls implemented within organizational information systems. Training options include, for example, classroom-style training, web-based/computer-based training, and hands-on training. Organizations can also request sufficient training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security functions, controls, or mechanisms.
+ AT-2
+ AT-3
+ SA-5
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-17
+ DEVELOPER SECURITY ARCHITECTURE AND DESIGN
+ P1
+ HIGH
+
+ The organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:
+
+ SA-17a.
+ Is consistent with and supportive of the organization�s security architecture which is established within and is an integrated part of the organization�s enterprise architecture;
+
+
+ SA-17b.
+ Accurately and completely describes the required security functionality, and the allocation of security controls among physical and logical components; and
+
+
+ SA-17c.
+ Expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.
+
+
+
+ This control is primarily directed at external developers, although it could also be used for internal (in-house) development. In contrast, PL-8 is primarily directed at internal developers to help ensure that organizations develop an information security architecture and such security architecture is integrated or tightly coupled to the enterprise architecture. This distinction is important if/when organizations outsource the development of information systems, information system components, or information system services to external entities, and there is a requirement to demonstrate consistency with the organization�s enterprise architecture and information security architecture.
+ PL-8
+ PM-7
+ SA-3
+ SA-8
+
+
+
+ SA-17 (1)
+ FORMAL POLICY MODEL
+
+ The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17 (1)(a)
+ Produce, as an integral part of the development process, a formal policy model describing the [Assignment: organization-defined elements of organizational security policy] to be enforced; and
+
+
+ SA-17 (1)(b)
+ Prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented.
+
+
+
+ Formal models describe specific behaviors or security policies using formal languages, thus enabling the correctness of those behaviors/policies to be formally proven. Not all components of information systems can be modeled, and generally, formal specifications are scoped to specific behaviors or policies of interest (e.g., nondiscretionary access control policies). Organizations choose the particular formal modeling language and approach based on the nature of the behaviors/policies to be described and the available tools. Formal modeling tools include, for example, Gypsy and Zed.
+
+
+
+ SA-17 (2)
+ SECURITY-RELEVANT COMPONENTS
+
+ The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17 (2)(a)
+ Define security-relevant hardware, software, and firmware; and
+
+
+ SA-17 (2)(b)
+ Provide a rationale that the definition for security-relevant hardware, software, and firmware is complete.
+
+
+
+ Security-relevant hardware, software, and firmware represent the portion of the information system, component, or service that must be trusted to perform correctly in order to maintain required security properties.
+ SA-5
+
+
+
+ SA-17 (3)
+ FORMAL CORRESPONDENCE
+
+ The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17 (3)(a)
+ Produce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;
+
+
+ SA-17 (3)(b)
+ Show via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;
+
+
+ SA-17 (3)(c)
+ Show via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;
+
+
+ SA-17 (3)(d)
+ Show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and
+
+
+ SA-17 (3)(e)
+ Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware.
+
+
+
+ Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present have no impact on the behaviors or policies being modeled. Formal methods can be used to show that the high-level security properties are satisfied by the formal information system description, and that the formal system description is correctly implemented by a description of some lower level, for example a hardware description. Consistency between the formal top-level specification and the formal policy models is generally not amenable to being fully proven. Therefore, a combination of formal/informal methods may be needed to show such consistency. Consistency between the formal top-level specification and the implementation may require the use of an informal demonstration due to limitations in the applicability of formal methods to prove that the specification accurately reflects the implementation. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include, for example, mapping registers and direct memory input/output.
+ SA-5
+
+
+
+ SA-17 (4)
+ INFORMAL CORRESPONDENCE
+
+ The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17 (4)(a)
+ Produce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;
+
+
+ SA-17 (4)(b)
+ Show via [Selection: informal demonstration, convincing argument with formal methods as feasible] that the descriptive top-level specification is consistent with the formal policy model;
+
+
+ SA-17 (4)(c)
+ Show via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;
+
+
+ SA-17 (4)(d)
+ Show that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware; and
+
+
+ SA-17 (4)(e)
+ Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware.
+
+
+
+ Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present has no impact on the behaviors or policies being modeled. Consistency between the descriptive top-level specification (i.e., high-level/low-level design) and the formal policy model is generally not amenable to being fully proven. Therefore, a combination of formal/informal methods may be needed to show such consistency. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include, for example, mapping registers and direct memory input/output.
+ SA-5
+
+
+
+ SA-17 (5)
+ CONCEPTUALLY SIMPLE DESIGN
+
+ The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17 (5)(a)
+ Design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and
+
+
+ SA-17 (5)(b)
+ Internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.
+
+
+
+ SC-3
+
+
+
+ SA-17 (6)
+ STRUCTURE FOR TESTING
+
+ The organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate testing.
+
+
+ SA-11
+
+
+
+ SA-17 (7)
+ STRUCTURE FOR LEAST PRIVILEGE
+
+ The organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege.
+
+
+ AC-5
+ AC-6
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-18
+ TAMPER RESISTANCE AND DETECTION
+ P0
+
+ The organization implements a tamper protection program for the information system, system component, or information system service.
+
+
+ Anti-tamper technologies and techniques provide a level of protection for critical information systems, system components, and information technology products against a number of related threats including modification, reverse engineering, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting information systems, components, and products during distribution and when in use.
+ PE-3
+ SA-12
+ SI-7
+
+
+
+ SA-18 (1)
+ MULTIPLE PHASES OF SDLC
+
+ The organization employs anti-tamper technologies and techniques during multiple phases in the system development life cycle including design, development, integration, operations, and maintenance.
+
+
+ Organizations use a combination of hardware and software techniques for tamper resistance and detection. Organizations employ obfuscation and self-checking, for example, to make reverse engineering and modifications more difficult, time-consuming, and expensive for adversaries. Customization of information systems and system components can make substitutions easier to detect and therefore limit damage.
+ SA-3
+
+
+
+ SA-18 (2)
+ INSPECTION OF INFORMATION SYSTEMS, COMPONENTS, OR DEVICES
+
+ The organization inspects [Assignment: organization-defined information systems, system components, or devices] [Selection (one or more): at random; at [Assignment: organization-defined frequency], upon [Assignment: organization-defined indications of need for inspection]] to detect tampering.
+
+
+ This control enhancement addresses both physical and logical tampering and is typically applied to mobile devices, notebook computers, or other system components taken out of organization-controlled areas. Indications of need for inspection include, for example, when individuals return from travel to high-risk locations.
+ SI-4
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-19
+ COMPONENT AUTHENTICITY
+ P0
+
+ The organization:
+
+ SA-19a.
+ Develops and implements anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the information system; and
+
+
+ SA-19b.
+ Reports counterfeit information system components to [Selection (one or more): source of counterfeit component; [Assignment: organization-defined external reporting organizations]; [Assignment: organization-defined personnel or roles]].
+
+
+
+ Sources of counterfeit components include, for example, manufacturers, developers, vendors, and contractors. Anti-counterfeiting policy and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include, for example, US-CERT.
+ PE-3
+ SA-12
+ SI-7
+
+
+
+ SA-19 (1)
+ ANTI-COUNTERFEIT TRAINING
+
+ The organization trains [Assignment: organization-defined personnel or roles] to detect counterfeit information system components (including hardware, software, and firmware).
+
+
+
+ SA-19 (2)
+ CONFIGURATION CONTROL FOR COMPONENT SERVICE / REPAIR
+
+ The organization maintains configuration control over [Assignment: organization-defined information system components] awaiting service/repair and serviced/repaired components awaiting return to service.
+
+
+
+ SA-19 (3)
+ COMPONENT DISPOSAL
+
+ The organization disposes of information system components using [Assignment: organization-defined techniques and methods].
+
+
+ Proper disposal of information system components helps to prevent such components from entering the gray market.
+
+
+
+ SA-19 (4)
+ ANTI-COUNTERFEIT SCANNING
+
+ The organization scans for counterfeit information system components [Assignment: organization-defined frequency].
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-20
+ CUSTOMIZED DEVELOPMENT OF CRITICAL COMPONENTS
+ P0
+
+ The organization re-implements or custom develops [Assignment: organization-defined critical information system components].
+
+
+ Organizations determine that certain information system components likely cannot be trusted due to specific threats to and vulnerabilities in those components, and for which there are no viable security controls to adequately mitigate the resulting risk. Re-implementation or custom development of such components helps to satisfy requirements for higher assurance. This is accomplished by initiating changes to system components (including hardware, software, and firmware) such that the standard attacks by adversaries are less likely to succeed. In situations where no alternative sourcing is available and organizations choose not to re-implement or custom develop critical information system components, additional safeguards can be employed (e.g., enhanced auditing, restrictions on source code and system utility access, and protection from deletion of system and application files.
+ CP-2
+ SA-8
+ SA-14
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-21
+ DEVELOPER SCREENING
+ P0
+
+ The organization requires that the developer of [Assignment: organization-defined information system, system component, or information system service]:
+
+ SA-21a.
+ Have appropriate access authorizations as determined by assigned [Assignment: organization-defined official government duties]; and
+
+
+ SA-21b.
+ Satisfy [Assignment: organization-defined additional personnel screening criteria].
+
+
+
+ Because the information system, system component, or information system service may be employed in critical activities essential to the national and/or economic security interests of the United States, organizations have a strong interest in ensuring that the developer is trustworthy. The degree of trust required of the developer may need to be consistent with that of the individuals accessing the information system/component/service once deployed. Examples of authorization and personnel screening criteria include clearance, satisfactory background checks, citizenship, and nationality. Trustworthiness of developers may also include a review and analysis of company ownership and any relationships the company has with entities potentially affecting the quality/reliability of the systems, components, or services being developed.
+ PS-3
+ PS-7
+
+
+
+ SA-21 (1)
+ VALIDATION OF SCREENING
+
+ The organization requires the developer of the information system, system component, or information system service take [Assignment: organization-defined actions] to ensure that the required access authorizations and screening criteria are satisfied.
+
+
+ Satisfying required access authorizations and personnel screening criteria includes, for example, providing a listing of all the individuals authorized to perform development activities on the selected information system, system component, or information system service so that organizations can validate that the developer has satisfied the necessary authorization and screening requirements.
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-22
+ UNSUPPORTED SYSTEM COMPONENTS
+ P0
+
+ The organization:
+
+ SA-22a.
+ Replaces information system components when support for the components is no longer available from the developer, vendor, or manufacturer; and
+
+
+ SA-22b.
+ Provides justification and documents approval for the continued use of unsupported system components required to satisfy mission/business needs.
+
+
+
+ Support for information system components includes, for example, software patches, firmware updates, replacement parts, and maintenance contracts. Unsupported components (e.g., when vendors are no longer providing critical software patches), provide a substantial opportunity for adversaries to exploit new weaknesses discovered in the currently installed components. Exceptions to replacing unsupported system components may include, for example, systems that provide critical mission/business capability where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option.
+ PL-2
+ SA-3
+
+
+
+ SA-22 (1)
+ ALTERNATIVE SOURCES FOR CONTINUED SUPPORT
+
+ The organization provides [Selection (one or more): in-house support; [Assignment: organization-defined support from external providers]] for unsupported information system components.
+
+
+ This control enhancement addresses the need to provide continued support for selected information system components that are no longer supported by the original developers, vendors, or manufacturers when such components remain essential to mission/business operations. Organizations can establish in-house support, for example, by developing customized patches for critical software components or secure the services of external providers who through contractual relationships, provide ongoing support for the designated unsupported components. Such contractual relationships can include, for example, Open Source Software value-added vendors.
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-1
+ SYSTEM AND COMMUNICATIONS PROTECTION POLICY AND PROCEDURES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ SC-1a.
+ Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
+
+ SC-1a.1.
+ A system and communications protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ SC-1a.2.
+ Procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls; and
+
+
+
+ SC-1b.
+ Reviews and updates the current:
+
+ SC-1b.1.
+ System and communications protection policy [Assignment: organization-defined frequency]; and
+
+
+ SC-1b.2.
+ System and communications protection procedures [Assignment: organization-defined frequency].
+
+
+
+
+ This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-2
+ APPLICATION PARTITIONING
+ P1
+ MODERATE
+ HIGH
+
+ The information system separates user functionality (including user interface services) from information system management functionality.
+
+
+ Information system management functionality includes, for example, functions necessary to administer databases, network components, workstations, or servers, and typically requires privileged user access. The separation of user functionality from information system management functionality is either physical or logical. Organizations implement separation of system management-related functionality from user functionality by using different computers, different central processing units, different instances of operating systems, different network addresses, virtualization techniques, or combinations of these or other methods, as appropriate. This type of separation includes, for example, web administrative interfaces that use separate authentication methods for users of any other information system resources. Separation of system and user functionality may include isolating administrative interfaces on different domains and with additional access controls.
+ SA-4
+ SA-8
+ SC-3
+
+
+
+ SC-2 (1)
+ INTERFACES FOR NON-PRIVILEGED USERS
+
+ The information system prevents the presentation of information system management-related functionality at an interface for non-privileged users.
+
+
+ This control enhancement ensures that administration options (e.g., administrator privileges) are not available to general users (including prohibiting the use of the grey-out option commonly used to eliminate accessibility to such information). Such restrictions include, for example, not presenting administration options until users establish sessions with administrator privileges.
+ AC-3
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-3
+ SECURITY FUNCTION ISOLATION
+ P1
+ HIGH
+
+ The information system isolates security functions from nonsecurity functions.
+
+
+ The information system isolates security functions from nonsecurity functions by means of an isolation boundary (implemented via partitions and domains). Such isolation controls access to and protects the integrity of the hardware, software, and firmware that perform those security functions. Information systems implement code separation (i.e., separation of security functions from nonsecurity functions) in a number of ways, including, for example, through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that serve to protect the code on disk, and address space protections that protect executing code. Information systems restrict access to security functions through the use of access control mechanisms and by implementing least privilege capabilities. While the ideal is for all of the code within the security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions within the isolation boundary as an exception.
+ AC-3
+ AC-6
+ SA-4
+ SA-5
+ SA-8
+ SA-13
+ SC-2
+ SC-7
+ SC-39
+
+
+
+ SC-3 (1)
+ HARDWARE SEPARATION
+
+ The information system utilizes underlying hardware separation mechanisms to implement security function isolation.
+
+
+ Underlying hardware separation mechanisms include, for example, hardware ring architectures, commonly implemented within microprocessors, and hardware-enforced address segmentation used to support logically distinct storage objects with separate attributes (i.e., readable, writeable).
+
+
+
+ SC-3 (2)
+ ACCESS / FLOW CONTROL FUNCTIONS
+
+ The information system isolates security functions enforcing access and information flow control from nonsecurity functions and from other security functions.
+
+
+ Security function isolation occurs as a result of implementation; the functions can still be scanned and monitored. Security functions that are potentially isolated from access and flow control enforcement functions include, for example, auditing, intrusion detection, and anti-virus functions.
+
+
+
+ SC-3 (3)
+ MINIMIZE NONSECURITY FUNCTIONALITY
+
+ The organization minimizes the number of nonsecurity functions included within the isolation boundary containing security functions.
+
+
+ In those instances where it is not feasible to achieve strict isolation of nonsecurity functions from security functions, it is necessary to take actions to minimize the nonsecurity-relevant functions within the security function boundary. Nonsecurity functions contained within the isolation boundary are considered security-relevant because errors or maliciousness in such software, by virtue of being within the boundary, can impact the security functions of organizational information systems. The design objective is that the specific portions of information systems providing information security are of minimal size/complexity. Minimizing the number of nonsecurity functions in the security-relevant components of information systems allows designers and implementers to focus only on those functions which are necessary to provide the desired security capability (typically access enforcement). By minimizing nonsecurity functions within the isolation boundaries, the amount of code that must be trusted to enforce security policies is reduced, thus contributing to understandability.
+
+
+
+ SC-3 (4)
+ MODULE COUPLING AND COHESIVENESS
+
+ The organization implements security functions as largely independent modules that maximize internal cohesiveness within modules and minimize coupling between modules.
+
+
+ The reduction in inter-module interactions helps to constrain security functions and to manage complexity. The concepts of coupling and cohesion are important with respect to modularity in software design. Coupling refers to the dependencies that one module has on other modules. Cohesion refers to the relationship between the different functions within a particular module. Good software engineering practices rely on modular decomposition, layering, and minimization to reduce and manage complexity, thus producing software modules that are highly cohesive and loosely coupled.
+
+
+
+ SC-3 (5)
+ LAYERED STRUCTURES
+
+ The organization implements security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers.
+
+
+ The implementation of layered structures with minimized interactions among security functions and non-looping layers (i.e., lower-layer functions do not depend on higher-layer functions) further enables the isolation of security functions and management of complexity.
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-4
+ INFORMATION IN SHARED RESOURCES
+ P1
+ MODERATE
+ HIGH
+
+ The information system prevents unauthorized and unintended information transfer via shared system resources.
+
+
+ This control prevents information, including encrypted representations of information, produced by the actions of prior users/roles (or the actions of processes acting on behalf of prior users/roles) from being available to any current users/roles (or current processes) that obtain access to shared system resources (e.g., registers, main memory, hard disks) after those resources have been released back to information systems. The control of information in shared resources is also commonly referred to as object reuse and residual information protection. This control does not address: (i) information remanence which refers to residual representation of data that has been nominally erased or removed; (ii) covert channels (including storage and/or timing channels) where shared resources are manipulated to violate information flow restrictions; or (iii) components within information systems for which there are only single users/roles.
+ AC-3
+ AC-4
+ MP-6
+
+
+
+ SC-4 (1)
+ SECURITY LEVELS
+
+ SC-4
+
+
+ [Withdrawn: Incorporated into SC-4].
+
+
+
+ SC-4 (2)
+ PERIODS PROCESSING
+
+ The information system prevents unauthorized information transfer via shared resources in accordance with [Assignment: organization-defined procedures] when system processing explicitly switches between different information classification levels or security categories.
+
+
+ This control enhancement applies when there are explicit changes in information processing levels during information system operations, for example, during multilevel processing and periods processing with information at different classification levels or security categories. Organization-defined procedures may include, for example, approved sanitization processes for electronically stored information.
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-5
+ DENIAL OF SERVICE PROTECTION
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The information system protects against or limits the effects of the following types of denial of service attacks: [Assignment: organization-defined types of denial of service attacks or references to sources for such information] by employing [Assignment: organization-defined security safeguards].
+
+
+ A variety of technologies exist to limit, or in some cases, eliminate the effects of denial of service attacks. For example, boundary protection devices can filter certain types of packets to protect information system components on internal organizational networks from being directly affected by denial of service attacks. Employing increased capacity and bandwidth combined with service redundancy may also reduce the susceptibility to denial of service attacks.
+ SC-6
+ SC-7
+
+
+
+ SC-5 (1)
+ RESTRICT INTERNAL USERS
+
+ The information system restricts the ability of individuals to launch [Assignment: organization-defined denial of service attacks] against other information systems.
+
+
+ Restricting the ability of individuals to launch denial of service attacks requires that the mechanisms used for such attacks are unavailable. Individuals of concern can include, for example, hostile insiders or external adversaries that have successfully breached the information system and are using the system as a platform to launch cyber attacks on third parties. Organizations can restrict the ability of individuals to connect and transmit arbitrary information on the transport medium (i.e., network, wireless spectrum). Organizations can also limit the ability of individuals to use excessive information system resources. Protection against individuals having the ability to launch denial of service attacks may be implemented on specific information systems or on boundary devices prohibiting egress to potential target systems.
+
+
+
+ SC-5 (2)
+ EXCESS CAPACITY / BANDWIDTH / REDUNDANCY
+
+ The information system manages excess capacity, bandwidth, or other redundancy to limit the effects of information flooding denial of service attacks.
+
+
+ Managing excess capacity ensures that sufficient capacity is available to counter flooding attacks. Managing excess capacity may include, for example, establishing selected usage priorities, quotas, or partitioning.
+
+
+
+ SC-5 (3)
+ DETECTION / MONITORING
+
+ The organization:
+
+ SC-5 (3)(a)
+ Employs [Assignment: organization-defined monitoring tools] to detect indicators of denial of service attacks against the information system; and
+
+
+ SC-5 (3)(b)
+ Monitors [Assignment: organization-defined information system resources] to determine if sufficient resources exist to prevent effective denial of service attacks.
+
+
+
+ Organizations consider utilization and capacity of information system resources when managing risk from denial of service due to malicious attacks. Denial of service attacks can originate from external or internal sources. Information system resources sensitive to denial of service include, for example, physical disk storage, memory, and CPU cycles. Common safeguards to prevent denial of service attacks related to storage utilization and capacity include, for example, instituting disk quotas, configuring information systems to automatically alert administrators when specific storage capacity thresholds are reached, using file compression technologies to maximize available storage space, and imposing separate partitions for system and user data.
+ CA-7
+ SI-4
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-6
+ RESOURCE AVAILABILITY
+ P0
+
+ The information system protects the availability of resources by allocating [Assignment: organization-defined resources] by [Selection (one or more); priority; quota; [Assignment: organization-defined security safeguards]].
+
+
+ Priority protection helps prevent lower-priority processes from delaying or interfering with the information system servicing any higher-priority processes. Quotas prevent users or processes from obtaining more than predetermined amounts of resources. This control does not apply to information system components for which there are only single users/roles.
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-7
+ BOUNDARY PROTECTION
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The information system:
+
+ SC-7a.
+ Monitors and controls communications at the external boundary of the system and at key internal boundaries within the system;
+
+
+ SC-7b.
+ Implements subnetworks for publicly accessible system components that are [Selection: physically; logically] separated from internal organizational networks; and
+
+
+ SC-7c.
+ Connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.
+
+
+
+ Managed interfaces include, for example, gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture (e.g., routers protecting firewalls or application gateways residing on protected subnetworks). Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational information systems includes, for example, restricting external web traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses. Organizations consider the shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers, and may also include third party-provided access lines and other service elements. Such transmission services may represent sources of increased risk despite contract security provisions.
+ AC-4
+ AC-17
+ CA-3
+ CM-7
+ CP-8
+ IR-4
+ RA-3
+ SC-5
+ SC-13
+
+
+
+ SC-7 (1)
+ PHYSICALLY SEPARATED SUBNETWORKS
+
+ SC-7
+
+
+ [Withdrawn: Incorporated into SC-7].
+
+
+
+ SC-7 (2)
+ PUBLIC ACCESS
+
+ SC-7
+
+
+ [Withdrawn: Incorporated into SC-7].
+
+
+
+ SC-7 (3)
+ ACCESS POINTS
+ MODERATE
+ HIGH
+
+ The organization limits the number of external network connections to the information system.
+
+
+ Limiting the number of external network connections facilitates more comprehensive monitoring of inbound and outbound communications traffic. The Trusted Internet Connection (TIC) initiative is an example of limiting the number of external network connections.
+
+
+
+ SC-7 (4)
+ EXTERNAL TELECOMMUNICATIONS SERVICES
+ MODERATE
+ HIGH
+
+ The organization:
+
+ SC-7 (4)(a)
+ Implements a managed interface for each external telecommunication service;
+
+
+ SC-7 (4)(b)
+ Establishes a traffic flow policy for each managed interface;
+
+
+ SC-7 (4)(c)
+ Protects the confidentiality and integrity of the information being transmitted across each interface;
+
+
+ SC-7 (4)(d)
+ Documents each exception to the traffic flow policy with a supporting mission/business need and duration of that need; and
+
+
+ SC-7 (4)(e)
+ Reviews exceptions to the traffic flow policy [Assignment: organization-defined frequency] and removes exceptions that are no longer supported by an explicit mission/business need.
+
+
+
+ SC-8
+
+
+
+ SC-7 (5)
+ DENY BY DEFAULT / ALLOW BY EXCEPTION
+ MODERATE
+ HIGH
+
+ The information system at managed interfaces denies network communications traffic by default and allows network communications traffic by exception (i.e., deny all, permit by exception).
+
+
+ This control enhancement applies to both inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those connections which are essential and approved are allowed.
+
+
+
+ SC-7 (6)
+ RESPONSE TO RECOGNIZED FAILURES
+
+ SC-7 (18)
+
+
+ [Withdrawn: Incorporated into SC-7 (18)].
+
+
+
+ SC-7 (7)
+ PREVENT SPLIT TUNNELING FOR REMOTE DEVICES
+ MODERATE
+ HIGH
+
+ The information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks.
+
+
+ This control enhancement is implemented within remote devices (e.g., notebook computers) through configuration settings to disable split tunneling in those devices, and by preventing those configuration settings from being readily configurable by users. This control enhancement is implemented within the information system by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. Split tunneling might be desirable by remote users to communicate with local information system resources such as printers/file servers. However, split tunneling would in effect allow unauthorized external connections, making the system more vulnerable to attack and to exfiltration of organizational information. The use of VPNs for remote connections, when adequately provisioned with appropriate security controls, may provide the organization with sufficient assurance that it can effectively treat such connections as non-remote connections from the confidentiality and integrity perspective. VPNs thus provide a means for allowing non-remote communications paths from remote devices. The use of an adequately provisioned VPN does not eliminate the need for preventing split tunneling.
+
+
+
+ SC-7 (8)
+ ROUTE TRAFFIC TO AUTHENTICATED PROXY SERVERS
+ HIGH
+
+ The information system routes [Assignment: organization-defined internal communications traffic] to [Assignment: organization-defined external networks] through authenticated proxy servers at managed interfaces.
+
+
+ External networks are networks outside of organizational control. A proxy server is a server (i.e., information system or application) that acts as an intermediary for clients requesting information system resources (e.g., files, connections, web pages, or services) from other organizational servers. Client requests established through an initial connection to the proxy server are evaluated to manage complexity and to provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers providing access to the Internet. Proxy servers support logging individual Transmission Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites.
+ AC-3
+ AU-2
+
+
+
+ SC-7 (9)
+ RESTRICT THREATENING OUTGOING COMMUNICATIONS TRAFFIC
+
+ The information system:
+
+ SC-7 (9)(a)
+ Detects and denies outgoing communications traffic posing a threat to external information systems; and
+
+
+ SC-7 (9)(b)
+ Audits the identity of internal users associated with denied communications.
+
+
+
+ Detecting outgoing communications traffic from internal actions that may pose threats to external information systems is sometimes termed extrusion detection. Extrusion detection at information system boundaries as part of managed interfaces includes the analysis of incoming and outgoing communications traffic searching for indications of internal threats to the security of external systems. Such threats include, for example, traffic indicative of denial of service attacks and traffic containing malicious code.
+ AU-2
+ AU-6
+ SC-38
+ SC-44
+ SI-3
+ SI-4
+
+
+
+ SC-7 (10)
+ PREVENT UNAUTHORIZED EXFILTRATION
+
+ The organization prevents the unauthorized exfiltration of information across managed interfaces.
+
+
+ Safeguards implemented by organizations to prevent unauthorized exfiltration of information from information systems include, for example: (i) strict adherence to protocol formats; (ii) monitoring for beaconing from information systems; (iii) monitoring for steganography; (iv) disconnecting external network interfaces except when explicitly needed; (v) disassembling and reassembling packet headers; and (vi) employing traffic profile analysis to detect deviations from the volume/types of traffic expected within organizations or call backs to command and control centers. Devices enforcing strict adherence to protocol formats include, for example, deep packet inspection firewalls and XML gateways. These devices verify adherence to protocol formats and specification at the application layer and serve to identify vulnerabilities that cannot be detected by devices operating at the network or transport layers. This control enhancement is closely associated with cross-domain solutions and system guards enforcing information flow requirements.
+ SI-3
+
+
+
+ SC-7 (11)
+ RESTRICT INCOMING COMMUNICATIONS TRAFFIC
+
+ The information system only allows incoming communications from [Assignment: organization-defined authorized sources] to be routed to [Assignment: organization-defined authorized destinations].
+
+
+ This control enhancement provides determinations that source and destination address pairs represent authorized/allowed communications. Such determinations can be based on several factors including, for example, the presence of source/destination address pairs in lists of authorized/allowed communications, the absence of address pairs in lists of unauthorized/disallowed pairs, or meeting more general rules for authorized/allowed source/destination pairs.
+ AC-3
+
+
+
+ SC-7 (12)
+ HOST-BASED PROTECTION
+
+ The organization implements [Assignment: organization-defined host-based boundary protection mechanisms] at [Assignment: organization-defined information system components].
+
+
+ Host-based boundary protection mechanisms include, for example, host-based firewalls. Information system components employing host-based boundary protection mechanisms include, for example, servers, workstations, and mobile devices.
+
+
+
+ SC-7 (13)
+ ISOLATION OF SECURITY TOOLS / MECHANISMS / SUPPORT COMPONENTS
+
+ The organization isolates [Assignment: organization-defined information security tools, mechanisms, and support components] from other internal information system components by implementing physically separate subnetworks with managed interfaces to other components of the system.
+
+
+ Physically separate subnetworks with managed interfaces are useful, for example, in isolating computer network defenses from critical operational processing networks to prevent adversaries from discovering the analysis and forensics techniques of organizations.
+ SA-8
+ SC-2
+ SC-3
+
+
+
+ SC-7 (14)
+ PROTECTS AGAINST UNAUTHORIZED PHYSICAL CONNECTIONS
+
+ The organization protects against unauthorized physical connections at [Assignment: organization-defined managed interfaces].
+
+
+ Information systems operating at different security categories or classification levels may share common physical and environmental controls, since the systems may share space within organizational facilities. In practice, it is possible that these separate information systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved, for example, by employing clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls enforcing limited authorized access to these items.
+ PE-4
+ PE-19
+
+
+
+ SC-7 (15)
+ ROUTE PRIVILEGED NETWORK ACCESSES
+
+ The information system routes all networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.
+
+
+ AC-2
+ AC-3
+ AU-2
+ SI-4
+
+
+
+ SC-7 (16)
+ PREVENT DISCOVERY OF COMPONENTS / DEVICES
+
+ The information system prevents discovery of specific system components composing a managed interface.
+
+
+ This control enhancement protects network addresses of information system components that are part of managed interfaces from discovery through common tools and techniques used to identify devices on networks. Network addresses are not available for discovery (e.g., network address not published or entered in domain name systems), requiring prior knowledge for access. Another obfuscation technique is to periodically change network addresses.
+
+
+
+ SC-7 (17)
+ AUTOMATED ENFORCEMENT OF PROTOCOL FORMATS
+
+ The information system enforces adherence to protocol formats.
+
+
+ Information system components that enforce protocol formats include, for example, deep packet inspection firewalls and XML gateways. Such system components verify adherence to protocol formats/specifications (e.g., IEEE) at the application layer and identify significant vulnerabilities that cannot be detected by devices operating at the network or transport layers.
+ SC-4
+
+
+
+ SC-7 (18)
+ FAIL SECURE
+ HIGH
+
+ The information system fails securely in the event of an operational failure of a boundary protection device.
+
+
+ Fail secure is a condition achieved by employing information system mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces (e.g., routers, firewalls, guards, and application gateways residing on protected subnetworks commonly referred to as demilitarized zones), information systems do not enter into unsecure states where intended security properties no longer hold. Failures of boundary protection devices cannot lead to, or cause information external to the devices to enter the devices, nor can failures permit unauthorized information releases.
+ CP-2
+ SC-24
+
+
+
+ SC-7 (19)
+ BLOCKS COMMUNICATION FROM NON-ORGANIZATIONALLY CONFIGURED HOSTS
+
+ The information system blocks both inbound and outbound communications traffic between [Assignment: organization-defined communication clients] that are independently configured by end users and external service providers.
+
+
+ Communication clients independently configured by end users and external service providers include, for example, instant messaging clients. Traffic blocking does not apply to communication clients that are configured by organizations to perform authorized functions.
+
+
+
+ SC-7 (20)
+ DYNAMIC ISOLATION / SEGREGATION
+
+ The information system provides the capability to dynamically isolate/segregate [Assignment: organization-defined information system components] from other components of the system.
+
+
+ The capability to dynamically isolate or segregate certain internal components of organizational information systems is useful when it is necessary to partition or separate certain components of dubious origin from those components possessing greater trustworthiness. Component isolation reduces the attack surface of organizational information systems. Isolation of selected information system components is also a means of limiting the damage from successful cyber attacks when those attacks occur.
+
+
+
+ SC-7 (21)
+ ISOLATION OF INFORMATION SYSTEM COMPONENTS
+ HIGH
+
+ The organization employs boundary protection mechanisms to separate [Assignment: organization-defined information system components] supporting [Assignment: organization-defined missions and/or business functions].
+
+
+ Organizations can isolate information system components performing different missions and/or business functions. Such isolation limits unauthorized information flows among system components and also provides the opportunity to deploy greater levels of protection for selected components. Separating system components with boundary protection mechanisms provides the capability for increased protection of individual components and to more effectively control information flows between those components. This type of enhanced protection limits the potential harm from cyber attacks and errors. The degree of separation provided varies depending upon the mechanisms chosen. Boundary protection mechanisms include, for example, routers, gateways, and firewalls separating system components into physically separate networks or subnetworks, cross-domain devices separating subnetworks, virtualization techniques, and encrypting information flows among system components using distinct encryption keys.
+ CA-9
+ SC-3
+
+
+
+ SC-7 (22)
+ SEPARATE SUBNETS FOR CONNECTING TO DIFFERENT SECURITY DOMAINS
+
+ The information system implements separate network addresses (i.e., different subnets) to connect to systems in different security domains.
+
+
+ Decomposition of information systems into subnets helps to provide the appropriate level of protection for network connections to different security domains containing information with different security categories or classification levels.
+
+
+
+ SC-7 (23)
+ DISABLE SENDER FEEDBACK ON PROTOCOL VALIDATION FAILURE
+
+ The information system disables feedback to senders on protocol format validation failure.
+
+
+ Disabling feedback to senders when there is a failure in protocol validation format prevents adversaries from obtaining information which would otherwise be unavailable.
+
+
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-41
+
+
+ NIST Special Publication 800-77
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-8
+ TRANSMISSION CONFIDENTIALITY AND INTEGRITY
+ P1
+ MODERATE
+ HIGH
+
+ The information system protects the [Selection (one or more): confidentiality; integrity] of transmitted information.
+
+
+ This control applies to both internal and external networks and all types of information system components from which information can be transmitted (e.g., servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile machines). Communication paths outside the physical protection of a controlled boundary are exposed to the possibility of interception and modification. Protecting the confidentiality and/or integrity of organizational information can be accomplished by physical means (e.g., by employing protected distribution systems) or by logical means (e.g., employing encryption techniques). Organizations relying on commercial providers offering transmission services as commodity services rather than as fully dedicated services (i.e., services which can be highly specialized to individual customer needs), may find it difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission confidentiality/integrity. In such situations, organizations determine what types of confidentiality/integrity services are available in standard, commercial telecommunication service packages. If it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, organizations implement appropriate compensating security controls or explicitly accept the additional risk.
+ AC-17
+ PE-4
+
+
+
+ SC-8 (1)
+ CRYPTOGRAPHIC OR ALTERNATE PHYSICAL PROTECTION
+ MODERATE
+ HIGH
+
+ The information system implements cryptographic mechanisms to [Selection (one or more): prevent unauthorized disclosure of information; detect changes to information] during transmission unless otherwise protected by [Assignment: organization-defined alternative physical safeguards].
+
+
+ Encrypting information for transmission protects information from unauthorized disclosure and modification. Cryptographic mechanisms implemented to protect information integrity include, for example, cryptographic hash functions which have common application in digital signatures, checksums, and message authentication codes. Alternative physical security safeguards include, for example, protected distribution systems.
+ SC-13
+
+
+
+ SC-8 (2)
+ PRE / POST TRANSMISSION HANDLING
+
+ The information system maintains the [Selection (one or more): confidentiality; integrity] of information during preparation for transmission and during reception.
+
+
+ Information can be either unintentionally or maliciously disclosed or modified during preparation for transmission or during reception including, for example, during aggregation, at protocol transformation points, and during packing/unpacking. These unauthorized disclosures or modifications compromise the confidentiality or integrity of the information.
+ AU-10
+
+
+
+ SC-8 (3)
+ CRYPTOGRAPHIC PROTECTION FOR MESSAGE EXTERNALS
+
+ The information system implements cryptographic mechanisms to protect message externals unless otherwise protected by [Assignment: organization-defined alternative physical safeguards].
+
+
+ This control enhancement addresses protection against unauthorized disclosure of information. Message externals include, for example, message headers/routing information. This control enhancement prevents the exploitation of message externals and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Header/routing information is sometimes transmitted unencrypted because the information is not properly identified by organizations as having significant value or because encrypting the information can result in lower network performance and/or higher costs. Alternative physical safeguards include, for example, protected distribution systems.
+ SC-12
+ SC-13
+
+
+
+ SC-8 (4)
+ CONCEAL / RANDOMIZE COMMUNICATIONS
+
+ The information system implements cryptographic mechanisms to conceal or randomize communication patterns unless otherwise protected by [Assignment: organization-defined alternative physical safeguards].
+
+
+ This control enhancement addresses protection against unauthorized disclosure of information. Communication patterns include, for example, frequency, periods, amount, and predictability. Changes to communications patterns can reveal information having intelligence value especially when combined with other available information related to missions/business functions supported by organizational information systems. This control enhancement prevents the derivation of intelligence based on communications patterns and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Encrypting the links and transmitting in continuous, fixed/random patterns prevents the derivation of intelligence from the system communications patterns. Alternative physical safeguards include, for example, protected distribution systems.
+ SC-12
+ SC-13
+
+
+
+
+
+ FIPS Publication 140-2
+
+
+ FIPS Publication 197
+
+
+ NIST Special Publication 800-52
+
+
+ NIST Special Publication 800-77
+
+
+ NIST Special Publication 800-81
+
+
+ NIST Special Publication 800-113
+
+
+ CNSS Policy 15
+
+
+ NSTISSI No. 7003
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-9
+ TRANSMISSION CONFIDENTIALITY
+
+ SC-8
+
+
+ [Withdrawn: Incorporated into SC-8].
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-10
+ NETWORK DISCONNECT
+ P2
+ MODERATE
+ HIGH
+
+ The information system terminates the network connection associated with a communications session at the end of the session or after [Assignment: organization-defined time period] of inactivity.
+
+
+ This control applies to both internal and external networks. Terminating network connections associated with communications sessions include, for example, de-allocating associated TCP/IP address/port pairs at the operating system level, or de-allocating networking assignments at the application level if multiple application sessions are using a single, operating system-level network connection. Time periods of inactivity may be established by organizations and include, for example, time periods by type of network access or for specific network accesses.
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-11
+ TRUSTED PATH
+ P0
+
+ The information system establishes a trusted communications path between the user and the following security functions of the system: [Assignment: organization-defined security functions to include at a minimum, information system authentication and re-authentication].
+
+
+ Trusted paths are mechanisms by which users (through input devices) can communicate directly with security functions of information systems with the requisite assurance to support information security policies. The mechanisms can be activated only by users or the security functions of organizational information systems. User responses via trusted paths are protected from modifications by or disclosure to untrusted applications. Organizations employ trusted paths for high-assurance connections between security functions of information systems and users (e.g., during system logons). Enforcement of trusted communications paths is typically provided via an implementation that meets the reference monitor concept.
+ AC-16
+ AC-25
+
+
+
+ SC-11 (1)
+ LOGICAL ISOLATION
+
+ The information system provides a trusted communications path that is logically isolated and distinguishable from other paths.
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-12
+ CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization establishes and manages cryptographic keys for required cryptography employed within the information system in accordance with [Assignment: organization-defined requirements for key generation, distribution, storage, access, and destruction].
+
+
+ Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance, specifying appropriate options, levels, and parameters. Organizations manage trust stores to ensure that only approved trust anchors are in such trust stores. This includes certificates with visibility external to organizational information systems and certificates related to the internal operations of systems.
+ SC-13
+ SC-17
+
+
+
+ SC-12 (1)
+ AVAILABILITY
+ HIGH
+
+ The organization maintains availability of information in the event of the loss of cryptographic keys by users.
+
+
+ Escrowing of encryption keys is a common practice for ensuring availability in the event of loss of keys (e.g., due to forgotten passphrase).
+
+
+
+ SC-12 (2)
+ SYMMETRIC KEYS
+
+ The organization produces, controls, and distributes symmetric cryptographic keys using [Selection: NIST FIPS-compliant; NSA-approved] key management technology and processes.
+
+
+
+ SC-12 (3)
+ ASYMMETRIC KEYS
+
+ The organization produces, controls, and distributes asymmetric cryptographic keys using [Selection: NSA-approved key management technology and processes; approved PKI Class 3 certificates or prepositioned keying material; approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user�s private key].
+
+
+
+ SC-12 (4)
+ PKI CERTIFICATES
+
+ SC-12
+
+
+ [Withdrawn: Incorporated into SC-12].
+
+
+
+ SC-12 (5)
+ PKI CERTIFICATES / HARDWARE TOKENS
+
+ SC-12
+
+
+ [Withdrawn: Incorporated into SC-12].
+
+
+
+
+
+ NIST Special Publication 800-56
+
+
+ NIST Special Publication 800-57
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-13
+ CRYPTOGRAPHIC PROTECTION
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The information system implements [Assignment: organization-defined cryptographic uses and type of cryptography required for each use] in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.
+
+
+ Cryptography can be employed to support a variety of security solutions including, for example, the protection of classified and Controlled Unclassified Information, the provision of digital signatures, and the enforcement of information separation when authorized individuals have the necessary clearances for such information but lack the necessary formal access approvals. Cryptography can also be used to support random number generation and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. This control does not impose any requirements on organizations to use cryptography. However, if cryptography is required based on the selection of other security controls, organizations define each type of cryptographic use and the type of cryptography required (e.g., protection of classified information: NSA-approved cryptography; provision of digital signatures: FIPS-validated cryptography).
+ AC-2
+ AC-3
+ AC-7
+ AC-17
+ AC-18
+ AU-9
+ AU-10
+ CM-11
+ CP-9
+ IA-3
+ IA-7
+ MA-4
+ MP-2
+ MP-4
+ MP-5
+ SA-4
+ SC-8
+ SC-12
+ SC-28
+ SI-7
+
+
+
+ SC-13 (1)
+ FIPS-VALIDATED CRYPTOGRAPHY
+
+ SC-13
+
+
+ [Withdrawn: Incorporated into SC-13].
+
+
+
+ SC-13 (2)
+ NSA-APPROVED CRYPTOGRAPHY
+
+ SC-13
+
+
+ [Withdrawn: Incorporated into SC-13].
+
+
+
+ SC-13 (3)
+ INDIVIDUALS WITHOUT FORMAL ACCESS APPROVALS
+
+ SC-13
+
+
+ [Withdrawn: Incorporated into SC-13].
+
+
+
+ SC-13 (4)
+ DIGITAL SIGNATURES
+
+ SC-13
+
+
+ [Withdrawn: Incorporated into SC-13].
+
+
+
+
+
+ FIPS Publication 140
+
+
+ http://csrc.nist.gov/cryptval
+
+
+ http://www.cnss.gov
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-14
+ PUBLIC ACCESS PROTECTIONS
+
+ AC-2
+ AC-3
+ AC-5
+ AC-6
+ SI-3
+ SI-4
+ SI-5
+ SI-7
+ SI-10
+
+
+ [Withdrawn: Capability provided by AC-2, AC-3, AC-5, AC-6, SI-3, SI-4, SI-5, SI-7, SI-10].
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-15
+ COLLABORATIVE COMPUTING DEVICES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The information system:
+
+ SC-15a.
+ Prohibits remote activation of collaborative computing devices with the following exceptions: [Assignment: organization-defined exceptions where remote activation is to be allowed]; and
+
+
+ SC-15b.
+ Provides an explicit indication of use to users physically present at the devices.
+
+
+
+ Collaborative computing devices include, for example, networked white boards, cameras, and microphones. Explicit indication of use includes, for example, signals to users when collaborative computing devices are activated.
+ AC-21
+
+
+
+ SC-15 (1)
+ PHYSICAL DISCONNECT
+
+ The information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.
+
+
+ Failing to physically disconnect from collaborative computing devices can result in subsequent compromises of organizational information. Providing easy methods to physically disconnect from such devices after a collaborative computing session helps to ensure that participants actually carry out the disconnect activity without having to go through complex and tedious procedures.
+
+
+
+ SC-15 (2)
+ BLOCKING INBOUND / OUTBOUND COMMUNICATIONS TRAFFIC
+
+ SC-7
+
+
+ [Withdrawn: Incorporated into SC-7].
+
+
+
+ SC-15 (3)
+ DISABLING / REMOVAL IN SECURE WORK AREAS
+
+ The organization disables or removes collaborative computing devices from [Assignment: organization-defined information systems or information system components] in [Assignment: organization-defined secure work areas].
+
+
+ Failing to disable or remove collaborative computing devices from information systems or information system components can result in subsequent compromises of organizational information including, for example, eavesdropping on conversations.
+
+
+
+ SC-15 (4)
+ EXPLICITLY INDICATE CURRENT PARTICIPANTS
+
+ The information system provides an explicit indication of current participants in [Assignment: organization-defined online meetings and teleconferences].
+
+
+ This control enhancement helps to prevent unauthorized individuals from participating in collaborative computing sessions without the explicit knowledge of other participants.
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-16
+ TRANSMISSION OF SECURITY ATTRIBUTES
+ P0
+
+ The information system associates [Assignment: organization-defined security attributes] with information exchanged between information systems and between system components.
+
+
+ Security attributes can be explicitly or implicitly associated with the information contained in organizational information systems or system components.
+ AC-3
+ AC-4
+ AC-16
+
+
+
+ SC-16 (1)
+ INTEGRITY VALIDATION
+
+ The information system validates the integrity of transmitted security attributes.
+
+
+ This control enhancement ensures that the verification of the integrity of transmitted information includes security attributes.
+ AU-10
+ SC-8
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-17
+ PUBLIC KEY INFRASTRUCTURE CERTIFICATES
+ P1
+ MODERATE
+ HIGH
+
+ The organization issues public key certificates under an [Assignment: organization-defined certificate policy] or obtains public key certificates from an approved service provider.
+
+
+ For all certificates, organizations manage information system trust stores to ensure only approved trust anchors are in the trust stores. This control addresses both certificates with visibility external to organizational information systems and certificates related to the internal operations of systems, for example, application-specific time services.
+ SC-12
+
+
+
+ OMB Memorandum 05-24
+
+
+ NIST Special Publication 800-32
+
+
+ NIST Special Publication 800-63
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-18
+ MOBILE CODE
+ P2
+ MODERATE
+ HIGH
+
+ The organization:
+
+ SC-18a.
+ Defines acceptable and unacceptable mobile code and mobile code technologies;
+
+
+ SC-18b.
+ Establishes usage restrictions and implementation guidance for acceptable mobile code and mobile code technologies; and
+
+
+ SC-18c.
+ Authorizes, monitors, and controls the use of mobile code within the information system.
+
+
+
+ Decisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices (e.g., smart phones). Mobile code policy and procedures address preventing the development, acquisition, or introduction of unacceptable mobile code within organizational information systems.
+ AU-2
+ AU-12
+ CM-2
+ CM-6
+ SI-3
+
+
+
+ SC-18 (1)
+ IDENTIFY UNACCEPTABLE CODE / TAKE CORRECTIVE ACTIONS
+
+ The information system identifies [Assignment: organization-defined unacceptable mobile code] and takes [Assignment: organization-defined corrective actions].
+
+
+ Corrective actions when unacceptable mobile code is detected include, for example, blocking, quarantine, or alerting administrators. Blocking includes, for example, preventing transmission of word processing files with embedded macros when such macros have been defined to be unacceptable mobile code.
+
+
+
+ SC-18 (2)
+ ACQUISITION / DEVELOPMENT / USE
+
+ The organization ensures that the acquisition, development, and use of mobile code to be deployed in the information system meets [Assignment: organization-defined mobile code requirements].
+
+
+
+ SC-18 (3)
+ PREVENT DOWNLOADING / EXECUTION
+
+ The information system prevents the download and execution of [Assignment: organization-defined unacceptable mobile code].
+
+
+
+ SC-18 (4)
+ PREVENT AUTOMATIC EXECUTION
+
+ The information system prevents the automatic execution of mobile code in [Assignment: organization-defined software applications] and enforces [Assignment: organization-defined actions] prior to executing the code.
+
+
+ Actions enforced before executing mobile code, include, for example, prompting users prior to opening electronic mail attachments. Preventing automatic execution of mobile code includes, for example, disabling auto execute features on information system components employing portable storage devices such as Compact Disks (CDs), Digital Video Disks (DVDs), and Universal Serial Bus (USB) devices.
+
+
+
+ SC-18 (5)
+ ALLOW EXECUTION ONLY IN CONFINED ENVIRONMENTS
+
+ The organization allows execution of permitted mobile code only in confined virtual machine environments.
+
+
+
+
+
+ NIST Special Publication 800-28
+
+
+ DoD Instruction 8552.01
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-19
+ VOICE OVER INTERNET PROTOCOL
+ P1
+ MODERATE
+ HIGH
+
+ The organization:
+
+ SC-19a.
+ Establishes usage restrictions and implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously; and
+
+
+ SC-19b.
+ Authorizes, monitors, and controls the use of VoIP within the information system.
+
+
+
+ CM-6
+ SC-7
+ SC-15
+
+
+
+ NIST Special Publication 800-58
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-20
+ SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The information system:
+
+ SC-20a.
+ Provides additional data origin authentication and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries; and
+
+
+ SC-20b.
+ Provides the means to indicate the security status of child zones and (if the child supports secure resolution services) to enable verification of a chain of trust among parent and child domains, when operating as part of a distributed, hierarchical namespace.
+
+
+
+ This control enables external clients including, for example, remote Internet clients, to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. Information systems that provide name and address resolution services include, for example, domain name system (DNS) servers. Additional artifacts include, for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS resource records are examples of authoritative data. The means to indicate the security status of child zones includes, for example, the use of delegation signer resource records in the DNS. The DNS security controls reflect (and are referenced from) OMB Memorandum 08-23. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to assure the authenticity and integrity of response data.
+ AU-10
+ SC-8
+ SC-12
+ SC-13
+ SC-21
+ SC-22
+
+
+
+ SC-20 (1)
+ CHILD SUBSPACES
+
+ SC-20
+
+
+ [Withdrawn: Incorporated into SC-20].
+
+
+
+ SC-20 (2)
+ DATA ORIGIN / INTEGRITY
+
+ The information system provides data origin and integrity protection artifacts for internal name/address resolution queries.
+
+
+
+
+
+ OMB Memorandum 08-23
+
+
+ NIST Special Publication 800-81
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-21
+ SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The information system requests and performs data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources.
+
+
+ Each client of name resolution services either performs this validation on its own, or has authenticated channels to trusted validation providers. Information systems that provide name and address resolution services for local clients include, for example, recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to enable clients to verify the authenticity and integrity of response data.
+ SC-20
+ SC-22
+
+
+
+ SC-21 (1)
+ DATA ORIGIN / INTEGRITY
+
+ SC-21
+
+
+ [Withdrawn: Incorporated into SC-21].
+
+
+
+
+
+ NIST Special Publication 800-81
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-22
+ ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The information systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal/external role separation.
+
+
+ Information systems that provide name and address resolution services include, for example, domain name system (DNS) servers. To eliminate single points of failure and to enhance redundancy, organizations employ at least two authoritative domain name system servers, one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks including the Internet). Organizations specify clients that can access authoritative DNS servers in particular roles (e.g., by address ranges, explicit lists).
+ SC-2
+ SC-20
+ SC-21
+ SC-24
+
+
+
+ NIST Special Publication 800-81
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-23
+ SESSION AUTHENTICITY
+ P1
+ MODERATE
+ HIGH
+
+ The information system protects the authenticity of communications sessions.
+
+
+ This control addresses communications protection at the session, versus packet level (e.g., sessions in service-oriented architectures providing web-based services) and establishes grounds for confidence at both ends of communications sessions in ongoing identities of other parties and in the validity of information transmitted. Authenticity protection includes, for example, protecting against man-in-the-middle attacks/session hijacking and the insertion of false information into sessions.
+ SC-8
+ SC-10
+ SC-11
+
+
+
+ SC-23 (1)
+ INVALIDATE SESSION IDENTIFIERS AT LOGOUT
+
+ The information system invalidates session identifiers upon user logout or other session termination.
+
+
+ This control enhancement curtails the ability of adversaries from capturing and continuing to employ previously valid session IDs.
+
+
+
+ SC-23 (2)
+ USER-INITIATED LOGOUTS / MESSAGE DISPLAYS
+
+ AC-12 (1)
+
+
+ [Withdrawn: Incorporated into AC-12 (1)].
+
+
+
+ SC-23 (3)
+ UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION
+
+ The information system generates a unique session identifier for each session with [Assignment: organization-defined randomness requirements] and recognizes only session identifiers that are system-generated.
+
+
+ This control enhancement curtails the ability of adversaries from reusing previously valid session IDs. Employing the concept of randomness in the generation of unique session identifiers helps to protect against brute-force attacks to determine future session identifiers.
+ SC-13
+
+
+
+ SC-23 (4)
+ UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION
+
+ SC-23 (3)
+
+
+ [Withdrawn: Incorporated into SC-23 (3)].
+
+
+
+ SC-23 (5)
+ ALLOWED CERTIFICATE AUTHORITIES
+
+ The information system only allows the use of [Assignment: organization-defined certificate authorities] for verification of the establishment of protected sessions.
+
+
+ Reliance on certificate authorities (CAs) for the establishment of secure sessions includes, for example, the use of Secure Socket Layer (SSL) and/or Transport Layer Security (TLS) certificates. These certificates, after verification by the respective certificate authorities, facilitate the establishment of protected sessions between web clients and web servers.
+ SC-13
+
+
+
+
+
+ NIST Special Publication 800-52
+
+
+ NIST Special Publication 800-77
+
+
+ NIST Special Publication 800-95
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-24
+ FAIL IN KNOWN STATE
+ P1
+ HIGH
+
+ The information system fails to a [Assignment: organization-defined known-state] for [Assignment: organization-defined types of failures] preserving [Assignment: organization-defined system state information] in failure.
+
+
+ Failure in a known state addresses security concerns in accordance with the mission/business needs of organizations. Failure in a known secure state helps to prevent the loss of confidentiality, integrity, or availability of information in the event of failures of organizational information systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving information system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission/business processes.
+ CP-2
+ CP-10
+ CP-12
+ SC-7
+ SC-22
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-25
+ THIN NODES
+ P0
+
+ The organization employs [Assignment: organization-defined information system components] with minimal functionality and information storage.
+
+
+ The deployment of information system components with reduced/minimal functionality (e.g., diskless nodes and thin client technologies) reduces the need to secure every user endpoint, and may reduce the exposure of information, information systems, and services to cyber attacks.
+ SC-30
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-26
+ HONEYPOTS
+ P0
+
+ The information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.
+
+
+ A honeypot is set up as a decoy to attract adversaries and to deflect their attacks away from the operational systems supporting organizational missions/business function. Depending upon the specific usage of the honeypot, consultation with the Office of the General Counsel before deployment may be needed.
+ SC-30
+ SC-44
+ SI-3
+ SI-4
+
+
+
+ SC-26 (1)
+ DETECTION OF MALICIOUS CODE
+
+ SC-35
+
+
+ [Withdrawn: Incorporated into SC-35].
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-27
+ PLATFORM-INDEPENDENT APPLICATIONS
+ P0
+
+ The information system includes: [Assignment: organization-defined platform-independent applications].
+
+
+ Platforms are combinations of hardware and software used to run software applications. Platforms include: (i) operating systems; (ii) the underlying computer architectures, or (iii) both. Platform-independent applications are applications that run on multiple platforms. Such applications promote portability and reconstitution on different platforms, increasing the availability of critical functions within organizations while information systems with specific operating systems are under attack.
+ SC-29
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-28
+ PROTECTION OF INFORMATION AT REST
+ P1
+ MODERATE
+ HIGH
+
+ The information system protects the [Selection (one or more): confidentiality; integrity] of [Assignment: organization-defined information at rest].
+
+
+ This control addresses the confidentiality and integrity of information at rest and covers user information and system information. Information at rest refers to the state of information when it is located on storage devices as specific components of information systems. System-related information requiring protection includes, for example, configurations or rule sets for firewalls, gateways, intrusion detection/prevention systems, filtering routers, and authenticator content. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing Write-Once-Read-Many (WORM) technologies. Organizations may also employ other security controls including, for example, secure off-line storage in lieu of online storage when adequate protection of information at rest cannot otherwise be achieved and/or continuous monitoring to identify malicious code at rest.
+ AC-3
+ AC-6
+ CA-7
+ CM-3
+ CM-5
+ CM-6
+ PE-3
+ SC-8
+ SC-13
+ SI-3
+ SI-7
+
+
+
+ SC-28 (1)
+ CRYPTOGRAPHIC PROTECTION
+
+ The information system implements cryptographic mechanisms to prevent unauthorized disclosure and modification of [Assignment: organization-defined information] on [Assignment: organization-defined information system components].
+
+
+ Selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category and/or classification of the information. This control enhancement applies to significant concentrations of digital media in organizational areas designated for media storage and also to limited quantities of media generally associated with information system components in operational environments (e.g., portable storage devices, mobile devices). Organizations have the flexibility to either encrypt all information on storage devices (i.e., full disk encryption) or encrypt specific data structures (e.g., files, records, or fields). Organizations employing cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions.
+ AC-19
+ SC-12
+
+
+
+ SC-28 (2)
+ OFF-LINE STORAGE
+
+ The organization removes from online storage and stores off-line in a secure location [Assignment: organization-defined information].
+
+
+ Removing organizational information from online information system storage to off-line storage eliminates the possibility of individuals gaining unauthorized access to the information through a network. Therefore, organizations may choose to move information to off-line storage in lieu of protecting such information in online storage.
+
+
+
+
+
+ NIST Special Publication 800-56
+
+
+ NIST Special Publication 800-57
+
+
+ NIST Special Publication 800-111
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-29
+ HETEROGENEITY
+ P0
+
+ The organization employs a diverse set of information technologies for [Assignment: organization-defined information system components] in the implementation of the information system.
+
+
+ Increasing the diversity of information technologies within organizational information systems reduces the impact of potential exploitations of specific technologies and also defends against common mode failures, including those failures induced by supply chain attacks. Diversity in information technologies also reduces the likelihood that the means adversaries use to compromise one information system component will be equally effective against other system components, thus further increasing the adversary work factor to successfully complete planned cyber attacks. An increase in diversity may add complexity and management overhead which could ultimately lead to mistakes and unauthorized configurations.
+ SA-12
+ SA-14
+ SC-27
+
+
+
+ SC-29 (1)
+ VIRTUALIZATION TECHNIQUES
+
+ The organization employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed [Assignment: organization-defined frequency].
+
+
+ While frequent changes to operating systems and applications pose configuration management challenges, the changes can result in an increased work factor for adversaries in order to carry out successful cyber attacks. Changing virtual operating systems or applications, as opposed to changing actual operating systems/applications, provide virtual changes that impede attacker success while reducing configuration management efforts. In addition, virtualization techniques can assist organizations in isolating untrustworthy software and/or software of dubious provenance into confined execution environments.
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-30
+ CONCEALMENT AND MISDIRECTION
+ P0
+
+ The organization employs [Assignment: organization-defined concealment and misdirection techniques] for [Assignment: organization-defined information systems] at [Assignment: organization-defined time periods] to confuse and mislead adversaries.
+
+
+ Concealment and misdirection techniques can significantly reduce the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete cyber attacks. For example, virtualization techniques provide organizations with the ability to disguise information systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms. Increased use of concealment/misdirection techniques including, for example, randomness, uncertainty, and virtualization, may sufficiently confuse and mislead adversaries and subsequently increase the risk of discovery and/or exposing tradecraft. Concealment/misdirection techniques may also provide organizations additional time to successfully perform core missions and business functions. Because of the time and effort required to support concealment/misdirection techniques, it is anticipated that such techniques would be used by organizations on a very limited basis.
+ SC-26
+ SC-29
+ SI-14
+
+
+
+ SC-30 (1)
+ VIRTUALIZATION TECHNIQUES
+
+ SC-29 (1)
+
+
+ [Withdrawn: Incorporated into SC-29 (1)].
+
+
+
+ SC-30 (2)
+ RANDOMNESS
+
+ The organization employs [Assignment: organization-defined techniques] to introduce randomness into organizational operations and assets.
+
+
+ Randomness introduces increased levels of uncertainty for adversaries regarding the actions organizations take in defending against cyber attacks. Such actions may impede the ability of adversaries to correctly target information resources of organizations supporting critical missions/business functions. Uncertainty may also cause adversaries to hesitate before initiating or continuing attacks. Misdirection techniques involving randomness include, for example, performing certain routine actions at different times of day, employing different information technologies (e.g., browsers, search engines), using different suppliers, and rotating roles and responsibilities of organizational personnel.
+
+
+
+ SC-30 (3)
+ CHANGE PROCESSING / STORAGE LOCATIONS
+
+ The organization changes the location of [Assignment: organization-defined processing and/or storage] [Selection: [Assignment: organization-defined time frequency]; at random time intervals]].
+
+
+ Adversaries target critical organizational missions/business functions and the information resources supporting those missions and functions while at the same time, trying to minimize exposure of their existence and tradecraft. The static, homogeneous, and deterministic nature of organizational information systems targeted by adversaries, make such systems more susceptible to cyber attacks with less adversary cost and effort to be successful. Changing organizational processing and storage locations (sometimes referred to as moving target defense) addresses the advanced persistent threat (APT) using techniques such as virtualization, distributed processing, and replication. This enables organizations to relocate the information resources (i.e., processing and/or storage) supporting critical missions and business functions. Changing locations of processing activities and/or storage sites introduces uncertainty into the targeting activities by adversaries. This uncertainty increases the work factor of adversaries making compromises or breaches to organizational information systems much more difficult and time-consuming, and increases the chances that adversaries may inadvertently disclose aspects of tradecraft while attempting to locate critical organizational resources.
+
+
+
+ SC-30 (4)
+ MISLEADING INFORMATION
+
+ The organization employs realistic, but misleading information in [Assignment: organization-defined information system components] with regard to its security state or posture.
+
+
+ This control enhancement misleads potential adversaries regarding the nature and extent of security safeguards deployed by organizations. As a result, adversaries may employ incorrect (and as a result ineffective) attack techniques. One way of misleading adversaries is for organizations to place misleading information regarding the specific security controls deployed in external information systems that are known to be accessed or targeted by adversaries. Another technique is the use of deception nets (e.g., honeynets, virtualized environments) that mimic actual aspects of organizational information systems but use, for example, out-of-date software configurations.
+
+
+
+ SC-30 (5)
+ CONCEALMENT OF SYSTEM COMPONENTS
+
+ The organization employs [Assignment: organization-defined techniques] to hide or conceal [Assignment: organization-defined information system components].
+
+
+ By hiding, disguising, or otherwise concealing critical information system components, organizations may be able to decrease the probability that adversaries target and successfully compromise those assets. Potential means for organizations to hide and/or conceal information system components include, for example, configuration of routers or the use of honeynets or virtualization techniques.
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-31
+ COVERT CHANNEL ANALYSIS
+ P0
+
+ The organization:
+
+ SC-31a.
+ Performs a covert channel analysis to identify those aspects of communications within the information system that are potential avenues for covert [Selection (one or more): storage; timing] channels; and
+
+
+ SC-31b.
+ Estimates the maximum bandwidth of those channels.
+
+
+
+ Developers are in the best position to identify potential areas within systems that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across security domains, for example, in the case of information systems containing export-controlled information and having connections to external networks (i.e., networks not controlled by organizations). Covert channel analysis is also meaningful for multilevel secure (MLS) information systems, multiple security level (MSL) systems, and cross-domain systems.
+ AC-3
+ AC-4
+ PL-2
+
+
+
+ SC-31 (1)
+ TEST COVERT CHANNELS FOR EXPLOITABILITY
+
+ The organization tests a subset of the identified covert channels to determine which channels are exploitable.
+
+
+
+ SC-31 (2)
+ MAXIMUM BANDWIDTH
+
+ The organization reduces the maximum bandwidth for identified covert [Selection (one or more); storage; timing] channels to [Assignment: organization-defined values].
+
+
+ Information system developers are in the best position to reduce the maximum bandwidth for identified covert storage and timing channels.
+
+
+
+ SC-31 (3)
+ MEASURE BANDWIDTH IN OPERATIONAL ENVIRONMENTS
+
+ The organization measures the bandwidth of [Assignment: organization-defined subset of identified covert channels] in the operational environment of the information system.
+
+
+ This control enhancement addresses covert channel bandwidth in operational environments versus developmental environments. Measuring covert channel bandwidth in operational environments helps organizations to determine how much information can be covertly leaked before such leakage adversely affects organizational missions/business functions. Covert channel bandwidth may be significantly different when measured in those settings that are independent of the particular environments of operation (e.g., laboratories or development environments).
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-32
+ INFORMATION SYSTEM PARTITIONING
+ P0
+
+ The organization partitions the information system into [Assignment: organization-defined information system components] residing in separate physical domains or environments based on [Assignment: organization-defined circumstances for physical separation of components].
+
+
+ Information system partitioning is a part of a defense-in-depth protection strategy. Organizations determine the degree of physical separation of system components from physically distinct components in separate racks in the same room, to components in separate rooms for the more critical components, to more significant geographical separation of the most critical components. Security categorization can guide the selection of appropriate candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned information system components.
+ AC-4
+ SA-8
+ SC-2
+ SC-3
+ SC-7
+
+
+
+ FIPS Publication 199
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-33
+ TRANSMISSION PREPARATION INTEGRITY
+
+ SC-8
+
+
+ [Withdrawn: Incorporated into SC-8].
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-34
+ NON-MODIFIABLE EXECUTABLE PROGRAMS
+ P0
+
+ The information system at [Assignment: organization-defined information system components]:
+
+ SC-34a.
+ Loads and executes the operating environment from hardware-enforced, read-only media; and
+
+
+ SC-34b.
+ Loads and executes [Assignment: organization-defined applications] from hardware-enforced, read-only media.
+
+
+
+ The term operating environment is defined as the specific code that hosts applications, for example, operating systems, executives, or monitors including virtual machine monitors (i.e., hypervisors). It can also include certain applications running directly on hardware platforms. Hardware-enforced, read-only media include, for example, Compact Disk-Recordable (CD-R)/Digital Video Disk-Recordable (DVD-R) disk drives and one-time programmable read-only memory. The use of non-modifiable storage ensures the integrity of software from the point of creation of the read-only image. The use of reprogrammable read-only memory can be accepted as read-only media provided: (i) integrity can be adequately protected from the point of initial writing to the insertion of the memory into the information system; and (ii) there are reliable hardware protections against reprogramming the memory while installed in organizational information systems.
+ AC-3
+ SI-7
+
+
+
+ SC-34 (1)
+ NO WRITABLE STORAGE
+
+ The organization employs [Assignment: organization-defined information system components] with no writeable storage that is persistent across component restart or power on/off.
+
+
+ This control enhancement: (i) eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated information system components; and (ii) applies to both fixed and removable storage, with the latter being addressed directly or as specific restrictions imposed through access controls for mobile devices.
+ AC-19
+ MP-7
+
+
+
+ SC-34 (2)
+ INTEGRITY PROTECTION / READ-ONLY MEDIA
+
+ The organization protects the integrity of information prior to storage on read-only media and controls the media after such information has been recorded onto the media.
+
+
+ Security safeguards prevent the substitution of media into information systems or the reprogramming of programmable read-only media prior to installation into the systems. Security safeguards include, for example, a combination of prevention, detection, and response.
+ AC-5
+ CM-3
+ CM-5
+ CM-9
+ MP-2
+ MP-4
+ MP-5
+ SA-12
+ SC-28
+ SI-3
+
+
+
+ SC-34 (3)
+ HARDWARE-BASED PROTECTION
+
+ The organization:
+
+ SC-34 (3)(a)
+ Employs hardware-based, write-protect for [Assignment: organization-defined information system firmware components]; and
+
+
+ SC-34 (3)(b)
+ Implements specific procedures for [Assignment: organization-defined authorized individuals] to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-35
+ HONEYCLIENTS
+ P0
+
+ The information system includes components that proactively seek to identify malicious websites and/or web-based malicious code.
+
+
+ Honeyclients differ from honeypots in that the components actively probe the Internet in search of malicious code (e.g., worms) contained on external websites. As with honeypots, honeyclients require some supporting isolation measures (e.g., virtualization) to ensure that any malicious code discovered during the search and subsequently executed does not infect organizational information systems.
+ SC-26
+ SC-44
+ SI-3
+ SI-4
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-36
+ DISTRIBUTED PROCESSING AND STORAGE
+ P0
+
+ The organization distributes [Assignment: organization-defined processing and storage] across multiple physical locations.
+
+
+ Distributing processing and storage across multiple physical locations provides some degree of redundancy or overlap for organizations, and therefore increases the work factor of adversaries to adversely impact organizational operations, assets, and individuals. This control does not assume a single primary processing or storage location, and thus allows for parallel processing and storage.
+ CP-6
+ CP-7
+
+
+
+ SC-36 (1)
+ POLLING TECHNIQUES
+
+ The organization employs polling techniques to identify potential faults, errors, or compromises to [Assignment: organization-defined distributed processing and storage components].
+
+
+ Distributed processing and/or storage may be employed to reduce opportunities for adversaries to successfully compromise the confidentiality, integrity, or availability of information and information systems. However, distribution of processing and/or storage components does not prevent adversaries from compromising one (or more) of the distributed components. Polling compares the processing results and/or storage content from the various distributed components and subsequently voting on the outcomes. Polling identifies potential faults, errors, or compromises in distributed processing and/or storage components.
+ SI-4
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-37
+ OUT-OF-BAND CHANNELS
+ P0
+
+ The organization employs [Assignment: organization-defined out-of-band channels] for the physical delivery or electronic transmission of [Assignment: organization-defined information, information system components, or devices] to [Assignment: organization-defined individuals or information systems].
+
+
+ Out-of-band channels include, for example, local (nonnetwork) accesses to information systems, network paths physically separate from network paths used for operational traffic, or nonelectronic paths such as the US Postal Service. This is in contrast with using the same channels (i.e., in-band channels) that carry routine operational traffic. Out-of-band channels do not have the same vulnerability/exposure as in-band channels, and hence the confidentiality, integrity, or availability compromises of in-band channels will not compromise the out-of-band channels. Organizations may employ out-of-band channels in the delivery or transmission of many organizational items including, for example, identifiers/authenticators, configuration management changes for hardware, firmware, or software, cryptographic key management information, security updates, system/data backups, maintenance information, and malicious code protection updates.
+ AC-2
+ CM-3
+ CM-5
+ CM-7
+ IA-4
+ IA-5
+ MA-4
+ SC-12
+ SI-3
+ SI-4
+ SI-7
+
+
+
+ SC-37 (1)
+ ENSURE DELIVERY / TRANSMISSION
+
+ The organization employs [Assignment: organization-defined security safeguards] to ensure that only [Assignment: organization-defined individuals or information systems] receive the [Assignment: organization-defined information, information system components, or devices].
+
+
+ Techniques and/or methods employed by organizations to ensure that only designated information systems or individuals receive particular information, system components, or devices include, for example, sending authenticators via courier service but requiring recipients to show some form of government-issued photographic identification as a condition of receipt.
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-38
+ OPERATIONS SECURITY
+ P0
+
+ The organization employs [Assignment: organization-defined operations security safeguards] to protect key organizational information throughout the system development life cycle.
+
+
+ Operations security (OPSEC) is a systematic process by which potential adversaries can be denied information about the capabilities and intentions of organizations by identifying, controlling, and protecting generally unclassified information that specifically relates to the planning and execution of sensitive organizational activities. The OPSEC process involves five steps: (i) identification of critical information (e.g., the security categorization process); (ii) analysis of threats; (iii) analysis of vulnerabilities; (iv) assessment of risks; and (v) the application of appropriate countermeasures. OPSEC safeguards are applied to both organizational information systems and the environments in which those systems operate. OPSEC safeguards help to protect the confidentiality of key information including, for example, limiting the sharing of information with suppliers and potential suppliers of information system components, information technology products and services, and with other non-organizational elements and individuals. Information critical to mission/business success includes, for example, user identities, element uses, suppliers, supply chain processes, functional and security requirements, system design specifications, testing protocols, and security control implementation details.
+ RA-2
+ RA-5
+ SA-12
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-39
+ PROCESS ISOLATION
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The information system maintains a separate execution domain for each executing process.
+
+
+ Information systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each information system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. This capability is available in most commercial operating systems that employ multi-state processor technologies.
+ AC-3
+ AC-4
+ AC-6
+ SA-4
+ SA-5
+ SA-8
+ SC-2
+ SC-3
+
+
+
+ SC-39 (1)
+ HARDWARE SEPARATION
+
+ The information system implements underlying hardware separation mechanisms to facilitate process separation.
+
+
+ Hardware-based separation of information system processes is generally less susceptible to compromise than software-based separation, thus providing greater assurance that the separation will be enforced. Underlying hardware separation mechanisms include, for example, hardware memory management.
+
+
+
+ SC-39 (2)
+ THREAD ISOLATION
+
+ The information system maintains a separate execution domain for each thread in [Assignment: organization-defined multi-threaded processing].
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-40
+ WIRELESS LINK PROTECTION
+ P0
+
+ The information system protects external and internal [Assignment: organization-defined wireless links] from [Assignment: organization-defined types of signal parameter attacks or references to sources for such attacks].
+
+
+ This control applies to internal and external wireless communication links that may be visible to individuals who are not authorized information system users. Adversaries can exploit the signal parameters of wireless links if such links are not adequately protected. There are many ways to exploit the signal parameters of wireless links to gain intelligence, deny service, or to spoof users of organizational information systems. This control reduces the impact of attacks that are unique to wireless systems. If organizations rely on commercial service providers for transmission services as commodity items rather than as fully dedicated services, it may not be possible to implement this control.
+ AC-18
+ SC-5
+
+
+
+ SC-40 (1)
+ ELECTROMAGNETIC INTERFERENCE
+
+ The information system implements cryptographic mechanisms that achieve [Assignment: organization-defined level of protection] against the effects of intentional electromagnetic interference.
+
+
+ This control enhancement protects against intentional jamming that might deny or impair communications by ensuring that wireless spread spectrum waveforms used to provide anti-jam protection are not predictable by unauthorized individuals. The control enhancement may also coincidentally help to mitigate the effects of unintentional jamming due to interference from legitimate transmitters sharing the same spectrum. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine levels of wireless link availability and performance/cryptography needed.
+ SC-12
+ SC-13
+
+
+
+ SC-40 (2)
+ REDUCE DETECTION POTENTIAL
+
+ The information system implements cryptographic mechanisms to reduce the detection potential of wireless links to [Assignment: organization-defined level of reduction].
+
+
+ This control enhancement is needed for covert communications and protecting wireless transmitters from being geo-located by their transmissions. The control enhancement ensures that spread spectrum waveforms used to achieve low probability of detection are not predictable by unauthorized individuals. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine the levels to which wireless links should be undetectable.
+ SC-12
+ SC-13
+
+
+
+ SC-40 (3)
+ IMITATIVE OR MANIPULATIVE COMMUNICATIONS DECEPTION
+
+ The information system implements cryptographic mechanisms to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.
+
+
+ This control enhancement ensures that the signal parameters of wireless transmissions are not predictable by unauthorized individuals. Such unpredictability reduces the probability of imitative or manipulative communications deception based upon signal parameters alone.
+ SC-12
+ SC-13
+
+
+
+ SC-40 (4)
+ SIGNAL PARAMETER IDENTIFICATION
+
+ The information system implements cryptographic mechanisms to prevent the identification of [Assignment: organization-defined wireless transmitters] by using the transmitter signal parameters.
+
+
+ Radio fingerprinting techniques identify the unique signal parameters of transmitters to fingerprint such transmitters for purposes of tracking and mission/user identification. This control enhancement protects against the unique identification of wireless transmitters for purposes of intelligence exploitation by ensuring that anti-fingerprinting alterations to signal parameters are not predictable by unauthorized individuals. This control enhancement helps assure mission success when anonymity is required.
+ SC-12
+ SC-13
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-41
+ PORT AND I/O DEVICE ACCESS
+ P0
+
+ The organization physically disables or removes [Assignment: organization-defined connection ports or input/output devices] on [Assignment: organization-defined information systems or information system components].
+
+
+ Connection ports include, for example, Universal Serial Bus (USB) and Firewire (IEEE 1394). Input/output (I/O) devices include, for example, Compact Disk (CD) and Digital Video Disk (DVD) drives. Physically disabling or removing such connection ports and I/O devices helps prevent exfiltration of information from information systems and the introduction of malicious code into systems from those ports/devices.
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-42
+ SENSOR CAPABILITY AND DATA
+ P0
+
+ The information system:
+
+ SC-42a.
+ Prohibits the remote activation of environmental sensing capabilities with the following exceptions: [Assignment: organization-defined exceptions where remote activation of sensors is allowed]; and
+
+
+ SC-42b.
+ Provides an explicit indication of sensor use to [Assignment: organization-defined class of users].
+
+
+
+ This control often applies to types of information systems or system components characterized as mobile devices, for example, smart phones, tablets, and E-readers. These systems often include sensors that can collect and record data regarding the environment where the system is in use. Sensors that are embedded within mobile devices include, for example, cameras, microphones, Global Positioning System (GPS) mechanisms, and accelerometers. While the sensors on mobiles devices provide an important function, if activated covertly, such devices can potentially provide a means for adversaries to learn valuable information about individuals and organizations. For example, remotely activating the GPS function on a mobile device could provide an adversary with the ability to track the specific movements of an individual.
+
+
+
+ SC-42 (1)
+ REPORTING TO AUTHORIZED INDIVIDUALS OR ROLES
+
+ The organization ensures that the information system is configured so that data or information collected by the [Assignment: organization-defined sensors] is only reported to authorized individuals or roles.
+
+
+ In situations where sensors are activated by authorized individuals (e.g., end users), it is still possible that the data/information collected by the sensors will be sent to unauthorized entities.
+
+
+
+ SC-42 (2)
+ AUTHORIZED USE
+
+ The organization employs the following measures: [Assignment: organization-defined measures], so that data or information collected by [Assignment: organization-defined sensors] is only used for authorized purposes.
+
+
+ Information collected by sensors for a specific authorized purpose potentially could be misused for some unauthorized purpose. For example, GPS sensors that are used to support traffic navigation could be misused to track movements of individuals. Measures to mitigate such activities include, for example, additional training to ensure that authorized parties do not abuse their authority, or (in the case where sensor data/information is maintained by external parties) contractual restrictions on the use of the data/information.
+
+
+
+ SC-42 (3)
+ PROHIBIT USE OF DEVICES
+
+ The organization prohibits the use of devices possessing [Assignment: organization-defined environmental sensing capabilities] in [Assignment: organization-defined facilities, areas, or systems].
+
+
+ For example, organizations may prohibit individuals from bringing cell phones or digital cameras into certain facilities or specific controlled areas within facilities where classified information is stored or sensitive conversations are taking place.
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-43
+ USAGE RESTRICTIONS
+ P0
+
+ The organization:
+
+ SC-43a.
+ Establishes usage restrictions and implementation guidance for [Assignment: organization-defined information system components] based on the potential to cause damage to the information system if used maliciously; and
+
+
+ SC-43b.
+ Authorizes, monitors, and controls the use of such components within the information system.
+
+
+
+ Information system components include hardware, software, or firmware components (e.g., Voice Over Internet Protocol, mobile code, digital copiers, printers, scanners, optical devices, wireless technologies, mobile devices).
+ CM-6
+ SC-7
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-44
+ DETONATION CHAMBERS
+ P0
+
+ The organization employs a detonation chamber capability within [Assignment: organization-defined information system, system component, or location].
+
+
+ Detonation chambers, also known as dynamic execution environments, allow organizations to open email attachments, execute untrusted or suspicious applications, and execute Universal Resource Locator (URL) requests in the safety of an isolated environment or virtualized sandbox. These protected and isolated execution environments provide a means of determining whether the associated attachments/applications contain malicious code. While related to the concept of deception nets, the control is not intended to maintain a long-term environment in which adversaries can operate and their actions can be observed. Rather, it is intended to quickly identify malicious code and reduce the likelihood that the code is propagated to user environments of operation (or prevent such propagation completely).
+ SC-7
+ SC-25
+ SC-26
+ SC-30
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-1
+ SYSTEM AND INFORMATION INTEGRITY POLICY AND PROCEDURES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ SI-1a.
+ Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
+
+ SI-1a.1.
+ A system and information integrity policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ SI-1a.2.
+ Procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls; and
+
+
+
+ SI-1b.
+ Reviews and updates the current:
+
+ SI-1b.1.
+ System and information integrity policy [Assignment: organization-defined frequency]; and
+
+
+ SI-1b.2.
+ System and information integrity procedures [Assignment: organization-defined frequency].
+
+
+
+
+ This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SI family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-2
+ FLAW REMEDIATION
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ SI-2a.
+ Identifies, reports, and corrects information system flaws;
+
+
+ SI-2b.
+ Tests software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;
+
+
+ SI-2c.
+ Installs security-relevant software and firmware updates within [Assignment: organization-defined time period] of the release of the updates; and
+
+
+ SI-2d.
+ Incorporates flaw remediation into the organizational configuration management process.
+
+
+
+ Organizations identify information systems affected by announced software flaws including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security responsibilities. Security-relevant software updates include, for example, patches, service packs, hot fixes, and anti-virus signatures. Organizations also address flaws discovered during security assessments, continuous monitoring, incident response activities, and system error handling. Organizations take advantage of available resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By incorporating flaw remediation into ongoing configuration management processes, required/anticipated remediation actions can be tracked and verified. Flaw remediation actions that can be tracked and verified include, for example, determining whether organizations follow US-CERT guidance and Information Assurance Vulnerability Alerts. Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of factors including, for example, the security category of the information system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw remediation may require more testing than other types. Organizations determine the degree and type of testing needed for the specific type of flaw remediation activity under consideration and also the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software and/or firmware updates is not necessary or practical, for example, when implementing simple anti-virus signature updates. Organizations may also consider in testing decisions, whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures.
+ CA-2
+ CA-7
+ CM-3
+ CM-5
+ CM-8
+ MA-2
+ IR-4
+ RA-5
+ SA-10
+ SA-11
+ SI-11
+
+
+
+ SI-2 (1)
+ CENTRAL MANAGEMENT
+ HIGH
+
+ The organization centrally manages the flaw remediation process.
+
+
+ Central management is the organization-wide management and implementation of flaw remediation processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw remediation security controls.
+
+
+
+ SI-2 (2)
+ AUTOMATED FLAW REMEDIATION STATUS
+ MODERATE
+ HIGH
+
+ The organization employs automated mechanisms [Assignment: organization-defined frequency] to determine the state of information system components with regard to flaw remediation.
+
+
+ CM-6
+ SI-4
+
+
+
+ SI-2 (3)
+ TIME TO REMEDIATE FLAWS / BENCHMARKS FOR CORRECTIVE ACTIONS
+
+ The organization:
+
+ SI-2 (3)(a)
+ Measures the time between flaw identification and flaw remediation; and
+
+
+ SI-2 (3)(b)
+ Establishes [Assignment: organization-defined benchmarks] for taking corrective actions.
+
+
+
+ This control enhancement requires organizations to determine the current time it takes on the average to correct information system flaws after such flaws have been identified, and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by type of flaw and/or severity of the potential vulnerability if the flaw can be exploited.
+
+
+
+ SI-2 (4)
+ AUTOMATED PATCH MANAGEMENT TOOLS
+
+ SI-2
+
+
+ [Withdrawn: Incorporated into SI-2].
+
+
+
+ SI-2 (5)
+ AUTOMATIC SOFTWARE / FIRMWARE UPDATES
+
+ The organization installs [Assignment: organization-defined security-relevant software and firmware updates] automatically to [Assignment: organization-defined information system components].
+
+
+ Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates. Organizations must balance the need to ensure that the updates are installed as soon as possible with the need to maintain configuration management and with any mission or operational impacts that automatic updates might impose.
+
+
+
+ SI-2 (6)
+ REMOVAL OF PREVIOUS VERSIONS OF SOFTWARE / FIRMWARE
+
+ The organization removes [Assignment: organization-defined software and firmware components] after updated versions have been installed.
+
+
+ Previous versions of software and/or firmware components that are not removed from the information system after updates have been installed may be exploited by adversaries. Some information technology products may remove older versions of software and/or firmware automatically from the information system.
+
+
+
+
+
+ NIST Special Publication 800-40
+
+
+ NIST Special Publication 800-128
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-3
+ MALICIOUS CODE PROTECTION
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ SI-3a.
+ Employs malicious code protection mechanisms at information system entry and exit points to detect and eradicate malicious code;
+
+
+ SI-3b.
+ Updates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures;
+
+
+ SI-3c.
+ Configures malicious code protection mechanisms to:
+
+ SI-3c.1.
+ Perform periodic scans of the information system [Assignment: organization-defined frequency] and real-time scans of files from external sources at [Selection (one or more); endpoint; network entry/exit points] as the files are downloaded, opened, or executed in accordance with organizational security policy; and
+
+
+ SI-3c.2.
+ [Selection (one or more): block malicious code; quarantine malicious code; send alert to administrator; [Assignment: organization-defined action]] in response to malicious code detection; and
+
+
+
+ SI-3d.
+ Addresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system.
+
+
+
+ Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, notebook computers, and mobile devices. Malicious code includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden files, or hidden in files using steganography. Malicious code can be transported by different means including, for example, web accesses, electronic mail, electronic mail attachments, and portable storage devices. Malicious code insertions occur through the exploitation of information system vulnerabilities. Malicious code protection mechanisms include, for example, anti-virus signature definitions and reputation-based technologies. A variety of technologies and methods exist to limit or eliminate the effects of malicious code. Pervasive configuration management and comprehensive software integrity controls may be effective in preventing execution of unauthorized code. In addition to commercial off-the-shelf software, malicious code may also be present in custom-built software. This could include, for example, logic bombs, back doors, and other types of cyber attacks that could affect organizational missions/business functions. Traditional malicious code protection mechanisms cannot always detect such code. In these situations, organizations rely instead on other safeguards including, for example, secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to help ensure that software does not perform functions other than the functions intended. Organizations may determine that in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, actions in response to detection of malicious downloads, and/or actions in response to detection of maliciousness when attempting to open or execute files.
+ CM-3
+ MP-2
+ SA-4
+ SA-8
+ SA-12
+ SA-13
+ SC-7
+ SC-26
+ SC-44
+ SI-2
+ SI-4
+ SI-7
+
+
+
+ SI-3 (1)
+ CENTRAL MANAGEMENT
+ MODERATE
+ HIGH
+
+ The organization centrally manages malicious code protection mechanisms.
+
+
+ Central management is the organization-wide management and implementation of malicious code protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw malicious code protection security controls.
+ AU-2
+ SI-8
+
+
+
+ SI-3 (2)
+ AUTOMATIC UPDATES
+ MODERATE
+ HIGH
+
+ The information system automatically updates malicious code protection mechanisms.
+
+
+ Malicious code protection mechanisms include, for example, signature definitions. Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates.
+ SI-8
+
+
+
+ SI-3 (3)
+ NON-PRIVILEGED USERS
+
+ AC-6 (10)
+
+
+ [Withdrawn: Incorporated into AC-6 (10)].
+
+
+
+ SI-3 (4)
+ UPDATES ONLY BY PRIVILEGED USERS
+
+ The information system updates malicious code protection mechanisms only when directed by a privileged user.
+
+
+ This control enhancement may be appropriate for situations where for reasons of security or operational continuity, updates are only applied when selected/approved by designated organizational personnel.
+ AC-6
+ CM-5
+
+
+
+ SI-3 (5)
+ PORTABLE STORAGE DEVICES
+
+ MP-7
+
+
+ [Withdrawn: Incorporated into MP-7].
+
+
+
+ SI-3 (6)
+ TESTING / VERIFICATION
+
+ The organization:
+
+ SI-3 (6)(a)
+ Tests malicious code protection mechanisms [Assignment: organization-defined frequency] by introducing a known benign, non-spreading test case into the information system; and
+
+
+ SI-3 (6)(b)
+ Verifies that both detection of the test case and associated incident reporting occur.
+
+
+
+ CA-2
+ CA-7
+ RA-5
+
+
+
+ SI-3 (7)
+ NONSIGNATURE-BASED DETECTION
+
+ The information system implements nonsignature-based malicious code detection mechanisms.
+
+
+ Nonsignature-based detection mechanisms include, for example, the use of heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide safeguards against malicious code for which signatures do not yet exist or for which existing signatures may not be effective. This includes polymorphic malicious code (i.e., code that changes signatures when it replicates). This control enhancement does not preclude the use of signature-based detection mechanisms.
+
+
+
+ SI-3 (8)
+ DETECT UNAUTHORIZED COMMANDS
+
+ The information system detects [Assignment: organization-defined unauthorized operating system commands] through the kernel application programming interface at [Assignment: organization-defined information system hardware components] and [Selection (one or more): issues a warning; audits the command execution; prevents the execution of the command].
+
+
+ This control enhancement can also be applied to critical interfaces other than kernel-based interfaces, including for example, interfaces with virtual machines and privileged applications. Unauthorized operating system commands include, for example, commands for kernel functions from information system processes that are not trusted to initiate such commands, or commands for kernel functions that are suspicious even though commands of that type are reasonable for processes to initiate. Organizations can define the malicious commands to be detected by a combination of command types, command classes, or specific instances of commands. Organizations can define hardware components by specific component, component type, location in the network, or combination therein. Organizations may select different actions for different types/classes/specific instances of potentially malicious commands.
+ AU-6
+
+
+
+ SI-3 (9)
+ AUTHENTICATE REMOTE COMMANDS
+
+ The information system implements [Assignment: organization-defined security safeguards] to authenticate [Assignment: organization-defined remote commands].
+
+
+ This control enhancement protects against unauthorized commands and replay of authorized commands. This capability is important for those remote information systems whose loss, malfunction, misdirection, or exploitation would have immediate and/or serious consequences (e.g., injury or death, property damage, loss of high-valued assets or sensitive information, or failure of important missions/business functions). Authentication safeguards for remote commands help to ensure that information systems accept and execute in the order intended, only authorized commands, and that unauthorized commands are rejected. Cryptographic mechanisms can be employed, for example, to authenticate remote commands.
+ SC-12
+ SC-13
+ SC-23
+
+
+
+ SI-3 (10)
+ MALICIOUS CODE ANALYSIS
+
+ The organization:
+
+ SI-3 (10)(a)
+ Employs [Assignment: organization-defined tools and techniques] to analyze the characteristics and behavior of malicious code; and
+
+
+ SI-3 (10)(b)
+ Incorporates the results from malicious code analysis into organizational incident response and flaw remediation processes.
+
+
+
+ The application of selected malicious code analysis tools and techniques provides organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics, techniques, and procedures) and the functionality and purpose of specific instances of malicious code. Understanding the characteristics of malicious code facilitates more effective organizational responses to current and future threats. Organizations can conduct malicious code analyses by using reverse engineering techniques or by monitoring the behavior of executing code.
+
+
+
+
+
+ NIST Special Publication 800-83
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-4
+ INFORMATION SYSTEM MONITORING
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ SI-4a.
+ Monitors the information system to detect:
+
+ SI-4a.1.
+ Attacks and indicators of potential attacks in accordance with [Assignment: organization-defined monitoring objectives]; and
+
+
+ SI-4a.2.
+ Unauthorized local, network, and remote connections;
+
+
+
+ SI-4b.
+ Identifies unauthorized use of the information system through [Assignment: organization-defined techniques and methods];
+
+
+ SI-4c.
+ Deploys monitoring devices:
+
+ SI-4c.1.
+ Strategically within the information system to collect organization-determined essential information; and
+
+
+ SI-4c.2.
+ At ad hoc locations within the system to track specific types of transactions of interest to the organization;
+
+
+
+ SI-4d.
+ Protects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion;
+
+
+ SI-4e.
+ Heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;
+
+
+ SI-4f.
+ Obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations; and
+
+
+ SI-4g.
+ Provides [Assignment: organization-defined information system monitoring information] to [Assignment: organization-defined personnel or roles] [Selection (one or more): as needed; [Assignment: organization-defined frequency]].
+
+
+
+ Information system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the information system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the information system. Organizations can monitor information systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives may guide determination of the events. Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. Einstein network monitoring devices from the Department of Homeland Security can also be included as monitoring devices. The granularity of monitoring information collected is based on organizational monitoring objectives and the capability of information systems to support such objectives. Specific types of transactions of interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. Information system monitoring is an integral part of organizational continuous monitoring and incident response programs. Output from system monitoring serves as input to continuous monitoring and incident response programs. A network connection is any connection with a device that communicates through a network (e.g., local area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Local, network, and remote connections can be either wired or wireless.
+ AC-3
+ AC-4
+ AC-8
+ AC-17
+ AU-2
+ AU-6
+ AU-7
+ AU-9
+ AU-12
+ CA-7
+ IR-4
+ PE-3
+ RA-5
+ SC-7
+ SC-26
+ SC-35
+ SI-3
+ SI-7
+
+
+
+ SI-4 (1)
+ SYSTEM-WIDE INTRUSION DETECTION SYSTEM
+
+ The organization connects and configures individual intrusion detection tools into an information system-wide intrusion detection system.
+
+
+
+ SI-4 (2)
+ AUTOMATED TOOLS FOR REAL-TIME ANALYSIS
+ MODERATE
+ HIGH
+
+ The organization employs automated tools to support near real-time analysis of events.
+
+
+ Automated tools include, for example, host-based, network-based, transport-based, or storage-based event monitoring tools or Security Information and Event Management (SIEM) technologies that provide real time analysis of alerts and/or notifications generated by organizational information systems.
+
+
+
+ SI-4 (3)
+ AUTOMATED TOOL INTEGRATION
+
+ The organization employs automated tools to integrate intrusion detection tools into access control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination.
+
+
+
+ SI-4 (4)
+ INBOUND AND OUTBOUND COMMUNICATIONS TRAFFIC
+ MODERATE
+ HIGH
+
+ The information system monitors inbound and outbound communications traffic [Assignment: organization-defined frequency] for unusual or unauthorized activities or conditions.
+
+
+ Unusual/unauthorized activities or conditions related to information system inbound and outbound communications traffic include, for example, internal traffic that indicates the presence of malicious code within organizational information systems or propagating among system components, the unauthorized exporting of information, or signaling to external information systems. Evidence of malicious code is used to identify potentially compromised information systems or information system components.
+
+
+
+ SI-4 (5)
+ SYSTEM-GENERATED ALERTS
+ MODERATE
+ HIGH
+
+ The information system alerts [Assignment: organization-defined personnel or roles] when the following indications of compromise or potential compromise occur: [Assignment: organization-defined compromise indicators].
+
+
+ Alerts may be generated from a variety of sources, including, for example, audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be transmitted, for example, telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the notification list can include, for example, system administrators, mission/business owners, system owners, or information system security officers.
+ AU-5
+ PE-6
+
+
+
+ SI-4 (6)
+ RESTRICT NON-PRIVILEGED USERS
+
+ AC-6 (10)
+
+
+ [Withdrawn: Incorporated into AC-6 (10)].
+
+
+
+ SI-4 (7)
+ AUTOMATED RESPONSE TO SUSPICIOUS EVENTS
+
+ The information system notifies [Assignment: organization-defined incident response personnel (identified by name and/or by role)] of detected suspicious events and takes [Assignment: organization-defined least-disruptive actions to terminate suspicious events].
+
+
+ Least-disruptive actions may include, for example, initiating requests for human responses.
+
+
+
+ SI-4 (8)
+ PROTECTION OF MONITORING INFORMATION
+
+ SI-4
+
+
+ [Withdrawn: Incorporated into SI-4].
+
+
+
+ SI-4 (9)
+ TESTING OF MONITORING TOOLS
+
+ The organization tests intrusion-monitoring tools [Assignment: organization-defined frequency].
+
+
+ Testing intrusion-monitoring tools is necessary to ensure that the tools are operating correctly and continue to meet the monitoring objectives of organizations. The frequency of testing depends on the types of tools used by organizations and methods of deployment.
+ CP-9
+
+
+
+ SI-4 (10)
+ VISIBILITY OF ENCRYPTED COMMUNICATIONS
+
+ The organization makes provisions so that [Assignment: organization-defined encrypted communications traffic] is visible to [Assignment: organization-defined information system monitoring tools].
+
+
+ Organizations balance the potentially conflicting needs for encrypting communications traffic and for having insight into such traffic from a monitoring perspective. For some organizations, the need to ensure the confidentiality of communications traffic is paramount; for others, mission-assurance is of greater concern. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types.
+
+
+
+ SI-4 (11)
+ ANALYZE COMMUNICATIONS TRAFFIC ANOMALIES
+
+ The organization analyzes outbound communications traffic at the external boundary of the information system and selected [Assignment: organization-defined interior points within the system (e.g., subnetworks, subsystems)] to discover anomalies.
+
+
+ Anomalies within organizational information systems include, for example, large file transfers, long-time persistent connections, unusual protocols and ports in use, and attempted communications with suspected malicious external addresses.
+
+
+
+ SI-4 (12)
+ AUTOMATED ALERTS
+
+ The organization employs automated mechanisms to alert security personnel of the following inappropriate or unusual activities with security implications: [Assignment: organization-defined activities that trigger alerts].
+
+
+ This control enhancement focuses on the security alerts generated by organizations and transmitted using automated means. In contrast to the alerts generated by information systems in SI-4 (5), which tend to focus on information sources internal to the systems (e.g., audit records), the sources of information for this enhancement can include other entities as well (e.g., suspicious activity reports, reports on potential insider threats).
+ AC-18
+ IA-3
+
+
+
+ SI-4 (13)
+ ANALYZE TRAFFIC / EVENT PATTERNS
+
+ The organization:
+
+ SI-4 (13)(a)
+ Analyzes communications traffic/event patterns for the information system;
+
+
+ SI-4 (13)(b)
+ Develops profiles representing common traffic patterns and/or events; and
+
+
+ SI-4 (13)(c)
+ Uses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives and the number of false negatives.
+
+
+
+
+ SI-4 (14)
+ WIRELESS INTRUSION DETECTION
+
+ The organization employs a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises/breaches to the information system.
+
+
+ Wireless signals may radiate beyond the confines of organization-controlled facilities. Organizations proactively search for unauthorized wireless connections including the conduct of thorough scans for unauthorized wireless access points. Scans are not limited to those areas within facilities containing information systems, but also include areas outside of facilities as needed, to verify that unauthorized wireless access points are not connected to the systems.
+ AC-18
+ IA-3
+
+
+
+ SI-4 (15)
+ WIRELESS TO WIRELINE COMMUNICATIONS
+
+ The organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.
+
+
+ AC-18
+
+
+
+ SI-4 (16)
+ CORRELATE MONITORING INFORMATION
+
+ The organization correlates information from monitoring tools employed throughout the information system.
+
+
+ Correlating information from different monitoring tools can provide a more comprehensive view of information system activity. The correlation of monitoring tools that usually work in isolation (e.g., host monitoring, network monitoring, anti-virus software) can provide an organization-wide view and in so doing, may reveal otherwise unseen attack patterns. Understanding the capabilities/limitations of diverse monitoring tools and how to maximize the utility of information generated by those tools can help organizations to build, operate, and maintain effective monitoring programs.
+ AU-6
+
+
+
+ SI-4 (17)
+ INTEGRATED SITUATIONAL AWARENESS
+
+ The organization correlates information from monitoring physical, cyber, and supply chain activities to achieve integrated, organization-wide situational awareness.
+
+
+ This control enhancement correlates monitoring information from a more diverse set of information sources to achieve integrated situational awareness. Integrated situational awareness from a combination of physical, cyber, and supply chain monitoring activities enhances the capability of organizations to more quickly detect sophisticated cyber attacks and investigate the methods and techniques employed to carry out such attacks. In contrast to SI-4 (16) which correlates the various cyber monitoring information, this control enhancement correlates monitoring beyond just the cyber domain. Such monitoring may help reveal attacks on organizations that are operating across multiple attack vectors.
+ SA-12
+
+
+
+ SI-4 (18)
+ ANALYZE TRAFFIC / COVERT EXFILTRATION
+
+ The organization analyzes outbound communications traffic at the external boundary of the information system (i.e., system perimeter) and at [Assignment: organization-defined interior points within the system (e.g., subsystems, subnetworks)] to detect covert exfiltration of information.
+
+
+ Covert means that can be used for the unauthorized exfiltration of organizational information include, for example, steganography.
+
+
+
+ SI-4 (19)
+ INDIVIDUALS POSING GREATER RISK
+
+ The organization implements [Assignment: organization-defined additional monitoring] of individuals who have been identified by [Assignment: organization-defined sources] as posing an increased level of risk.
+
+
+ Indications of increased risk from individuals can be obtained from a variety of sources including, for example, human resource records, intelligence agencies, law enforcement organizations, and/or other credible sources. The monitoring of individuals is closely coordinated with management, legal, security, and human resources officials within organizations conducting such monitoring and complies with federal legislation, Executive Orders, policies, directives, regulations, and standards.
+
+
+
+ SI-4 (20)
+ PRIVILEGED USERS
+
+ The organization implements [Assignment: organization-defined additional monitoring] of privileged users.
+
+
+
+ SI-4 (21)
+ PROBATIONARY PERIODS
+
+ The organization implements [Assignment: organization-defined additional monitoring] of individuals during [Assignment: organization-defined probationary period].
+
+
+
+ SI-4 (22)
+ UNAUTHORIZED NETWORK SERVICES
+
+ The information system detects network services that have not been authorized or approved by [Assignment: organization-defined authorization or approval processes] and [Selection (one or more): audits; alerts [Assignment: organization-defined personnel or roles]].
+
+
+ Unauthorized or unapproved network services include, for example, services in service-oriented architectures that lack organizational verification or validation and therefore may be unreliable or serve as malicious rogues for valid services.
+ AC-6
+ CM-7
+ SA-5
+ SA-9
+
+
+
+ SI-4 (23)
+ HOST-BASED DEVICES
+
+ The organization implements [Assignment: organization-defined host-based monitoring mechanisms] at [Assignment: organization-defined information system components].
+
+
+ Information system components where host-based monitoring can be implemented include, for example, servers, workstations, and mobile devices. Organizations consider employing host-based monitoring mechanisms from multiple information technology product developers.
+
+
+
+ SI-4 (24)
+ INDICATORS OF COMPROMISE
+
+ The information system discovers, collects, distributes, and uses indicators of compromise.
+
+
+ Indicators of compromise (IOC) are forensic artifacts from intrusions that are identified on organizational information systems (at the host or network level). IOCs provide organizations with valuable information on objects or information systems that have been compromised. IOCs for the discovery of compromised hosts can include for example, the creation of registry key values. IOCs for network traffic include, for example, Universal Resource Locator (URL) or protocol elements that indicate malware command and control servers. The rapid distribution and adoption of IOCs can improve information security by reducing the time that information systems and organizations are vulnerable to the same exploit or attack.
+
+
+
+
+
+ NIST Special Publication 800-61
+
+
+ NIST Special Publication 800-83
+
+
+ NIST Special Publication 800-92
+
+
+ NIST Special Publication 800-94
+
+
+ NIST Special Publication 800-137
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-5
+ SECURITY ALERTS, ADVISORIES, AND DIRECTIVES
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+ The organization:
+
+ SI-5a.
+ Receives information system security alerts, advisories, and directives from [Assignment: organization-defined external organizations] on an ongoing basis;
+
+
+ SI-5b.
+ Generates internal security alerts, advisories, and directives as deemed necessary;
+
+
+ SI-5c.
+ Disseminates security alerts, advisories, and directives to: [Selection (one or more): [Assignment: organization-defined personnel or roles]; [Assignment: organization-defined elements within the organization]; [Assignment: organization-defined external organizations]]; and
+
+
+ SI-5d.
+ Implements security directives in accordance with established time frames, or notifies the issuing organization of the degree of noncompliance.
+
+
+
+ The United States Computer Emergency Readiness Team (US-CERT) generates security alerts and advisories to maintain situational awareness across the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance to security directives is essential due to the critical nature of many of these directives and the potential immediate adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include, for example, external mission/business partners, supply chain partners, external service providers, and other peer/supporting organizations.
+ SI-2
+
+
+
+ SI-5 (1)
+ AUTOMATED ALERTS AND ADVISORIES
+ HIGH
+
+ The organization employs automated mechanisms to make security alert and advisory information available throughout the organization.
+
+
+ The significant number of changes to organizational information systems and the environments in which those systems operate requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational missions and business functions. Based on the information provided by the security alerts and advisories, changes may be required at one or more of the three tiers related to the management of information security risk including the governance level, mission/business process/enterprise architecture level, and the information system level.
+
+
+
+
+
+ NIST Special Publication 800-40
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-6
+ SECURITY FUNCTION VERIFICATION
+ P1
+ HIGH
+
+ The information system:
+
+ SI-6a.
+ Verifies the correct operation of [Assignment: organization-defined security functions];
+
+
+ SI-6b.
+ Performs this verification [Selection (one or more): [Assignment: organization-defined system transitional states]; upon command by user with appropriate privilege; [Assignment: organization-defined frequency]];
+
+
+ SI-6c.
+ Notifies [Assignment: organization-defined personnel or roles] of failed security verification tests; and
+
+
+ SI-6d.
+ [Selection (one or more): shuts the information system down; restarts the information system; [Assignment: organization-defined alternative action(s)]] when anomalies are discovered.
+
+
+
+ Transitional states for information systems include, for example, system startup, restart, shutdown, and abort. Notifications provided by information systems include, for example, electronic alerts to system administrators, messages to local computer consoles, and/or hardware indications such as lights.
+ CA-7
+ CM-6
+
+
+
+ SI-6 (1)
+ NOTIFICATION OF FAILED SECURITY TESTS
+
+ SI-6
+
+
+ [Withdrawn: Incorporated into SI-6].
+
+
+
+ SI-6 (2)
+ AUTOMATION SUPPORT FOR DISTRIBUTED TESTING
+
+ The information system implements automated mechanisms to support the management of distributed security testing.
+
+
+ SI-2
+
+
+
+ SI-6 (3)
+ REPORT VERIFICATION RESULTS
+
+ The organization reports the results of security function verification to [Assignment: organization-defined personnel or roles].
+
+
+ Organizational personnel with potential interest in security function verification results include, for example, senior information security officers, information system security managers, and information systems security officers.
+ SA-12
+ SI-4
+ SI-5
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-7
+ SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY
+ P1
+ MODERATE
+ HIGH
+
+ The organization employs integrity verification tools to detect unauthorized changes to [Assignment: organization-defined software, firmware, and information].
+
+
+ Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity (e.g., tampering). Software includes, for example, operating systems (with key internal components such as kernels, drivers), middleware, and applications. Firmware includes, for example, the Basic Input Output System (BIOS). Information includes metadata such as security attributes associated with information. State-of-the-practice integrity-checking mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and associated tools can automatically monitor the integrity of information systems and hosted applications.
+ SA-12
+ SC-8
+ SC-13
+ SI-3
+
+
+
+ SI-7 (1)
+ INTEGRITY CHECKS
+ MODERATE
+ HIGH
+
+ The information system performs an integrity check of [Assignment: organization-defined software, firmware, and information] [Selection (one or more): at startup; at [Assignment: organization-defined transitional states or security-relevant events]; [Assignment: organization-defined frequency]].
+
+
+ Security-relevant events include, for example, the identification of a new threat to which organizational information systems are susceptible, and the installation of new hardware, software, or firmware. Transitional states include, for example, system startup, restart, shutdown, and abort.
+
+
+
+ SI-7 (2)
+ AUTOMATED NOTIFICATIONS OF INTEGRITY VIOLATIONS
+ HIGH
+
+ The organization employs automated tools that provide notification to [Assignment: organization-defined personnel or roles] upon discovering discrepancies during integrity verification.
+
+
+ The use of automated tools to report integrity violations and to notify organizational personnel in a timely matter is an essential precursor to effective risk response. Personnel having an interest in integrity violations include, for example, mission/business owners, information system owners, systems administrators, software developers, systems integrators, and information security officers.
+
+
+
+ SI-7 (3)
+ CENTRALLY-MANAGED INTEGRITY TOOLS
+
+ The organization employs centrally managed integrity verification tools.
+
+
+ AU-3
+ SI-2
+ SI-8
+
+
+
+ SI-7 (4)
+ TAMPER-EVIDENT PACKAGING
+
+ SA-12
+
+
+ [Withdrawn: Incorporated into SA-12].
+
+
+
+ SI-7 (5)
+ AUTOMATED RESPONSE TO INTEGRITY VIOLATIONS
+ HIGH
+
+ The information system automatically [Selection (one or more): shuts the information system down; restarts the information system; implements [Assignment: organization-defined security safeguards]] when integrity violations are discovered.
+
+
+ Organizations may define different integrity checking and anomaly responses: (i) by type of information (e.g., firmware, software, user data); (ii) by specific information (e.g., boot firmware, boot firmware for a specific types of machines); or (iii) a combination of both. Automatic implementation of specific safeguards within organizational information systems includes, for example, reversing the changes, halting the information system, or triggering audit alerts when unauthorized modifications to critical security files occur.
+
+
+
+ SI-7 (6)
+ CRYPTOGRAPHIC PROTECTION
+
+ The information system implements cryptographic mechanisms to detect unauthorized changes to software, firmware, and information.
+
+
+ Cryptographic mechanisms used for the protection of integrity include, for example, digital signatures and the computation and application of signed hashes using asymmetric cryptography, protecting the confidentiality of the key used to generate the hash, and using the public key to verify the hash information.
+ SC-13
+
+
+
+ SI-7 (7)
+ INTEGRATION OF DETECTION AND RESPONSE
+ MODERATE
+ HIGH
+
+ The organization incorporates the detection of unauthorized [Assignment: organization-defined security-relevant changes to the information system] into the organizational incident response capability.
+
+
+ This control enhancement helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important both for being able to identify and discern adversary actions over an extended period of time and for possible legal actions. Security-relevant changes include, for example, unauthorized changes to established configuration settings or unauthorized elevation of information system privileges.
+ IR-4
+ IR-5
+ SI-4
+
+
+
+ SI-7 (8)
+ AUDITING CAPABILITY FOR SIGNIFICANT EVENTS
+
+ The information system, upon detection of a potential integrity violation, provides the capability to audit the event and initiates the following actions: [Selection (one or more): generates an audit record; alerts current user; alerts [Assignment: organization-defined personnel or roles]; [Assignment: organization-defined other actions]].
+
+
+ Organizations select response actions based on types of software, specific software, or information for which there are potential integrity violations.
+ AU-2
+ AU-6
+ AU-12
+
+
+
+ SI-7 (9)
+ VERIFY BOOT PROCESS
+
+ The information system verifies the integrity of the boot process of [Assignment: organization-defined devices].
+
+
+ Ensuring the integrity of boot processes is critical to starting devices in known/trustworthy states. Integrity verification mechanisms provide organizational personnel with assurance that only trusted code is executed during boot processes.
+
+
+
+ SI-7 (10)
+ PROTECTION OF BOOT FIRMWARE
+
+ The information system implements [Assignment: organization-defined security safeguards] to protect the integrity of boot firmware in [Assignment: organization-defined devices].
+
+
+ Unauthorized modifications to boot firmware may be indicative of a sophisticated, targeted cyber attack. These types of cyber attacks can result in a permanent denial of service (e.g., if the firmware is corrupted) or a persistent malicious code presence (e.g., if code is embedded within the firmware). Devices can protect the integrity of the boot firmware in organizational information systems by: (i) verifying the integrity and authenticity of all updates to the boot firmware prior to applying changes to the boot devices; and (ii) preventing unauthorized processes from modifying the boot firmware.
+
+
+
+ SI-7 (11)
+ CONFINED ENVIRONMENTS WITH LIMITED PRIVILEGES
+
+ The organization requires that [Assignment: organization-defined user-installed software] execute in a confined physical or virtual machine environment with limited privileges.
+
+
+ Organizations identify software that may be of greater concern with regard to origin or potential for containing malicious code. For this type of software, user installations occur in confined environments of operation to limit or contain damage from malicious code that may be executed.
+
+
+
+ SI-7 (12)
+ INTEGRITY VERIFICATION
+
+ The organization requires that the integrity of [Assignment: organization-defined user-installed software] be verified prior to execution.
+
+
+ Organizations verify the integrity of user-installed software prior to execution to reduce the likelihood of executing malicious code or code that contains errors from unauthorized modifications. Organizations consider the practicality of approaches to verifying software integrity including, for example, availability of checksums of adequate trustworthiness from software developers or vendors.
+
+
+
+ SI-7 (13)
+ CODE EXECUTION IN PROTECTED ENVIRONMENTS
+
+ The organization allows execution of binary or machine-executable code obtained from sources with limited or no warranty and without the provision of source code only in confined physical or virtual machine environments and with the explicit approval of [Assignment: organization-defined personnel or roles].
+
+
+ This control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software.
+
+
+
+ SI-7 (14)
+ BINARY OR MACHINE EXECUTABLE CODE
+ HIGH
+
+ The organization:
+
+ SI-7 (14)(a)
+ Prohibits the use of binary or machine-executable code from sources with limited or no warranty and without the provision of source code; and
+
+
+ SI-7 (14)(b)
+ Provides exceptions to the source code requirement only for compelling mission/operational requirements and with the approval of the authorizing official.
+
+
+
+ This control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software. Organizations assess software products without accompanying source code from sources with limited or no warranty for potential security impacts. The assessments address the fact that these types of software products may be very difficult to review, repair, or extend, given that organizations, in most cases, do not have access to the original source code, and there may be no owners who could make such repairs on behalf of organizations.
+ SA-5
+
+
+
+ SI-7 (15)
+ CODE AUTHENTICATION
+
+ The information system implements cryptographic mechanisms to authenticate [Assignment: organization-defined software or firmware components] prior to installation.
+
+
+ Cryptographic authentication includes, for example, verifying that software or firmware components have been digitally signed using certificates recognized and approved by organizations. Code signing is an effective method to protect against malicious code.
+
+
+
+ SI-7 (16)
+ TIME LIMIT ON PROCESS EXECUTION W/O SUPERVISION
+
+ The organization does not allow processes to execute without supervision for more than [Assignment: organization-defined time period].
+
+
+ This control enhancement addresses processes for which normal execution periods can be determined and situations in which organizations exceed such periods. Supervision includes, for example, operating system timers, automated responses, or manual oversight and response when information system process anomalies occur.
+
+
+
+
+
+ NIST Special Publication 800-147
+
+
+ NIST Special Publication 800-155
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-8
+ SPAM PROTECTION
+ P2
+ MODERATE
+ HIGH
+
+ The organization:
+
+ SI-8a.
+ Employs spam protection mechanisms at information system entry and exit points to detect and take action on unsolicited messages; and
+
+
+ SI-8b.
+ Updates spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.
+
+
+
+ Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, mobile devices, and notebook/laptop computers. Spam can be transported by different means including, for example, electronic mail, electronic mail attachments, and web accesses. Spam protection mechanisms include, for example, signature definitions.
+ AT-2
+ AT-3
+ SC-5
+ SC-7
+ SI-3
+
+
+
+ SI-8 (1)
+ CENTRAL MANAGEMENT
+ MODERATE
+ HIGH
+
+ The organization centrally manages spam protection mechanisms.
+
+
+ Central management is the organization-wide management and implementation of spam protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed spam protection security controls.
+ AU-3
+ SI-2
+ SI-7
+
+
+
+ SI-8 (2)
+ AUTOMATIC UPDATES
+ MODERATE
+ HIGH
+
+ The information system automatically updates spam protection mechanisms.
+
+
+
+ SI-8 (3)
+ CONTINUOUS LEARNING CAPABILITY
+
+ The information system implements spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic.
+
+
+ Learning mechanisms include, for example, Bayesian filters that respond to user inputs identifying specific traffic as spam or legitimate by updating algorithm parameters and thereby more accurately separating types of traffic.
+
+
+
+
+
+ NIST Special Publication 800-45
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-9
+ INFORMATION INPUT RESTRICTIONS
+
+ AC-2
+ AC-3
+ AC-5
+ AC-6
+
+
+ [Withdrawn: Incorporated into AC-2, AC-3, AC-5, AC-6].
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-10
+ INFORMATION INPUT VALIDATION
+ P1
+ MODERATE
+ HIGH
+
+ The information system checks the validity of [Assignment: organization-defined information inputs].
+
+
+ Checking the valid syntax and semantics of information system inputs (e.g., character set, length, numerical range, and acceptable values) verifies that inputs match specified definitions for format and content. Software applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the tainted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing to interpreters prevents the content from being unintentionally interpreted as commands. Input validation helps to ensure accurate and correct inputs and prevent attacks such as cross-site scripting and a variety of injection attacks.
+
+
+
+ SI-10 (1)
+ MANUAL OVERRIDE CAPABILITY
+
+ The information system:
+
+ SI-10 (1)(a)
+ Provides a manual override capability for input validation of [Assignment: organization-defined inputs];
+
+
+ SI-10 (1)(b)
+ Restricts the use of the manual override capability to only [Assignment: organization-defined authorized individuals]; and
+
+
+ SI-10 (1)(c)
+ Audits the use of the manual override capability.
+
+
+
+ CM-3
+ CM-5
+
+
+
+ SI-10 (2)
+ REVIEW / RESOLUTION OF ERRORS
+
+ The organization ensures that input validation errors are reviewed and resolved within [Assignment: organization-defined time period].
+
+
+ Resolution of input validation errors includes, for example, correcting systemic causes of errors and resubmitting transactions with corrected input.
+
+
+
+ SI-10 (3)
+ PREDICTABLE BEHAVIOR
+
+ The information system behaves in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.
+
+
+ A common vulnerability in organizational information systems is unpredictable behavior when invalid inputs are received. This control enhancement ensures that there is predictable behavior in the face of invalid inputs by specifying information system responses that facilitate transitioning the system to known states without adverse, unintended side effects.
+
+
+
+ SI-10 (4)
+ REVIEW / TIMING INTERACTIONS
+
+ The organization accounts for timing interactions among information system components in determining appropriate responses for invalid inputs.
+
+
+ In addressing invalid information system inputs received across protocol interfaces, timing interactions become relevant, where one protocol needs to consider the impact of the error response on other protocols within the protocol stack. For example, 802.11 standard wireless network protocols do not interact well with Transmission Control Protocols (TCP) when packets are dropped (which could be due to invalid packet input). TCP assumes packet losses are due to congestion, while packets lost over 802.11 links are typically dropped due to collisions or noise on the link. If TCP makes a congestion response, it takes precisely the wrong action in response to a collision event. Adversaries may be able to use apparently acceptable individual behaviors of the protocols in concert to achieve adverse effects through suitable construction of invalid input.
+
+
+
+ SI-10 (5)
+ RESTRICT INPUTS TO TRUSTED SOURCES AND APPROVED FORMATS
+
+ The organization restricts the use of information inputs to [Assignment: organization-defined trusted sources] and/or [Assignment: organization-defined formats].
+
+
+ This control enhancement applies the concept of whitelisting to information inputs. Specifying known trusted sources for information inputs and acceptable formats for such inputs can reduce the probability of malicious activity.
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-11
+ ERROR HANDLING
+ P2
+ MODERATE
+ HIGH
+
+ The information system:
+
+ SI-11a.
+ Generates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries; and
+
+
+ SI-11b.
+ Reveals error messages only to [Assignment: organization-defined personnel or roles].
+
+
+
+ Organizations carefully consider the structure/content of error messages. The extent to which information systems are able to identify and handle error conditions is guided by organizational policy and operational requirements. Information that could be exploited by adversaries includes, for example, erroneous logon attempts with passwords entered by mistake as the username, mission/business information that can be derived from (if not stated explicitly by) information recorded, and personal information such as account numbers, social security numbers, and credit card numbers. In addition, error messages may provide a covert channel for transmitting information.
+ AU-2
+ AU-3
+ SC-31
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-12
+ INFORMATION HANDLING AND RETENTION
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+ The organization handles and retains information within the information system and information output from the system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements.
+
+
+ Information handling and retention requirements cover the full life cycle of information, in some cases extending beyond the disposal of information systems. The National Archives and Records Administration provides guidance on records retention.
+ AC-16
+ AU-5
+ AU-11
+ MP-2
+ MP-4
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-13
+ PREDICTABLE FAILURE PREVENTION
+ P0
+
+ The organization:
+
+ SI-13a.
+ Determines mean time to failure (MTTF) for [Assignment: organization-defined information system components] in specific environments of operation; and
+
+
+ SI-13b.
+ Provides substitute information system components and a means to exchange active and standby components at [Assignment: organization-defined MTTF substitution criteria].
+
+
+
+ While MTTF is primarily a reliability issue, this control addresses potential failures of specific information system components that provide security capability. Failure rates reflect installation-specific consideration, not industry-average. Organizations define criteria for substitution of information system components based on MTTF value with consideration for resulting potential harm from component failures. Transfer of responsibilities between active and standby components does not compromise safety, operational readiness, or security capability (e.g., preservation of state variables). Standby components remain available at all times except for maintenance issues or recovery failures in progress.
+ CP-2
+ CP-10
+ MA-6
+
+
+
+ SI-13 (1)
+ TRANSFERRING COMPONENT RESPONSIBILITIES
+
+ The organization takes information system components out of service by transferring component responsibilities to substitute components no later than [Assignment: organization-defined fraction or percentage] of mean time to failure.
+
+
+
+ SI-13 (2)
+ TIME LIMIT ON PROCESS EXECUTION WITHOUT SUPERVISION
+
+ SI-7 (16)
+
+
+ [Withdrawn: Incorporated into SI-7 (16)].
+
+
+
+ SI-13 (3)
+ MANUAL TRANSFER BETWEEN COMPONENTS
+
+ The organization manually initiates transfers between active and standby information system components [Assignment: organization-defined frequency] if the mean time to failure exceeds [Assignment: organization-defined time period].
+
+
+
+ SI-13 (4)
+ STANDBY COMPONENT INSTALLATION / NOTIFICATION
+
+ The organization, if information system component failures are detected:
+
+ SI-13 (4)(a)
+ Ensures that the standby components are successfully and transparently installed within [Assignment: organization-defined time period]; and
+
+
+ SI-13 (4)(b)
+ [Selection (one or more): activates [Assignment: organization-defined alarm]; automatically shuts down the information system].
+
+
+
+ Automatic or manual transfer of components from standby to active mode can occur, for example, upon detection of component failures.
+
+
+
+ SI-13 (5)
+ FAILOVER CAPABILITY
+
+ The organization provides [Selection: real-time; near real-time] [Assignment: organization-defined failover capability] for the information system.
+
+
+ Failover refers to the automatic switchover to an alternate information system upon the failure of the primary information system. Failover capability includes, for example, incorporating mirrored information system operations at alternate processing sites or periodic data mirroring at regular intervals defined by recovery time periods of organizations.
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-14
+ NON-PERSISTENCE
+ P0
+
+ The organization implements non-persistent [Assignment: organization-defined information system components and services] that are initiated in a known state and terminated [Selection (one or more): upon end of session of use; periodically at [Assignment: organization-defined frequency]].
+
+
+ This control mitigates risk from advanced persistent threats (APTs) by significantly reducing the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete cyber attacks. By implementing the concept of non-persistence for selected information system components, organizations can provide a known state computing resource for a specific period of time that does not give adversaries sufficient time on target to exploit vulnerabilities in organizational information systems and the environments in which those systems operate. Since the advanced persistent threat is a high-end threat with regard to capability, intent, and targeting, organizations assume that over an extended period of time, a percentage of cyber attacks will be successful. Non-persistent information system components and services are activated as required using protected information and terminated periodically or upon the end of sessions. Non-persistence increases the work factor of adversaries in attempting to compromise or breach organizational information systems.
+Non-persistent system components can be implemented, for example, by periodically re-imaging components or by using a variety of common virtualization techniques. Non-persistent services can be implemented using virtualization techniques as part of virtual machines or as new instances of processes on physical machines (either persistent or non-persistent).The benefit of periodic refreshes of information system components/services is that it does not require organizations to first determine whether compromises of components or services have occurred (something that may often be difficult for organizations to determine). The refresh of selected information system components and services occurs with sufficient frequency to prevent the spread or intended impact of attacks, but not with such frequency that it makes the information system unstable. In some instances, refreshes of critical components and services may be done periodically in order to hinder the ability of adversaries to exploit optimum windows of vulnerabilities.
+ SC-30
+ SC-34
+
+
+
+ SI-14 (1)
+ REFRESH FROM TRUSTED SOURCES
+
+ The organization ensures that software and data employed during information system component and service refreshes are obtained from [Assignment: organization-defined trusted sources].
+
+
+ Trusted sources include, for example, software/data from write-once, read-only media or from selected off-line secure storage facilities.
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-15
+ INFORMATION OUTPUT FILTERING
+ P0
+
+ The information system validates information output from [Assignment: organization-defined software programs and/or applications] to ensure that the information is consistent with the expected content.
+
+
+ Certain types of cyber attacks (e.g., SQL injections) produce output results that are unexpected or inconsistent with the output results that would normally be expected from software programs or applications. This control enhancement focuses on detecting extraneous content, preventing such extraneous content from being displayed, and alerting monitoring tools that anomalous behavior has been discovered.
+ SI-3
+ SI-4
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-16
+ MEMORY PROTECTION
+ P1
+ MODERATE
+ HIGH
+
+ The information system implements [Assignment: organization-defined security safeguards] to protect its memory from unauthorized code execution.
+
+
+ Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Security safeguards employed to protect memory include, for example, data execution prevention and address space layout randomization. Data execution prevention safeguards can either be hardware-enforced or software-enforced with hardware providing the greater strength of mechanism.
+ AC-25
+ SC-3
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-17
+ FAIL-SAFE PROCEDURES
+ P0
+
+ The information system implements [Assignment: organization-defined fail-safe procedures] when [Assignment: organization-defined failure conditions occur].
+
+
+ Failure conditions include, for example, loss of communications among critical system components or between system components and operational facilities. Fail-safe procedures include, for example, alerting operator personnel and providing specific instructions on subsequent steps to take (e.g., do nothing, reestablish system settings, shut down processes, restart the system, or contact designated organizational personnel).
+ CP-12
+ CP-13
+ SC-24
+ SI-13
+
+
+
+ PROGRAM MANAGEMENT
+ PM-1
+ INFORMATION SECURITY PROGRAM PLAN
+
+ The organization:
+
+ PM-1a.
+ Develops and disseminates an organization-wide information security program plan that:
+
+ PM-1a.1.
+ Provides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements;
+
+
+ PM-1a.2.
+ Includes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;
+
+
+ PM-1a.3.
+ Reflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical); and
+
+
+ PM-1a.4.
+ Is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;
+
+
+
+ PM-1b.
+ Reviews the organization-wide information security program plan [Assignment: organization-defined frequency];
+
+
+ PM-1c.
+ Updates the plan to address organizational changes and problems identified during plan implementation or security control assessments; and
+
+
+ PM-1d.
+ Protects the information security program plan from unauthorized disclosure and modification.
+
+
+
+ Information security program plans can be represented in single documents or compilations of documents at the discretion of organizations. The plans document the program management controls and organization-defined common controls. Information security program plans provide sufficient information about the program management controls/common controls (including specification of parameters for any assignment and selection statements either explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plans and a determination of the risk to be incurred if the plans are implemented as intended.
+The security plans for individual information systems and the organization-wide information security program plan together, provide complete coverage for all security controls employed within the organization. Common controls are documented in an appendix to the organization�s information security program plan unless the controls are included in a separate security plan for an information system (e.g., security controls employed as part of an intrusion detection system providing organization-wide boundary protection inherited by one or more organizational information systems). The organization-wide information security program plan will indicate which separate security plans contain descriptions of common controls.
+Organizations have the flexibility to describe common controls in a single document or in multiple documents. In the case of multiple documents, the documents describing common controls are included as attachments to the information security program plan. If the information security program plan contains multiple documents, the organization specifies in each document the organizational official or officials responsible for the development, implementation, assessment, authorization, and monitoring of the respective common controls. For example, the organization may require that the Facilities Management Office develop, implement, assess, authorize, and continuously monitor common physical and environmental protection controls from the PE family when such controls are not associated with a particular information system but instead, support multiple information systems.
+ PM-8
+
+
+
+ PROGRAM MANAGEMENT
+ PM-2
+ SENIOR INFORMATION SECURITY OFFICER
+
+ The organization appoints a senior information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program.
+
+
+ The security officer described in this control is an organizational official. For a federal agency (as defined in applicable federal laws, Executive Orders, directives, policies, or regulations) this official is the Senior Agency Information Security Officer. Organizations may also refer to this official as the Senior Information Security Officer or Chief Information Security Officer.
+
+
+
+ PROGRAM MANAGEMENT
+ PM-3
+ INFORMATION SECURITY RESOURCES
+
+ The organization:
+
+ PM-3a.
+ Ensures that all capital planning and investment requests include the resources needed to implement the information security program and documents all exceptions to this requirement;
+
+
+ PM-3b.
+ Employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and
+
+
+ PM-3c.
+ Ensures that information security resources are available for expenditure as planned.
+
+
+
+ Organizations consider establishing champions for information security efforts and as part of including the necessary resources, assign specialized expertise and resources as needed. Organizations may designate and empower an Investment Review Board (or similar group) to manage and provide oversight for the information security-related aspects of the capital planning and investment control process.
+ PM-4
+ SA-2
+
+
+
+ NIST Special Publication 800-65
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-4
+ PLAN OF ACTION AND MILESTONES PROCESS
+
+ The organization:
+
+ PM-4a.
+ Implements a process for ensuring that plans of action and milestones for the security program and associated organizational information systems:
+
+ PM-4a.1.
+ Are developed and maintained;
+
+
+ PM-4a.2.
+ Document the remedial information security actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and
+
+
+ PM-4a.3.
+ Are reported in accordance with OMB FISMA reporting requirements.
+
+
+
+ PM-4b.
+ Reviews plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.
+
+
+
+ The plan of action and milestones is a key document in the information security program and is subject to federal reporting requirements established by OMB. With the increasing emphasis on organization-wide risk management across all three tiers in the risk management hierarchy (i.e., organization, mission/business process, and information system), organizations view plans of action and milestones from an organizational perspective, prioritizing risk response actions and ensuring consistency with the goals and objectives of the organization. Plan of action and milestones updates are based on findings from security control assessments and continuous monitoring activities. OMB FISMA reporting guidance contains instructions regarding organizational plans of action and milestones.
+ CA-5
+
+
+
+ OMB Memorandum 02-01
+
+
+ NIST Special Publication 800-37
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-5
+ INFORMATION SYSTEM INVENTORY
+
+ The organization develops and maintains an inventory of its information systems.
+
+
+ This control addresses the inventory requirements in FISMA. OMB provides guidance on developing information systems inventories and associated reporting requirements. For specific information system inventory reporting requirements, organizations consult OMB annual FISMA reporting guidance.
+
+
+
+ http://www.omb.gov
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-6
+ INFORMATION SECURITY MEASURES OF PERFORMANCE
+
+ The organization develops, monitors, and reports on the results of information security measures of performance.
+
+
+ Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security program and the security controls employed in support of the program.
+
+
+
+ NIST Special Publication 800-55
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-7
+ ENTERPRISE ARCHITECTURE
+
+ The organization develops an enterprise architecture with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation.
+
+
+ The enterprise architecture developed by the organization is aligned with the Federal Enterprise Architecture. The integration of information security requirements and associated security controls into the organization�s enterprise architecture helps to ensure that security considerations are addressed by organizations early in the system development life cycle and are directly and explicitly related to the organization�s mission/business processes. This process of security requirements integration also embeds into the enterprise architecture, an integral information security architecture consistent with organizational risk management and information security strategies. For PM-7, the information security architecture is developed at a system-of-systems level (organization-wide), representing all of the organizational information systems. For PL-8, the information security architecture is developed at a level representing an individual information system but at the same time, is consistent with the information security architecture defined for the organization. Security requirements and security control integration are most effectively accomplished through the application of the Risk Management Framework and supporting security standards and guidelines. The Federal Segment Architecture Methodology provides guidance on integrating information security requirements and security controls into enterprise architectures.
+ PL-2
+ PL-8
+ PM-11
+ RA-2
+ SA-3
+
+
+
+ NIST Special Publication 800-39
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-8
+ CRITICAL INFRASTRUCTURE PLAN
+
+ The organization addresses information security issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan.
+
+
+ Protection strategies are based on the prioritization of critical assets and resources. The requirement and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+ PM-1
+ PM-9
+ PM-11
+ RA-3
+
+
+
+ HSPD 7
+
+
+ National Infrastructure Protection Plan
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-9
+ RISK MANAGEMENT STRATEGY
+
+ The organization:
+
+ PM-9a.
+ Develops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information systems;
+
+
+ PM-9b.
+ Implements the risk management strategy consistently across the organization; and
+
+
+ PM-9c.
+ Reviews and updates the risk management strategy [Assignment: organization-defined frequency] or as required, to address organizational changes.
+
+
+
+ An organization-wide risk management strategy includes, for example, an unambiguous expression of the risk tolerance for the organization, acceptable risk assessment methodologies, risk mitigation strategies, a process for consistently evaluating risk across the organization with respect to the organization�s risk tolerance, and approaches for monitoring risk over time. The use of a risk executive function can facilitate consistent, organization-wide application of the risk management strategy. The organization-wide risk management strategy can be informed by risk-related inputs from other sources both internal and external to the organization to ensure the strategy is both broad-based and comprehensive.
+ RA-3
+
+
+
+ NIST Special Publication 800-30
+
+
+ NIST Special Publication 800-39
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-10
+ SECURITY AUTHORIZATION PROCESS
+
+ The organization:
+
+ PM-10a.
+ Manages (i.e., documents, tracks, and reports) the security state of organizational information systems and the environments in which those systems operate through security authorization processes;
+
+
+ PM-10b.
+ Designates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and
+
+
+ PM-10c.
+ Fully integrates the security authorization processes into an organization-wide risk management program.
+
+
+
+ Security authorization processes for information systems and environments of operation require the implementation of an organization-wide risk management process, a Risk Management Framework, and associated security standards and guidelines. Specific roles within the risk management process include an organizational risk executive (function) and designated authorizing officials for each organizational information system and common control provider. Security authorization processes are integrated with organizational continuous monitoring processes to facilitate ongoing understanding and acceptance of risk to organizational operations and assets, individuals, other organizations, and the Nation.
+ CA-6
+
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-39
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-11
+ MISSION/BUSINESS PROCESS DEFINITION
+
+ The organization:
+
+ PM-11a.
+ Defines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and
+
+
+ PM-11b.
+ Determines information protection needs arising from the defined mission/business processes and revises the processes as necessary, until achievable protection needs are obtained.
+
+
+
+ Information protection needs are technology-independent, required capabilities to counter threats to organizations, individuals, or the Nation through the compromise of information (i.e., loss of confidentiality, integrity, or availability). Information protection needs are derived from the mission/business needs defined by the organization, the mission/business processes selected to meet the stated needs, and the organizational risk management strategy. Information protection needs determine the required security controls for the organization and the associated information systems supporting the mission/business processes. Inherent in defining an organization�s information protection needs is an understanding of the level of adverse impact that could result if a compromise of information occurs. The security categorization process is used to make such potential impact determinations. Mission/business process definitions and associated information protection requirements are documented by the organization in accordance with organizational policy and procedure.
+ PM-7
+ PM-8
+ RA-2
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-60
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-12
+ INSIDER THREAT PROGRAM
+
+ The organization implements an insider threat program that includes a cross-discipline insider threat incident handling team.
+
+
+ Organizations handling classified information are required, under Executive Order 13587 and the National Policy on Insider Threat, to establish insider threat programs. The standards and guidelines that apply to insider threat programs in classified environments can also be employed effectively to improve the security of Controlled Unclassified Information in non-national security systems. Insider threat programs include security controls to detect and prevent malicious insider activity through the centralized integration and analysis of both technical and non-technical information to identify potential insider threat concerns. A senior organizational official is designated by the department/agency head as the responsible individual to implement and provide oversight for the program. In addition to the centralized integration and analysis capability, insider threat programs as a minimum, prepare department/agency insider threat policies and implementation plans, conduct host-based user monitoring of individual employee activities on government-owned classified computers, provide insider threat awareness training to employees, receive access to information from all offices within the department/agency (e.g., human resources, legal, physical security, personnel security, information technology, information system security, and law enforcement) for insider threat analysis, and conduct self-assessments of department/agency insider threat posture.
+Insider threat programs can leverage the existence of incident handling teams organizations may already have in place, such as computer security incident response teams. Human resources records are especially important in this effort, as there is compelling evidence to show that some types of insider crimes are often preceded by nontechnical behaviors in the workplace (e.g., ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues). These precursors can better inform and guide organizational officials in more focused, targeted monitoring efforts. The participation of a legal team is important to ensure that all monitoring activities are performed in accordance with appropriate legislation, directives, regulations, policies, standards, and guidelines.
+ AC-6
+ AT-2
+ AU-6
+ AU-7
+ AU-10
+ AU-12
+ AU-13
+ CA-7
+ IA-4
+ IR-4
+ MP-7
+ PE-2
+ PS-3
+ PS-4
+ PS-5
+ PS-8
+ SC-7
+ SC-38
+ SI-4
+ PM-1
+ PM-14
+
+
+
+ Executive Order 13587
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-13
+ INFORMATION SECURITY WORKFORCE
+
+ The organization establishes an information security workforce development and improvement program.
+
+
+ Information security workforce development and improvement programs include, for example: (i) defining the knowledge and skill levels needed to perform information security duties and tasks; (ii) developing role-based training programs for individuals assigned information security roles and responsibilities; and (iii) providing standards for measuring and building individual qualifications for incumbents and applicants for information security-related positions. Such workforce programs can also include associated information security career paths to encourage: (i) information security professionals to advance in the field and fill positions with greater responsibility; and (ii) organizations to fill information security-related positions with qualified personnel. Information security workforce development and improvement programs are complementary to organizational security awareness and training programs. Information security workforce development and improvement programs focus on developing and institutionalizing core information security capabilities of selected personnel needed to protect organizational operations, assets, and individuals.
+ AT-2
+ AT-3
+
+
+
+ PROGRAM MANAGEMENT
+ PM-14
+ TESTING, TRAINING, AND MONITORING
+
+ The organization:
+
+ PM-14a.
+ Implements a process for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational information systems:
+
+ PM-14a.1.
+ Are developed and maintained; and
+
+
+ PM-14a.2.
+ Continue to be executed in a timely manner;
+
+
+
+ PM-14b.
+ Reviews testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.
+
+
+
+ This control ensures that organizations provide oversight for the security testing, training, and monitoring activities conducted organization-wide and that those activities are coordinated. With the importance of continuous monitoring programs, the implementation of information security across the three tiers of the risk management hierarchy, and the widespread use of common controls, organizations coordinate and consolidate the testing and monitoring activities that are routinely conducted as part of ongoing organizational assessments supporting a variety of security controls. Security training activities, while typically focused on individual information systems and specific roles, also necessitate coordination across all organizational elements. Testing, training, and monitoring plans and activities are informed by current threat and vulnerability assessments.
+ AT-3
+ CA-7
+ CP-4
+ IR-3
+ SI-4
+
+
+
+ NIST Special Publication 800-16
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-53A
+
+
+ NIST Special Publication 800-137
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-15
+ CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS
+
+ The organization establishes and institutionalizes contact with selected groups and associations within the security community:
+
+ PM-15a.
+ To facilitate ongoing security education and training for organizational personnel;
+
+
+ PM-15b.
+ To maintain currency with recommended security practices, techniques, and technologies; and
+
+
+ PM-15c.
+ To share current security-related information including threats, vulnerabilities, and incidents.
+
+
+
+ Ongoing contact with security groups and associations is of paramount importance in an environment of rapidly changing technologies and threats. Security groups and associations include, for example, special interest groups, forums, professional associations, news groups, and/or peer groups of security professionals in similar organizations. Organizations select groups and associations based on organizational missions/business functions. Organizations share threat, vulnerability, and incident information consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+ SI-5
+
+
+
+ PROGRAM MANAGEMENT
+ PM-16
+ THREAT AWARENESS PROGRAM
+
+ The organization implements a threat awareness program that includes a cross-organization information-sharing capability.
+
+
+ Because of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it is becoming more likely that adversaries may successfully breach or compromise organizational information systems. One of the best techniques to address this concern is for organizations to share threat information. This can include, for example, sharing threat events (i.e., tactics, techniques, and procedures) that organizations have experienced, mitigations that organizations have found are effective against certain types of threats, threat intelligence (i.e., indications and warnings about threats that are likely to occur). Threat information sharing may be bilateral (e.g., government-commercial cooperatives, government-government cooperatives), or multilateral (e.g., organizations taking part in threat-sharing consortia). Threat information may be highly sensitive requiring special agreements and protection, or less sensitive and freely shared.
+ PM-12
+ PM-16
+
+
+
\ No newline at end of file
diff --git a/sources/800-53/800-53a-objectives.xml b/sources/800-53/800-53a-objectives.xml
new file mode 100644
index 0000000000..08f69804d2
--- /dev/null
+++ b/sources/800-53/800-53a-objectives.xml
@@ -0,0 +1,37177 @@
+
+
+
+ ACCESS CONTROL
+ AC-1
+ ACCESS CONTROL POLICY AND PROCEDURES
+
+ Determine if the organization:
+
+ AC-1(a)(1)
+
+ AC-1(a)(1)[1]
+ develops and documents an access control policy that addresses:
+
+ AC-1(a)(1)[1][a]
+ purpose;
+
+
+ AC-1(a)(1)[1][b]
+ scope;
+
+
+ AC-1(a)(1)[1][c]
+ roles;
+
+
+ AC-1(a)(1)[1][d]
+ responsibilities;
+
+
+ AC-1(a)(1)[1][e]
+ management commitment;
+
+
+ AC-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ AC-1(a)(1)[1][g]
+ compliance;
+
+
+
+ AC-1(a)(1)[2]
+ defines personnel or roles to whom the access control policy are to be disseminated;
+
+
+ AC-1(a)(1)[3]
+ disseminates the access control policy to organization-defined personnel or roles;
+
+
+
+ AC-1(a)(2)
+
+ AC-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the access control policy and associated access control controls;
+
+
+ AC-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ AC-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ AC-1(b)(1)
+
+ AC-1(b)(1)[1]
+ defines the frequency to review and update the current access control policy;
+
+
+ AC-1(b)(1)[2]
+ reviews and updates the current access control policy with the organization-defined frequency;
+
+
+
+ AC-1(b)(2)
+
+ AC-1(b)(2)[1]
+ defines the frequency to review and update the current access control procedures; and
+
+
+ AC-1(b)(2)[2]
+ reviews and updates the current access control procedures with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-2
+ ACCOUNT MANAGEMENT
+
+ Determine if the organization:
+
+ AC-2(a)
+
+ AC-2(a)[1]
+ defines information system account types to be identified and selected to support organizational missions/business functions;
+
+
+ AC-2(a)[2]
+ identifies and selects organization-defined information system account types to support organizational missions/business functions;
+
+
+
+ AC-2(b)
+ assigns account managers for information system accounts;
+
+
+ AC-2(c)
+ establishes conditions for group and role membership;
+
+
+ AC-2(d)
+ specifies for each account (as required):
+
+ AC-2(d)[1]
+ authorized users of the information system;
+
+
+ AC-2(d)[2]
+ group and role membership;
+
+
+ AC-2(d)[3]
+ access authorizations (i.e., privileges);
+
+
+ AC-2(d)[4]
+ other attributes;
+
+
+
+ AC-2(e)
+
+ AC-2(e)[1]
+ defines personnel or roles required to approve requests to create information system accounts;
+
+
+ AC-2(e)[2]
+ requires approvals by organization-defined personnel or roles for requests to create information system accounts;
+
+
+
+ AC-2(f)
+
+ AC-2(f)[1]
+ defines procedures or conditions to:
+
+ AC-2(f)[1][a]
+ create information system accounts;
+
+
+ AC-2(f)[1][b]
+ enable information system accounts;
+
+
+ AC-2(f)[1][c]
+ modify information system accounts;
+
+
+ AC-2(f)[1][d]
+ disable information system accounts;
+
+
+ AC-2(f)[1][e]
+ remove information system accounts;
+
+
+
+ AC-2(f)[2]
+ in accordance with organization-defined procedures or conditions:
+
+ AC-2(f)[2][a]
+ creates information system accounts;
+
+
+ AC-2(f)[2][b]
+ enables information system accounts;
+
+
+ AC-2(f)[2][c]
+ modifies information system accounts;
+
+
+ AC-2(f)[2][d]
+ disables information system accounts;
+
+
+ AC-2(f)[2][e]
+ removes information system accounts;
+
+
+
+
+ AC-2(g)
+ monitors the use of information system accounts;
+
+
+ AC-2(h)
+ notifies account managers:
+
+ AC-2(h)(1)
+ when accounts are no longer required;
+
+
+ AC-2(h)(2)
+ when users are terminated or transferred;
+
+
+ AC-2(h)(3)
+ when individual information system usage or need to know changes;
+
+
+
+ AC-2(i)
+ authorizes access to the information system based on;
+
+ AC-2(i)(1)
+ a valid access authorization;
+
+
+ AC-2(i)(2)
+ intended system usage;
+
+
+ AC-2(i)(3)
+ other attributes as required by the organization or associated missions/business functions;
+
+
+
+ AC-2(j)
+
+ AC-2(j)[1]
+ defines the frequency to review accounts for compliance with account management requirements;
+
+
+ AC-2(j)[2]
+ reviews accounts for compliance with account management requirements with the organization-defined frequency; and
+
+
+
+ AC-2(k)
+ establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-2(1)
+ AUTOMATED SYSTEM ACCOUNT MANAGEMENT
+
+ Determine if the organization employs automated mechanisms to support the management of information system accounts.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-2(2)
+ REMOVAL OF TEMPORARY/EMERGENCY ACCOUNTS
+
+ Determine if:
+
+ AC-2(2)[1]
+ the organization defines the time period after which the information system automatically removes or disables temporary and emergency accounts; and
+
+
+ AC-2(2)[2]
+ the information system automatically removes or disables temporary and emergency accounts after the organization-defined time period for each type of account.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-2(3)
+ DISABLE INACTIVE ACCOUNTS
+
+ Determine if:
+
+ AC-2(3)[1]
+ the organization defines the time period after which the information system automatically disables inactive accounts; and
+
+
+ AC-2(3)[2]
+ the information system automatically disables inactive accounts after the organization-defined time period.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-2(4)
+ AUTOMATED AUDIT ACTIONS
+
+ Determine if:
+
+ AC-2(4)[1]
+ the information system automatically audits the following account actions:
+
+ AC-2(4)[1][a]
+ creation;
+
+
+ AC-2(4)[1][b]
+ modification;
+
+
+ AC-2(4)[1][c]
+ enabling;
+
+
+ AC-2(4)[1][d]
+ disabling;
+
+
+ AC-2(4)[1][e]
+ removal;
+
+
+
+ AC-2(4)[2]
+ the organization defines personnel or roles to be notified of the following account actions:
+
+ AC-2(4)[2][a]
+ creation;
+
+
+ AC-2(4)[2][b]
+ modification;
+
+
+ AC-2(4)[2][c]
+ enabling;
+
+
+ AC-2(4)[2][d]
+ disabling;
+
+
+ AC-2(4)[2][e]
+ removal;
+
+
+
+ AC-2(4)[3]
+ the information system notifies organization-defined personnel or roles of the following account actions:
+
+ AC-2(4)[3][a]
+ creation;
+
+
+ AC-2(4)[3][b]
+ modification;
+
+
+ AC-2(4)[3][c]
+ enabling;
+
+
+ AC-2(4)[3][d]
+ disabling; and
+
+
+ AC-2(4)[3][e]
+ removal.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-2(5)
+ INACTIVITY LOGOUT
+
+ Determine if the organization:
+
+ AC-2(5)[1]
+ defines either the time period of expected inactivity that requires users to log out or the description of when users are required to log out; and
+
+
+ AC-2(5)[2]
+ requires that users log out when the organization-defined time period of inactivity is reached or in accordance with organization-defined description of when to log out.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-2(6)
+ DYNAMIC PRIVILEGE MANAGEMENT
+
+ Determine if:
+
+ AC-2(6)[1]
+ the organization defines a list of dynamic privilege management capabilities to be implemented by the information system; and
+
+
+ AC-2(6)[2]
+ the information system implements the organization-defined list of dynamic privilege management capabilities.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-2(7)
+ ROLE-BASED SCHEMES
+
+ Determine if the organization:
+
+ AC-2(7)(a)
+ establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;
+
+
+ AC-2(7)(b)
+ monitors privileged role assignments;
+
+
+ AC-2(7)(c)
+
+ AC-2(7)(c)[1]
+ defines actions to be taken when privileged role assignments are no longer appropriate; and
+
+
+ AC-2(7)(c)[2]
+ takes organization-defined actions when privileged role assignments are no longer appropriate.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-2(8)
+ DYNAMIC ACCOUNT CREATION
+
+ Determine if:
+
+ AC-2(8)[1]
+ the organization defines information system accounts to be created by the information system dynamically; and
+
+
+ AC-2(8)[2]
+ the information system creates organization-defined information system accounts dynamically.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-2(9)
+ RESTRICTIONS ON USE OF SHARED / GROUP ACCOUNTS
+
+ Determine if the organization:
+
+ AC-2(9)[1]
+ defines conditions for establishing shared/group accounts; and
+
+
+ AC-2(9)[2]
+ only permits the use of shared/group accounts that meet organization-defined conditions for establishing shared/group accounts.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-2(10)
+ SHARED / GROUP ACCOUNT CREDENTIAL TERMINATION
+
+ Determine if the information system terminates shared/group account credentials when members leave the group.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-2(11)
+ USAGE CONDITIONS
+
+ Determine if:
+
+ AC-2(11)[1]
+ the organization defines circumstances and/or usage conditions to be enforced for information system accounts;
+
+
+ AC-2(11)[2]
+ the organization defines information system accounts for which organization-defined circumstances and/or usage conditions are to be enforced; and
+
+
+ AC-2(11)[3]
+ the information system enforces organization-defined circumstances and/or usage conditions for organization-defined information system accounts.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-2(12)
+ ACCOUNT MONITORING / ATYPICAL USAGE
+
+ Determine if the organization:
+
+ AC-2(12)(a)
+
+ AC-2(12)(a)[1]
+ defines atypical usage to be monitored for information system accounts;
+
+
+ AC-2(12)(a)[2]
+ monitors information system accounts for organization-defined atypical usage;
+
+
+
+ AC-2(12)(b)
+
+ AC-2(12)(b)[1]
+ defines personnel or roles to whom atypical usage of information system accounts are to be reported; and
+
+
+ AC-2(12)(b)[2]
+ reports atypical usage of information system accounts to organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-2(13)
+ DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS
+
+ Determine if the organization:
+
+ AC-2(13)[1]
+ defines the time period within which accounts are disabled upon discovery of a significant risk posed by users of such accounts; and
+
+
+ AC-2(13)[2]
+ disables accounts of users posing a significant risk within the organization-defined time period of discovery of the risk.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-3
+ ACCESS ENFORCEMENT
+
+ Determine if the information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-3(1)
+ RESTRICTED ACCESS TO PRIVILEGED FUNCTIONS
+
+ AC-6
+
+
+ [Withdrawn: Incorporated into AC-6].
+
+
+
+ AC-3(2)
+ DUAL AUTHORIZATION
+
+ Determine if:
+
+ AC-3(2)[1]
+ the organization defines privileged commands and/or other actions for which dual authorization is to be enforced; and
+
+
+ AC-3(2)[2]
+ the information system enforces dual authorization for organization-defined privileged commands and/or other organization-defined actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-3(3)
+ MANDATORY ACCESS CONTROL
+
+ Determine if:
+
+ AC-3(3)[1]
+ the organization defines mandatory access control policies to be enforced over all subjects and objects;
+
+
+ AC-3(3)[2]
+ the organization defines subjects over which organization-defined mandatory access control policies are to be enforced;
+
+
+ AC-3(3)[3]
+ the organization defines objects over which organization-defined mandatory access control policies are to be enforced;
+
+
+ AC-3(3)[4]
+ the organization defines subjects that may explicitly be granted privileges such that they are not limited by the constraints specified elsewhere within this control;
+
+
+ AC-3(3)[5]
+ the organization defines privileges that may be granted to organization-defined subjects;
+
+
+ AC-3(3)[6]
+ the information system enforces organization-defined mandatory access control policies over all subjects and objects where the policy specifies that:
+
+ AC-3(3)[6](a)
+ the policy is uniformly enforced across all subjects and objects within the boundary of the information system;
+
+
+ AC-3(3)[6](b)
+ a subject that has been granted access to information is constrained from doing any of the following:
+
+ AC-3(3)[6](b)(1)
+ passing the information to unauthorized subjects or objects;
+
+
+ AC-3(3)[6](b)(2)
+ granting its privileges to other subjects;
+
+
+ AC-3(3)[6](b)(3)
+ changing one or more security attributes on:
+
+ AC-3(3)[6](b)(3)[a]
+ subjects;
+
+
+ AC-3(3)[6](b)(3)[b]
+ objects;
+
+
+ AC-3(3)[6](b)(3)[c]
+ the information system; or
+
+
+ AC-3(3)[6](b)(3)[d]
+ system components;
+
+
+
+ AC-3(3)[6](b)(4)
+ choosing the security attributes and attribute values to be associated with newly created or modified objects; or
+
+
+ AC-3(3)[6](b)(5)
+ changing the rules governing access control; and
+
+
+
+ AC-3(3)[6](c)
+ organization-defined subjects may explicitly be granted organization-defined privileges such that they are not limited by some or all of the above constraints.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-3(4)
+ DISCRETIONARY ACCESS CONTROL
+
+ Determine if:
+
+ AC-3(4)[1]
+ the organization defines discretionary access control policies to be enforced over defined subjects and objects;
+
+
+ AC-3(4)[2]
+ the information system enforces organization-defined discretionary access control policies over defined subjects and objects where the policy specifies that a subject has been granted access to information and can do one or more of the following:
+
+ AC-3(4)[2](a)
+ pass the information to any other subjects or objects;
+
+
+ AC-3(4)[2](b)
+ grant its privileges to other subjects;
+
+
+ AC-3(4)[2](c)
+ change security attributes on:
+
+ AC-3(4)[2](c)[a]
+ subjects,
+
+
+ AC-3(4)[2](c)[b]
+ objects,
+
+
+ AC-3(4)[2](c)[c]
+ the information system, or
+
+
+ AC-3(4)[2](c)[d]
+ the information system’s components;
+
+
+
+ AC-3(4)[2](d)
+ choose the security attributes to be associated with newly created or revised objects; or
+
+
+ AC-3(4)[2](e)
+ change the rules governing access control.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-3(5)
+ SECURITY-RELEVANT INFORMATION
+
+ Determine if:
+
+ AC-3(5)[1]
+ the organization defines security-relevant information to which the information system prevents access except during secure, non-operable system states; and
+
+
+ AC-3(5)[2]
+ the information system prevents access to organization-defined security-relevant information except during secure, non-operable system states.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-3(6)
+ PROTECTION OF USER AND SYSTEM INFORMATION
+
+ MP-4
+ SC-28
+
+
+ [Withdrawn: Incorporated into MP-4 and SC-28].
+
+
+
+ AC-3(7)
+ ROLE-BASED ACCESS CONTROL
+
+ Determine if:
+
+ AC-3(7)[1]
+ the organization defines roles to control information system access;
+
+
+ AC-3(7)[2]
+ the organization defines users authorized to assume the organization-defined roles;
+
+
+ AC-3(7)[3]
+ the information system controls access based on organization-defined roles and users authorized to assume such roles;
+
+
+ AC-3(7)[4]
+ the information system enforces a role-based access control policy over defined:
+
+ AC-3(7)[4][a]
+ subjects, and
+
+
+ AC-3(7)[4][b]
+ objects.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-3(8)
+ REVOCATION OF ACCESS AUTHORIZATIONS
+
+ Determine if:
+
+ AC-3(8)[1]
+ the organization defines rules governing the timing of revocations of access authorizations; and
+
+
+ AC-3(8)[2]
+ the information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on organization-defined rules governing the timing of revocations of access authorizations.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-3(9)
+ CONTROLLED RELEASE
+
+ Determine if:
+
+ AC-3(9)[1]
+ the organization defines the information system or system component authorized to receive information released outside of the established system boundary of the information system releasing such information;
+
+
+ AC-3(9)[2]
+ the organization defines security safeguards to be provided by organization-defined information system or system component receiving information released from an information system outside of the established system boundary;
+
+
+ AC-3(9)[3]
+ the organization defines security safeguards to be used to validate the appropriateness of the information designated for release;
+
+
+ AC-3(9)[4]
+ the information system does not release information outside of the established system boundary unless:
+
+ AC-3(9)[4](a)
+ the receiving organization-defined information system or system component provides organization-defined security safeguards; and
+
+
+ AC-3(9)[4](b)
+ the organization-defined security safeguards are used to validate the appropriateness of the information designated for release.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-3(10)
+ AUDITED OVERRIDE OF ACCESS CONTROL MECHANISMS
+
+ Determine if the organization:
+
+ AC-3(10)[1]
+ defines conditions under which to employ an audited override of automated access control mechanisms; and
+
+
+ AC-3(10)[2]
+ employs an audited override of automated access control mechanisms under organization-defined conditions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-4
+ INFORMATION FLOW ENFORCEMENT
+
+ Determine if:
+
+ AC-4[1]
+ the organization defines information flow control policies to control the flow of information within the system and between interconnected systems; and
+
+
+ AC-4[2]
+ the information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on organization-defined information flow control policies.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(1)
+ OBJECT SECURITY ATTRIBUTES
+
+ Determine if:
+
+ AC-4(1)[1]
+ the organization defines information flow control policies as a basis for flow control decisions;
+
+
+ AC-4(1)[2]
+ the organization defines security attributes to be associated with information, source, and destination objects;
+
+
+ AC-4(1)[3]
+ the organization defines the following objects to be associated with organization-defined security attributes:
+
+ AC-4(1)[3][a]
+ information;
+
+
+ AC-4(1)[3][b]
+ source;
+
+
+ AC-4(1)[3][c]
+ destination; and
+
+
+
+ AC-4(1)[4]
+ the information system uses organization-defined security attributes associated with organization-defined information, source, and destination objects to enforce organization-defined information flow control policies as a basis for flow control decisions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(2)
+ PROCESSING DOMAINS
+
+ Determine if:
+
+ AC-4(2)[1]
+ the organization defines information flow control policies as a basis for flow control decisions; and
+
+
+ AC-4(2)[2]
+ the information system uses protected processing domains to enforce organization-defined information flow control policies as a basis for flow control decisions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(3)
+ DYNAMIC INFORMATION FLOW CONTROL
+
+ Determine if:
+
+ AC-4(3)[1]
+ the organization defines policies to enforce dynamic information flow control; and
+
+
+ AC-4(3)[2]
+ the information system enforces dynamic information flow control based on organization-defined policies.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(4)
+ CONTENT CHECK ENCRYPTED INFORMATION
+
+ Determine if:
+
+ AC-4(4)[1]
+ the organization defines a procedure or method to be employed to prevent encrypted information from bypassing content-checking mechanisms;
+
+
+ AC-4(4)[2]
+ the information system prevents encrypted information from bypassing content-checking mechanisms by doing one or more of the following:
+
+ AC-4(4)[2][a]
+ decrypting the information;
+
+
+ AC-4(4)[2][b]
+ blocking the flow of the encrypted information;
+
+
+ AC-4(4)[2][c]
+ terminating communications sessions attempting to pass encrypted information; and/or
+
+
+ AC-4(4)[2][d]
+ employing the organization-defined procedure or method.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(5)
+ EMBEDDED DATA TYPES
+
+ Determine if:
+
+ AC-4(5)[1]
+ the organization defines limitations to be enforced on embedding data types within other data types; and
+
+
+ AC-4(5)[2]
+ the information system enforces organization-defined limitations on embedding data types within other data types.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(6)
+ METADATA
+
+ Determine if:
+
+ AC-4(6)[1]
+ the organization defines metadata to be used as a means of enforcing information flow control; and
+
+
+ AC-4(6)[2]
+ the information system enforces information flow control based on organization-defined metadata.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(7)
+ ONE-WAY FLOW MECHANISMS
+
+ Determine if:
+
+ AC-4(7)[1]
+ the organization defines one-way information flows to be enforced by the information system; and
+
+
+ AC-4(7)[2]
+ the information system enforces organization-defined one-way information flows using hardware mechanisms.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(8)
+ SECURITY POLICY FILTERS
+
+ Determine if:
+
+ AC-4(8)[1]
+ the organization defines security policy filters to be used as a basis for enforcing flow control decisions;
+
+
+ AC-4(8)[2]
+ the organization defines information flows for which flow control decisions are to be applied and enforced; and
+
+
+ AC-4(8)[3]
+ the information system enforces information flow control using organization-defined security policy filters as a basis for flow control decisions for organization-defined information flows.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(9)
+ HUMAN REVIEWS
+
+ Determine if:
+
+ AC-4(9)[1]
+ the organization defines information flows requiring the use of human reviews;
+
+
+ AC-4(9)[2]
+ the organization defines conditions under which the use of human reviews for organization-defined information flows is to be enforced; and
+
+
+ AC-4(9)[3]
+ the information system enforces the use of human reviews for organization-defined information flows under organization-defined conditions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(10)
+ ENABLE / DISABLE SECURITY POLICY FILTERS
+
+ Determine if:
+
+ AC-4(10)[1]
+ the organization defines security policy filters that privileged administrators have the capability to enable/disable;
+
+
+ AC-4(10)[2]
+ the organization-defined conditions under which privileged administrators have the capability to enable/disable organization-defined security policy filters; and
+
+
+ AC-4(10)[3]
+ the information system provides the capability for privileged administrators to enable/disable organization-defined security policy filters under organization-defined conditions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(11)
+ CONFIGURATION OF SECURITY POLICY FILTERS
+
+ Determine if:
+
+ AC-4(11)[1]
+ the organization defines security policy filters that privileged administrators have the capability to configure to support different security policies; and
+
+
+ AC-4(11)[2]
+ the information system provides the capability for privileged administrators to configure organization-defined security policy filters to support different security policies.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(12)
+ DATA TYPE IDENTIFIERS
+
+ Determine if:
+
+ AC-4(12)[1]
+ the organization defines data type identifiers to be used, when transferring information between different security domains, to validate data essential for information flow decisions; and
+
+
+ AC-4(12)[2]
+ the information system, when transferring information between different security domains, uses organization-defined data type identifiers to validate data essential for information flow decisions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(13)
+ DECOMPOSITION INTO POLICY-RELEVANT SUBCOMPONENTS
+
+ Determine if:
+
+ AC-4(13)[1]
+ the organization defines policy-relevant subcomponents to decompose information for submission to policy enforcement mechanisms when transferring such information between different security domains; and
+
+
+ AC-4(13)[2]
+ the information system, when transferring information between different security domains, decomposes information into organization-defined policy-relevant subcomponents for submission to policy enforcement mechanisms.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(14)
+ SECURITY POLICY FILTER CONSTRAINTS
+
+ Determine if:
+
+ AC-4(14)[1]
+ the organization defines security policy filters to be implemented that require fully enumerated formats restricting data structure and content when transferring information between different security domains; and
+
+
+ AC-4(14)[2]
+ the information system, when transferring information between different security domains, implements organization-defined security policy filters requiring fully enumerated formats that restrict data structure and content.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(15)
+ DETECTION OF UNSANCTIONED INFORMATION
+
+ Determine if:
+
+ AC-4(15)[1]
+ the organization defines unsanctioned information to be detected when transferring information between different security domains;
+
+
+ AC-4(15)[2]
+ the organization defines the security policy that requires the transfer of organization-defined unsanctioned information between different security domains to be prohibited when the presence of such information is detected; and
+
+
+ AC-4(15)[3]
+ the information system, when transferring information between different security domains, examines the information for the presence of organization-defined unsanctioned information and prohibits the transfer of such information in accordance with the organization-defined security policy.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(16)
+ INFORMATION TRANSFERS ON INTERCONNECTED SYSTEMS
+
+ AC-4
+
+
+ [Withdrawn: Incorporated into AC-4].
+
+
+
+ AC-4(17)
+ DOMAIN AUTHENTICATION
+
+ Determine if the information system uniquely identifies and authenticates:
+
+ AC-4(17)[1]
+
+ AC-4(17)[1][a]
+ source points for information transfer;
+
+
+ AC-4(17)[1][b]
+ destination points for information transfer;
+
+
+
+ AC-4(17)[2]
+ by one or more of the following:
+
+ AC-4(17)[2][a]
+ organization;
+
+
+ AC-4(17)[2][b]
+ system;
+
+
+ AC-4(17)[2][c]
+ application; and/or
+
+
+ AC-4(17)[2][d]
+ individual.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(18)
+ SECURITY ATTRIBUTE BINDING
+
+ Determine if:
+
+ AC-4(18)[1]
+ the organization defines binding techniques to be used to facilitate information flow policy enforcement; and
+
+
+ AC-4(18)[2]
+ the information system binds security attributes to information using organization-defined binding techniques to facilitate information flow policy enforcement.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(19)
+ VALIDATION OF METADATA
+
+ Determine if the information system, when transferring information between different security domains, applies the same security policy filtering to metadata as it applies to data payloads.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(20)
+ APPROVED SOLUTIONS
+
+ Determine if the organization:
+
+ AC-4(20)[1]
+ defines solutions in approved configurations to control the flow of information across security domains;
+
+
+ AC-4(20)[2]
+ defines information for which organization-defined solutions in approved configurations are to be employed to control the flow of such information across security domains; and
+
+
+ AC-4(20)[3]
+ employs organization-defined solutions in approved configurations to control the flow of organization-defined information across security domains.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(21)
+ PHYSICAL / LOGICAL SEPARATION OF INFORMATION FLOWS
+
+ Determine if:
+
+ AC-4(21)[1]
+ the organization defines the required separations of information flows by types of information;
+
+
+ AC-4(21)[2]
+ the organization defines the mechanisms and/or techniques to be used to separate information flows logically or physically; and
+
+
+ AC-4(21)[3]
+ the information system separates information flows logically or physically using organization-defined mechanisms and/or techniques to accomplish organization-defined required separations by types of information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4(22)
+ ACCESS ONLY
+
+ Determine if the information system provides access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-5
+ SEPARATION OF DUTIES
+
+ Determine if the organization:
+
+ AC-5(a)
+
+ AC-5(a)[1]
+ defines duties of individuals to be separated;
+
+
+ AC-5(a)[2]
+ separates organization-defined duties of individuals;
+
+
+
+ AC-5(b)
+ documents separation of duties; and
+
+
+ AC-5(c)
+ defines information system access authorizations to support separation of duties.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-6
+ LEAST PRIVILEGE
+
+ Determine if the organization employs the principle of least privilege, allowing only authorized access for users (and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-6(1)
+ AUTHORIZE ACCESS TO SECURITY FUNCTIONS
+
+ Determine if the organization:
+
+ AC-6(1)[1]
+ defines security-relevant information for which access must be explicitly authorized;
+
+
+ AC-6(1)[2]
+ defines security functions deployed in:
+
+ AC-6(1)[2][a]
+ hardware;
+
+
+ AC-6(1)[2][b]
+ software;
+
+
+ AC-6(1)[2][c]
+ firmware;
+
+
+
+ AC-6(1)[3]
+ explicitly authorizes access to:
+
+ AC-6(1)[3][a]
+ organization-defined security functions; and
+
+
+ AC-6(1)[3][b]
+ security-relevant information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-6(2)
+ NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS
+
+ Determine if the organization:
+
+ AC-6(2)[1]
+ defines security functions or security-relevant information to which users of information system accounts, or roles, have access; and
+
+
+ AC-6(2)[2]
+ requires that users of information system accounts, or roles, with access to organization-defined security functions or security-relevant information, use non-privileged accounts, or roles, when accessing nonsecurity functions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-6(3)
+ NETWORK ACCESS TO PRIVILEGED COMMANDS
+
+ Determine if the organization:
+
+ AC-6(3)[1]
+ defines privileged commands to which network access is to be authorized only for compelling operational needs;
+
+
+ AC-6(3)[2]
+ defines compelling operational needs for which network access to organization-defined privileged commands are to be solely authorized;
+
+
+ AC-6(3)[3]
+ authorizes network access to organization-defined privileged commands only for organization-defined compelling operational needs; and
+
+
+ AC-6(3)[4]
+ documents the rationale for authorized network access to organization-defined privileged commands in the security plan for the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-6(4)
+ SEPARATE PROCESSING DOMAINS
+
+ Determine if the information system provides separate processing domains to enable finer-grained allocation of user privileges.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-6(5)
+ PRIVILEGED ACCOUNTS
+
+ Determine if the organization:
+
+ AC-6(5)[1]
+ defines personnel or roles for which privileged accounts on the information system are to be restricted; and
+
+
+ AC-6(5)[2]
+ restricts privileged accounts on the information system to organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-6(6)
+ PRIVILEGED ACCESS BY NON-ORGANIZATIONAL USERS
+
+ Determine if the organization prohibits privileged access to the information system by non-organizational users.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-6(7)
+ REVIEW OF USER PRIVILEGES
+
+ Determine if the organization:
+
+ AC-6(7)(a)
+
+ AC-6(7)(a)[1]
+ defines roles or classes of users to which privileges are assigned;
+
+
+ AC-6(7)(a)[2]
+ defines the frequency to review the privileges assigned to organization-defined roles or classes of users to validate the need for such privileges;
+
+
+ AC-6(7)(a)[3]
+ reviews the privileges assigned to organization-defined roles or classes of users with the organization-defined frequency to validate the need for such privileges; and
+
+
+
+ AC-6(7)(b)
+ reassigns or removes privileges, if necessary, to correctly reflect organizational missions/business needs.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-6(8)
+ PRIVILEGE LEVELS FOR CODE EXECUTION
+
+ Determine if:
+
+ AC-6(8)[1]
+ the organization defines software that should not execute at higher privilege levels than users executing the software; and
+
+
+ AC-6(8)[2]
+ the information system prevents organization-defined software from executing at higher privilege levels than users executing the software.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-6(9)
+ AUDITING USE OF PRIVILEGED FUNCTIONS
+
+ Determine if the information system audits the execution of privileged functions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-6(10)
+ PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS
+
+ Determine if the information system prevents non-privileged users from executing privileged functions to include:
+
+ AC-6(10)[1]
+ disabling implemented security safeguards/countermeasures;
+
+
+ AC-6(10)[2]
+ circumventing security safeguards/countermeasures; or
+
+
+ AC-6(10)[3]
+ altering implemented security safeguards/countermeasures.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-7
+ UNSUCCESSFUL LOGIN ATTEMPTS
+
+ Determine if:
+
+ AC-7(a)
+
+ AC-7(a)[1]
+ the organization defines the number of consecutive invalid logon attempts allowed to the information system by a user during an organization-defined time period;
+
+
+ AC-7(a)[2]
+ the organization defines the time period allowed by a user of the information system for an organization-defined number of consecutive invalid logon attempts;
+
+
+ AC-7(a)[3]
+ the information system enforces a limit of organization-defined number of consecutive invalid logon attempts by a user during an organization-defined time period;
+
+
+
+ AC-7(b)
+
+ AC-7(b)[1]
+ the organization defines account/node lockout time period or logon delay algorithm to be automatically enforced by the information system when the maximum number of unsuccessful logon attempts is exceeded;
+
+
+ AC-7(b)[2]
+ the information system, when the maximum number of unsuccessful logon attempts is exceeded, automatically:
+
+ AC-7(b)[2][a]
+ locks the account/node for the organization-defined time period;
+
+
+ AC-7(b)[2][b]
+ locks the account/node until released by an administrator; or
+
+
+ AC-7(b)[2][c]
+ delays next logon prompt according to the organization-defined delay algorithm.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-7(1)
+ AUTOMATIC ACCOUNT LOCK
+
+ AC-7
+
+
+ [Withdrawn: Incorporated into AC-7].
+
+
+
+ AC-7(2)
+ PURGE / WIPE MOBILE DEVICE
+
+ Determine if:
+
+ AC-7(2)[1]
+ the organization defines mobile devices to be purged/wiped after organization-defined number of consecutive, unsuccessful device logon attempts;
+
+
+ AC-7(2)[2]
+ the organization defines purging/wiping requirements/techniques to be used when organization-defined mobile devices are purged/wiped after organization-defined number of consecutive, unsuccessful device logon attempts;
+
+
+ AC-7(2)[3]
+ the organization defines the number of consecutive, unsuccessful logon attempts allowed for accessing mobile devices before the information system purges/wipes information from such devices; and
+
+
+ AC-7(2)[4]
+ the information system purges/wipes information from organization-defined mobile devices based on organization-defined purging/wiping requirements/techniques after organization-defined number of consecutive, unsuccessful logon attempts.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-8
+ SYSTEM USE NOTIFICATION
+
+ Determine if:
+
+ AC-8(a)
+
+ AC-8(a)[1]
+ the organization defines a system use notification message or banner to be displayed by the information system to users before granting access to the system;
+
+
+ AC-8(a)[2]
+ the information system displays to users the organization-defined system use notification message or banner before granting access to the information system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance, and states that:
+
+ AC-8(a)[2](1)
+ users are accessing a U.S. Government information system;
+
+
+ AC-8(a)[2](2)
+ information system usage may be monitored, recorded, and subject to audit;
+
+
+ AC-8(a)[2](3)
+ unauthorized use of the information system is prohibited and subject to criminal and civil penalties;
+
+
+ AC-8(a)[2](4)
+ use of the information system indicates consent to monitoring and recording;
+
+
+
+
+ AC-8(b)
+ the information system retains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system;
+
+
+ AC-8(c)
+ for publicly accessible systems:
+
+ AC-8(c)(1)
+
+ AC-8(c)(1)[1]
+ the organization defines conditions for system use to be displayed by the information system before granting further access;
+
+
+ AC-8(c)(1)[2]
+ the information system displays organization-defined conditions before granting further access;
+
+
+
+ AC-8(c)(2)
+ the information system displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and
+
+
+ AC-8(c)(3)
+ the information system includes a description of the authorized uses of the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-9
+ PREVIOUS LOGON (ACCESS) NOTIFICATION
+
+ Determine if the information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access).
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-9(1)
+ UNSUCCESSFUL LOGONS
+
+ Determine if the information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-9(2)
+ SUCCESSFUL / UNSUCCESSFUL LOGONS
+
+ Determine if:
+
+ AC-9(2)[1]
+ the organization defines the time period within which the information system must notify the user of the number of:
+
+ AC-9(2)[1][a]
+ successful logons/accesses; and/or
+
+
+ AC-9(2)[1][b]
+ unsuccessful logon/access attempts;
+
+
+
+ AC-9(2)[2]
+ the information system, during the organization-defined time period, notifies the user of the number of:
+
+ AC-9(2)[2][a]
+ successful logons/accesses; and/or
+
+
+ AC-9(2)[2][b]
+ unsuccessful logon/access attempts.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-9(3)
+ NOTIFICATION OF ACCOUNT CHANGES
+
+ Determine if:
+
+ AC-9(3)[1]
+ the organization defines security-related characteristics/parameters of a user’s account;
+
+
+ AC-9(3)[2]
+ the organization defines the time period within which changes to organization-defined security-related characteristics/parameters of a user’s account must occur; and
+
+
+ AC-9(3)[3]
+ the information system notifies the user of changes to organization-defined security-related characteristics/parameters of the user’s account during the organization-defined time period.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-9(4)
+ ADDITIONAL LOGON INFORMATION
+
+ Determine if:
+
+ AC-9(4)[1]
+ the organization defines information to be included in addition to the date and time of the last logon (access); and
+
+
+ AC-9(4)[2]
+ the information system notifies the user, upon successful logon (access), of the organization-defined information to be included in addition to the date and time of the last logon (access).
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-10
+ CONCURRENT SESSION CONTROL
+
+ Determine if:
+
+ AC-10[1]
+ the organization defines account and/or account types for the information system;
+
+
+ AC-10[2]
+ the organization defines the number of concurrent sessions to be allowed for each organization-defined account and/or account type; and
+
+
+ AC-10[3]
+ the information system limits the number of concurrent sessions for each organization-defined account and/or account type to the organization-defined number of concurrent sessions allowed.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-11
+ SESSION LOCK
+
+ Determine if:
+
+ AC-11(a)
+
+ AC-11(a)[1]
+ the organization defines the time period of user inactivity after which the information system initiates a session lock;
+
+
+ AC-11(a)[2]
+ the information system prevents further access to the system by initiating a session lock after organization-defined time period of user inactivity or upon receiving a request from a user; and
+
+
+
+ AC-11(b)
+ the information system retains the session lock until the user reestablishes access using established identification and authentication procedures.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-11(1)
+ PATTERN-HIDING DISPLAYS
+
+ Determine if the information system conceals, via the session lock, information previously visible on the display with a publicly viewable image.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-12
+ SESSION TERMINATION
+
+ Determine if:
+
+ AC-12[1]
+ the organization defines conditions or trigger events requiring session disconnect; and
+
+
+ AC-12[2]
+ the information system automatically terminates a user session after organization-defined conditions or trigger events requiring session disconnect occurs.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-12(1)
+ USER-INITIATED LOGOUTS/MESSAGE DISPLAYS
+
+ Determine if:
+
+ AC-12(1)(a)
+
+ AC-12(1)(a)[1]
+ the organization defines information resources for which user authentication is required to gain access to such resources;
+
+
+ AC-12(1)(a)[2]
+ the information system provides a logout capability for user-initiated communications sessions whenever authentication is used to gain access to organization-defined information resources; and
+
+
+
+ AC-12(1)(b)
+ the information system displays an explicit logout message to users indicating the reliable termination of authenticated communications sessions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-13
+ SUPERVISION AND REVIEW – ACCESS CONTROL
+
+ AC-2
+ AU-6
+
+
+ [Withdrawn: Incorporated into AC-2 and AU-6].
+
+
+
+ ACCESS CONTROL
+ AC-14
+ PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION
+
+ Determine if the organization:
+
+ AC-14(a)
+
+ AC-14(a)[1]
+ defines user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions;
+
+
+ AC-14(a)[2]
+ identifies organization-defined user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and
+
+
+
+ AC-14(b)
+ documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-14(1)
+ NECESSARY USES
+
+ AC-14
+
+
+ [Withdrawn: Incorporated into AC-14].
+
+
+
+
+
+ ACCESS CONTROL
+ AC-15
+ AUTOMATED MARKING
+
+ MP-3
+
+
+ [Withdrawn: Incorporated into MP-3].
+
+
+
+ ACCESS CONTROL
+ AC-16
+ SECURITY ATTRIBUTES
+
+ Determine if the organization:
+
+ AC-16(a)
+
+ AC-16(a)[1]
+ defines types of security attributes to be associated with information:
+
+ AC-16(a)[1][a]
+ in storage;
+
+
+ AC-16(a)[1][b]
+ in process; and/or
+
+
+ AC-16(a)[1][c]
+ in transmission;
+
+
+
+ AC-16(a)[2]
+ defines security attribute values for organization-defined types of security attributes;
+
+
+ AC-16(a)[3]
+ provides the means to associate organization-defined types of security attributes having organization-defined security attribute values with information:
+
+ AC-16(a)[3][a]
+ in storage;
+
+
+ AC-16(a)[3][b]
+ in process; and/or
+
+
+ AC-16(a)[3][c]
+ in transmission;
+
+
+
+
+ AC-16(b)
+ ensures that the security attribute associations are made and retained with the information;
+
+
+ AC-16(c)
+
+ AC-16(c)[1]
+ defines information systems for which the permitted organization-defined security attributes are to be established;
+
+
+ AC-16(c)[2]
+ defines security attributes that are permitted for organization-defined information systems;
+
+
+ AC-16(c)[3]
+ establishes the permitted organization-defined security attributes for organization-defined information systems;
+
+
+
+ AC-16(d)
+
+ AC-16(d)[1]
+ defines values or ranges for each of the established security attributes; and
+
+
+ AC-16(d)[2]
+ determines the permitted organization-defined values or ranges for each of the established security attributes.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-16(1)
+ DYNAMIC ATTRIBUTE ASSOCIATION
+
+ Determine if:
+
+ AC-16(1)[1]
+ the organization defines subjects and objects to which security attributes are to be dynamically associated as information is created and combined;
+
+
+ AC-16(1)[2]
+ the organization defines security policies requiring the information system to dynamically associate security attributes with organization-defined subjects and objects; and
+
+
+ AC-16(1)[3]
+ the information system dynamically associates security attributes with organization-defined subjects and objects in accordance with organization-defined security policies as information is created and combined.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-16(2)
+ ATTRIBUTE VALUE CHANGES BY AUTHORIZED INDIVIDUALS
+
+ Determine if the information system provides authorized individuals (or processes acting on behalf on individuals) the capability to define or change the value of associated security attributes.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-16(3)
+ MAINTENANCE OF ATTRIBUTE ASSOCIATIONS BY INFORMATION SYSTEM
+
+ Determine if:
+
+ AC-16(3)[1]
+ the organization defines security attributes to be associated with organization-defined subjects and objects;
+
+
+ AC-16(3)[2]
+ the organization defines subjects and objects requiring the association and integrity of security attributes to such subjects and objects to be maintained; and
+
+
+ AC-16(3)[3]
+ the information system maintains the association and integrity of organization-defined security attributes to organization-defined subjects and objects.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-16(4)
+ ASSOCIATION OF ATTRIBUTES BY AUTHORIZED INDIVIDUALS
+
+ Determine if:
+
+ AC-16(4)[1]
+ the organization defines security attributes to be associated with subjects and objects by authorized individuals (or processes acting on behalf of individuals);
+
+
+ AC-16(4)[2]
+ the organization defines subjects and objects requiring the association of organization-defined security attributes by authorized individuals (or processes acting on behalf of individuals); and
+
+
+ AC-16(4)[3]
+ the information system supports the association of organization-defined security attributes with organization-defined subjects and objects by authorized individuals (or processes acting on behalf of individuals).
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-16(5)
+ ATTRIBUTE DISPLAYS FOR OUTPUT DEVICES
+
+ Determine if:
+
+ AC-16(5)[1]
+ the organization identifies special dissemination, handling, or distribution instructions to be used for each object that the information system transmits to output devices;
+
+
+ AC-16(5)[2]
+ the organization identifies human-readable, standard naming conventions for the security attributes to be displayed in human-readable form on each object that the information system transmits to output devices; and
+
+
+ AC-16(5)[3]
+ the information system displays security attributes in human-readable form on each object that the system transmits to output devices to identify organization-identified special dissemination, handling, or distribution instructions using organization-identified human readable, standard naming conventions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-16(6)
+ MAINTENANCE OF ATTRIBUTE ASSOCIATION BY ORGANIZATION
+
+ Determine if the organization:
+
+ AC-16(6)[1]
+ defines security attributes to be associated with subjects and objects;
+
+
+ AC-16(6)[2]
+ defines subjects and objects to be associated with organization-defined security attributes;
+
+
+ AC-16(6)[3]
+ defines security policies to allow personnel to associate, and maintain the association of organization-defined security attributes with organization-defined subjects and objects; and
+
+
+ AC-16(6)[4]
+ allows personnel to associate, and maintain the association of organization-defined security attributes with organization-defined subjects and objects in accordance with organization-defined security policies.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-16(7)
+ CONSISTENT ATTRIBUTE INTERPRETATION
+
+ Determine if the organization provides a consistent interpretation of security attributes transmitted between distributed information system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-16(8)
+ ASSOCIATION TECHNIQUES/TECHNOLOGIES
+
+ Determine if:
+
+ AC-16(8)[1]
+ the organization defines techniques or technologies to be implemented in associating security attributes to information;
+
+
+ AC-16(8)[2]
+ the organization defines level of assurance to be provided when the information system implements organization-defined technologies or technologies to associate security attributes to information; and
+
+
+ AC-16(8)[3]
+ the information system implements organization-defined techniques or technologies with organization-defined level of assurance in associating security attributes to information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-16(9)
+ ATTRIBUTE REASSIGNMENT
+
+ Determine if the organization:
+
+ AC-16(9)[1]
+ defines techniques or procedures to validate re-grading mechanisms used to reassign association of security attributes with information; and
+
+
+ AC-16(9)[2]
+ ensures that security attributes associated with information are reassigned only via re-grading mechanisms validated using organization-defined techniques or procedures.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-16(10)
+ ATTRIBUTE CONFIGURATION BY AUTHORIZED INDIVIDUALS
+
+ Determine if the information system provides authorized individuals the capability to define or change the type and value of security attributes available for association with subjects and objects.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-17
+ REMOTE ACCESS
+
+ Determine if the organization:
+
+ AC-17(a)
+
+ AC-17(a)[1]
+ identifies the types of remote access allowed to the information system;
+
+
+ AC-17(a)[2]
+ establishes for each type of remote access allowed:
+
+ AC-17(a)[2][a]
+ usage restrictions;
+
+
+ AC-17(a)[2][b]
+ configuration/connection requirements;
+
+
+ AC-17(a)[2][c]
+ implementation guidance;
+
+
+
+ AC-17(a)[3]
+ documents for each type of remote access allowed:
+
+ AC-17(a)[3][a]
+ usage restrictions;
+
+
+ AC-17(a)[3][b]
+ configuration/connection requirements;
+
+
+ AC-17(a)[3][c]
+ implementation guidance; and
+
+
+
+
+ AC-17(b)
+ authorizes remote access to the information system prior to allowing such connections.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-17(1)
+ AUTOMATED MONITORING/CONTROL
+
+ Determine if the information system monitors and controls remote access methods.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-17(2)
+ PROTECTION OF CONFIDENTIALITY/INTEGRITY USING ENCRYPTION
+
+ Determine if the information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-17(3)
+ MANAGED ACCESS CONTROL POINTS
+
+ Determine if:
+
+ AC-17(3)[1]
+ the organization defines the number of managed network access control points through which all remote accesses are to be routed; and
+
+
+ AC-17(3)[2]
+ the information system routes all remote accesses through the organization-defined number of managed network access control points.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-17(4)
+ PRIVILEGED COMMANDS / ACCESS
+
+ Determine if the organization:
+
+ AC-17(4)(a)
+
+ AC-17(4)(a)[1]
+ defines needs to authorize the execution of privileged commands and access to security-relevant information via remote access;
+
+
+ AC-17(4)(a)[2]
+ authorizes the execution of privileged commands and access to security-relevant information via remote access only for organization-defined needs; and
+
+
+
+ AC-17(4)(b)
+ documents the rationale for such access in the information system security plan.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-17(5)
+ MONITORING FOR UNAUTHORIZED CONNECTIONS
+
+ SI-4
+
+
+ [Withdrawn: Incorporated into SI-4].
+
+
+
+ AC-17(6)
+ PROTECTION OF INFORMATION
+
+ Determine if the organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-17(7)
+ ADDITIONAL PROTECTION FOR SECURITY FUNCTION ACCESS
+
+ AC-3 (10)
+
+
+ [Withdrawn: Incorporated into AC-3 (10)].
+
+
+
+ AC-17(8)
+ DISABLE NONSECURE NETWORK PROTOCOLS
+
+ CM-7
+
+
+ [Withdrawn: Incorporated into CM-7].
+
+
+
+ AC-17(9)
+ DISCONNECT/DISABLE ACCESS
+
+ Determine if the organization:
+
+ AC-17(9)[1]
+ defines the time period within which to expeditiously disconnect or disable remote access to the information system; and
+
+
+ AC-17(9)[2]
+ provides the capability to expeditiously disconnect or disable remote access to the information system within the organization-defined time period.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-18
+ WIRELESS ACCESS
+
+ Determine if the organization:
+
+ AC-18(a)
+ establishes for wireless access:
+
+ AC-18(a)[1]
+ usage restrictions;
+
+
+ AC-18(a)[2]
+ configuration/connection requirement;
+
+
+ AC-18(a)[3]
+ implementation guidance; and
+
+
+
+ AC-18(b)
+ authorizes wireless access to the information system prior to allowing such connections.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-18(1)
+ AUTHENTICATION AND ENCRYPTION
+
+ Determine if the information system protects wireless access to the system using encryption and one or more of the following:
+
+ AC-18(1)[1]
+ authentication of users; and/or
+
+
+ AC-18(1)[2]
+ authentication of devices.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-18(2)
+ MONITORING UNAUTHORIZED CONNECTIONS
+
+ SI-4
+
+
+ [Withdrawn: Incorporated into SI-4].
+
+
+
+ AC-18(3)
+ DISABLE WIRELESS NETWORKING
+
+ Determine if the organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-18(4)
+ RESTRICT CONFIGURATIONS BY USERS
+
+ Determine if the organization:
+
+ AC-18(4)[1]
+ identifies users allowed to independently configure wireless networking capabilities; and
+
+
+ AC-18(4)[2]
+ explicitly authorizes the identified users allowed to independently configure wireless networking capabilities.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-18(5)
+ ANTENNAS/TRANSMISSION POWER LEVELS
+
+ Determine if the organization:
+
+ AC-18(5)[1]
+ selects radio antennas to reduce the probability that usable signals can be received outside of organization-controlled boundaries; and
+
+
+ AC-18(5)[2]
+ calibrates transmission power levels to reduce the probability that usable signals can be received outside of organization-controlled boundaries.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-19
+ ACCESS CONTROL FOR MOBILE DEVICES
+
+ Determine if the organization:
+
+ AC-19(a)
+ establishes for organization-controlled mobile devices:
+
+ AC-19(a)[1]
+ usage restrictions;
+
+
+ AC-19(a)[2]
+ configuration/connection requirement;
+
+
+ AC-19(a)[3]
+ implementation guidance; and
+
+
+
+ AC-19(b)
+ authorizes the connection of mobile devices to organizational information systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-19(1)
+ USE OF WRITABLE/PORTABLE STORAGE DEVICES
+
+ MP-7
+
+
+ [Withdrawn: Incorporated into MP-7].
+
+
+
+ AC-19(2)
+ USE OF PERSONALLY OWNED PORTABLE STORAGE DEVICES
+
+ MP-7
+
+
+ [Withdrawn: Incorporated into MP-7].
+
+
+
+ AC-19(3)
+ USE OF PORTABLE STORAGE DEVICES WITH NO IDENTIFIABLE OWNER
+
+ MP-7
+
+
+ [Withdrawn: Incorporated into MP-7].
+
+
+
+ AC-19(4)
+ RESTRICTIONS FOR CLASSIFIED INFORMATION
+
+ Determine if the organization:
+
+ AC-19(4)(a)
+ prohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official;
+
+
+ AC-19(4)(b)
+ enforces the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information:
+
+ AC-19(4)(b)(1)
+ connection of unclassified mobile devices to classified information systems is prohibited;
+
+
+ AC-19(4)(b)(2)
+ connection of unclassified mobile devices to unclassified information systems requires approval from the authorizing official;
+
+
+ AC-19(4)(b)(3)
+ use of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited;
+
+
+ AC-19(4)(b)(4)
+
+ AC-19(4)(b)(4)[1]
+ defines security officials responsible for reviews and inspections of unclassified mobile devices and the information stored on those devices;
+
+
+ AC-19(4)(b)(4)[2]
+ unclassified mobile devices and the information stored on those devices are subject to random reviews/inspections by organization-defined security officials;
+
+
+ AC-19(4)(b)(4)[3]
+ the incident handling policy is followed if classified information is found;
+
+
+
+
+ AC-19(4)(c)
+
+ AC-19(4)(c)[1]
+ defines security policies to restrict the connection of classified mobile devices to classified information systems; and
+
+
+ AC-19(4)(c)[2]
+ restricts the connection of classified mobile devices to classified information systems in accordance with organization-defined security policies.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-19(5)
+ FULL DEVICE / CONTAINER-BASED ENCRYPTION
+
+ Determine if the organization:
+
+ AC-19(5)[1]
+ defines mobile devices for which full-device encryption or container encryption is required to protect the confidentiality and integrity of information on such devices; and
+
+
+ AC-19(5)[2]
+ employs full-device encryption or container encryption to protect the confidentiality and integrity of information on organization-defined mobile devices.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-20
+ USE OF EXTERNAL INFORMATION SYSTEMS
+
+ Determine if the organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:
+
+ AC-20(a)
+ access the information system from the external information systems; and
+
+
+ AC-20(b)
+ process, store, or transmit organization-controlled information using external information systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-20(1)
+ LIMITS ON AUTHORIZED USE
+
+ Determine if the organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:
+
+ AC-20(1)(a)
+ verifies the implementation of required security controls on the external system as specified in the organization’s information security policy and security plan; or
+
+
+ AC-20(1)(b)
+ retains approved information system connection or processing agreements with the organizational entity hosting the external information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-20(2)
+ PORTABLE STORAGE DEVICES
+
+ Determine if the organization restricts or prohibits the use of organization-controlled portable storage devices by authorized individuals on external information systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-20(3)
+ NON-ORGANIZATIONALLY OWNED SYSTEMS / COMPONENTS / DEVICES
+
+ Determine if the organization restricts or prohibits the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-20(4)
+ NETWORK ACCESSIBLE STORAGE DEVICES
+
+ Determine if the organization:
+
+ AC-20(4)[1]
+ defines network accessible storage devices to be prohibited from use in external information systems; and
+
+
+ AC-20(4)[2]
+ prohibits the use of organization-defined network accessible storage devices in external information systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-21
+ INFORMATION SHARING
+
+ Determine if the organization:
+
+ AC-21(a)
+
+ AC-21(a)[1]
+ defines information sharing circumstances where user discretion is required;
+
+
+ AC-21(a)[2]
+ facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for organization-defined information sharing circumstances;
+
+
+
+ AC-21(b)
+
+ AC-21(b)[1]
+ defines automated mechanisms or manual processes to be employed to assist users in making information sharing/collaboration decisions; and
+
+
+ AC-21(b)[2]
+ employs organization-defined automated mechanisms or manual processes to assist users in making information sharing/collaboration decisions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-21(1)
+ AUTOMATED DECISION SUPPORT
+
+ Determine if the information system enforces information-sharing decisions by authorized users based on:
+
+ AC-21(1)[1]
+ access authorizations of sharing partners; and
+
+
+ AC-21(1)[2]
+ access restrictions on information to be shared.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-21(2)
+ INFORMATION SEARCH AND RETRIEVAL
+
+ Determine if:
+
+ AC-21(2)[1]
+ the organization defines information sharing restrictions to be enforced through information search and retrieval services; and
+
+
+ AC-21(2)[2]
+ the information system implements information search and retrieval services that enforce organization-defined information sharing restrictions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-22
+ PUBLICLY ACCESSIBLE CONTENT
+
+ Determine if the organization:
+
+ AC-22(a)
+ designates individuals authorized to post information onto a publicly accessible information system;
+
+
+ AC-22(b)
+ trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;
+
+
+ AC-22(c)
+ reviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included;
+
+
+ AC-22(d)
+
+ AC-22(d)[1]
+ defines the frequency to review the content on the publicly accessible information system for nonpublic information;
+
+
+ AC-22(d)[2]
+ reviews the content on the publicly accessible information system for nonpublic information with the organization-defined frequency; and
+
+
+ AC-22(d)[3]
+ removes nonpublic information from the publicly accessible information system, if discovered.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-23
+ DATA MINING PROTECTION
+
+ Determine if the organization:
+
+ AC-23[1]
+ defines data mining prevention and detection techniques to be employed for organization-defined storage objects to adequately detect and protect against data mining;
+
+
+ AC-23[2]
+ defines data storage objects to be protected from data mining; and
+
+
+ AC-23[3]
+ employs organization-defined data mining prevention and detection techniques for organization-defined data storage objects to adequately detect and protect against data mining.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-24
+ ACCESS CONTROL DECISIONS
+
+ Determine if the organization:
+
+ AC-24[1]
+ defines access control decisions to be applied to each access request prior to access control enforcement; and
+
+
+ AC-24[2]
+ establishes procedures to ensure organization-defined access control decisions are applied to each access request prior to access control enforcement.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-24(1)
+ TRANSMIT ACCESS AUTHORIZATION INFORMATION
+
+ Determine if:
+
+ AC-24(1)[1]
+ the organization defines access authorization information that the information system transmits to organization-defined information systems that enforce access control decisions;
+
+
+ AC-24(1)[2]
+ the organization defines security safeguards to be used when the information system transmits organization-defined authorization information to organization-defined information systems that enforce access control decisions;
+
+
+ AC-24(1)[3]
+ the organization defines the information systems that enforce access control decisions; and
+
+
+ AC-24(1)[4]
+ the information system transmits organization-defined access authorization information using organization-defined security safeguards to organization-defined information systems that enforce access control decisions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-24(2)
+ NO USER OR PROCESS IDENTITY
+
+ Determine if:
+
+ AC-24(2)[1]
+ the organization defines security attributes that support access control decisions that do not include the identity of the user or processes acting on behalf of the user; and
+
+
+ AC-24(2)[2]
+ the information system enforces access control decisions based on organization-defined security attributes that do not include the identity of the user or process acting on behalf of the user.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCESS CONTROL
+ AC-25
+ REFERENCE MONITOR
+
+ Determine if:
+
+ AC-25[1]
+ the organization defines access control policies for which the information system implements a reference monitor to enforce such policies; and
+
+
+ AC-25[2]
+ the information system implements a reference monitor for organization-defined access control policies that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AWARENESS AND TRAINING
+ AT-1
+ SECURITY AWARENESS AND TRAINING POLICY AND PROCEDURES
+
+ Determine if the organization:
+
+ AT-1(a)(1)
+
+ AT-1(a)(1)[1]
+ develops and documents an security awareness and training policy that addresses:
+
+ AT-1(a)(1)[1][a]
+ purpose;
+
+
+ AT-1(a)(1)[1][b]
+ scope;
+
+
+ AT-1(a)(1)[1][c]
+ roles;
+
+
+ AT-1(a)(1)[1][d]
+ responsibilities;
+
+
+ AT-1(a)(1)[1][e]
+ management commitment;
+
+
+ AT-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ AT-1(a)(1)[1][g]
+ compliance;
+
+
+
+ AT-1(a)(1)[2]
+ defines personnel or roles to whom the security awareness and training policy are to be disseminated;
+
+
+ AT-1(a)(1)[3]
+ disseminates the security awareness and training policy to organization-defined personnel or roles;
+
+
+
+ AT-1(a)(2)
+
+ AT-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the security awareness and training policy and associated awareness and training controls;
+
+
+ AT-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ AT-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ AT-1(b)(1)
+
+ AT-1(b)(1)[1]
+ defines the frequency to review and update the current security awareness and training policy;
+
+
+ AT-1(b)(1)[2]
+ reviews and updates the current security awareness and training policy with the organization-defined frequency;
+
+
+
+ AT-1(b)(2)
+
+ AT-1(b)(2)[1]
+ defines the frequency to review and update the current security awareness and training procedures; and
+
+
+ AT-1(b)(2)[2]
+ reviews and updates the current security awareness and training procedures with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AWARENESS AND TRAINING
+ AT-2
+ SECURITY AWARENESS TRAINING
+
+ Determine if the organization:
+
+ AT-2(a)
+ provides basic security awareness training to information system users (including managers, senior executives, and contractors) as part of initial training for new users;
+
+
+ AT-2(b)
+ provides basic security awareness training to information system users (including managers, senior executives, and contractors) when required by information system changes; and
+
+
+ AT-2(c)
+
+ AT-2(c)[1]
+ defines the frequency to provide refresher security awareness training thereafter to information system users (including managers, senior executives, and contractors); and
+
+
+ AT-2(c)[2]
+ provides refresher security awareness training to information users (including managers, senior executives, and contractors) with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AT-2(1)
+ PRACTICAL EXERCISE
+
+ Determine if the organization includes practical exercises in security awareness training that simulate actual cyber attacks.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AT-2(2)
+ INSIDER THREAT
+
+ Determine if the organization includes security awareness training on recognizing and reporting potential indicators of insider threat.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AWARENESS AND TRAINING
+ AT-3
+ ROLE-BASED SECURITY TRAINING
+
+ Determine if the organization:
+
+ AT-3(a)
+ provides role-based security training to personnel with assigned security roles and responsibilities before authorizing access to the information system or performing assigned duties;
+
+
+ AT-3(b)
+ provides role-based security training to personnel with assigned security roles and responsibilities when required by information system changes; and
+
+
+ AT-3(c)
+
+ AT-3(c)[1]
+ defines the frequency to provide refresher role-based security training thereafter to personnel with assigned security roles and responsibilities; and
+
+
+ AT-3(c)[2]
+ provides refresher role-based security training to personnel with assigned security roles and responsibilities with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AT-3(1)
+ ENVIRONMENTAL CONTROLS
+
+ Determine if the organization:
+
+ AT-3(1)[1]
+ defines personnel or roles to be provided with initial and refresher training in the employment and operation of environmental controls;
+
+
+ AT-3(1)[2]
+ provides organization-defined personnel or roles with initial and refresher training in the employment and operation of environmental controls;
+
+
+ AT-3(1)[3]
+ defines the frequency to provide refresher training in the employment and operation of environmental controls; and
+
+
+ AT-3(1)[4]
+ provides refresher training in the employment and operation of environmental controls with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AT-3(2)
+ PHYSICAL SECURITY CONTROLS
+
+ Determine if the organization:
+
+ AT-3(2)[1]
+ defines personnel or roles to be provided with initial and refresher training in the employment and operation of physical security controls;
+
+
+ AT-3(2)[2]
+ provides organization-defined personnel or roles with initial and refresher training in the employment and operation of physical security controls;
+
+
+ AT-3(2)[3]
+ defines the frequency to provide refresher training in the employment and operation of physical security controls; and
+
+
+ AT-3(2)[4]
+ provides refresher training in the employment and operation of physical security controls with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AT-3(3)
+ PRACTICAL EXERCISES
+
+ Determine if the organization includes practical exercises in security training that reinforce training objectives.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AT-3(4)
+ SUSPICIOUS COMMUNICATIONS AND ANOMALOUS SYSTEM BEHAVIOR
+
+ Determine if the organization:
+
+ AT-3(4)[1]
+ defines indicators of malicious code; and
+
+
+ AT-3(4)[2]
+ provides training to its personnel on organization-defined indicators of malicious code to recognize suspicious communications and anomalous behavior in organizational information systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AWARENESS AND TRAINING
+ AT-4
+ SECURITY TRAINING RECORDS
+
+ Determine if the organization:
+
+ AT-4(a)
+
+ AT-4(a)[1]
+ documents individual information system security training activities including:
+
+ AT-4(a)[1][a]
+ basic security awareness training;
+
+
+ AT-4(a)[1][b]
+ specific role-based information system security training;
+
+
+
+ AT-4(a)[2]
+ monitors individual information system security training activities including:
+
+ AT-4(a)[2][a]
+ basic security awareness training;
+
+
+ AT-4(a)[2][b]
+ specific role-based information system security training;
+
+
+
+
+ AT-4(b)
+
+ AT-4(b)[1]
+ defines a time period to retain individual training records; and
+
+
+ AT-4(b)[2]
+ retains individual training records for the organization-defined time period.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AWARENESS AND TRAINING
+ AT-5
+ CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS
+
+ PM-15
+
+
+ [Withdrawn: Incorporated into PM-15].
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-1
+ AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES
+
+ Determine if the organization:
+
+ AU-1(a)(1)
+
+ AU-1(a)(1)[1]
+ develops and documents an audit and accountability policy that addresses:
+
+ AU-1(a)(1)[1][a]
+ purpose;
+
+
+ AU-1(a)(1)[1][b]
+ scope;
+
+
+ AU-1(a)(1)[1][c]
+ roles;
+
+
+ AU-1(a)(1)[1][d]
+ responsibilities;
+
+
+ AU-1(a)(1)[1][e]
+ management commitment;
+
+
+ AU-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ AU-1(a)(1)[1][g]
+ compliance;
+
+
+
+ AU-1(a)(1)[2]
+ defines personnel or roles to whom the audit and accountability policy are to be disseminated;
+
+
+ AU-1(a)(1)[3]
+ disseminates the audit and accountability policy to organization-defined personnel or roles;
+
+
+
+ AU-1(a)(2)
+
+ AU-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls;
+
+
+ AU-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ AU-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ AU-1(b)(1)
+
+ AU-1(b)(1)[1]
+ defines the frequency to review and update the current audit and accountability policy;
+
+
+ AU-1(b)(1)[2]
+ reviews and updates the current audit and accountability policy with the organization-defined frequency;
+
+
+
+ AU-1(b)(2)
+
+ AU-1(b)(2)[1]
+ defines the frequency to review and update the current audit and accountability procedures; and
+
+
+ AU-1(b)(2)[2]
+ reviews and updates the current audit and accountability procedures in accordance with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-2
+ AUDIT EVENTS
+
+ Determine if the organization:
+
+ AU-2(a)
+
+ AU-2(a)[1]
+ defines the auditable events that the information system must be capable of auditing;
+
+
+ AU-2(a)[2]
+ determines that the information system is capable of auditing organization-defined auditable events;
+
+
+
+ AU-2(b)
+ coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;
+
+
+ AU-2(c)
+ provides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents;
+
+
+ AU-2(d)
+
+ AU-2(d)[1]
+ defines the subset of auditable events defined in AU-2a that are to be audited within the information system;
+
+
+ AU-2(d)[2]
+ determines that the subset of auditable events defined in AU-2a are to be audited within the information system; and
+
+
+ AU-2(d)[3]
+ determines the frequency of (or situation requiring) auditing for each identified event.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-2(1)
+ COMPILATION OF AUDIT RECORDS FROM MULTIPLE SOURCES
+
+ AU-12
+
+
+ [Withdrawn: Incorporated into AU-12].
+
+
+
+ AU-2(2)
+ SELECTION OF AUDIT EVENTS BY COMPONENT
+
+ AU-12
+
+
+ [Withdrawn: Incorporated into AU-12].
+
+
+
+ AU-2(3)
+ REVIEWS AND UPDATES
+
+ Determine if the organization:
+
+ AU-2(3)[1]
+ defines the frequency to review and update the audited events; and
+
+
+ AU-2(3)[2]
+ reviews and updates the auditable events with organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-2(4)
+ PRIVILEGED FUNCTIONS
+
+ AC-6(9)
+
+
+ [Withdrawn: Incorporated into AC-6(9)].
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-3
+ CONTENT OF AUDIT RECORDS
+
+ Determine if the information system generates audit records containing information that establishes:
+
+ AU-3[1]
+ what type of event occurred;
+
+
+ AU-3[2]
+ when the event occurred;
+
+
+ AU-3[3]
+ where the event occurred;
+
+
+ AU-3[4]
+ the source of the event;
+
+
+ AU-3[5]
+ the outcome of the event; and
+
+
+ AU-3[6]
+ the identity of any individuals or subjects associated with the event.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-3(1)
+ ADDITIONAL AUDIT INFORMATION
+
+ Determine if:
+
+ AU-3(1)[1]
+ the organization defines additional, more detailed information to be contained in audit records that the information system generates; and
+
+
+ AU-3(1)[2]
+ the information system generates audit records containing the organization-defined additional, more detailed information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-3(2)
+ CENTRALIZED MANAGEMENT OF PLANNED AUDIT RECORD CONTENT
+
+ Determine if:
+
+ AU-3(2)[1]
+ the organization defines information system components that generate audit records whose content is to be centrally managed and configured by the information system; and
+
+
+ AU-3(2)[2]
+ the information system provides centralized management and configuration of the content to be captured in audit records generated by the organization-defined information system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-4
+ AUDIT STORAGE CAPACITY
+
+ Determine if the organization:
+
+ AU-4[1]
+ defines audit record storage requirements; and
+
+
+ AU-4[2]
+ allocates audit record storage capacity in accordance with the organization-defined audit record storage requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-4(1)
+ TRANSFER TO ALTERNATE STORAGE
+
+ Determine if:
+
+ AU-4(1)[1]
+ the organization defines the frequency to off-load audit records onto a different system or media than the system being audited; and
+
+
+ AU-4(1)[2]
+ the information system off-loads audit records onto a different system or media than the system being audited with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-5
+ RESPONSE TO AUDIT PROCESSING FAILURES
+
+ Determine if:
+
+ AU-5(a)
+
+ AU-5(a)[1]
+ the organization defines the personnel or roles to be alerted in the event of an audit processing failure;
+
+
+ AU-5(a)[2]
+ the information system alerts the organization-defined personnel or roles in the event of an audit processing failure;
+
+
+
+ AU-5(b)
+
+ AU-5(b)[1]
+ the organization defines additional actions to be taken (e.g., shutdown information system, overwrite oldest audit records, stop generating audit records) in the event of an audit processing failure; and
+
+
+ AU-5(b)[2]
+ the information system takes the additional organization-defined actions in the event of an audit processing failure.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-5(1)
+ AUDIT STORAGE CAPACITY
+
+ Determine if:
+
+ AU-5(1)[1]
+ the organization defines:
+
+ AU-5(1)[1][a]
+ personnel to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity;
+
+
+ AU-5(1)[1][b]
+ roles to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity; and/or
+
+
+ AU-5(1)[1][c]
+ locations to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity;
+
+
+
+ AU-5(1)[2]
+ the organization defines the time period within which the information system is to provide a warning to the organization-defined personnel, roles, and/or locations when allocated audit record storage volume reaches the organization-defined percentage of repository maximum audit record storage capacity;
+
+
+ AU-5(1)[3]
+ the organization defines the percentage of repository maximum audit record storage capacity that, if reached, requires a warning to be provided; and
+
+
+ AU-5(1)[4]
+ the information system provides a warning to the organization-defined personnel, roles, and/or locations within the organization-defined time period when allocated audit record storage volume reaches the organization-defined percentage of repository maximum audit record storage capacity.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-5(2)
+ REAL-TIME ALERTS
+
+ Determine if:
+
+ AU-5(2)[1]
+ the organization defines audit failure events requiring real-time alerts;
+
+
+ AU-5(2)[2]
+ the organization defines:
+
+ AU-5(2)[2][a]
+ personnel to be alerted when organization-defined audit failure events requiring real-time alerts occur;
+
+
+ AU-5(2)[2][b]
+ roles to be alerted when organization-defined audit failure events requiring real-time alerts occur; and/or
+
+
+ AU-5(2)[2][c]
+ locations to be alerted when organization-defined audit failure events requiring real-time alerts occur;
+
+
+
+ AU-5(2)[3]
+ the organization defines the real-time period within which the information system is to provide an alert to the organization-defined personnel, roles, and/or locations when the organization-defined audit failure events requiring real-time alerts occur; and
+
+
+ AU-5(2)[4]
+ the information system provides an alert within the organization-defined real-time period to the organization-defined personnel, roles, and/or locations when organization-defined audit failure events requiring real-time alerts occur.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-5(3)
+ CONFIGURABLE TRAFFIC VOLUME THRESHOLDS
+
+ Determine if:
+
+ AU-5(3)[1]
+ the information system enforces configurable network communications traffic volume thresholds reflecting limits on auditing capacity;
+
+
+ AU-5(3)[2]
+ the organization selects if network traffic above configurable traffic volume thresholds is to be:
+
+ AU-5(3)[2][a]
+ rejected; or
+
+
+ AU-5(3)[2][b]
+ delayed; and
+
+
+
+ AU-5(3)[3]
+ the information system rejects or delays network communications traffic generated above configurable traffic volume thresholds.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-5(4)
+ SHUTDOWN ON FAILURE
+
+ Determine if:
+
+ AU-5(4)[1]
+ the organization selects one of the following specific actions for the information system to invoke in the event of organization-defined audit failures:
+
+ AU-5(4)[1][a]
+ full system shutdown;
+
+
+ AU-5(4)[1][b]
+ partial system shutdown; or
+
+
+ AU-5(4)[1][c]
+ degraded operational mode with limited mission/business functionality available;
+
+
+
+ AU-5(4)[2]
+ the organization defines audit failures that, unless an alternate audit capability exists, are to trigger the information system to invoke a specific action; and
+
+
+ AU-5(4)[3]
+ the information system invokes the selected specific action in the event of organization-defined audit failures, unless an alternate audit capability exists.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-6
+ AUDIT REVIEW, ANALYSIS, AND REPORTING
+
+ Determine if the organization:
+
+ AU-6(a)
+
+ AU-6(a)[1]
+ defines the types of inappropriate or unusual activity to look for when information system audit records are reviewed and analyzed;
+
+
+ AU-6(a)[2]
+ defines the frequency to review and analyze information system audit records for indications of organization-defined inappropriate or unusual activity;
+
+
+ AU-6(a)[3]
+ reviews and analyzes information system audit records for indications of organization-defined inappropriate or unusual activity with the organization-defined frequency;
+
+
+
+ AU-6(b)
+
+ AU-6(b)[1]
+ defines personnel or roles to whom findings resulting from reviews and analysis of information system audit records are to be reported; and
+
+
+ AU-6(b)[2]
+ reports findings to organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-6(1)
+ PROCESS INTEGRATION
+
+ Determine if the organization:
+
+ AU-6(1)[1]
+ employs automated mechanisms to integrate:
+
+ AU-6(1)[1][a]
+ audit review;
+
+
+ AU-6(1)[1][b]
+ analysis;
+
+
+ AU-6(1)[1][c]
+ reporting processes;
+
+
+
+ AU-6(1)[2]
+ uses integrated audit review, analysis and reporting processes to support organizational processes for:
+
+ AU-6(1)[2][a]
+ investigation of suspicious activities; and
+
+
+ AU-6(1)[2][b]
+ response to suspicious activities.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-6(2)
+ AUTOMATED SECURITY ALERTS
+
+ SI-4
+
+
+ [Withdrawn: Incorporated into SI-4].
+
+
+
+ AU-6(3)
+ CORRELATE AUDIT REPOSITORIES
+
+ Determine if the organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-6(4)
+ CENTRAL REVIEW AND ANALYSIS
+
+ Determine if the information system provides the capability to centrally review and analyze audit records from multiple components within the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-6(5)
+ INTEGRATION/SCANNING AND MONITORING CAPABILITIES
+
+ Determine if the organization:
+
+ AU-6(5)[1]
+ defines data/information to be collected from other sources;
+
+
+ AU-6(5)[2]
+ selects sources of data/information to be analyzed and integrated with the analysis of audit records from one or more of the following:
+
+ AU-6(5)[2][a]
+ vulnerability scanning information;
+
+
+ AU-6(5)[2][b]
+ performance data;
+
+
+ AU-6(5)[2][c]
+ information system monitoring information; and/or
+
+
+ AU-6(5)[2][d]
+ organization-defined data/information collected from other sources; and
+
+
+
+ AU-6(5)[3]
+ integrates the analysis of audit records with the analysis of selected data/information to further enhance the ability to identify inappropriate or unusual activity.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-6(6)
+ CORRELATION WITH PHYSICAL MONITORING
+
+ Determine if the organization correlates information from audit records with information obtained from monitoring physical access to enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-6(7)
+ PERMITTED ACTIONS
+
+ Determine if the organization specifies the permitted actions for each one or more of the following associated with the review, analysis and reporting of audit information:
+
+ AU-6(7)[1]
+ information system process;
+
+
+ AU-6(7)[2]
+ role; and/or
+
+
+ AU-6(7)[3]
+ user.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-6(8)
+ FULL TEXT ANALYSIS OF PRIVILEGED COMMANDS
+
+ Determine if the organization performs a full text analysis of audited privileged commands in:
+
+ AU-6(8)[1]
+ a physically distinct component or subsystem of the information system; or
+
+
+ AU-6(8)[2]
+ other information system that is dedicated to that analysis.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-6(9)
+ CORRELATION WITH INFORMATION FROM NONTECHNICAL SOURCES
+
+ Determine if the organization correlates information from nontechnical sources with audit information to enhance organization-wide situational awareness.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-6(10)
+ AUDIT LEVEL ADJUSTMENT
+
+ Determine if the organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on:
+
+ AU-6(10)[1]
+ law enforcement information;
+
+
+ AU-6(10)[2]
+ intelligence information; and/or
+
+
+ AU-6(10)[3]
+ other credible sources of information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-7
+ AUDIT REDUCTION AND REPORT GENERATION
+
+ Determine if the information system provides an audit reduction and report generation capability that supports:
+
+ AU-7(a)
+
+ AU-7(a)[1]
+ on-demand audit review;
+
+
+ AU-7(a)[2]
+ analysis;
+
+
+ AU-7(a)[3]
+ reporting requirements;
+
+
+ AU-7(a)[4]
+ after-the-fact investigations of security incidents; and
+
+
+
+ AU-7(b)
+ does not alter the original content or time ordering of audit records.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-7(1)
+ AUTOMATIC PROCESSING
+
+ Determine if:
+
+ AU-7(1)[1]
+ the organization defines audit fields within audit records in order to process audit records for events of interest; and
+
+
+ AU-7(1)[2]
+ the information system provides the capability to process audit records for events of interest based on the organization-defined audit fields within audit records.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-7(2)
+ AUTOMATIC SORT AND SEARCH
+
+ Determine if:
+
+ AU-7(2)[1]
+ the organization defines audit fields within audit records in order to sort and search audit records for events of interest based on content of such audit fields; and
+
+
+ AU-7(2)[2]
+ the information system provides the capability to sort and search audit records for events of interest based on the content of organization-defined audit fields within audit records.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-8
+ TIME STAMPS
+
+ Determine if:
+
+ AU-8(a)
+ the information system uses internal system clocks to generate time stamps for audit records;
+
+
+ AU-8(b)
+
+ AU-8(b)[1]
+ the information system records time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);
+
+
+ AU-8(b)[2]
+ the organization defines the granularity of time measurement to be met when recording time stamps for audit records; and
+
+
+ AU-8(b)[3]
+ the organization records time stamps for audit records that meet the organization-defined granularity of time measurement.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-8(1)
+ SYNCHRONIZATION WITH AUTHORITATIVE TIME SOURCE
+
+ Determine if:
+
+ AU-8(1)(a)
+
+ AU-8(1)(a)[1]
+ the organization defines the authoritative time source to which internal information system clocks are to be compared;
+
+
+ AU-8(1)(a)[2]
+ the organization defines the frequency to compare the internal information system clocks with the organization-defined authoritative time source; and
+
+
+ AU-8(1)(a)[3]
+ the information system compares the internal information system clocks with the organization-defined authoritative time source with organization-defined frequency; and
+
+
+
+ AU-8(1)(b)
+
+ AU-8(1)(b)[1]
+ the organization defines the time period that, if exceeded by the time difference between the internal system clocks and the authoritative time source, will result in the internal system clocks being synchronized to the authoritative time source; and
+
+
+ AU-8(1)(b)[2]
+ the information system synchronizes the internal information system clocks to the authoritative time source when the time difference is greater than the organization-defined time period.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-8(2)
+ SECONDARY AUTHORITATIVE TIME SOURCE
+
+ Determine if the information system identifies a secondary authoritative time source that is located in a different geographic region than the primary authoritative time source.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-9
+ PROTECTION OF AUDIT INFORMATION
+
+ Determine if:
+
+ AU-9[1]
+ the information system protects audit information from unauthorized:
+
+ AU-9[1][a]
+ access;
+
+
+ AU-9[1][b]
+ modification;
+
+
+ AU-9[1][c]
+ deletion;
+
+
+
+ AU-9[2]
+ the information system protects audit tools from unauthorized:
+
+ AU-9[2][a]
+ access;
+
+
+ AU-9[2][b]
+ modification; and
+
+
+ AU-9[2][c]
+ deletion.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-9(1)
+ HARDWARE WRITE-ONCE MEDIA
+
+ Determine if the information system writes audit trails to hardware-enforced, write-once media.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-9(2)
+ AUDIT BACKUP ON SEPARATE PHYSICAL SYSTEMS / COMPONENTS
+
+ Determine if:
+
+ AU-9(2)[1]
+ the organization defines the frequency to back up audit records onto a physically different system or system component than the system or component being audited; and
+
+
+ AU-9(2)[2]
+ the information system backs up audit records with the organization-defined frequency, onto a physically different system or system component than the system or component being audited.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-9(3)
+ CRYPTOGRAPHIC PROTECTION
+
+ Determine if the information system:
+
+ AU-9(3)[1]
+ uses cryptographic mechanisms to protect the integrity of audit information; and
+
+
+ AU-9(3)[2]
+ uses cryptographic mechanisms to protect the integrity of audit tools.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-9(4)
+ ACCESS BY SUBSET OF PRIVILEGED USERS
+
+ Determine if the organization:
+
+ AU-9(4)[1]
+ defines a subset of privileged users to be authorized access to management of audit functionality; and
+
+
+ AU-9(4)[2]
+ authorizes access to management of audit functionality to only the organization-defined subset of privileged users.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-9(5)
+ DUAL AUTHORIZATION
+
+ Determine if the organization:
+
+ AU-9(5)[1]
+ defines audit information for which dual authorization is to be enforced;
+
+
+ AU-9(5)[2]
+ defines one or more of the following types of operations on audit information for which dual authorization is to be enforced:
+
+ AU-9(5)[2][a]
+ movement; and/or
+
+
+ AU-9(5)[2][b]
+ deletion; and
+
+
+
+ AU-9(5)[3]
+ enforces dual authorization for the movement and/or deletion of organization-defined audit information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-9(6)
+ READ ONLY ACCESS
+
+ Determine if the organization:
+
+ AU-9(6)[1]
+ defines the subset of privileged users to be authorized read-only access to audit information; and
+
+
+ AU-9(6)[2]
+ authorizes read-only access to audit information to the organization-defined subset of privileged users.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-10
+ NON-REPUDIATION
+
+ Determine if:
+
+ AU-10[1]
+ the organization defines actions to be covered by non-repudiation; and
+
+
+ AU-10[2]
+ the information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed organization-defined actions to be covered by non-repudiation.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-10(1)
+ ASSOCIATION OF IDENTITIES
+
+ Determine if:
+
+ AU-10(1)(a)
+
+ AU-10(1)(a)[1]
+ the organization defines the strength of binding to be employed between the identity of the information producer and the information;
+
+
+ AU-10(1)(a)[2]
+ the information system binds the identity of the information producer with the information to the organization-defined strength of binding; and
+
+
+
+ AU-10(1)(b)
+ the information system provides the means for authorized individuals to determine the identity of the producer of the information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-10(2)
+ VALIDATE BINDING OF INFORMATION PRODUCER IDENTITY
+
+ Determine if:
+
+ AU-10(2)(a)
+
+ AU-10(2)(a)[1]
+ the organization defines the frequency to validate the binding of the information producer identity to the information;
+
+
+ AU-10(2)(a)[2]
+ the information system validates the binding of the information producer identity to the information at the organization-defined frequency; and
+
+
+
+ AU-10(2)(b)
+
+ AU-10(2)(b)[1]
+ the organization defines actions to be performed in the event of a validation error; and
+
+
+ AU-10(2)(b)[2]
+ the information system performs organization-defined actions in the event of a validation error.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-10(3)
+ CHAIN OF CUSTODY
+
+ Determine if the information system:
+
+ AU-10(3)[1]
+ maintains reviewer/releaser identity within the established chain of custody for all information reviewed;
+
+
+ AU-10(3)[2]
+ maintains reviewer/releaser identity within the established chain of custody for all information released;
+
+
+ AU-10(3)[3]
+ maintains reviewer/releaser credentials within the established chain of custody for all information reviewed; and
+
+
+ AU-10(3)[4]
+ maintains reviewer/releaser credentials within the established chain of custody for all information released.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-10(4)
+ VALIDATE BINDING OF INFORMATION REVIEWER IDENTITY
+
+ Determine if:
+
+ AU-10(4)(a)
+
+ AU-10(4)(a)[1]
+ the organization defines security domains for which the binding of the information reviewer identity to the information is to be validated at the transfer or release points prior to release/transfer between such domains;
+
+
+ AU-10(4)(a)[2]
+ the information system validates the binding of the information reviewer identity to the information at the transfer or release points prior to release/transfer between organization-defined security domains;
+
+
+
+ AU-10(4)(b)
+
+ AU-10(4)(b)[1]
+ the organization defines actions to be performed in the event of a validation error; and
+
+
+ AU-10(4)(b)[2]
+ the information system performs organization-defined actions in the event of a validation error.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-10(5)
+ DIGITAL SIGNATURES
+
+ SI-7
+
+
+ [Withdrawn: Incorporated into SI-7].
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-11
+ AUDIT RECORD RETENTION
+
+ Determine if the organization:
+
+ AU-11[1]
+ defines a time period to retain audit records that is consistent with records retention policy;
+
+
+ AU-11[2]
+ retains audit records for the organization-defined time period consistent with records retention policy to:
+
+ AU-11[2][a]
+ provide support for after-the-fact investigations of security incidents; and
+
+
+ AU-11[2][b]
+ meet regulatory and organizational information retention requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-11(1)
+ LONG-TERM RETRIEVAL CAPABILITY
+
+ Determine if the organization:
+
+ AU-11(1)[1]
+ defines measures to be employed to ensure that long-term audit records generated by the information system can be retrieved; and
+
+
+ AU-11(1)[2]
+ employs organization-defined measures to ensure that long-term audit records generated by the information system can be retrieved.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-12
+ AUDIT GENERATION
+
+ Determine if:
+
+ AU-12(a)
+
+ AU-12(a)[1]
+ the organization defines the information system components which are to provide audit record generation capability for the auditable events defined in AU-2a;
+
+
+ AU-12(a)[2]
+ the information system provides audit record generation capability, for the auditable events defined in AU-2a, at organization-defined information system components;
+
+
+
+ AU-12(b)
+
+ AU-12(b)[1]
+ the organization defines the personnel or roles allowed to select which auditable events are to be audited by specific components of the information system;
+
+
+ AU-12(b)[2]
+ the information system allows the organization-defined personnel or roles to select which auditable events are to be audited by specific components of the system; and
+
+
+
+ AU-12(c)
+ the information system generates audit records for the events defined in AU-2d with the content in defined in AU-3.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-12(1)
+ SYSTEM-WIDE / TIME-CORRELATED AUDIT TRAIL
+
+ Determine if:
+
+ AU-12(1)[1]
+ the organization defines the information system components from which audit records are to be compiled into a system-wide (logical or physical) audit trail;
+
+
+ AU-12(1)[2]
+ the organization defines the level of tolerance for the relationship between time stamps of individual records in the audit trail; and
+
+
+ AU-12(1)[3]
+ the information system compiles audit records from organization-defined information system components into a system-wide (logical or physical) audit trail that is time-correlated to within the organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-12(2)
+ STANDARDIZED FORMATS
+
+ Determine if the information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-12(3)
+ CHANGES BY AUTHORIZED INDIVIDUALS
+
+ Determine if:
+
+ AU-12(3)[1]
+ the organization defines information system components on which auditing is to be performed;
+
+
+ AU-12(3)[2]
+ the organization defines individuals or roles authorized to change the auditing to be performed on organization-defined information system components;
+
+
+ AU-12(3)[3]
+ the organization defines time thresholds within which organization-defined individuals or roles can change the auditing to be performed on organization-defined information system components;
+
+
+ AU-12(3)[4]
+ the organization defines selectable event criteria that support the capability for organization-defined individuals or roles to change the auditing to be performed on organization-defined information system components; and
+
+
+ AU-12(3)[5]
+ the information system provides the capability for organization-defined individuals or roles to change the auditing to be performed on organization-defined information system components based on organization-defined selectable event criteria within organization-defined time thresholds.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-13
+ MONITORING FOR INFORMATION DISCLOSURE
+
+ Determine if the organization:
+
+ AU-13[1]
+ defines open source information and/or information sites to be monitored for evidence of unauthorized disclosure of organizational information;
+
+
+ AU-13[2]
+ defines a frequency to monitor organization-defined open source information and/or information sites for evidence of unauthorized disclosure of organizational information; and
+
+
+ AU-13[3]
+ monitors organization-defined open source information and/or information sites for evidence of unauthorized disclosure of organizational information with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-13(1)
+ USE OF AUTOMATED TOOLS
+
+ Determine if the organization employs automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-13(2)
+ REVIEW OF MONITORED SITES
+
+ Determine if the organization:
+
+ AU-13(2)[1]
+ defines a frequency to review the open source information sites being monitored; and
+
+
+ AU-13(2)[2]
+ reviews the open source information sites being monitored with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-14
+ SESSION AUDIT
+
+ Determine if the information system provides the capability for authorized users to select a user session to:
+
+ AU-14[1]
+ capture/record; and/or
+
+
+ AU-14[2]
+ view/hear.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-14(1)
+ SYSTEM START-UP
+
+ Determine if the information system initiates session audits at system start-up.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-14(2)
+ CAPTURE / RECORD AND LOG CONTENT
+
+ Determine if the information system provides the capability for authorized users to:
+
+ AU-14(2)[1]
+ capture/record content related to a user session; and
+
+
+ AU-14(2)[2]
+ log content related to a user session.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-14(3)
+ REMOTE VIEWING / LISTENING
+
+ Determine if the information system provides the capability for authorized users to remotely view/hear all content related to an established user session in real time.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-15
+ ALTERNATE AUDIT CAPABILITY
+
+ Determine if the organization:
+
+ AU-15[1]
+ defines alternative audit functionality to be provided in the event of a failure in primary audit capability; and
+
+
+ AU-15[2]
+ provides an alternative audit capability in the event of a failure in primary audit capability that provides organization-defined alternative audit functionality.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+ AU-16
+ CROSS-ORGANIZATIONAL AUDITING
+
+ Determine if the organization:
+
+ AU-16[1]
+ defines audit information to be coordinated among external organizations when audit information is transmitted across organizational boundaries;
+
+
+ AU-16[2]
+ defines methods for coordinating organization-defined audit information among external organizations when audit information is transmitted across organizational boundaries; and
+
+
+ AU-16[3]
+ employs organization-defined methods for coordinating organization-defined audit information among external organizations when audit information is transmitted across organizational boundaries.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-16(1)
+ IDENTITY PRESERVATION
+
+ Determine if the organization requires that the identity of individuals be preserved in cross- organizational audit trails.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-16(2)
+ SHARING OF AUDIT INFORMATION
+
+ Determine if the organization:
+
+ AU-16(2)[1]
+ defines organizations with whom cross-organizational audit information is to be shared;
+
+
+ AU-16(2)[2]
+ defines cross-organizational sharing agreements to be used when providing cross-organizational audit information to organization-defined organizations; and
+
+
+ AU-16(2)[3]
+ provides cross-organizational audit information to organization-defined organizations based on organization-defined cross-organizational sharing agreements.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+ CA-1
+ SECURITY ASSESSMENT AND AUTHORIZATION POLICY AND PROCEDURES
+
+ Determine if the organization:
+
+ CA-1(a)(1)
+
+ CA-1(a)(1)[1]
+ develops and documents a security assessment and authorization policy that addresses:
+
+ CA-1(a)(1)[1][a]
+ purpose;
+
+
+ CA-1(a)(1)[1][b]
+ scope;
+
+
+ CA-1(a)(1)[1][c]
+ roles;
+
+
+ CA-1(a)(1)[1][d]
+ responsibilities;
+
+
+ CA-1(a)(1)[1][e]
+ management commitment;
+
+
+ CA-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ CA-1(a)(1)[1][g]
+ compliance;
+
+
+
+ CA-1(a)(1)[2]
+ defines personnel or roles to whom the security assessment and authorization policy is to be disseminated;
+
+
+ CA-1(a)(1)[3]
+ disseminates the security assessment and authorization policy to organization-defined personnel or roles;
+
+
+
+ CA-1(a)(2)
+
+ CA-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the security assessment and authorization policy and associated assessment and authorization controls;
+
+
+ CA-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ CA-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ CA-1(b)(1)
+
+ CA-1(b)(1)[1]
+ defines the frequency to review and update the current security assessment and authorization policy;
+
+
+ CA-1(b)(1)[2]
+ reviews and updates the current security assessment and authorization policy with the organization-defined frequency;
+
+
+
+ CA-1(b)(2)
+
+ CA-1(b)(2)[1]
+ defines the frequency to review and update the current security assessment and authorization procedures; and
+
+
+ CA-1(b)(2)[2]
+ reviews and updates the current security assessment and authorization procedures with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+ CA-2
+ SECURITY ASSESSMENTS
+
+ Determine if the organization:
+
+ CA-2(a)
+ develops a security assessment plan that describes the scope of the assessment including:
+
+ CA-2(a)(1)
+ security controls and control enhancements under assessment;
+
+
+ CA-2(a)(2)
+ assessment procedures to be used to determine security control effectiveness;
+
+
+ CA-2(a)(3)
+
+ CA-2(a)(3)[1]
+ assessment environment;
+
+
+ CA-2(a)(3)[2]
+ assessment team;
+
+
+ CA-2(a)(3)[3]
+ assessment roles and responsibilities;
+
+
+
+
+ CA-2(b)
+
+ CA-2(b)[1]
+ defines the frequency to assess the security controls in the information system and its environment of operation;
+
+
+ CA-2(b)[2]
+ assesses the security controls in the information system with the organization-defined frequency to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;
+
+
+
+ CA-2(c)
+ produces a security assessment report that documents the results of the assessment;
+
+
+ CA-2(d)
+
+ CA-2(d)[1]
+ defines individuals or roles to whom the results of the security control assessment are to be provided; and
+
+
+ CA-2(d)[2]
+ provides the results of the security control assessment to organization-defined individuals or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-2(1)
+ INDEPENDENT ASSESSORS
+
+ Determine if the organization:
+
+ CA-2(1)[1]
+ defines the level of independence to be employed to conduct security control assessments; and
+
+
+ CA-2(1)[2]
+ employs assessors or assessment teams with the organization-defined level of independence to conduct security control assessments.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-2(2)
+ SPECIALIZED ASSESSMENTS
+
+ Determine if the organization:
+
+ CA-2(2)[1]
+ selects one or more of the following forms of specialized security assessment to be included as part of security control assessments:
+
+ CA-2(2)[1][a]
+ in-depth monitoring;
+
+
+ CA-2(2)[1][b]
+ vulnerability scanning;
+
+
+ CA-2(2)[1][c]
+ malicious user testing;
+
+
+ CA-2(2)[1][d]
+ insider threat assessment;
+
+
+ CA-2(2)[1][e]
+ performance/load testing; and/or
+
+
+ CA-2(2)[1][f]
+ other forms of organization-defined specialized security assessment;
+
+
+
+ CA-2(2)[2]
+ defines the frequency for conducting the selected form(s) of specialized security assessment;
+
+
+ CA-2(2)[3]
+ defines whether the specialized security assessment will be announced or unannounced; and
+
+
+ CA-2(2)[4]
+ conducts announced or unannounced organization-defined forms of specialized security assessments with the organization-defined frequency as part of security control assessments.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-2(3)
+ EXTERNAL ORGANIZATIONS
+
+ Determine if the organization:
+
+ CA-2(3)[1]
+ defines an information system for which the results of a security assessment performed by an external organization are to be accepted;
+
+
+ CA-2(3)[2]
+ defines an external organization from which to accept a security assessment performed on an organization-defined information system;
+
+
+ CA-2(3)[3]
+ defines the requirements to be met by a security assessment performed by organization-defined external organization on organization-defined information system; and
+
+
+ CA-2(3)[4]
+ accepts the results of an assessment of an organization-defined information system performed by an organization-defined external organization when the assessment meets organization-defined requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+ CA-3
+ SYSTEM INTERCONNECTIONS
+
+ Determine if the organization:
+
+ CA-3(a)
+ authorizes connections from the information system to other information systems through the use of Interconnection Security Agreements;
+
+
+ CA-3(b)
+ documents, for each interconnection:
+
+ CA-3(b)[1]
+ the interface characteristics;
+
+
+ CA-3(b)[2]
+ the security requirements;
+
+
+ CA-3(b)[3]
+ the nature of the information communicated;
+
+
+
+ CA-3(c)
+
+ CA-3(c)[1]
+ defines the frequency to review and update Interconnection Security Agreements; and
+
+
+ CA-3(c)[2]
+ reviews and updates Interconnection Security Agreements with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-3(1)
+ UNCLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS
+
+ Determine if the organization:
+
+ CA-3(1)[1]
+ defines an unclassified, national security system whose direct connection to an external network is to be prohibited without the use of approved boundary protection device;
+
+
+ CA-3(1)[2]
+ defines a boundary protection device to be used to establish the direct connection of an organization-defined unclassified, national security system to an external network; and
+
+
+ CA-3(1)[3]
+ prohibits the direct connection of an organization-defined unclassified, national security system to an external network without the use of an organization-defined boundary protection device.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-3(2)
+ CLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS
+
+ Determine if the organization:
+
+ CA-3(2)[1]
+ defines a boundary protection device to be used to establish the direct connection of a classified, national security system to an external network; and
+
+
+ CA-3(2)[2]
+ prohibits the direct connection of a classified, national security system to an external network without the use of an organization-defined boundary protection device.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-3(3)
+ UNCLASSIFIED NON-NATIONAL SECURITY SYSTEM CONNECTIONS
+
+ Determine if the organization:
+
+ CA-3(3)[1]
+ defines an unclassified, non-national security system whose direct connection to an external network is to be prohibited without the use of approved boundary protection device;
+
+
+ CA-3(3)[2]
+ defines a boundary protection device to be used to establish the direct connection of an organization-defined unclassified, non-national security system to an external network; and
+
+
+ CA-3(3)[3]
+ prohibits the direct connection of an organization-defined unclassified, non-national security system to an external network without the use of an organization-defined boundary protection device.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-3(4)
+ CONNECTIONS TO PUBLIC NETWORKS
+
+ Determine if the organization:
+
+ CA-3(4)[1]
+ defines an information system whose direct connection to a public network is to be prohibited; and
+
+
+ CA-3(4)[2]
+ prohibits the direct connection of an organization-defined information system to a public network.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-3(5)
+ RESTRICTIONS ON EXTERNAL SYSTEM CONNECTIONS
+
+ Determine if the organization:
+
+ CA-3(5)[1]
+ defines information systems to be allowed to connect to external information systems;
+
+
+ CA-3(5)[2]
+ employs one of the following policies for allowing organization-defined information systems to connect to external information systems:
+
+ CA-3(5)[2][a]
+ allow-all policy;
+
+
+ CA-3(5)[2][b]
+ deny-by-exception policy;
+
+
+ CA-3(5)[2][c]
+ deny-all policy; or
+
+
+ CA-3(5)[2][d]
+ permit-by-exception policy.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+ CA-4
+ SECURITY CERTIFICATION
+
+ CA-2
+
+
+ [Withdrawn: Incorporated into CA-2].
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+ CA-5
+ PLAN OF ACTION AND MILESTONES
+
+ Determine if the organization:
+
+ CA-5(a)
+ develops a plan of action and milestones for the information system to:
+
+ CA-5(a)[1]
+ document the organization’s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls;
+
+
+ CA-5(a)[2]
+ reduce or eliminate known vulnerabilities in the system;
+
+
+
+ CA-5(b)
+
+ CA-5(b)[1]
+ defines the frequency to update the existing plan of action and milestones;
+
+
+ CA-5(b)[2]
+ updates the existing plan of action and milestones with the organization-defined frequency based on the findings from:
+
+ CA-5(b)[2][a]
+ security controls assessments;
+
+
+ CA-5(b)[2][b]
+ security impact analyses; and
+
+
+ CA-5(b)[2][c]
+ continuous monitoring activities.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-5(1)
+ AUTOMATION SUPPORT FOR ACCURACY / CURRENCY
+
+ Determine if the organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is:
+
+ CA-5(1)[1]
+ accurate;
+
+
+ CA-5(1)[2]
+ up to date; and
+
+
+ CA-5(1)[3]
+ readily available.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+ CA-6
+ SECURITY AUTHORIZATION
+
+ Determine if the organization:
+
+ CA-6(a)
+ assigns a senior-level executive or manager as the authorizing official for the information system;
+
+
+ CA-6(b)
+ ensures that the authorizing official authorizes the information system for processing before commencing operations;
+
+
+ CA-6(c)
+
+ CA-6(c)[1]
+ defines the frequency to update the security authorization; and
+
+
+ CA-6(c)[2]
+ updates the security authorization with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+ CA-7
+ CONTINUOUS MONITORING
+
+ Determine if the organization:
+
+ CA-7(a)
+
+ CA-7(a)[1]
+ develops a continuous monitoring strategy that defines metrics to be monitored;
+
+
+ CA-7(a)[2]
+ develops a continuous monitoring strategy that includes monitoring of organization-defined metrics;
+
+
+ CA-7(a)[3]
+ implements a continuous monitoring program that includes monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;
+
+
+
+ CA-7(b)
+
+ CA-7(b)[1]
+ develops a continuous monitoring strategy that defines frequencies for monitoring;
+
+
+ CA-7(b)[2]
+ defines frequencies for assessments supporting monitoring;
+
+
+ CA-7(b)[3]
+ develops a continuous monitoring strategy that includes establishment of the organization-defined frequencies for monitoring and for assessments supporting monitoring;
+
+
+ CA-7(b)[4]
+ implements a continuous monitoring program that includes establishment of organization-defined frequencies for monitoring and for assessments supporting such monitoring in accordance with the organizational continuous monitoring strategy;
+
+
+
+ CA-7(c)
+
+ CA-7(c)[1]
+ develops a continuous monitoring strategy that includes ongoing security control assessments;
+
+
+ CA-7(c)[2]
+ implements a continuous monitoring program that includes ongoing security control assessments in accordance with the organizational continuous monitoring strategy;
+
+
+
+ CA-7(d)
+
+ CA-7(d)[1]
+ develops a continuous monitoring strategy that includes ongoing security status monitoring of organization-defined metrics;
+
+
+ CA-7(d)[2]
+ implements a continuous monitoring program that includes ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;
+
+
+
+ CA-7(e)
+
+ CA-7(e)[1]
+ develops a continuous monitoring strategy that includes correlation and analysis of security-related information generated by assessments and monitoring;
+
+
+ CA-7(e)[2]
+ implements a continuous monitoring program that includes correlation and analysis of security-related information generated by assessments and monitoring in accordance with the organizational continuous monitoring strategy;
+
+
+
+ CA-7(f)
+
+ CA-7(f)[1]
+ develops a continuous monitoring strategy that includes response actions to address results of the analysis of security-related information;
+
+
+ CA-7(f)[2]
+ implements a continuous monitoring program that includes response actions to address results of the analysis of security-related information in accordance with the organizational continuous monitoring strategy;
+
+
+
+ CA-7(g)
+
+ CA-7(g)[1]
+ develops a continuous monitoring strategy that defines the personnel or roles to whom the security status of the organization and information system are to be reported;
+
+
+ CA-7(g)[2]
+ develops a continuous monitoring strategy that defines the frequency to report the security status of the organization and information system to organization-defined personnel or roles;
+
+
+ CA-7(g)[3]
+ develops a continuous monitoring strategy that includes reporting the security status of the organization or information system to organizational-defined personnel or roles with the organization-defined frequency; and
+
+
+ CA-7(g)[4]
+ implements a continuous monitoring program that includes reporting the security status of the organization and information system to organization-defined personnel or roles with the organization-defined frequency in accordance with the organizational continuous monitoring strategy.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-7(1)
+ INDEPENDENT ASSESSMENT
+
+ Determine if the organization:
+
+ CA-7(1)[1]
+ defines a level of independence to be employed to monitor the security controls in the information system on an ongoing basis; and
+
+
+ CA-7(1)[2]
+ employs assessors or assessment teams with the organization-defined level of independence to monitor the security controls in the information system on an ongoing basis.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-7(2)
+ TYPES OF ASSESSMENTS
+
+ CA-2
+
+
+ [Withdrawn: Incorporated into CA-2].
+
+
+
+ CA-7(3)
+ TREND ANALYSIS
+
+ Determine if the organization employs trend analyses to determine if the following items need to be modified based on empirical data:
+
+ CA-7(3)[1]
+ security control implementations;
+
+
+ CA-7(3)[2]
+ the frequency of continuous monitoring activities; and/or
+
+
+ CA-7(3)[3]
+ the types of activities used in the continuous monitoring process.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+ CA-8
+ PENETRATION TESTING
+
+ Determine if the organization:
+
+ CA-8[1]
+ defines information systems or system components on which penetration testing is to be conducted;
+
+
+ CA-8[2]
+ defines the frequency to conduct penetration testing on organization-defined information systems or system components; and
+
+
+ CA-8[3]
+ conducts penetration testing on organization-defined information systems or system components with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-8(1)
+ INDEPENDENT PENETRATION AGENT OR TEAM
+
+ Determine if the organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-8(2)
+ RED TEAM EXERCISES
+
+ Determine if the organization:
+
+ CA-8(2)[1]
+ defines red team exercises to be employed to simulate attempts by adversaries to compromise organizational information systems;
+
+
+ CA-8(2)[2]
+ defines rules of engagement for employing organization-defined red team exercises; and
+
+
+ CA-8(2)[3]
+ employs organization-defined red team exercises to simulate attempts by adversaries to compromise organizational information systems in accordance with organization-defined rules of engagement.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+ CA-9
+ INTERNAL SYSTEM CONNECTIONS
+
+ Determine if the organization:
+
+ CA-9(a)
+
+ CA-9(a)[1]
+ defines information system components or classes of components to be authorized as internal connections to the information system;
+
+
+ CA-9(a)[2]
+ authorizes internal connections of organization-defined information system components or classes of components to the information system;
+
+
+
+ CA-9(b)
+ documents, for each internal connection:
+
+ CA-9(b)[1]
+ the interface characteristics;
+
+
+ CA-9(b)[2]
+ the security requirements; and
+
+
+ CA-9(b)[3]
+ the nature of the information communicated.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-9(1)
+ SECURITY COMPLIANCE CHECKS
+
+ Determine if the information system performs security compliance checks on constituent system components prior to the establishment of the internal connection.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-1
+ CONFIGURATION MANAGEMENT POLICY AND PROCEDURES
+
+ Determine if the organization:
+
+ CM-1(a)(1)
+
+ CM-1(a)(1)[1]
+ develops and documents a configuration management policy that addresses:
+
+ CM-1(a)(1)[1][a]
+ purpose;
+
+
+ CM-1(a)(1)[1][b]
+ scope;
+
+
+ CM-1(a)(1)[1][c]
+ roles;
+
+
+ CM-1(a)(1)[1][d]
+ responsibilities;
+
+
+ CM-1(a)(1)[1][e]
+ management commitment;
+
+
+ CM-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ CM-1(a)(1)[1][g]
+ compliance;
+
+
+
+ CM-1(a)(1)[2]
+ defines personnel or roles to whom the configuration management policy is to be disseminated;
+
+
+ CM-1(a)(1)[3]
+ disseminates the configuration management policy to organization-defined personnel or roles;
+
+
+
+ CM-1(a)(2)
+
+ CM-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the configuration management policy and associated configuration management controls;
+
+
+ CM-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ CM-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ CM-1(b)(1)
+
+ CM-1(b)(1)[1]
+ defines the frequency to review and update the current configuration management policy;
+
+
+ CM-1(b)(1)[2]
+ reviews and updates the current configuration management policy with the organization-defined frequency;
+
+
+
+ CM-1(b)(2)
+
+ CM-1(b)(2)[1]
+ defines the frequency to review and update the current configuration management procedures; and
+
+
+ CM-1(b)(2)[2]
+ reviews and updates the current configuration management procedures with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-2
+ BASELINE CONFIGURATION
+
+ Determine if the organization:
+
+ CM-2[1]
+ develops and documents a current baseline configuration of the information system; and
+
+
+ CM-2[2]
+ maintains, under configuration control, a current baseline configuration of the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-2(1)
+ REVIEWS AND UPDATES
+
+ Determine if the organization:
+
+ CM-2(1)(a)
+
+ CM-2(1)(a)[1]
+ defines the frequency to review and update the baseline configuration of the information system;
+
+
+ CM-2(1)(a)[2]
+ reviews and updates the baseline configuration of the information system with the organization-defined frequency;
+
+
+
+ CM-2(1)(b)
+
+ CM-2(1)(b)[1]
+ defines circumstances that require the baseline configuration of the information system to be reviewed and updated;
+
+
+ CM-2(1)(b)[2]
+ reviews and updates the baseline configuration of the information system when required due to organization-defined circumstances; and
+
+
+
+ CM-2(1)(c)
+ reviews and updates the baseline configuration of the information system as an integral part of information system component installations and upgrades.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-2(2)
+ AUTOMATION SUPPORT FOR ACCURACY / CURRENCY
+
+ Determine if the organization employs automated mechanisms to maintain:
+
+ CM-2(2)[1]
+ an up-to-date baseline configuration of the information system;
+
+
+ CM-2(2)[2]
+ a complete baseline configuration of the information system;
+
+
+ CM-2(2)[3]
+ an accurate baseline configuration of the information system; and
+
+
+ CM-2(2)[4]
+ a readily available baseline configuration of the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-2(3)
+ RETENTION OF PREVIOUS CONFIGURATIONS
+
+ Determine if the organization:
+
+ CM-2(3)[1]
+ defines previous versions of baseline configurations of the information system to be retained to support rollback; and
+
+
+ CM-2(3)[2]
+ retains organization-defined previous versions of baseline configurations of the information system to support rollback.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-2(4)
+ UNAUTHORIZED SOFTWARE
+
+ CM-7
+
+
+ [Withdrawn: Incorporated into CM-7].
+
+
+
+ CM-2(5)
+ AUTHORIZED SOFTWARE
+
+ CM-7
+
+
+ [Withdrawn: Incorporated into CM-7].
+
+
+
+ CM-2(6)
+ DEVELOPMENT AND TEST ENVIRONMENTS
+
+ Determine if the organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-2(7)
+ CONFIGURE SYSTEMS, COMPONENTS, OR DEVICES FOR HIGH-RISK AREAS
+
+ Determine if the organization:
+
+ CM-2(7)(a)
+
+ CM-2(7)(a)[1]
+ defines information systems, system components, or devices to be issued to individuals traveling to locations that the organization deems to be of significant risk;
+
+
+ CM-2(7)(a)[2]
+ defines configurations to be employed on organization-defined information systems, system components, or devices issued to individuals traveling to such locations;
+
+
+ CM-2(7)(a)[3]
+ issues organization-defined information systems, system components, or devices with organization-defined configurations to individuals traveling to locations that the organization deems to be of significant risk;
+
+
+
+ CM-2(7)(b)
+
+ CM-2(7)(b)[1]
+ defines security safeguards to be applied to the devices when the individuals return; and
+
+
+ CM-2(7)(b)[2]
+ applies organization-defined safeguards to the devices when the individuals return.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-3
+ CONFIGURATION CHANGE CONTROL
+
+ Determine if the organization:
+
+ CM-3(a)
+ determines the type of changes to the information system that must be configuration-controlled;
+
+
+ CM-3(b)
+ reviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses;
+
+
+ CM-3(c)
+ documents configuration change decisions associated with the information system;
+
+
+ CM-3(d)
+ implements approved configuration-controlled changes to the information system;
+
+
+ CM-3(e)
+
+ CM-3(e)[1]
+ defines a time period to retain records of configuration-controlled changes to the information system;
+
+
+ CM-3(e)[2]
+ retains records of configuration-controlled changes to the information system for the organization-defined time period;
+
+
+
+ CM-3(f)
+ audits and reviews activities associated with configuration-controlled changes to the information system;
+
+
+ CM-3(g)
+
+ CM-3(g)[1]
+ defines a configuration change control element (e.g., committee, board) responsible for coordinating and providing oversight for configuration change control activities;
+
+
+ CM-3(g)[2]
+ defines the frequency with which the configuration change control element must convene; and/or
+
+
+ CM-3(g)[3]
+ defines configuration change conditions that prompt the configuration change control element to convene; and
+
+
+ CM-3(g)[4]
+ coordinates and provides oversight for configuration change control activities through organization-defined configuration change control element that convenes at organization-defined frequency and/or for any organization-defined configuration change conditions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-3(1)
+ AUTOMATED DOCUMENT / NOTIFICATION / PROHIBITION OF CHANGES
+
+ Determine if the organization:
+
+ CM-3(1)(a)
+ employs automated mechanisms to document proposed changes to the information system;
+
+
+ CM-3(1)(b)
+
+ CM-3(1)(b)[1]
+ defines approval authorities to be notified of proposed changes to the information system and request change approval;
+
+
+ CM-3(1)(b)[2]
+ employs automated mechanisms to notify organization-defined approval authorities of proposed changes to the information system and request change approval;
+
+
+
+ CM-3(1)(c)
+
+ CM-3(1)(c)[1]
+ defines the time period within which proposed changes to the information system that have not been approved or disapproved must be highlighted;
+
+
+ CM-3(1)(c)[2]
+ employs automated mechanisms to highlight proposed changes to the information system that have not been approved or disapproved by organization-defined time period;
+
+
+
+ CM-3(1)(d)
+ employs automated mechanisms to prohibit changes to the information system until designated approvals are received;
+
+
+ CM-3(1)(e)
+ employs automated mechanisms to document all changes to the information system;
+
+
+ CM-3(1)(f)
+
+ CM-3(1)(f)[1]
+ defines personnel to be notified when approved changes to the information system are completed; and
+
+
+ CM-3(1)(f)[2]
+ employs automated mechanisms to notify organization-defined personnel when approved changes to the information system are completed.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-3(2)
+ TEST / VALIDATE / DOCUMENT CHANGES
+
+ Determine if the organization, before implementing changes on the operational system:
+
+ CM-3(2)[1]
+ tests changes to the information system;
+
+
+ CM-3(2)[2]
+ validates changes to the information system; and
+
+
+ CM-3(2)[3]
+ documents changes to the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-3(3)
+ AUTOMATED CHANGE IMPLEMENTATION
+
+ Determine if the organization:
+
+ CM-3(3)[1]
+ employs automated mechanisms to implement changes to the current information system baseline; and
+
+
+ CM-3(3)[2]
+ deploys the updated baseline across the installed base.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-3(4)
+ SECURITY REPRESENTATIVE
+
+ Determine if the organization:
+
+ CM-3(4)[1]
+ specifies the configuration change control elements (as defined in CM-3g) of which an information security representative is to be a member; and
+
+
+ CM-3(4)[2]
+ requires an information security representative to be a member of the specified configuration control element.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-3(5)
+ AUTOMATED SECURITY RESPONSE
+
+ Determine if:
+
+ CM-3(5)[1]
+ the organization defines security responses to be implemented automatically if baseline configurations are changed in an unauthorized manner; and
+
+
+ CM-3(5)[2]
+ the information system implements organization-defined security responses automatically if baseline configurations are changed in an unauthorized manner.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-3(6)
+ CRYPTOGRAPHY MANAGEMENT
+
+ Determine if the organization:
+
+ CM-3(6)[1]
+ defines security safeguards provided by cryptographic mechanisms that are to be under configuration management; and
+
+
+ CM-3(6)[2]
+ ensures that cryptographic mechanisms used to provide organization-defined security safeguards are under configuration management.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-4
+ SECURITY IMPACT ANALYSIS
+
+ Determine if the organization analyzes changes to the information system to determine potential security impacts prior to change implementation.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-4(1)
+ SEPARATE TEST ENVIRONMENTS
+
+ Determine if the organization:
+
+ CM-4(1)[1]
+ analyzes changes to the information system in a separate test environment before implementation in an operational environment;
+
+
+ CM-4(1)[2]
+ when analyzing changes to the information system in a separate test environment, looks for security impacts due to:
+
+ CM-4(1)[2][a]
+ flaws;
+
+
+ CM-4(1)[2][b]
+ weaknesses;
+
+
+ CM-4(1)[2][c]
+ incompatibility; and
+
+
+ CM-4(1)[2][d]
+ intentional malice.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-4(2)
+ VERIFICATION OF SECURITY FUNCTIONS
+
+ Determine if the organization, after the information system is changed, checks the security functions to verify that the functions are:
+
+ CM-4(2)[1]
+ implemented correctly;
+
+
+ CM-4(2)[2]
+ operating as intended; and
+
+
+ CM-4(2)[3]
+ producing the desired outcome with regard to meeting the security requirements for the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-5
+ ACCESS RESTRICTIONS FOR CHANGE
+
+ Determine if the organization:
+
+ CM-5[1]
+ defines physical access restrictions associated with changes to the information system;
+
+
+ CM-5[2]
+ documents physical access restrictions associated with changes to the information system;
+
+
+ CM-5[3]
+ approves physical access restrictions associated with changes to the information system;
+
+
+ CM-5[4]
+ enforces physical access restrictions associated with changes to the information system;
+
+
+ CM-5[5]
+ defines logical access restrictions associated with changes to the information system;
+
+
+ CM-5[6]
+ documents logical access restrictions associated with changes to the information system;
+
+
+ CM-5[7]
+ approves logical access restrictions associated with changes to the information system; and
+
+
+ CM-5[8]
+ enforces logical access restrictions associated with changes to the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-5(1)
+ AUTOMATED ACCESS ENFORCEMENT / AUDITING
+
+ Determine if the information system:
+
+ CM-5(1)[1]
+ enforces access restrictions for change; and
+
+
+ CM-5(1)[2]
+ supports auditing of the enforcement actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-5(2)
+ REVIEW SYSTEM CHANGES
+
+ Determine if the organization, in an effort to ascertain whether unauthorized changes have occurred:
+
+ CM-5(2)[1]
+ defines the frequency to review information system changes;
+
+
+ CM-5(2)[2]
+ defines circumstances that warrant review of information system changes;
+
+
+ CM-5(2)[3]
+ reviews information system changes with the organization-defined frequency; and
+
+
+ CM-5(2)[4]
+ reviews information system changes with the organization-defined circumstances.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-5(3)
+ SIGNED COMPONENTS
+
+ Determine if:
+
+ CM-5(3)[1]
+ the organization defines software and firmware components that the information system will prevent from being installed without verification that such components have been digitally signed using a certificate that is recognized and approved by the organization; and
+
+
+ CM-5(3)[2]
+ the information system prevents the installation of organization-defined software and firmware components without verification that such components have been digitally signed using a certificate that is recognized and approved by the organization.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-5(4)
+ DUAL AUTHORIZATION
+
+ Determine if the organization:
+
+ CM-5(4)[1]
+ defines information system components and system-level information requiring dual authorization to be enforced when implementing changes; and
+
+
+ CM-5(4)[2]
+ enforces dual authorization for implementing changes to organization-defined information system components and system-level information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-5(5)
+ LIMIT PRODUCTION / OPERATIONAL PRIVILEGES
+
+ Determine if the organization:
+
+ CM-5(5)(a)
+ limits privileges to change information system components and system-related information within a production or operational environment;
+
+
+ CM-5(5)(b)
+
+ CM-5(5)(b)[1]
+ defines the frequency to review and reevaluate privileges; and
+
+
+ CM-5(5)(b)[2]
+ reviews and reevaluates privileges with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-5(6)
+ LIMIT LIBRARY PRIVILEGES
+
+ Determine if the organization limits privileges to change software resident within software libraries.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-5(7)
+ AUTOMATIC IMPLEMENTATION OF SECURITY SAFEGUARDS
+
+ SI-7
+
+
+ [Withdrawn: Incorporated into SI-7].
+
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-6
+ CONFIGURATION SETTINGS
+
+ Determine if the organization:
+
+ CM-6(a)
+
+ CM-6(a)[1]
+ defines security configuration checklists to be used to establish and document configuration settings for the information technology products employed;
+
+
+ CM-6(a)[2]
+ ensures the defined security configuration checklists reflect the most restrictive mode consistent with operational requirements;
+
+
+ CM-6(a)[3]
+ establishes and documents configuration settings for information technology products employed within the information system using organization-defined security configuration checklists;
+
+
+
+ CM-6(b)
+ implements the configuration settings established/documented in CM-6(a);;
+
+
+ CM-6(c)
+
+ CM-6(c)[1]
+ defines information system components for which any deviations from established configuration settings must be:
+
+ CM-6(c)[1][a]
+ identified;
+
+
+ CM-6(c)[1][b]
+ documented;
+
+
+ CM-6(c)[1][c]
+ approved;
+
+
+
+ CM-6(c)[2]
+ defines operational requirements to support:
+
+ CM-6(c)[2][a]
+ the identification of any deviations from established configuration settings;
+
+
+ CM-6(c)[2][b]
+ the documentation of any deviations from established configuration settings;
+
+
+ CM-6(c)[2][c]
+ the approval of any deviations from established configuration settings;
+
+
+
+ CM-6(c)[3]
+ identifies any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;
+
+
+ CM-6(c)[4]
+ documents any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;
+
+
+ CM-6(c)[5]
+ approves any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;
+
+
+
+ CM-6(d)
+
+ CM-6(d)[1]
+ monitors changes to the configuration settings in accordance with organizational policies and procedures; and
+
+
+ CM-6(d)[2]
+ controls changes to the configuration settings in accordance with organizational policies and procedures.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-6(1)
+ AUTOMATED CENTRAL MANAGEMENT / APPLICATION / VERIFICATION
+
+ Determine if the organization:
+
+ CM-6(1)[1]
+ defines information system components for which automated mechanisms are to be employed to:
+
+ CM-6(1)[1][a]
+ centrally manage configuration settings of such components;
+
+
+ CM-6(1)[1][b]
+ apply configuration settings of such components;
+
+
+ CM-6(1)[1][c]
+ verify configuration settings of such components;
+
+
+
+ CM-6(1)[2]
+ employs automated mechanisms to:
+
+ CM-6(1)[2][a]
+ centrally manage configuration settings for organization-defined information system components;
+
+
+ CM-6(1)[2][b]
+ apply configuration settings for organization-defined information system components; and
+
+
+ CM-6(1)[2][c]
+ verify configuration settings for organization-defined information system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-6(2)
+ RESPOND TO UNAUTHORIZED CHANGES
+
+ Determine if the organization:
+
+ CM-6(2)[1]
+ defines configuration settings that, if modified by unauthorized changes, result in organizational security safeguards being employed to respond to such changes;
+
+
+ CM-6(2)[2]
+ defines security safeguards to be employed to respond to unauthorized changes to organization-defined configuration settings; and
+
+
+ CM-6(2)[3]
+ employs organization-defined security safeguards to respond to unauthorized changes to organization-defined configuration settings.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-6(3)
+ UNAUTHORIZED CHANGE DETECTION
+
+ SI-7
+
+
+ [Withdrawn: Incorporated into SI-7].
+
+
+
+ CM-6(4)
+ CONFORMANCE DEMONSTRATION
+
+ CM-4
+
+
+ [Withdrawn: Incorporated into CM-4].
+
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-7
+ LEAST FUNCTIONALITY
+
+ Determine if the organization:
+
+ CM-7(a)
+ configures the information system to provide only essential capabilities;
+
+
+ CM-7(b)
+
+ CM-7(b)[1]
+ defines prohibited or restricted:
+
+ CM-7(b)[1][a]
+ functions;
+
+
+ CM-7(b)[1][b]
+ ports;
+
+
+ CM-7(b)[1][c]
+ protocols; and/or
+
+
+ CM-7(b)[1][d]
+ services;
+
+
+
+ CM-7(b)[2]
+ prohibits or restricts the use of organization-defined:
+
+ CM-7(b)[2][a]
+ functions;
+
+
+ CM-7(b)[2][b]
+ ports;
+
+
+ CM-7(b)[2][c]
+ protocols; and/or
+
+
+ CM-7(b)[2][d]
+ services.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-7(1)
+ PERIODIC REVIEW
+
+ Determine if the organization:
+
+ CM-7(1)(a)
+
+ CM-7(1)(a)[1]
+ defines the frequency to review the information system to identify unnecessary and/or nonsecure:
+
+ CM-7(1)(a)[1][a]
+ functions;
+
+
+ CM-7(1)(a)[1][b]
+ ports;
+
+
+ CM-7(1)(a)[1][c]
+ protocols; and/or
+
+
+ CM-7(1)(a)[1][d]
+ services;
+
+
+
+ CM-7(1)(a)[2]
+ reviews the information system with the organization-defined frequency to identify unnecessary and/or nonsecure:
+
+ CM-7(1)(a)[2][a]
+ functions;
+
+
+ CM-7(1)(a)[2][b]
+ ports;
+
+
+ CM-7(1)(a)[2][c]
+ protocols; and/or
+
+
+ CM-7(1)(a)[2][d]
+ services;
+
+
+
+
+ CM-7(1)(b)
+
+ CM-7(1)(b)[1]
+ defines, within the information system, unnecessary and/or nonsecure:
+
+ CM-7(1)(b)[1][a]
+ functions;
+
+
+ CM-7(1)(b)[1][b]
+ ports;
+
+
+ CM-7(1)(b)[1][c]
+ protocols; and/or
+
+
+ CM-7(1)(b)[1][d]
+ services;
+
+
+
+ CM-7(1)(b)[2]
+ disables organization-defined unnecessary and/or nonsecure:
+
+ CM-7(1)(b)[2][a]
+ functions;
+
+
+ CM-7(1)(b)[2][b]
+ ports;
+
+
+ CM-7(1)(b)[2][c]
+ protocols; and/or
+
+
+ CM-7(1)(b)[2][d]
+ services.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-7(2)
+ PREVENT PROGRAM EXECUTION
+
+ Determine if:
+
+ CM-7(2)[1]
+ the organization defines policies regarding software program usage and restrictions;
+
+
+ CM-7(2)[2]
+ the information system prevents program execution in accordance with one or more of the following:
+
+ CM-7(2)[2][a]
+ organization-defined policies regarding program usage and restrictions; and/or
+
+
+ CM-7(2)[2][b]
+ rules authorizing the terms and conditions of software program usage.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-7(3)
+ REGISTRATION COMPLIANCE
+
+ Determine if the organization:
+
+ CM-7(3)[1]
+ defines registration requirements for:
+
+ CM-7(3)[1][a]
+ functions;
+
+
+ CM-7(3)[1][b]
+ ports;
+
+
+ CM-7(3)[1][c]
+ protocols; and/or
+
+
+ CM-7(3)[1][d]
+ services;
+
+
+
+ CM-7(3)[2]
+ ensures compliance with organization-defined registration requirements for:
+
+ CM-7(3)[2][a]
+ functions;
+
+
+ CM-7(3)[2][b]
+ ports;
+
+
+ CM-7(3)[2][c]
+ protocols; and/or
+
+
+ CM-7(3)[2][d]
+ services.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-7(4)
+ UNAUTHORIZED SOFTWARE (BLACKLISTING)
+
+ Determine if the organization:
+
+ CM-7(4)(a)
+ Identifies/defines software programs not authorized to execute on the information system;
+
+
+ CM-7(4)(b)
+ employs an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the information system;
+
+
+ CM-7(4)(c)
+
+ CM-7(4)(c)[1]
+ defines the frequency to review and update the list of unauthorized software programs on the information system; and
+
+
+ CM-7(4)(c)[2]
+ reviews and updates the list of unauthorized software programs with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-7(5)
+ AUTHORIZED SOFTWARE (WHITELISTING)
+
+ Determine if the organization:
+
+ CM-7(5)(a)
+ Identifies/defines software programs authorized to execute on the information system;
+
+
+ CM-7(5)(b)
+ employs a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system;
+
+
+ CM-7(5)(c)
+
+ CM-7(5)(c)[1]
+ defines the frequency to review and update the list of authorized software programs on the information system; and
+
+
+ CM-7(5)(c)[2]
+ reviews and updates the list of authorized software programs with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-8
+ INFORMATION SYSTEM COMPONENT INVENTORY
+
+ Determine if the organization:
+
+ CM-8(a)
+
+ CM-8(a)(1)
+ develops and documents an inventory of information system components that accurately reflects the current information system;
+
+
+ CM-8(a)(2)
+ develops and documents an inventory of information system components that includes all components within the authorization boundary of the information system;
+
+
+ CM-8(a)(3)
+ develops and documents an inventory of information system components that is at the level of granularity deemed necessary for tracking and reporting;
+
+
+ CM-8(a)(4)
+
+ CM-8(a)(4)[1]
+ defines the information deemed necessary to achieve effective information system component accountability;
+
+
+ CM-8(a)(4)[2]
+ develops and documents an inventory of information system components that includes organization-defined information deemed necessary to achieve effective information system component accountability;
+
+
+
+
+ CM-8(b)
+
+ CM-8(b)[1]
+ defines the frequency to review and update the information system component inventory; and
+
+
+ CM-8(b)[2]
+ reviews and updates the information system component inventory with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-8(1)
+ UPDATES DURING INSTALLATIONS / REMOVALS
+
+ Determine if the organization updates the inventory of information system components as an integral part of:
+
+ CM-8(1)[1]
+ component installations;
+
+
+ CM-8(1)[2]
+ component removals; and
+
+
+ CM-8(1)[3]
+ information system updates.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-8(2)
+ AUTOMATED MAINTENANCE
+
+ Determine if the organization employs automated mechanisms to maintain an inventory of information system components that is:
+
+ CM-8(2)[1]
+ up-to-date;
+
+
+ CM-8(2)[2]
+ complete;
+
+
+ CM-8(2)[3]
+ accurate; and
+
+
+ CM-8(2)[4]
+ readily available.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-8(3)
+ AUTOMATED UNAUTHORIZED COMPONENT DETECTION
+
+ Determine if the organization:
+
+ CM-8(3)(a)
+
+ CM-8(3)(a)[1]
+ defines the frequency to employ automated mechanisms to detect the presence of unauthorized:
+
+ CM-8(3)(a)[1][a]
+ hardware components within the information system;
+
+
+ CM-8(3)(a)[1][b]
+ software components within the information system;
+
+
+ CM-8(3)(a)[1][c]
+ firmware components within the information system;
+
+
+
+ CM-8(3)(a)[2]
+ employs automated mechanisms with the organization-defined frequency to detect the presence of unauthorized:
+
+ CM-8(3)(a)[2][a]
+ hardware components within the information system;
+
+
+ CM-8(3)(a)[2][b]
+ software components within the information system;
+
+
+ CM-8(3)(a)[2][c]
+ firmware components within the information system;
+
+
+
+
+ CM-8(3)(b)
+
+ CM-8(3)(b)[1]
+ defines personnel or roles to be notified when unauthorized components are detected;
+
+
+ CM-8(3)(b)[2]
+ takes one or more of the following actions when unauthorized components are detected:
+
+ CM-8(3)(b)[2][a]
+ disables network access by such components;
+
+
+ CM-8(3)(b)[2][b]
+ isolates the components; and/or
+
+
+ CM-8(3)(b)[2][c]
+ notifies organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-8(4)
+ ACCOUNTABILITY INFORMATION
+
+ Determine if the organization includes in the information system component inventory for information system components, a means for identifying the individuals responsible and accountable for administering those components by one or more of the following:
+
+ CM-8(4)[1]
+ name;
+
+
+ CM-8(4)[2]
+ position; and/or
+
+
+ CM-8(4)[3]
+ role.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-8(5)
+ NO DUPLICATE ACCOUNTING OF COMPONENTS
+
+ Determine if the organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system inventories.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-8(6)
+ ASSESSED CONFIGURATIONS / APPROVED DEVIATIONS
+
+ Determine if the organization includes in the information system component inventory:
+
+ CM-8(6)[1]
+ assessed component configurations; and
+
+
+ CM-8(6)[2]
+ any approved deviations to current deployed configurations.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-8(7)
+ CENTRALIZED REPOSITORY
+
+ Determine if the organization provides a centralized repository for the inventory of information system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-8(8)
+ AUTOMATED LOCATION TRACKING
+
+ Determine if the organization employs automated mechanisms to support tracking of information system components by geographic location.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-8(9)
+ ASSIGNMENT OF COMPONENTS TO SYSTEMS
+
+ Determine if the organization:
+
+ CM-8(9)(a)
+
+ CM-8(9)(a)[1]
+ defines acquired information system components to be assigned to an information system; and
+
+
+ CM-8(9)(a)[2]
+ assigns organization-defined acquired information system components to an information system; and
+
+
+
+ CM-8(9)(b)
+ receives an acknowledgement from the information system owner of the assignment.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-9
+ CONFIGURATION MANAGEMENT PLAN
+
+ Determine if the organization develops, documents, and implements a configuration management plan for the information system that:
+
+ CM-9(a)
+
+ CM-9(a)[1]
+ addresses roles;
+
+
+ CM-9(a)[2]
+ addresses responsibilities;
+
+
+ CM-9(a)[3]
+ addresses configuration management processes and procedures;
+
+
+
+ CM-9(b)
+ establishes a process for:
+
+ CM-9(b)[1]
+ identifying configuration items throughout the SDLC;
+
+
+ CM-9(b)[2]
+ managing the configuration of the configuration items;
+
+
+
+ CM-9(c)
+
+ CM-9(c)[1]
+ defines the configuration items for the information system;
+
+
+ CM-9(c)[2]
+ places the configuration items under configuration management;
+
+
+
+ CM-9(d)
+ protects the configuration management plan from unauthorized:
+
+ CM-9(d)[1]
+ disclosure; and
+
+
+ CM-9(d)[2]
+ modification.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-9(1)
+ ASSIGNMENT OF RESPONSIBILITY
+
+ Determine if the organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in information system development.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-10
+ SOFTWARE USAGE RESTRICTIONS
+
+ Determine if the organization:
+
+ CM-10(a)
+ uses software and associated documentation in accordance with contract agreements and copyright laws;
+
+
+ CM-10(b)
+ tracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and
+
+
+ CM-10(c)
+ controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-10(1)
+ OPEN SOURCE SOFTWARE
+
+ Determine if the organization:
+
+ CM-10(1)[1]
+ defines restrictions on the use of open source software; and
+
+
+ CM-10(1)[2]
+ establishes organization-defined restrictions on the use of open source software.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONFIGURATION MANAGEMENT
+ CM-11
+ USER-INSTALLED SOFTWARE
+
+ Determine if the organization:
+
+ CM-11(a)
+
+ CM-11(a)[1]
+ defines policies to govern the installation of software by users;
+
+
+ CM-11(a)[2]
+ establishes organization-defined policies governing the installation of software by users;
+
+
+
+ CM-11(b)
+
+ CM-11(b)[1]
+ defines methods to enforce software installation policies;
+
+
+ CM-11(b)[2]
+ enforces software installation policies through organization-defined methods;
+
+
+
+ CM-11(c)
+
+ CM-11(c)[1]
+ defines frequency to monitor policy compliance; and
+
+
+ CM-11(c)[2]
+ monitors policy compliance at organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-11(1)
+ ALERTS FOR UNAUTHORIZED INSTALLATIONS
+
+ Determine if:
+
+ CM-11(1)[1]
+ the organization defines personnel or roles to be alerted when the unauthorized installation of software is detected; and
+
+
+ CM-11(1)[2]
+ the information system alerts organization-defined personnel or roles when the unauthorized installation of software is detected.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-11(2)
+ PROHIBIT INSTALLATION WITHOUT PRIVILEGED STATUS
+
+ Determine if the information system prohibits user installation of software without explicit privileged status.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-1
+ CONTINGENCY PLANNING POLICY AND PROCEDURES
+
+ Determine if:
+
+ CP-1(a)(1)
+
+ CP-1(a)(1)[1]
+ the organization develops and documents a contingency planning policy that addresses:
+
+ CP-1(a)(1)[1][a]
+ purpose;
+
+
+ CP-1(a)(1)[1][b]
+ scope;
+
+
+ CP-1(a)(1)[1][c]
+ roles;
+
+
+ CP-1(a)(1)[1][d]
+ responsibilities;
+
+
+ CP-1(a)(1)[1][e]
+ management commitment;
+
+
+ CP-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ CP-1(a)(1)[1][g]
+ compliance;
+
+
+
+ CP-1(a)(1)[2]
+ the organization defines personnel or roles to whom the contingency planning policy is to be disseminated;
+
+
+ CP-1(a)(1)[3]
+ the organization disseminates the contingency planning policy to organization-defined personnel or roles;
+
+
+
+ CP-1(a)(2)
+
+ CP-1(a)(2)[1]
+ the organization develops and documents procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls;
+
+
+ CP-1(a)(2)[2]
+ the organization defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ CP-1(a)(2)[3]
+ the organization disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ CP-1(b)(1)
+
+ CP-1(b)(1)[1]
+ the organization defines the frequency to review and update the current contingency planning policy;
+
+
+ CP-1(b)(1)[2]
+ the organization reviews and updates the current contingency planning with the organization-defined frequency;
+
+
+
+ CP-1(b)(2)
+
+ CP-1(b)(2)[1]
+ the organization defines the frequency to review and update the current contingency planning procedures; and
+
+
+ CP-1(b)(2)[2]
+ the organization reviews and updates the current contingency planning procedures with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-2
+ CONTINGENCY PLAN
+
+ Determine if the organization:
+
+ CP-2(a)
+ develops and documents a contingency plan for the information system that:
+
+ CP-2(a)(1)
+ identifies essential missions and business functions and associated contingency requirements;
+
+
+ CP-2(a)(2)
+
+ CP-2(a)(2)[1]
+ provides recovery objectives;
+
+
+ CP-2(a)(2)[2]
+ provides restoration priorities;
+
+
+ CP-2(a)(2)[3]
+ provides metrics;
+
+
+
+ CP-2(a)(3)
+
+ CP-2(a)(3)[1]
+ addresses contingency roles;
+
+
+ CP-2(a)(3)[2]
+ addresses contingency responsibilities;
+
+
+ CP-2(a)(3)[3]
+ addresses assigned individuals with contact information;
+
+
+
+ CP-2(a)(4)
+ addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;
+
+
+ CP-2(a)(5)
+ addresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented;
+
+
+ CP-2(a)(6)
+
+ CP-2(a)(6)[1]
+ defines personnel or roles to review and approve the contingency plan for the information system;
+
+
+ CP-2(a)(6)[2]
+ is reviewed and approved by organization-defined personnel or roles;
+
+
+
+
+ CP-2(b)
+
+ CP-2(b)[1]
+ defines key contingency personnel (identified by name and/or by role) and organizational elements to whom copies of the contingency plan are to be distributed;
+
+
+ CP-2(b)[2]
+ distributes copies of the contingency plan to organization-defined key contingency personnel and organizational elements;
+
+
+
+ CP-2(c)
+ coordinates contingency planning activities with incident handling activities;
+
+
+ CP-2(d)
+
+ CP-2(d)[1]
+ defines a frequency to review the contingency plan for the information system;
+
+
+ CP-2(d)[2]
+ reviews the contingency plan with the organization-defined frequency;
+
+
+
+ CP-2(e)
+ updates the contingency plan to address:
+
+ CP-2(e)[1]
+ changes to the organization, information system, or environment of operation;
+
+
+ CP-2(e)[2]
+ problems encountered during plan implementation, execution, and testing;
+
+
+
+ CP-2(f)
+
+ CP-2(f)[1]
+ defines key contingency personnel (identified by name and/or by role) and organizational elements to whom contingency plan changes are to be communicated;
+
+
+ CP-2(f)[2]
+ communicates contingency plan changes to organization-defined key contingency personnel and organizational elements; and
+
+
+
+ CP-2(g)
+ protects the contingency plan from unauthorized disclosure and modification.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-2(1)
+ COORDINATE WITH RELATED PLANS
+
+ Determine if the organization coordinates contingency plan development with organizational elements responsible for related plans.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-2(2)
+ CAPACITY PLANNING
+
+ Determine if the organization conducts capacity planning so that necessary capacity exists during contingency operations for:
+
+ CP-2(2)[1]
+ information processing;
+
+
+ CP-2(2)[2]
+ telecommunications; and
+
+
+ CP-2(2)[3]
+ environmental support.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-2(3)
+ RESUME ESSENTIAL MISSIONS/BUSINESS FUNCTIONS
+
+ Determine if the organization:
+
+ CP-2(3)[1]
+ defines the time period to plan for the resumption of essential missions and business functions as a result of contingency plan activation; and
+
+
+ CP-2(3)[2]
+ plans for the resumption of essential missions and business functions within organization-defined time period of contingency plan activation.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-2(4)
+ RESUME ALL MISSIONS / BUSINESS FUNCTIONS
+
+ Determine if the organization:
+
+ CP-2(4)[1]
+ defines the time period to plan for the resumption of all missions and business functions as a result of contingency plan activation; and
+
+
+ CP-2(4)[2]
+ plans for the resumption of all missions and business functions within organization-defined time period of contingency plan activation.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-2(5)
+ CONTINUE ESSENTIAL MISSIONS / BUSINESS FUNCTIONS
+
+ Determine if the organization:
+
+ CP-2(5)[1]
+ plans for the continuance of essential missions and business functions with little or no loss of operational continuity; and
+
+
+ CP-2(5)[2]
+ sustains that operational continuity until full information system restoration at primary processing and/or storage sites.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-2(6)
+ ALTERNATE PROCESSING / STORAGE SITE
+
+ Determine if the organization:
+
+ CP-2(6)[1]
+ plans for the transfer of essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity; and
+
+
+ CP-2(6)[2]
+ sustains that operational continuity through information system restoration to primary processing and/or storage sites.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-2(7)
+ COORDINATE WITH EXTERNAL SERVICE PROVIDERS
+
+ Determine if the organization coordinates its contingency plan with the contingency plans of external service provides to ensure contingency requirements can be satisfied.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-2(8)
+ IDENTIFY CRITICAL ASSETS
+
+ Determine if the organization identifies critical information system assets supporting essential missions and business functions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-3
+ CONTINGENCY TRAINING
+
+ Determine if the organization:
+
+ CP-3(a)
+
+ CP-3(a)[1]
+ defines a time period within which contingency training is to be provided to information system users assuming a contingency role or responsibility;
+
+
+ CP-3(a)[2]
+ provides contingency training to information system users consistent with assigned roles and responsibilities within the organization-defined time period of assuming a contingency role or responsibility;
+
+
+
+ CP-3(b)
+ provides contingency training to information system users consistent with assigned roles and responsibilities when required by information system changes;
+
+
+ CP-3(c)
+
+ CP-3(c)[1]
+ defines the frequency for contingency training thereafter; and
+
+
+ CP-3(c)[2]
+ provides contingency training to information system users consistent with assigned roles and responsibilities with the organization-defined frequency thereafter.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-3(1)
+ SIMULATED EVENTS
+
+ Determine if the organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-3(2)
+ AUTOMATED TRAINING ENVIRONMENTS
+
+ Determine if the organization employs automated mechanisms to provide a more thorough and realistic contingency training environment.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-4
+ CONTINGENCY PLAN TESTING
+
+ Determine if the organization:
+
+ CP-4(a)
+
+ CP-4(a)[1]
+ defines tests to determine the effectiveness of the contingency plan and the organizational readiness to execute the plan;
+
+
+ CP-4(a)[2]
+ defines a frequency to test the contingency plan for the information system;
+
+
+ CP-4(a)[3]
+ tests the contingency plan for the information system with the organization-defined frequency, using organization-defined tests to determine the effectiveness of the plan and the organizational readiness to execute the plan;
+
+
+
+ CP-4(b)
+ reviews the contingency plan test results; and
+
+
+ CP-4(c)
+ initiates corrective actions, if needed.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-4(1)
+ COORDINATE WITH RELATED PLANS
+
+ Determine if the organization coordinates contingency plan testing with organizational elements responsible for related plans.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-4(2)
+ ALTERNATE PROCESSING SITE
+
+ Determine if the organization tests the contingency plan at the alternate processing site to:
+
+ CP-4(2)(a)
+ familiarize contingency personnel with the facility and available resources; and
+
+
+ CP-4(2)(b)
+ evaluate the capabilities of the alternate processing site to support contingency operations.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-4(3)
+ AUTOMATED TESTING
+
+ Determine if the organization employs automated mechanisms to more thoroughly and effectively test the contingency plan.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-4(4)
+ FULL RECOVERY / RECONSTITUTION
+
+ Determine if the organization:
+
+ CP-4(4)[1]
+ includes a full recovery of the information system to a known state as part of contingency plan testing; and
+
+
+ CP-4(4)[2]
+ includes a full reconstitution of the information system to a known state as part of contingency plan testing.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-5
+ CONTINGENCY PLAN UPDATE
+
+ CP-2
+
+
+ [Withdrawn: Incorporated into CP-2].
+
+
+
+ CONTINGENCY PLANNING
+ CP-6
+ ALTERNATE STORAGE SITE
+
+ Determine if the organization:
+
+ CP-6[1]
+ establishes an alternate storage site including necessary agreements to permit the storage and retrieval of information system backup information; and
+
+
+ CP-6[2]
+ ensures that the alternate storage site provides information security safeguards equivalent to that of the primary site.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-6(1)
+ SEPARATION FROM PRIMARY SITE
+
+ Determine if the organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-6(2)
+ RECOVERY TIME / POINT OBJECTIVES
+
+ Determine if the organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time objectives and recovery point objectives (as specified in the information system contingency plan).
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-6(3)
+ ACCESSIBILITY
+
+ Determine if the organization:
+
+ CP-6(3)[1]
+ identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster; and
+
+
+ CP-6(3)[2]
+ outlines explicit mitigation actions for such potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-7
+ ALTERNATE PROCESSING SITE
+
+ Determine if the organization:
+
+ CP-7(a)
+
+ CP-7(a)[1]
+ defines information system operations requiring an alternate processing site to be established to permit the transfer and resumption of such operations;
+
+
+ CP-7(a)[2]
+ defines the time period consistent with recovery time objectives and recovery point objectives (as specified in the information system contingency plan) for transfer/resumption of organization-defined information system operations for essential missions/business functions;
+
+
+ CP-7(a)[3]
+ establishes an alternate processing site including necessary agreements to permit the transfer and resumption of organization-defined information system operations for essential missions/business functions, within the organization-defined time period, when the primary processing capabilities are unavailable;
+
+
+
+ CP-7(b)
+
+ CP-7(b)[1]
+ ensures that equipment and supplies required to transfer and resume operations are available at the alternate processing site; or
+
+
+ CP-7(b)[2]
+ ensures that contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption; and
+
+
+
+ CP-7(c)
+ ensures that the alternate processing site provides information security safeguards equivalent to those of the primary site.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-7(1)
+ SEPARATION FROM PRIMARY SITE
+
+ Determine if the organization identifies an alternate processing site that is separated from the primary storage site to reduce susceptibility to the same threats.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-7(2)
+ ACCESSIBILITY
+
+ Determine if the organization:
+
+ CP-7(2)[1]
+ identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster; and
+
+
+ CP-7(2)[2]
+ outlines explicit mitigation actions for such potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-7(3)
+ PRIORITY OF SERVICE
+
+ Determine if the organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives as specified in the information system contingency plan).
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-7(4)
+ PREPARATION FOR USE
+
+ Determine if the organization prepares the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-7(5)
+ EQUIVALENT INFORMATION SECURITY SAFEGUARDS
+
+ CP-7
+
+
+ [Withdrawn: Incorporated into CP-7].
+
+
+
+ CP-7(6)
+ INABILITY TO RETURN TO PRIMARY SITE
+
+ Determine if the organization plans and prepares for circumstances that preclude returning to the primary processing site.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-8
+ TELECOMMUNICATIONS SERVICES
+
+ Determine if the organization:
+
+ CP-8[1]
+ defines information system operations requiring alternate telecommunications services to be established to permit the resumption of such operations;
+
+
+ CP-8[2]
+ defines the time period to permit resumption of organization-defined information system operations for essential missions and business functions; and
+
+
+ CP-8[3]
+ establishes alternate telecommunications services including necessary agreements to permit the resumption of organization-defined information system operations for essential missions and business functions, within the organization-defined time period, when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-8(1)
+ PRIORITY OF SERVICE PROVISIONS
+
+ Determine if the organization:
+
+ CP-8(1)[1]
+ develops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives as specified in the information system contingency plan); and
+
+
+ CP-8(1)[2]
+ requests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-8(2)
+ SINGLE POINTS OF FAILURE
+
+ Determine if the organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-8(3)
+ SEPARATION OF PRIMARY / ALTERNATE PROVIDERS
+
+ Determine if the organization obtains alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-8(4)
+ PROVIDER CONTINGENCY PLAN
+
+ Determine if the organization:
+
+ CP-8(4)(a)
+
+ CP-8(4)(a)[1]
+ requires primary telecommunications service provider to have contingency plans;
+
+
+ CP-8(4)(a)[2]
+ requires alternate telecommunications service provider(s) to have contingency plans;
+
+
+
+ CP-8(4)(b)
+ reviews provider contingency plans to ensure that the plans meet organizational contingency requirements;
+
+
+ CP-8(4)(c)
+
+ CP-8(4)(c)[1]
+ defines the frequency to obtain evidence of contingency testing/training by providers; and
+
+
+ CP-8(4)(c)[2]
+ obtains evidence of contingency testing/training by providers with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-8(5)
+ ALTERNATE TELECOMMUNICATION SERVICE TESTING
+
+ Determine if the organization:
+
+ CP-8(5)[1]
+ defines the frequency to test alternate telecommunication services; and
+
+
+ CP-8(5)[2]
+ tests alternate telecommunication services with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-9
+ INFORMATION SYSTEM BACKUP
+
+ Determine if the organization:
+
+ CP-9(a)
+
+ CP-9(a)[1]
+ defines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of user-level information contained in the information system;
+
+
+ CP-9(a)[2]
+ conducts backups of user-level information contained in the information system with the organization-defined frequency;
+
+
+
+ CP-9(b)
+
+ CP-9(b)[1]
+ defines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of system-level information contained in the information system;
+
+
+ CP-9(b)[2]
+ conducts backups of system-level information contained in the information system with the organization-defined frequency;
+
+
+
+ CP-9(c)
+
+ CP-9(c)[1]
+ defines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of information system documentation including security-related documentation;
+
+
+ CP-9(c)[2]
+ conducts backups of information system documentation, including security-related documentation, with the organization-defined frequency; and
+
+
+
+ CP-9(d)
+ protects the confidentiality, integrity, and availability of backup information at storage locations.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-9(1)
+ TESTING FOR RELIABILITY / INTEGRITY
+
+ Determine if the organization:
+
+ CP-9(1)[1]
+ defines the frequency to test backup information to verify media reliability and information integrity; and
+
+
+ CP-9(1)[2]
+ tests backup information with the organization-defined frequency to verify media reliability and information integrity.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-9(2)
+ TEST RESTORATION USING SAMPLING
+
+ Determine if the organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-9(3)
+ SEPARATE STORAGE FOR CRITICAL INFORMATION
+
+ Determine if the organization:
+
+ CP-9(3)[1]
+
+ CP-9(3)[1][a]
+ defines critical information system software and other security-related information requiring backup copies to be stored in a separate facility; or
+
+
+ CP-9(3)[1][b]
+ defines critical information system software and other security-related information requiring backup copies to be stored in a fire-rated container that is not collocated with the operational system; and
+
+
+
+ CP-9(3)[2]
+ stores backup copies of organization-defined critical information system software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the operational system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-9(4)
+ PROTECTION FROM UNAUTHORIZED MODIFICATION
+
+ CP-9
+
+
+ [Withdrawn: Incorporated into CP-9].
+
+
+
+ CP-9(5)
+ TRANSFER TO ALTERNATE STORAGE SITE
+
+ Determine if the organization:
+
+ CP-9(5)[1]
+ defines a time period, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to transfer information system backup information to the alternate storage site;
+
+
+ CP-9(5)[2]
+ defines a transfer rate, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to transfer information system backup information to the alternate storage site; and
+
+
+ CP-9(5)[3]
+ transfers information system backup information to the alternate storage site with the organization-defined time period and transfer rate.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-9(6)
+ REDUNDANT SECONDARY SYSTEM
+
+ Determine if the organization accomplishes information system backup by maintaining a redundant secondary system that:
+
+ CP-9(6)[1]
+ is not collocated with the primary system; and
+
+
+ CP-9(6)[2]
+ can be activated without loss of information or disruption to operations.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-9(7)
+ DUAL AUTHORIZATION
+
+ Determine if the organization:
+
+ CP-9(7)[1]
+ defines backup information that requires dual authorization to be enforced for the deletion or destruction of such information; and
+
+
+ CP-9(7)[2]
+ enforces dual authorization for the deletion or destruction of organization-defined backup information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-10
+ INFORMATION SYSTEM RECOVERY AND RECONSTITUTION
+
+ Determine if the organization provides for:
+
+ CP-10[1]
+ the recovery of the information system to a known state after:
+
+ CP-10[1][a]
+ a disruption;
+
+
+ CP-10[1][b]
+ a compromise; or
+
+
+ CP-10[1][c]
+ a failure;
+
+
+
+ CP-10[2]
+ the reconstitution of the information system to a known state after:
+
+ CP-10[2][a]
+ a disruption;
+
+
+ CP-10[2][b]
+ a compromise; or
+
+
+ CP-10[2][c]
+ a failure.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-10(1)
+ CONTINGENCY PLAN TESTING
+
+ CP-4
+
+
+ [Withdrawn: Incorporated into CP-4].
+
+
+
+ CP-10(2)
+ TRANSACTION RECOVERY
+
+ Determine if the information system implements transaction recovery for systems that are transaction-based.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-10(3)
+ COMPENSATING SECURITY CONTROLS
+
+ 800-53 Rev. 4 - Chapter 3
+
+
+ [Withdrawn: Addressed through tailoring procedures].
+
+
+
+ CP-10(4)
+ RESTORE WITHIN TIME PERIOD
+
+ Determine if the organization:
+
+ CP-10(4)[1]
+ defines a time period to restore information system components from configuration-controlled and integrity-protected information representing a known, operational state for the components; and
+
+
+ CP-10(4)[2]
+ provides the capability to restore information system components within the organization-defined time period from configuration-controlled and integrity-protected information representing a known, operational state for the components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-10(5)
+ FAILOVER CAPABILITY
+
+ SI-13
+
+
+ [Withdrawn: Incorporated into SI-13].
+
+
+
+ CP-10(6)
+ COMPONENT PROTECTION
+
+ Determine if the organization protects backup and restoration:
+
+ CP-10(6)[1]
+ hardware;
+
+
+ CP-10(6)[2]
+ firmware; and
+
+
+ CP-10(6)[3]
+ software.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-11
+ ALTERNATE COMMUNICATIONS PROTOCOLS
+
+ Determine if:
+
+ CP-11[1]
+ the organization defines alternative communications protocols to be employed in support of maintaining continuity of operations; and
+
+
+ CP-11[2]
+ the information system provides the capability to employ organization-defined alternative communications protocols in support of maintaining continuity of operations.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-12
+ SAFE MODE
+
+ Determine if:
+
+ CP-12[1]
+ the organization defines conditions that, when detected, requires the information system to enter a safe mode of operation;
+
+
+ CP-12[2]
+ the organization defines restrictions of safe mode of operation; and
+
+
+ CP-12[3]
+ the information system, when organization-defined conditions are detected, enters a safe mode of operation with organization-defined restrictions of safe mode of operation.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CONTINGENCY PLANNING
+ CP-13
+ ALTERNATIVE SECURITY MECHANISMS
+
+ Determine if the organization:
+
+ CP-13[1]
+ defines alternative or supplemental security mechanisms to be employed when the primary means of implementing the security function is unavailable or compromised;
+
+
+ CP-13[2]
+ defines security functions to be satisfied using organization-defined alternative or supplemental security mechanisms when the primary means of implementing the security function is unavailable or compromised; and
+
+
+ CP-13[3]
+ employs organization-defined alternative or supplemental security mechanisms satisfying organization-defined security functions when the primary means of implementing the security function is unavailable or compromised.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-1
+ IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES
+
+ Determine if the organization:
+
+ IA-1(a)(1)
+
+ IA-1(a)(1)[1]
+ develops and documents an identification and authentication policy that addresses:
+
+ IA-1(a)(1)[1][a]
+ purpose;
+
+
+ IA-1(a)(1)[1][b]
+ scope;
+
+
+ IA-1(a)(1)[1][c]
+ roles;
+
+
+ IA-1(a)(1)[1][d]
+ responsibilities;
+
+
+ IA-1(a)(1)[1][e]
+ management commitment;
+
+
+ IA-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ IA-1(a)(1)[1][g]
+ compliance;
+
+
+
+ IA-1(a)(1)[2]
+ defines personnel or roles to whom the identification and authentication policy is to be disseminated; and
+
+
+ IA-1(a)(1)[3]
+ disseminates the identification and authentication policy to organization-defined personnel or roles;
+
+
+
+ IA-1(a)(2)
+
+ IA-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls;
+
+
+ IA-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ IA-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ IA-1(b)(1)
+
+ IA-1(b)(1)[1]
+ defines the frequency to review and update the current identification and authentication policy;
+
+
+ IA-1(b)(1)[2]
+ reviews and updates the current identification and authentication policy with the organization-defined frequency; and
+
+
+
+ IA-1(b)(2)
+
+ IA-1(b)(2)[1]
+ defines the frequency to review and update the current identification and authentication procedures; and
+
+
+ IA-1(b)(2)[2]
+ reviews and updates the current identification and authentication procedures with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-2
+ IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
+
+ Determine if the information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-2(1)
+ NETWORK ACCESS TO PRIVILEGED ACCOUNTS
+
+ Determine if the information system implements multifactor authentication for network access to privileged accounts.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-2(2)
+ NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS
+
+ Determine if the information system implements multifactor authentication for network access to non-privileged accounts.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-2(3)
+ LOCAL ACCESS TO PRIVILEGED ACCOUNTS
+
+ Determine if the information system implements multifactor authentication for local access to privileged accounts.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-2(4)
+ LOCAL ACCESS TO NON-PRIVILEGED ACCOUNTS
+
+ Determine if the information system implements multifactor authentication for local access to non-privileged accounts.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-2(5)
+ GROUP AUTHENTICATION
+
+ Determine if the organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-2(6)
+ NETWORK ACCESS TO PRIVILEGED ACCOUNTS –SEPARATE DEVICE
+
+ Determine if:
+
+ IA-2(6)[1]
+ the information system implements multifactor authentication for network access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access;
+
+
+ IA-2(6)[2]
+ the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining network access to privileged accounts; and
+
+
+ IA-2(6)[3]
+ the information system implements multifactor authentication for network access to privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-2(7)
+ NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS –SEPARATE DEVICE
+
+ Determine if:
+
+ IA-2(7)[1]
+ the information system implements multifactor authentication for network access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access;
+
+
+ IA-2(7)[2]
+ the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining network access to non-privileged accounts; and
+
+
+ IA-2(7)[3]
+ the information system implements multifactor authentication for network access to non-privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-2(8)
+ NETWORK ACCESS TO PRIVILEGED ACCOUNTS – REPLAY RESISTANT
+
+ Determine if the information system implements replay-resistant authentication mechanisms for network access to privileged accounts.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-2(9)
+ NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS – REPLAY RESISTANT
+
+ Determine if the information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-2(10)
+ SINGLE SIGN-ON
+
+ Determine if:
+
+ IA-2(10)[1]
+ the organization defines a list of information system accounts and services for which a single sign-on capability must be provided; and
+
+
+ IA-2(10)[2]
+ the information system provides a single sign-on capability for organization-defined information system accounts and services.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-2(11)
+ REMOTE ACCESS – SEPARATE DEVICE
+
+ Determine if:
+
+ IA-2(11)[1]
+ the information system implements multifactor authentication for remote access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access;
+
+
+ IA-2(11)[2]
+ the information system implements multifactor authentication for remote access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access;
+
+
+ IA-2(11)[3]
+ the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining remote access to privileged accounts;
+
+
+ IA-2(11)[4]
+ the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining remote access to non-privileged accounts;
+
+
+ IA-2(11)[5]
+ the information system implements multifactor authentication for remote access to privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements; and
+
+
+ IA-2(11)[6]
+ the information system implements multifactor authentication for remote access to non-privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-2(12)
+ ACCEPTANCE OF PIV CREDENTIALS
+
+ Determine if the information system:
+
+ IA-2(12)[1]
+ accepts Personal Identity Verification (PIV) credentials; and
+
+
+ IA-2(12)[2]
+ electronically verifies Personal Identity Verification (PIV) credentials.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-2(13)
+ OUT-OF-BAND AUTHENTICATION
+
+ Determine if:
+
+ IA-2(13)[1]
+ the organization defines out-of-band authentication to be implemented by the information system;
+
+
+ IA-2(13)[2]
+ the organization defines conditions under which the information system implements organization-defined out-of-band authentication; and
+
+
+ IA-2(13)[3]
+ the information system implements organization-defined out-of-band authentication under organization-defined conditions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-3
+ DEVICE IDENTIFICATION AND AUTHENTICATION
+
+ Determine if:
+
+ IA-3[1]
+ the organization defines specific and/or types of devices that the information system uniquely identifies and authenticates before establishing one or more of the following:
+
+ IA-3[1][a]
+ a local connection;
+
+
+ IA-3[1][b]
+ a remote connection; and/or
+
+
+ IA-3[1][c]
+ a network connection; and
+
+
+
+ IA-3[2]
+ the information system uniquely identifies and authenticates organization-defined devices before establishing one or more of the following:
+
+ IA-3[2][a]
+ a local connection;
+
+
+ IA-3[2][b]
+ a remote connection; and/or
+
+
+ IA-3[2][c]
+ a network connection.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-3(1)
+ CRYPTOGRAPHIC BIDIRECTIONAL AUTHENTICATION
+
+ Determine if:
+
+ IA-3(1)[1]
+ the organization defines specific and/or types of devices requiring use of cryptographically based, bidirectional authentication to authenticate before establishing one or more of the following:
+
+ IA-3(1)[1][a]
+ a local connection;
+
+
+ IA-3(1)[1][b]
+ a remote connection; and/or
+
+
+ IA-3(1)[1][c]
+ a network connection;
+
+
+
+ IA-3(1)[2]
+ the information system uses cryptographically based bidirectional authentication to authenticate organization-defined devices before establishing one or more of the following:
+
+ IA-3(1)[2][a]
+ a local connection;
+
+
+ IA-3(1)[2][b]
+ a remote connection; and/or
+
+
+ IA-3(1)[2][c]
+ a network connection.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-3(2)
+ CRYPTOGRAPHIC BIDIRECTIONAL NETWORK AUTHENTICATION
+
+ IA-3(1)
+
+
+ [Withdrawn: Incorporated into IA-3(1)].
+
+
+
+ IA-3(3)
+ DYNAMIC ADDRESS ALLOCATION
+
+ Determine if the organization:
+
+ IA-3(3)(a)
+
+ IA-3(3)(a)[1]
+ defines lease information to be employed to standardize dynamic address allocation for devices;
+
+
+ IA-3(3)(a)[2]
+ defines lease duration to be employed to standardize dynamic address allocation for devices;
+
+
+ IA-3(3)(a)[3]
+ standardizes dynamic address allocation of lease information assigned to devices in accordance with organization-defined lease information;
+
+
+ IA-3(3)(a)[4]
+ standardizes dynamic address allocation of the lease duration assigned to devices in accordance with organization-defined lease duration; and
+
+
+
+ IA-3(3)(b)
+ audits lease information when assigned to a device.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-3(4)
+ DEVICE ATTESTATION
+
+ Determine if the organization:
+
+ IA-3(4)[1]
+ defines configuration management process to be employed to handle device identification and authentication based on attestation; and
+
+
+ IA-3(4)[2]
+ ensures that device identification and authentication based on attestation is handled by organization-defined configuration management process.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-4
+ IDENTIFIER MANAGEMENT
+
+ Determine if the organization manages information system identifiers by:
+
+ IA-4(a)
+
+ IA-4(a)[1]
+ defining personnel or roles from whom authorization must be received to assign:
+
+ IA-4(a)[1][a]
+ an individual identifier;
+
+
+ IA-4(a)[1][b]
+ a group identifier;
+
+
+ IA-4(a)[1][c]
+ a role identifier; and/or
+
+
+ IA-4(a)[1][d]
+ a device identifier;
+
+
+
+ IA-4(a)[2]
+ receiving authorization from organization-defined personnel or roles to assign:
+
+ IA-4(a)[2][a]
+ an individual identifier;
+
+
+ IA-4(a)[2][b]
+ a group identifier;
+
+
+ IA-4(a)[2][c]
+ a role identifier; and/or
+
+
+ IA-4(a)[2][d]
+ a device identifier;
+
+
+
+
+ IA-4(b)
+ selecting an identifier that identifies:
+
+ IA-4(b)[1]
+ an individual;
+
+
+ IA-4(b)[2]
+ a group;
+
+
+ IA-4(b)[3]
+ a role; and/or
+
+
+ IA-4(b)[4]
+ a device;
+
+
+
+ IA-4(c)
+ assigning the identifier to the intended:
+
+ IA-4(c)[1]
+ individual;
+
+
+ IA-4(c)[2]
+ group;
+
+
+ IA-4(c)[3]
+ role; and/or
+
+
+ IA-4(c)[4]
+ device;
+
+
+
+ IA-4(d)
+
+ IA-4(d)[1]
+ defining a time period for preventing reuse of identifiers;
+
+
+ IA-4(d)[2]
+ preventing reuse of identifiers for the organization-defined time period;
+
+
+
+ IA-4(e)
+
+ IA-4(e)[1]
+ defining a time period of inactivity to disable the identifier; and
+
+
+ IA-4(e)[2]
+ disabling the identifier after the organization-defined time period of inactivity.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-4(1)
+ PROHIBIT ACCOUNT IDENTIFIERS AS PUBLIC IDENTIFIERS
+
+ Determine if the organization prohibits the use of information system account identifiers that are the same as public identifiers for individual electronic mail accounts.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-4(2)
+ SUPERVISOR AUTHORIZATION
+
+ Determine if the organization requires that the registration process to receive an individual identifier includes supervisor authorization.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-4(3)
+ MULTIPLE FORMS OF CERTIFICATION
+
+ Determine if the organization requires multiple forms of certification of individual identification such as documentary evidence or a combination of documents and biometrics be presented to the registration authority.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-4(4)
+ IDENTIFY USER STATUS
+
+ Determine if the organization:
+
+ IA-4(4)[1]
+ defines a characteristic to be used to identify individual status; and
+
+
+ IA-4(4)[2]
+ manages individual identifiers by uniquely identifying each individual as the organization-defined characteristic identifying individual status.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-4(5)
+ DYNAMIC MANAGEMENT
+
+ Determine if the information system dynamically manages identifiers.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-4(6)
+ CROSS-ORGANIZATION MANAGEMENT
+
+ Determine if the organization:
+
+ IA-4(6)[1]
+ defines external organizations with whom to coordinate cross-organization management of identifiers; and
+
+
+ IA-4(6)[2]
+ coordinates with organization-defined external organizations for cross-organization management of identifiers.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-4(7)
+ IN-PERSON REGISTRATION
+
+ Determine if the organization requires that the registration process to receive an individual identifier be conducted in person before a designated registration authority.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-5
+ AUTHENTICATOR MANAGEMENT
+
+ Determine if the organization manages information system authenticators by:
+
+ IA-5(a)
+ verifying, as part of the initial authenticator distribution, the identity of:
+
+ IA-5(a)[1]
+ the individual receiving the authenticator;
+
+
+ IA-5(a)[2]
+ the group receiving the authenticator;
+
+
+ IA-5(a)[3]
+ the role receiving the authenticator; and/or
+
+
+ IA-5(a)[4]
+ the device receiving the authenticator;
+
+
+
+ IA-5(b)
+ establishing initial authenticator content for authenticators defined by the organization;
+
+
+ IA-5(c)
+ ensuring that authenticators have sufficient strength of mechanism for their intended use;
+
+
+ IA-5(d)
+
+ IA-5(d)[1]
+ establishing and implementing administrative procedures for initial authenticator distribution;
+
+
+ IA-5(d)[2]
+ establishing and implementing administrative procedures for lost/compromised or damaged authenticators;
+
+
+ IA-5(d)[3]
+ establishing and implementing administrative procedures for revoking authenticators;
+
+
+
+ IA-5(e)
+ changing default content of authenticators prior to information system installation;
+
+
+ IA-5(f)
+
+ IA-5(f)[1]
+ establishing minimum lifetime restrictions for authenticators;
+
+
+ IA-5(f)[2]
+ establishing maximum lifetime restrictions for authenticators;
+
+
+ IA-5(f)[3]
+ establishing reuse conditions for authenticators;
+
+
+
+ IA-5(g)
+
+ IA-5(g)[1]
+ defining a time period (by authenticator type) for changing/refreshing authenticators;
+
+
+ IA-5(g)[2]
+ changing/refreshing authenticators with the organization-defined time period by authenticator type;
+
+
+
+ IA-5(h)
+ protecting authenticator content from unauthorized:
+
+ IA-5(h)[1]
+ disclosure;
+
+
+ IA-5(h)[2]
+ modification;
+
+
+
+ IA-5(i)
+
+ IA-5(i)[1]
+ requiring individuals to take specific security safeguards to protect authenticators;
+
+
+ IA-5(i)[2]
+ having devices implement specific security safeguards to protect authenticators; and
+
+
+
+ IA-5(j)
+ changing authenticators for group/role accounts when membership to those accounts changes.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-5(1)
+ PASSWORD-BASED AUTHENTICATION
+
+ Determine if, for password-based authentication:
+
+ IA-5(1)(a)
+
+ IA-5(1)(a)[1]
+ the organization defines requirements for case sensitivity;
+
+
+ IA-5(1)(a)[2]
+ the organization defines requirements for number of characters;
+
+
+ IA-5(1)(a)[3]
+ the organization defines requirements for the mix of upper-case letters, lower-case letters, numbers and special characters;
+
+
+ IA-5(1)(a)[4]
+ the organization defines minimum requirements for each type of character;
+
+
+ IA-5(1)(a)[5]
+ the information system enforces minimum password complexity of organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type;
+
+
+
+ IA-5(1)(b)
+
+ IA-5(1)(b)[1]
+ the organization defines a minimum number of changed characters to be enforced when new passwords are created;
+
+
+ IA-5(1)(b)[2]
+ the information system enforces at least the organization-defined minimum number of characters that must be changed when new passwords are created;
+
+
+
+ IA-5(1)(c)
+ the information system stores and transmits only encrypted representations of passwords;
+
+
+ IA-5(1)(d)
+
+ IA-5(1)(d)[1]
+ the organization defines numbers for password minimum lifetime restrictions to be enforced for passwords;
+
+
+ IA-5(1)(d)[2]
+ the organization defines numbers for password maximum lifetime restrictions to be enforced for passwords;
+
+
+ IA-5(1)(d)[3]
+ the information system enforces password minimum lifetime restrictions of organization-defined numbers for lifetime minimum;
+
+
+ IA-5(1)(d)[4]
+ the information system enforces password maximum lifetime restrictions of organization-defined numbers for lifetime maximum;
+
+
+
+ IA-5(1)(e)
+
+ IA-5(1)(e)[1]
+ the organization defines the number of password generations to be prohibited from password reuse;
+
+
+ IA-5(1)(e)[2]
+ the information system prohibits password reuse for the organization-defined number of generations; and
+
+
+
+ IA-5(1)(f)
+ the information system allows the use of a temporary password for system logons with an immediate change to a permanent password.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-5(2)
+ PKI-BASED AUTHENTICATION
+
+ Determine if the information system, for PKI-based authentication:
+
+ IA-5(2)(a)
+
+ IA-5(2)(a)[1]
+ validates certifications by constructing a certification path to an accepted trust anchor;
+
+
+ IA-5(2)(a)[2]
+ validates certifications by verifying a certification path to an accepted trust anchor;
+
+
+ IA-5(2)(a)[3]
+ includes checking certificate status information when constructing and verifying the certification path;
+
+
+
+ IA-5(2)(b)
+ enforces authorized access to the corresponding private key;
+
+
+ IA-5(2)(c)
+ maps the authenticated identity to the account of the individual or group; and
+
+
+ IA-5(2)(d)
+ implements a local cache of revocation data to support path discovery and validation in case of inability to access revocation information via the network.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-5(3)
+ IN-PERSON OR TRUSTED THIRD-PARTY REGISTRATION
+
+ Determine if the organization:
+
+ IA-5(3)[1]
+ defines types of and/or specific authenticators to be received in person or by a trusted third party;
+
+
+ IA-5(3)[2]
+ defines the registration authority with oversight of the registration process for receipt of organization-defined types of and/or specific authenticators;
+
+
+ IA-5(3)[3]
+ defines personnel or roles responsible for authorizing organization-defined registration authority;
+
+
+ IA-5(3)[4]
+ defines if the registration process is to be conducted:
+
+ IA-5(3)[4][a]
+ in person; or
+
+
+ IA-5(3)[4][b]
+ by a trusted third party; and
+
+
+
+ IA-5(3)[5]
+ requires that the registration process to receive organization-defined types of and/or specific authenticators be conducted in person or by a trusted third party before organization-defined registration authority with authorization by organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-5(4)
+ AUTOMATED SUPPORT FOR PASSWORD STRENGTH DETERMINATION
+
+ Determine if the organization:
+
+ IA-5(4)[1]
+ defines requirements to be satisfied by password authenticators; and
+
+
+ IA-5(4)[2]
+ employs automated tools to determine if password authenticators are sufficiently strong to satisfy organization-defined requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-5(5)
+ CHANGE AUTHENTICATORS PRIOR TO DELIVERY
+
+ Determine if the organization requires developers/installers of information system components to:
+
+ IA-5(5)[1]
+ provide unique authenticators prior to delivery/installation; or
+
+
+ IA-5(5)[2]
+ change default authenticators prior to delivery/installation.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-5(6)
+ PROTECTION OF AUTHENTICATORS
+
+ Determine if the organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-5(7)
+ NO EMBEDDED UNENCRYPTED STATIC AUTHENTICATORS
+
+ Determine if the organization ensures that unencrypted static authenticators are not:
+
+ IA-5(7)[1]
+ embedded in applications;
+
+
+ IA-5(7)[2]
+ embedded in access scripts; or
+
+
+ IA-5(7)[3]
+ stored on function keys.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-5(8)
+ MULTIPLE INFORMATION SYSTEM ACCOUNTS
+
+ Determine if the organization:
+
+ IA-5(8)[1]
+ defines security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems; and
+
+
+ IA-5(8)[2]
+ implements organization-defined security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-5(9)
+ CROSS-ORGANIZATIONAL CREDENTIAL MANAGEMENT
+
+ Determine if the organization:
+
+ IA-5(9)[1]
+ defines external organizations with whom to coordinate cross-organizational management of credentials; and
+
+
+ IA-5(9)[2]
+ coordinates with organization-defined external organizations for cross-organizational management of credentials.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-5(10)
+ DYNAMIC CREDENTIAL ASSOCIATION
+
+ Determine if the information system dynamically provisions identifiers.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-5(11)
+ HARDWARE TOKEN-BASED AUTHENTICATION
+
+ Determine if, for hardware token-based authentication:
+
+ IA-5(11)[1]
+ the organization defines token quality requirements to be satisfied; and
+
+
+ IA-5(11)[2]
+ the information system employs mechanisms that satisfy organization-defined token quality requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-5(12)
+ BIOMETRIC AUTHENTICATION
+
+ Determine if, for biometric-based authentication:
+
+ IA-5(12)[1]
+ the organization defines biometric quality requirements to be satisfied; and
+
+
+ IA-5(12)[2]
+ the information system employs mechanisms that satisfy organization-defined biometric quality requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-5(13)
+ EXPIRATION OF CACHED AUTHENTICATORS
+
+ Determine if:
+
+ IA-5(13)[1]
+ the organization defines the time period after which the information system is to prohibit the use of cached authenticators; and
+
+
+ IA-5(13)[2]
+ the information system prohibits the use of cached authenticators after the organization-defined time period.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-5(14)
+ MANAGING CONTENT OF PKI TRUST STORES
+
+ Determine if the organization, for PKI-based authentication, employs a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including:
+
+ IA-5(14)[1]
+ networks;
+
+
+ IA-5(14)[2]
+ operating systems;
+
+
+ IA-5(14)[3]
+ browsers; and
+
+
+ IA-5(14)[4]
+ applications.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-5(15)
+ FICAM-APPROVED PRODUCTS AND SERVICES
+
+ Determine if the organization uses only FICAM-approved path discovery and validation products and services.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-6
+ AUTHENTICATOR FEEDBACK
+
+ Determine if the information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-7
+ CRYPTOGRAPHIC MODULE AUTHENTICATION
+
+ Determine if the information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-8
+ IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)
+
+ Determine if the information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-8(1)
+ ACCEPTANCE OF PIV CREDENTIALS FROM OTHER AGENCIES
+
+ Determine if the information system:
+
+ IA-8(1)[1]
+ accepts Personal Identity Verification (PIV) credentials from other agencies; and
+
+
+ IA-8(1)[2]
+ electronically verifies Personal Identity Verification (PIV) credentials from other agencies.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-8(2)
+ ACCEPTANCE OF THIRD-PARTY CREDENTIALS
+
+ Determine if the information system accepts only FICAM-approved third-party credentials.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-8(3)
+ USE OF FICAM-APPROVED PRODUCTS
+
+ Determine if the organization:
+
+ IA-8(3)[1]
+ defines information systems in which only FICAM-approved information system components are to be employed to accept third-party credentials; and
+
+
+ IA-8(3)[2]
+ employs only FICAM-approved information system components in organization-defined information systems to accept third-party credentials.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-8(4)
+ USE OF FICAM-ISSUED PROFILES
+
+ Determine if the information system conforms to FICAM-issued profiles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-8(5)
+ ACCEPTANCE OF PIV-I CREDENTIALS
+
+ Determine if the information system:
+
+ IA-8(5)[1]
+ accepts Personal Identity Verification-I (PIV-I) credentials; and
+
+
+ IA-8(5)[2]
+ electronically verifies Personal Identity Verification-I (PIV-I) credentials.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-9
+ SERVICE IDENTIFICATION AND AUTHENTICATION
+
+ Determine if the organization:
+
+ IA-9[1]
+ defines information system services to be identified and authenticated using security safeguards;
+
+
+ IA-9[2]
+ defines security safeguards to be used to identify and authenticate organization-defined information system services; and
+
+
+ IA-9[3]
+ identifies and authenticates organization-defined information system services using organization-defined security safeguards.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-9(1)
+ INFORMATION EXCHANGE
+
+ Determine if the organization ensures that service providers:
+
+ IA-9(1)[1]
+ receive identification and authentication information;
+
+
+ IA-9(1)[2]
+ validate identification and authentication information; and
+
+
+ IA-9(1)[3]
+ transmit identification and authentication information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-9(2)
+ TRANSMISSION OF DECISIONS
+
+ Determine if the organization:
+
+ IA-9(2)[1]
+ defines services for which identification and authentication decisions transmitted between such services are to be consistent with organizational policies; and
+
+
+ IA-9(2)[2]
+ ensures that identification and authentication decisions are transmitted between organization-defined services consistent with organizational policies.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-10
+ ADAPTIVE IDENTIFICATION AND AUTHENTICATION
+
+ Determine if the organization:
+
+ IA-10[1]
+ defines specific circumstances or situations that require individuals accessing the information system to employ supplemental authentication techniques or mechanisms;
+
+
+ IA-10[2]
+ defines supplemental authentication techniques or mechanisms to be employed when accessing the information system under specific organization-defined circumstances or situations; and
+
+
+ IA-10[3]
+ requires that individuals accessing the information system employ organization-defined supplemental authentication techniques or mechanisms under specific organization-defined circumstances or situations.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+ IA-11
+ RE-AUTHENTICATION
+
+ Determine if the organization:
+
+ IA-11[1]
+ defines circumstances or situations requiring re-authentication;
+
+
+ IA-11[2]
+ requires users to re-authenticate when organization-defined circumstances or situations require re-authentication; and
+
+
+ IA-11[3]
+ requires devices to re-authenticate when organization-defined circumstances or situations require re-authentication.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ INCIDENT RESPONSE
+ IR-1
+ INCIDENT RESPONSE POLICY AND PROCEDURES
+
+ Determine if the organization:
+
+ IR-1(a)(1)
+
+ IR-1(a)(1)[1]
+ develops and documents an incident response policy that addresses:
+
+ IR-1(a)(1)[1][a]
+ purpose;
+
+
+ IR-1(a)(1)[1][b]
+ scope;
+
+
+ IR-1(a)(1)[1][c]
+ roles;
+
+
+ IR-1(a)(1)[1][d]
+ responsibilities;
+
+
+ IR-1(a)(1)[1][e]
+ management commitment;
+
+
+ IR-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ IR-1(a)(1)[1][g]
+ compliance;
+
+
+
+ IR-1(a)(1)[2]
+ defines personnel or roles to whom the incident response policy is to be disseminated;
+
+
+ IR-1(a)(1)[3]
+ disseminates the incident response policy to organization-defined personnel or roles;
+
+
+
+ IR-1(a)(2)
+
+ IR-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the incident response policy and associated incident response controls;
+
+
+ IR-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ IR-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ IR-1(b)(1)
+
+ IR-1(b)(1)[1]
+ defines the frequency to review and update the current incident response policy;
+
+
+ IR-1(b)(1)[2]
+ reviews and updates the current incident response policy with the organization-defined frequency;
+
+
+
+ IR-1(b)(2)
+
+ IR-1(b)(2)[1]
+ defines the frequency to review and update the current incident response procedures; and
+
+
+ IR-1(b)(2)[2]
+ reviews and updates the current incident response procedures with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ INCIDENT RESPONSE
+ IR-2
+ INCIDENT RESPONSE TRAINING
+
+ Determine if the organization:
+
+ IR-2(a)
+
+ IR-2(a)[1]
+ defines a time period within which incident response training is to be provided to information system users assuming an incident response role or responsibility;
+
+
+ IR-2(a)[2]
+ provides incident response training to information system users consistent with assigned roles and responsibilities within the organization-defined time period of assuming an incident response role or responsibility;
+
+
+
+ IR-2(b)
+ provides incident response training to information system users consistent with assigned roles and responsibilities when required by information system changes;
+
+
+ IR-2(c)
+
+ IR-2(c)[1]
+ defines the frequency to provide refresher incident response training to information system users consistent with assigned roles or responsibilities; and
+
+
+ IR-2(c)[2]
+ after the initial incident response training, provides refresher incident response training to information system users consistent with assigned roles and responsibilities in accordance with the organization-defined frequency to provide refresher training.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-2(1)
+ SIMULATED EVENTS
+
+ Determine if the organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-2(2)
+ AUTOMATED TRAINING ENVIRONMENTS
+
+ Determine if the organization employs automated mechanisms to provide a more thorough and realistic incident response training environment.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ INCIDENT RESPONSE
+ IR-3
+ INCIDENT RESPONSE TESTING
+
+ Determine if the organization:
+
+ IR-3[1]
+ defines incident response tests to test the incident response capability for the information system;
+
+
+ IR-3[2]
+ defines the frequency to test the incident response capability for the information system; and
+
+
+ IR-3[3]
+ tests the incident response capability for the information system with the organization-defined frequency, using organization-defined tests to determine the incident response effectiveness and documents the results.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-3(1)
+ AUTOMATED TESTING
+
+ Determine if the organization employs automated mechanisms to more thoroughly and effectively test the incident response capability.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-3(2)
+ COORDINATION WITH RELATED PLANS
+
+ Determine if the organization coordinates incident response testing with organizational elements responsible for related plans.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ INCIDENT RESPONSE
+ IR-4
+ INCIDENT HANDLING
+
+ Determine if the organization:
+
+ IR-4(a)
+ implements an incident handling capability for security incidents that includes:
+
+ IR-4(a)[1]
+ preparation;
+
+
+ IR-4(a)[2]
+ detection and analysis;
+
+
+ IR-4(a)[3]
+ containment;
+
+
+ IR-4(a)[4]
+ eradication;
+
+
+ IR-4(a)[5]
+ recovery;
+
+
+
+ IR-4(b)
+ coordinates incident handling activities with contingency planning activities;
+
+
+ IR-4(c)
+
+ IR-4(c)[1]
+ incorporates lessons learned from ongoing incident handling activities into:
+
+ IR-4(c)[1][a]
+ incident response procedures;
+
+
+ IR-4(c)[1][b]
+ training;
+
+
+ IR-4(c)[1][c]
+ testing/exercises;
+
+
+
+ IR-4(c)[2]
+ implements the resulting changes accordingly to:
+
+ IR-4(c)[2][a]
+ incident response procedures;
+
+
+ IR-4(c)[2][b]
+ training; and
+
+
+ IR-4(c)[2][c]
+ testing/exercises.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-4(1)
+ AUTOMATED INCIDENT HANDLING PROCESSES
+
+ Determine if the organization employs automated mechanisms to support the incident handling process.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-4(2)
+ DYNAMIC RECONFIGURATION
+
+ Determine if the organization:
+
+ IR-4(2)[1]
+ defines information system components to be dynamically reconfigured as part of the incident response capability; and
+
+
+ IR-4(2)[2]
+ includes dynamic reconfiguration of organization-defined information system components as part of the incident response capability.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-4(3)
+ CONTINUITY OF OPERATIONS
+
+ Determine if the organization:
+
+ IR-4(3)[1]
+ defines classes of incidents requiring an organization-defined action to be taken;
+
+
+ IR-4(3)[2]
+ defines actions to be taken in response to organization-defined classes of incidents; and
+
+
+ IR-4(3)[3]
+ identifies organization-defined classes of incidents and organization-defined actions to take in response to classes of incidents to ensure continuation of organizational missions and business functions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-4(4)
+ INFORMATION CORRELATION
+
+ Determine if the organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-4(5)
+ AUTOMATIC DISABLING OF INFORMATION SYSTEM.
+
+ Determine if the organization:
+
+ IR-4(5)[1]
+ defines security violations that, if detected, initiate a configurable capability to automatically disable the information system; and
+
+
+ IR-4(5)[2]
+ implements a configurable capability to automatically disable the information system if any of the organization-defined security violations are detected.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-4(6)
+ INSIDER THREATS – SPECIFIC CAPABILITIES
+
+ Determine if the organization implements incident handling capability for insider threats.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-4(7)
+ INSIDER THREATS – INTRA-ORGANIZATION COORDINATION
+
+ Determine if the organization:
+
+ IR-4(7)[1]
+ defines components or elements of the organization with whom the incident handling capability for insider threats is to be coordinated; and
+
+
+ IR-4(7)[2]
+ coordinates incident handling capability for insider threats across organization-defined components or elements of the organization.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-4(8)
+ CORRELATION WITH EXTERNAL ORGANIZATIONS
+
+ Determine if the organization:
+
+ IR-4(8)[1]
+ defines external organizations with whom organizational incident information is to be coordinated;
+
+
+ IR-4(8)[2]
+ defines incident information to be correlated and shared with organization-defined external organizations; and
+
+
+ IR-4(8)[3]
+ the organization coordinates with organization-defined external organizations to correlate and share organization-defined information to achieve a cross-organization perspective on incident awareness and more effective incident responses.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-4(9)
+ DYNAMIC RESPONSE CAPABILITY
+
+ Determine if the organization:
+
+ IR-4(9)[1]
+ defines dynamic response capabilities to be employed to effectively respond to security incidents; and
+
+
+ IR-4(9)[2]
+ employs organization-defined dynamic response capabilities to effectively respond to security incidents.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-4(10)
+ SUPPLY CHAIN COORDINATION
+
+ Determine if the organization coordinates incident handling activities involving supply chain events with other organizations involved in the supply chain.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ INCIDENT RESPONSE
+ IR-5
+ INCIDENT MONITORING
+
+ Determine if the organization:
+
+ IR-5[1]
+ tracks information system security incidents; and
+
+
+ IR-5[2]
+ documents information system security incidents.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-5(1)
+ AUTOMATED TRACKING / DATA COLLECTION / ANALYSIS
+
+ Determine if the organization employs automated mechanisms to assist in:
+
+ IR-5(1)[1]
+ the tracking of security incidents;
+
+
+ IR-5(1)[2]
+ the collection of incident information; and
+
+
+ IR-5(1)[3]
+ the analysis of incident information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ INCIDENT RESPONSE
+ IR-6
+ INCIDENT REPORTING
+
+ Determine if the organization:
+
+ IR-6(a)
+
+ IR-6(a)[1]
+ defines the time period within which personnel report suspected security incidents to the organizational incident response capability;
+
+
+ IR-6(a)[2]
+ requires personnel to report suspected security incidents to the organizational incident response capability within the organization-defined time period;
+
+
+
+ IR-6(b)
+
+ IR-6(b)[1]
+ defines authorities to whom security incident information is to be reported; and
+
+
+ IR-6(b)[2]
+ reports security incident information to organization-defined authorities.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-6(1)
+ AUTOMATED REPORTING
+
+ Determine if the organization employs automated mechanisms to assist in the reporting of security incidents.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-6(2)
+ VULNERABILITIES RELATED TO INCIDENTS
+
+ Determine if the organization:
+
+ IR-6(2)[1]
+ defines personnel or roles to whom information system vulnerabilities associated with reported security incidents are to be reported; and
+
+
+ IR-6(2)[2]
+ reports information system vulnerabilities associated with reported security incidents to organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-6(3)
+ COORDINATION WITH SUPPLY CHAIN
+
+ Determine if the organization provides security incident information to other organizations involved in the supply chain for information systems or information system components related to the incident.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ INCIDENT RESPONSE
+ IR-7
+ INCIDENT RESPONSE ASSISTANCE
+
+ Determine if the organization provides an incident response support resource:
+
+ IR-7[1]
+ that is integral to the organizational incident response capability; and
+
+
+ IR-7[2]
+ that offers advice and assistance to users of the information system for the handling and reporting of security incidents.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-7(1)
+ AUTOMATION SUPPORT FOR AVAILABILITY OF INFORMATION / SUPPORT
+
+ Determine if the organization employs automated mechanisms to increase the availability of incident response-related information and support.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-7(2)
+ COORDINATION WITH EXTERNAL PROVIDERS
+
+ Determine if the organization:
+
+ IR-7(2)(a)
+ establishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and
+
+
+ IR-7(2)(b)
+ identifies organizational incident response team members to the external providers.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ INCIDENT RESPONSE
+ IR-8
+ INCIDENT RESPONSE PLAN
+
+ Determine if the organization:
+
+ IR-8(a)
+ develops an incident response plan that:
+
+ IR-8(a)(1)
+ provides the organization with a roadmap for implementing its incident response capability;
+
+
+ IR-8(a)(2)
+ describes the structure and organization of the incident response capability;
+
+
+ IR-8(a)(3)
+ provides a high-level approach for how the incident response capability fits into the overall organization;
+
+
+ IR-8(a)(4)
+ meets the unique requirements of the organization, which relate to:
+
+ IR-8(a)(4)[1]
+ mission;
+
+
+ IR-8(a)(4)[2]
+ size;
+
+
+ IR-8(a)(4)[3]
+ structure;
+
+
+ IR-8(a)(4)[4]
+ functions;
+
+
+
+ IR-8(a)(5)
+ defines reportable incidents;
+
+
+ IR-8(a)(6)
+ provides metrics for measuring the incident response capability within the organization;
+
+
+ IR-8(a)(7)
+ defines the resources and management support needed to effectively maintain and mature an incident response capability;
+
+
+ IR-8(a)(8)
+
+ IR-8(a)(8)[1]
+ defines personnel or roles to review and approve the incident response plan;
+
+
+ IR-8(a)(8)[2]
+ is reviewed and approved by organization-defined personnel or roles;
+
+
+
+
+ IR-8(b)
+
+ IR-8(b)[1]
+
+ IR-8(b)[1][a]
+ defines incident response personnel (identified by name and/or by role) to whom copies of the incident response plan are to be distributed;
+
+
+ IR-8(b)[1][b]
+ defines organizational elements to whom copies of the incident response plan are to be distributed;
+
+
+
+ IR-8(b)[2]
+ distributes copies of the incident response plan to organization-defined incident response personnel (identified by name and/or by role) and organizational elements;
+
+
+
+ IR-8(c)
+
+ IR-8(c)[1]
+ defines the frequency to review the incident response plan;
+
+
+ IR-8(c)[2]
+ reviews the incident response plan with the organization-defined frequency;
+
+
+
+ IR-8(d)
+ updates the incident response plan to address system/organizational changes or problems encountered during plan:
+
+ IR-8(d)[1]
+ implementation;
+
+
+ IR-8(d)[2]
+ execution; or
+
+
+ IR-8(d)[3]
+ testing;
+
+
+
+ IR-8(e)
+
+ IR-8(e)[1]
+
+ IR-8(e)[1][a]
+ defines incident response personnel (identified by name and/or by role) to whom incident response plan changes are to be communicated;
+
+
+ IR-8(e)[1][b]
+ defines organizational elements to whom incident response plan changes are to be communicated;
+
+
+
+ IR-8(e)[2]
+ communicates incident response plan changes to organization-defined incident response personnel (identified by name and/or by role) and organizational elements; and
+
+
+
+ IR-8(f)
+ protects the incident response plan from unauthorized disclosure and modification.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ INCIDENT RESPONSE
+ IR-9
+ INFORMATION SPILLAGE RESPONSE
+
+ Determine if the organization:
+
+ IR-9(a)
+ responds to information spills by identifying the specific information causing the information system contamination;
+
+
+ IR-9(b)
+
+ IR-9(b)[1]
+ defines personnel to be alerted of the information spillage;
+
+
+ IR-9(b)[2]
+ identifies a method of communication not associated with the information spill to use to alert organization-defined personnel of the spill;
+
+
+ IR-9(b)[3]
+ responds to information spills by alerting organization-defined personnel of the information spill using a method of communication not associated with the spill;
+
+
+
+ IR-9(c)
+ responds to information spills by isolating the contaminated information system;
+
+
+ IR-9(d)
+ responds to information spills by eradicating the information from the contaminated information system;
+
+
+ IR-9(e)
+ responds to information spills by identifying other information systems that may have been subsequently contaminated;
+
+
+ IR-9(f)
+
+ IR-9(f)[1]
+ defines other actions to be performed in response to information spills; and
+
+
+ IR-9(f)[2]
+ responds to information spills by performing other organization-defined actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-9(1)
+ RESPONSIBLE PERSONNEL
+
+ Determine if the organization:
+
+ IR-9(1)[1]
+ defines personnel with responsibility for responding to information spills; and
+
+
+ IR-9(1)[2]
+ assigns organization-defined personnel with responsibility for responding to information spills.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-9(2)
+ TRAINING
+
+ Determine if the organization:
+
+ IR-9(2)[1]
+ defines the frequency to provide information spillage response training; and
+
+
+ IR-9(2)[2]
+ provides information spillage response training with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-9(3)
+ POST-SPILL OPERATIONS
+
+ Determine if the organization:
+
+ IR-9(3)[1]
+ defines procedures that ensure organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions; and
+
+
+ IR-9(3)[2]
+ implements organization-defined procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-9(4)
+ EXPOSURE TO UNAUTHORIZED PERSONNEL
+
+ Determine if the organization:
+
+ IR-9(4)[1]
+ defines security safeguards to be employed for personnel exposed to information not within assigned access authorizations; and
+
+
+ IR-9(4)[2]
+ employs organization-defined security safeguards for personnel exposed to information not within assigned access authorizations.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ INCIDENT RESPONSE
+ IR-10
+ INTEGRATED INFORMATION SECURITY ANALYSIS TEAM
+
+ Determine if the organization establishes an integrated team of forensic/malicious code analyst, tool developers, and real-time operations personnel.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MAINTENANCE
+ MA-1
+ SYSTEM MAINTENANCE POLICY AND PROCEDURES
+
+ Determine if the organization:
+
+ MA-1(a)(1)
+
+ MA-1(a)(1)[1]
+ develops and documents a system maintenance policy that addresses:
+
+ MA-1(a)(1)[1][a]
+ purpose;
+
+
+ MA-1(a)(1)[1][b]
+ scope;
+
+
+ MA-1(a)(1)[1][c]
+ roles;
+
+
+ MA-1(a)(1)[1][d]
+ responsibilities;
+
+
+ MA-1(a)(1)[1][e]
+ management commitment;
+
+
+ MA-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ MA-1(a)(1)[1][g]
+ compliance;
+
+
+
+ MA-1(a)(1)[2]
+ defines personnel or roles to whom the system maintenance policy is to be disseminated;
+
+
+ MA-1(a)(1)[3]
+ disseminates the system maintenance policy to organization-defined personnel or roles;
+
+
+
+ MA-1(a)(2)
+
+ MA-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the maintenance policy and associated system maintenance controls;
+
+
+ MA-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ MA-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ MA-1(b)(1)
+
+ MA-1(b)(1)[1]
+ defines the frequency to review and update the current system maintenance policy;
+
+
+ MA-1(b)(1)[2]
+ reviews and updates the current system maintenance policy with the organization-defined frequency;
+
+
+
+ MA-1(b)(2)
+
+ MA-1(b)(2)[1]
+ defines the frequency to review and update the current system maintenance procedures; and
+
+
+ MA-1(b)(2)[2]
+ reviews and updates the current system maintenance procedures with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MAINTENANCE
+ MA-2
+ CONTROLLED MAINTENANCE
+
+ Determine if the organization:
+
+ MA-2(a)
+
+ MA-2(a)[1]
+ schedules maintenance and repairs on information system components in accordance with:
+
+ MA-2(a)[1][a]
+ manufacturer or vendor specifications; and/or
+
+
+ MA-2(a)[1][b]
+ organizational requirements;
+
+
+
+ MA-2(a)[2]
+ performs maintenance and repairs on information system components in accordance with:
+
+ MA-2(a)[2][a]
+ manufacturer or vendor specifications; and/or
+
+
+ MA-2(a)[2][b]
+ organizational requirements;
+
+
+
+ MA-2(a)[3]
+ documents maintenance and repairs on information system components in accordance with:
+
+ MA-2(a)[3][a]
+ manufacturer or vendor specifications; and/or
+
+
+ MA-2(a)[3][b]
+ organizational requirements;
+
+
+
+ MA-2(a)[4]
+ reviews records of maintenance and repairs on information system components in accordance with:
+
+ MA-2(a)[4][a]
+ manufacturer or vendor specifications; and/or
+
+
+ MA-2(a)[4][b]
+ organizational requirements;
+
+
+
+
+ MA-2(b)
+
+ MA-2(b)[1]
+ approves all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;
+
+
+ MA-2(b)[2]
+ monitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;
+
+
+
+ MA-2(c)
+
+ MA-2(c)[1]
+ defines personnel or roles required to explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;
+
+
+ MA-2(c)[2]
+ requires that organization-defined personnel or roles explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;
+
+
+
+ MA-2(d)
+ sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs;
+
+
+ MA-2(e)
+ checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions;
+
+
+ MA-2(f)
+
+ MA-2(f)[1]
+ defines maintenance-related information to be included in organizational maintenance records; and
+
+
+ MA-2(f)[2]
+ includes organization-defined maintenance-related information in organizational maintenance records.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-2(1)
+ RECORD CONTENT
+
+ MA-2
+
+
+ [Withdrawn: Incorporated into MA-2].
+
+
+
+ MA-2(2)
+ AUTOMATED MAINTENANCE ACTIVITIES
+
+ Determine if the organization:
+
+ MA-2(2)(a)
+ employs automated mechanisms to:
+
+ MA-2(2)(a)[1]
+ schedule maintenance and repairs;
+
+
+ MA-2(2)(a)[2]
+ conduct maintenance and repairs;
+
+
+ MA-2(2)(a)[3]
+ document maintenance and repairs;
+
+
+
+ MA-2(2)(b)
+ produces up-to-date, accurate, and complete records of all maintenance and repair actions:
+
+ MA-2(2)(b)[1]
+ requested;
+
+
+ MA-2(2)(b)[2]
+ scheduled;
+
+
+ MA-2(2)(b)[3]
+ in process; and
+
+
+ MA-2(2)(b)[4]
+ completed.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MAINTENANCE
+ MA-3
+ MAINTENANCE TOOLS
+
+ Determine if the organization:
+
+ MA-3[1]
+ approves information system maintenance tools;
+
+
+ MA-3[2]
+ controls information system maintenance tools; and
+
+
+ MA-3[3]
+ monitors information system maintenance tools.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-3(1)
+ INSPECT TOOLS
+
+ Determine if the organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-3(2)
+ INSPECT MEDIA
+
+ Determine if the organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-3(3)
+ PREVENT UNAUTHORIZED REMOVAL
+
+ Determine if the organization prevents the unauthorized removal of maintenance equipment containing organizational information by:
+
+ MA-3(3)(a)
+ verifying that there is no organizational information contained on the equipment;
+
+
+ MA-3(3)(b)
+ sanitizing or destroying the equipment;
+
+
+ MA-3(3)(c)
+ retaining the equipment within the facility; or
+
+
+ MA-3(3)(d)
+
+ MA-3(3)(d)[1]
+ defining personnel or roles that can grant an exemption from explicitly authorizing removal of the equipment from the facility; and
+
+
+ MA-3(3)(d)[2]
+ obtaining an exemption from organization-defined personnel or roles explicitly authorizing removal of the equipment from the facility.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-3(4)
+ RESTRICTED TOOL USE
+
+ Determine if the organization restricts the use of maintenance tools to authorized personnel only.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MAINTENANCE
+ MA-4
+ NONLOCAL MAINTENANCE
+
+ Determine if the organization:
+
+ MA-4(a)
+
+ MA-4(a)[1]
+ approves nonlocal maintenance and diagnostic activities;
+
+
+ MA-4(a)[2]
+ monitors nonlocal maintenance and diagnostic activities;
+
+
+
+ MA-4(b)
+ allows the use of nonlocal maintenance and diagnostic tools only:
+
+ MA-4(b)[1]
+ as consistent with organizational policy;
+
+
+ MA-4(b)[2]
+ as documented in the security plan for the information system;
+
+
+
+ MA-4(c)
+ employs strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;
+
+
+ MA-4(d)
+ maintains records for nonlocal maintenance and diagnostic activities;
+
+
+ MA-4(e)
+
+ MA-4(e)[1]
+ terminates sessions when nonlocal maintenance or diagnostics is completed; and
+
+
+ MA-4(e)[2]
+ terminates network connections when nonlocal maintenance or diagnostics is completed.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-4(1)
+ AUDITING AND REVIEW
+
+ Determine if the organization:
+
+ MA-4(1)(a)
+
+ MA-4(1)(a)[1]
+ defines audit events to audit nonlocal maintenance and diagnostic sessions;
+
+
+ MA-4(1)(a)[2]
+ audits organization-defined audit events for non-local maintenance and diagnostic sessions; and
+
+
+
+ MA-4(1)(b)
+ reviews records of the maintenance and diagnostic sessions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-4(2)
+ DOCUMENT NONLOCAL MAINTENANCE
+
+ Determine if the organization documents in the security plan for the information system:
+
+ MA-4(2)[1]
+ the policies for the establishment and use of nonlocal maintenance and diagnostic connections; and
+
+
+ MA-4(2)[2]
+ the procedures for the establishment and use of nonlocal maintenance and diagnostic connections.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-4(3)
+ COMPARABLE SECURITY / SANITIZATION
+
+ Determine if the organization:
+
+ MA-4(3)(a)
+ requires that nonlocal maintenance and diagnostic services be performed from an information system that implements a security capability comparable to the capability implemented on the system being serviced; or
+
+
+ MA-4(3)(b)
+
+ MA-4(3)(b)[1]
+ removes the component to be serviced from the information system;
+
+
+ MA-4(3)(b)[2]
+ sanitizes the component (with regard to organizational information) prior to nonlocal maintenance or diagnostic services and/or before removal from organizational facilities; and
+
+
+ MA-4(3)(b)[3]
+ inspects and sanitizes the component (with regard to potentially malicious software) after service is performed on the component and before reconnecting the component to the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-4(4)
+ AUTHENTICATION / SEPARATION OF MAINTENANCE SESSIONS
+
+ Determine if the organization protects nonlocal maintenance sessions by:
+
+ MA-4(4)(a)
+
+ MA-4(4)(a)[1]
+ defining replay resistant authenticators to be employed to protect nonlocal maintenance sessions;
+
+
+ MA-4(4)(a)[2]
+ employing organization-defined authenticators that are replay resistant;
+
+
+
+ MA-4(4)(b)
+ separating the maintenance sessions from other network sessions with the information system by either:
+
+ MA-4(4)(b)(1)
+ physically separated communications paths; or
+
+
+ MA-4(4)(b)(2)
+ logically separated communications paths based upon encryption.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-4(5)
+ APPROVALS AND NOTIFICATIONS
+
+ Determine if the organization:
+
+ MA-4(5)(a)
+
+ MA-4(5)(a)[1]
+ defines personnel or roles required to approve each nonlocal maintenance session;
+
+
+ MA-4(5)(a)[2]
+ requires the approval of each nonlocal maintenance session by organization-defined personnel or roles;
+
+
+
+ MA-4(5)(b)
+
+ MA-4(5)(b)[1]
+ defines personnel or roles to be notified of the date and time of planned nonlocal maintenance; and
+
+
+ MA-4(5)(b)[2]
+ notifies organization-defined personnel roles of the date and time of planned nonlocal maintenance.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-4(6)
+ CRYPTOGRAPHIC PROTECTION
+
+ Determine if the information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-4(7)
+ REMOTE DISCONNECT VERIFICATION
+
+ Determine if the information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MAINTENANCE
+ MA-5
+ MAINTENANCE PERSONNEL
+
+ Determine if the organization:
+
+ MA-5(a)
+
+ MA-5(a)[1]
+ establishes a process for maintenance personnel authorization;
+
+
+ MA-5(a)[2]
+ maintains a list of authorized maintenance organizations or personnel;
+
+
+
+ MA-5(b)
+ ensures that non-escorted personnel performing maintenance on the information system have required access authorizations; and
+
+
+ MA-5(c)
+ designates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-5(1)
+ INDIVIDUALS WITHOUT APPROPRIATE ACCESS
+
+ Determine if the organization:
+
+ MA-5(1)(a)
+ implements procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:
+
+ MA-5(1)(a)(1)
+ maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who:
+
+ MA-5(1)(a)(1)[1]
+ are fully cleared;
+
+
+ MA-5(1)(a)(1)[2]
+ have appropriate access authorizations;
+
+
+ MA-5(1)(a)(1)[3]
+ are technically qualified;
+
+
+
+ MA-5(1)(a)(2)
+ prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances, or formal access approvals:
+
+ MA-5(1)(a)(2)[1]
+ all volatile information storage components within the information system are sanitized; and
+
+
+ MA-5(1)(a)(2)[2]
+ all nonvolatile storage media are removed; or
+
+
+ MA-5(1)(a)(2)[3]
+ all nonvolatile storage media are physically disconnected from the system and secured; and
+
+
+
+
+ MA-5(1)(b)
+ develops and implements alternative security safeguards in the event an information system component cannot be sanitized, removed, or disconnected from the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-5(2)
+ SECURITY CLEARANCES FOR CLASSIFIED SYSTEMS
+
+ Determine if the organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information possess:
+
+ MA-5(2)[1]
+ security clearances for at least the highest classification level on the system;
+
+
+ MA-5(2)[2]
+ security clearances for all compartments of information on the system;
+
+
+ MA-5(2)[3]
+ formal access approvals for at least the highest classification level on the system; and
+
+
+ MA-5(2)[4]
+ formal access approvals for all compartments of information on the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-5(3)
+ CITIZENSHIP REQUIREMENTS FOR CLASSIFIED SYSTEMS
+
+ Determine if the organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-5(4)
+ FOREIGN NATIONALS
+
+ Determine if the organization ensures that:
+
+ MA-5(4)(a)
+ cleared foreign nationals (i.e., foreign nationals with appropriate security clearances) are used to conduct maintenance and diagnostic activities on classified information systems only when the systems are:
+
+ MA-5(4)(a)[1]
+ jointly owned and operated by the United States and foreign allied governments; or
+
+
+ MA-5(4)(a)[2]
+ owned and operated solely by foreign allied governments; and
+
+
+
+ MA-5(4)(b)
+ approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified information systems are fully documented within Memoranda of Agreements.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-5(5)
+ NONSYSTEM-RELATED MAINTENANCE
+
+ Determine if the organization ensures that non-escorted personnel performing maintenance activities not directly associated with the information system but in the physical proximity of the system, have required access authorizations.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MAINTENANCE
+ MA-6
+ TIMELY MAINTENANCE
+
+ Determine if the organization:
+
+ MA-6[1]
+ defines information system components for which maintenance support and/or spare parts are to be obtained;
+
+
+ MA-6[2]
+ defines the time period within which maintenance support and/or spare parts are to be obtained after a failure;
+
+
+ MA-6[3]
+
+ MA-6[3][a]
+ obtains maintenance support for organization-defined information system components within the organization-defined time period of failure; and/or
+
+
+ MA-6[3][b]
+ obtains spare parts for organization-defined information system components within the organization-defined time period of failure.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-6(1)
+ PREVENTIVE MAINTENANCE
+
+ Determine if the organization:
+
+ MA-6(1)[1]
+ defines information system components on which preventive maintenance is to be performed;
+
+
+ MA-6(1)[2]
+ defines time intervals within which preventive maintenance is to be performed on organization-defined information system components; and
+
+
+ MA-6(1)[3]
+ performs preventive maintenance on organization-defined information system components at organization-defined time intervals.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-6(2)
+ PREDICTIVE MAINTENANCE
+
+ Determine if the organization:
+
+ MA-6(2)[1]
+ defines information system components on which predictive maintenance is to be performed;
+
+
+ MA-6(2)[2]
+ defines time intervals within which predictive maintenance is to be performed on organization-defined information system components; and
+
+
+ MA-6(2)[3]
+ performs predictive maintenance on organization-defined information system components at organization-defined time intervals.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-6(3)
+ AUTOMATED SUPPORT FOR PREDICTIVE MAINTENANCE
+
+ Determine if the organization employs automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MEDIA PROTECTION
+ MP-1
+ MEDIA PROTECTION POLICY AND PROCEDURES
+
+ Determine if the organization:
+
+ MP-1(a)(1)
+
+ MP-1(a)(1)[1]
+ develops and documents a media protection policy that addresses:
+
+ MP-1(a)(1)[1][a]
+ purpose;
+
+
+ MP-1(a)(1)[1][b]
+ scope;
+
+
+ MP-1(a)(1)[1][c]
+ roles;
+
+
+ MP-1(a)(1)[1][d]
+ responsibilities;
+
+
+ MP-1(a)(1)[1][e]
+ management commitment;
+
+
+ MP-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ MP-1(a)(1)[1][g]
+ compliance;
+
+
+
+ MP-1(a)(1)[2]
+ defines personnel or roles to whom the media protection policy is to be disseminated;
+
+
+ MP-1(a)(1)[3]
+ disseminates the media protection policy to organization-defined personnel or roles;
+
+
+
+ MP-1(a)(2)
+
+ MP-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the media protection policy and associated media protection controls;
+
+
+ MP-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ MP-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ MP-1(b)(1)
+
+ MP-1(b)(1)[1]
+ defines the frequency to review and update the current media protection policy;
+
+
+ MP-1(b)(1)[2]
+ reviews and updates the current media protection policy with the organization-defined frequency;
+
+
+
+ MP-1(b)(2)
+
+ MP-1(b)(2)[1]
+ defines the frequency to review and update the current media protection procedures; and
+
+
+ MP-1(b)(2)[2]
+ reviews and updates the current media protection procedures with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MEDIA PROTECTION
+ MP-2
+ MEDIA ACCESS
+
+ Determine if the organization:
+
+ MP-2[1]
+ defines types of digital and/or non-digital media requiring restricted access;
+
+
+ MP-2[2]
+ defines personnel or roles authorized to access organization-defined types of digital and/or non-digital media; and
+
+
+ MP-2[3]
+ restricts access to organization-defined types of digital and/or non-digital media to organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-2(1)
+ AUTOMATED RESTRICTED ACCESS
+
+ MP-4(2)
+
+
+ [Withdrawn: Incorporated into MP-4(2)].
+
+
+
+ MP-2(2)
+ CRYPTOGRAPHIC PROTECTION
+
+ SC-28(1)
+
+
+ [Withdrawn: Incorporated into SC-28(1)].
+
+
+
+
+
+ MEDIA PROTECTION
+ MP-3
+ MEDIA MARKING
+
+ Determine if the organization:
+
+ MP-3(a)
+ marks information system media indicating the:
+
+ MP-3(a)[1]
+ distribution limitations of the information;
+
+
+ MP-3(a)[2]
+ handling caveats of the information;
+
+
+ MP-3(a)[3]
+ applicable security markings (if any) of the information;
+
+
+
+ MP-3(b)
+
+ MP-3(b)[1]
+ defines types of information system media to be exempted from marking as long as the media remain in designated controlled areas;
+
+
+ MP-3(b)[2]
+ defines controlled areas where organization-defined types of information system media exempt from marking are to be retained; and
+
+
+ MP-3(b)[3]
+ exempts organization-defined types of information system media from marking as long as the media remain within organization-defined controlled areas.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MEDIA PROTECTION
+ MP-4
+ MEDIA STORAGE
+
+ Determine if the organization:
+
+ MP-4(a)
+
+ MP-4(a)[1]
+ defines types of digital and/or non-digital media to be physically controlled and securely stored within designated controlled areas;
+
+
+ MP-4(a)[2]
+ defines controlled areas designated to physically control and securely store organization-defined types of digital and/or non-digital media;
+
+
+ MP-4(a)[3]
+ physically controls organization-defined types of digital and/or non-digital media within organization-defined controlled areas;
+
+
+ MP-4(a)[4]
+ securely stores organization-defined types of digital and/or non-digital media within organization-defined controlled areas; and
+
+
+
+ MP-4(b)
+ protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-4(1)
+ CRYPTOGRAPHIC PROTECTION
+
+ SC-28(1)
+
+
+ [Withdrawn: Incorporated into SC-28(1)].
+
+
+
+ MP-4(2)
+ AUTOMATED RESTRICTED ACCESS
+
+ Determine if the organization employs automated mechanisms to:
+
+ MP-4(2)[1]
+ restrict access to media storage areas;
+
+
+ MP-4(2)[2]
+ audit access attempts; and
+
+
+ MP-4(2)[3]
+ audit access granted.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MEDIA PROTECTION
+ MP-5
+ MEDIA TRANSPORT
+
+ Determine if the organization:
+
+ MP-5(a)
+
+ MP-5(a)[1]
+ defines types of information system media to be protected and controlled during transport outside of controlled areas;
+
+
+ MP-5(a)[2]
+ defines security safeguards to protect and control organization-defined information system media during transport outside of controlled areas;
+
+
+ MP-5(a)[3]
+ protects and controls organization-defined information system media during transport outside of controlled areas using organization-defined security safeguards;
+
+
+
+ MP-5(b)
+ maintains accountability for information system media during transport outside of controlled areas;
+
+
+ MP-5(c)
+ documents activities associated with the transport of information system media; and
+
+
+ MP-5(d)
+ restricts the activities associated with transport of information system media to authorized personnel.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-5(1)
+ PROTECTION OUTSIDE OF CONTROLLED AREAS
+
+ MP-5
+
+
+ [Withdrawn: Incorporated into MP-5].
+
+
+
+ MP-5(2)
+ DOCUMENTATION OF ACTIVITIES
+
+ MP-5
+
+
+ [Withdrawn: Incorporated into MP-5].
+
+
+
+ MP-5(3)
+ CUSTODIANS
+
+ Determine if the organization employs an identified custodian during transport of information system media outside of controlled areas.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-5(4)
+ CRYPTOGRAPHIC PROTECTION
+
+ Determine if the organization employs cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MEDIA PROTECTION
+ MP-6
+ MEDIA SANITIZATION
+
+ Determine if the organization:
+
+ MP-6(a)
+
+ MP-6(a)[1]
+ defines information system media to be sanitized prior to:
+
+ MP-6(a)[1][a]
+ disposal;
+
+
+ MP-6(a)[1][b]
+ release out of organizational control; or
+
+
+ MP-6(a)[1][c]
+ release for reuse;
+
+
+
+ MP-6(a)[2]
+ defines sanitization techniques or procedures to be used for sanitizing organization-defined information system media prior to:
+
+ MP-6(a)[2][a]
+ disposal;
+
+
+ MP-6(a)[2][b]
+ release out of organizational control; or
+
+
+ MP-6(a)[2][c]
+ release for reuse;
+
+
+
+ MP-6(a)[3]
+ sanitizes organization-defined information system media prior to disposal, release out of organizational control, or release for reuse using organization-defined sanitization techniques or procedures in accordance with applicable federal and organizational standards and policies; and
+
+
+
+ MP-6(b)
+ employs sanitization mechanisms with strength and integrity commensurate with the security category or classification of the information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-6(1)
+ REVIEW / APPROVE / TRACK / DOCUMENT / VERIFY
+
+ Determine if the organization:
+
+ MP-6(1)[1]
+ reviews media sanitization and disposal actions;
+
+
+ MP-6(1)[2]
+ approves media sanitization and disposal actions;
+
+
+ MP-6(1)[3]
+ tracks media sanitization and disposal actions;
+
+
+ MP-6(1)[4]
+ documents media sanitization and disposal actions; and
+
+
+ MP-6(1)[5]
+ verifies media sanitization and disposal actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-6(2)
+ EQUIPMENT TESTING
+
+ Determine if the organization:
+
+ MP-6(2)[1]
+ defines the frequency for testing sanitization equipment and procedures to verify that the intended sanitization is being achieved; and
+
+
+ MP-6(2)[2]
+ tests sanitization equipment and procedures with the organization-defined frequency to verify that the intended sanitization is being achieved.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-6(3)
+ NONDESTRUCTIVE TECHNIQUES
+
+ Determine if the organization:
+
+ MP-6(3)[1]
+ defines circumstances requiring sanitization of portable storage devices; and
+
+
+ MP-6(3)[2]
+ applies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under organization-defined circumstances requiring sanitization of portable storage devices.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-6(4)
+ CONTROLLED UNCLASSIFIED INFORMATION
+
+ MP-6
+
+
+ [Withdrawn: Incorporated into MP-6].
+
+
+
+ MP-6(5)
+ CLASSIFIED INFORMATION
+
+ MP-6
+
+
+ [Withdrawn: Incorporated into MP-6].
+
+
+
+ MP-6(6)
+ MEDIA DESTRUCTION
+
+ MP-6
+
+
+ [Withdrawn: Incorporated into MP-6].
+
+
+
+ MP-6(7)
+ DUAL AUTHORIZATION
+
+ Determine if the organization:
+
+ MP-6(7)[1]
+ defines information system media requiring dual authorization to be enforced for sanitization of such media; and
+
+
+ MP-6(7)[2]
+ enforces dual authorization for the sanitization of organization-defined information system media.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-6(8)
+ REMOTE PURGING / WIPING OF INFORMATION
+
+ Determine if the organization:
+
+ MP-6(8)[1]
+ defines information systems, system components, or devices to purge/wipe either remotely or under specific organizational conditions;
+
+
+ MP-6(8)[2]
+ defines conditions under which information is to be purged/wiped from organization-defined information systems, system components, or devices; and
+
+
+ MP-6(8)[3]
+ provides the capability to purge/wipe information from organization-defined information systems, system components, or devices either:
+
+ MP-6(8)[3][a]
+ remotely; or
+
+
+ MP-6(8)[3][b]
+ under organization-defined conditions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MEDIA PROTECTION
+ MP-7
+ MEDIA USE
+
+ Determine if the organization:
+
+ MP-7[1]
+ defines types of information system media to be:
+
+ MP-7[1][a]
+ restricted on information systems or system components; or
+
+
+ MP-7[1][b]
+ prohibited from use on information systems or system components;
+
+
+
+ MP-7[2]
+ defines information systems or system components on which the use of organization-defined types of information system media is to be one of the following:
+
+ MP-7[2][a]
+ restricted; or
+
+
+ MP-7[2][b]
+ prohibited;
+
+
+
+ MP-7[3]
+ defines security safeguards to be employed to restrict or prohibit the use of organization-defined types of information system media on organization-defined information systems or system components; and
+
+
+ MP-7[4]
+ restricts or prohibits the use of organization-defined information system media on organization-defined information systems or system components using organization-defined security safeguards.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-7(1)
+ PROHIBIT USE WITHOUT OWNER
+
+ Determine if the organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-7(2)
+ PROHIBIT USE OF SANITIZATION-RESISTANT MEDIA
+
+ Determine if the organization prohibits the use of sanitization-resistant media in organizational information systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MEDIA PROTECTION
+ MP-8
+ MEDIA DOWNGRADING
+
+ Determine if the organization:
+
+ MP-8(a)
+
+ MP-8(a)[1]
+ defines the information system media downgrading process;
+
+
+ MP-8(a)[2]
+ defines the strength and integrity with which media downgrading mechanisms are to be employed;
+
+
+ MP-8(a)[3]
+ establishes an organization-defined information system media downgrading process that includes employing downgrading mechanisms with organization-defined strength and integrity;
+
+
+
+ MP-8(b)
+ ensures that the information system media downgrading process is commensurate with the:
+
+ MP-8(b)[1]
+ security category and/or classification level of the information to be removed;
+
+
+ MP-8(b)[2]
+ access authorizations of the potential recipients of the downgraded information;
+
+
+
+ MP-8(c)
+ identifies/defines information system media requiring downgrading; and
+
+
+ MP-8(d)
+ downgrades the identified information system media using the established process.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-8(1)
+ DOCUMENTATION OF PROCESS
+
+ Determine if the organization documents information system media downgrading actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-8(2)
+ EQUIPMENT TESTING
+
+ Determine if the organization:
+
+ MP-8(2)[1]
+
+ MP-8(2)[1][a]
+ defines tests to be employed for downgrading equipment;
+
+
+ MP-8(2)[1][b]
+ defines procedures to verify correct performance;
+
+
+
+ MP-8(2)[2]
+ defines the frequency for employing tests of downgrading equipment and procedures to verify correct performance; and
+
+
+ MP-8(2)[3]
+ employs organization-defined tests of downgrading equipment and procedures to verify correct performance with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-8(3)
+ CONTROLLED UNCLASSIFIED INFORMATION
+
+ Determine if the organization:
+
+ MP-8(3)[1]
+ defines Controlled Unclassified Information (CUI) contained on information system media that requires downgrading prior to public release; and
+
+
+ MP-8(3)[2]
+ downgrades information system media containing organization-defined CUI prior to public release in accordance with applicable federal and organizational standards and policies.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-8(4)
+ CLASSIFIED INFORMATION
+
+ Determine if the organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-1
+ PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES
+
+ Determine if the organization:
+
+ PE-1(a)(1)
+
+ PE-1(a)(1)[1]
+ develops and documents a physical and environmental protection policy that addresses:
+
+ PE-1(a)(1)[1][a]
+ purpose;
+
+
+ PE-1(a)(1)[1][b]
+ scope;
+
+
+ PE-1(a)(1)[1][c]
+ roles;
+
+
+ PE-1(a)(1)[1][d]
+ responsibilities;
+
+
+ PE-1(a)(1)[1][e]
+ management commitment;
+
+
+ PE-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ PE-1(a)(1)[1][g]
+ compliance;
+
+
+
+ PE-1(a)(1)[2]
+ defines personnel or roles to whom the physical and environmental protection policy is to be disseminated;
+
+
+ PE-1(a)(1)[3]
+ disseminates the physical and environmental protection policy to organization-defined personnel or roles;
+
+
+
+ PE-1(a)(2)
+
+ PE-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls;
+
+
+ PE-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ PE-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ PE-1(b)(1)
+
+ PE-1(b)(1)[1]
+ defines the frequency to review and update the current physical and environmental protection policy;
+
+
+ PE-1(b)(1)[2]
+ reviews and updates the current physical and environmental protection policy with the organization-defined frequency;
+
+
+
+ PE-1(b)(2)
+
+ PE-1(b)(2)[1]
+ defines the frequency to review and update the current physical and environmental protection procedures; and
+
+
+ PE-1(b)(2)[2]
+ reviews and updates the current physical and environmental protection procedures with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-2
+ PHYSICAL ACCESS AUTHORIZATIONS
+
+ Determine if the organization:
+
+ PE-2(a)
+
+ PE-2(a)[1]
+ develops a list of individuals with authorized access to the facility where the information system resides;
+
+
+ PE-2(a)[2]
+ approves a list of individuals with authorized access to the facility where the information system resides;
+
+
+ PE-2(a)[3]
+ maintains a list of individuals with authorized access to the facility where the information system resides;
+
+
+
+ PE-2(b)
+ issues authorization credentials for facility access;
+
+
+ PE-2(c)
+
+ PE-2(c)[1]
+ defines the frequency to review the access list detailing authorized facility access by individuals;
+
+
+ PE-2(c)[2]
+ reviews the access list detailing authorized facility access by individuals with the organization-defined frequency; and
+
+
+
+ PE-2(d)
+ removes individuals from the facility access list when access is no longer required.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-2(1)
+ ACCESS BY POSITION / ROLE
+
+ Determine if the organization authorizes physical access to the facility where the information system resides based on position or role.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-2(2)
+ TWO FORMS OF IDENTIFICATION
+
+ Determine if the organization:
+
+ PE-2(2)[1]
+ defines a list of acceptable forms of identification for visitor access to the facility where the information system resides; and
+
+
+ PE-2(2)[2]
+ requires two forms of identification from the organization-defined list of acceptable forms of identification for visitor access to the facility where the information system resides.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-2(3)
+ RESTRICT UNESCORTED ACCESS
+
+ Determine if the organization:
+
+ PE-2(3)[1]
+ defines credentials to be employed to restrict unescorted access to the facility where the information system resides to authorized personnel;
+
+
+ PE-2(3)[2]
+ restricts unescorted access to the facility where the information system resides to personnel with one or more of the following:
+
+ PE-2(3)[2][a]
+ security clearances for all information contained within the system;
+
+
+ PE-2(3)[2][b]
+ formal access authorizations for all information contained within the system;
+
+
+ PE-2(3)[2][c]
+ need for access to all information contained within the system; and/or
+
+
+ PE-2(3)[2][d]
+ organization-defined credentials.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-3
+ PHYSICAL ACCESS CONTROL
+
+ Determine if the organization:
+
+ PE-3(a)
+
+ PE-3(a)[1]
+ defines entry/exit points to the facility where the information system resides;
+
+
+ PE-3(a)[2]
+ enforces physical access authorizations at organization-defined entry/exit points to the facility where the information system resides by:
+
+ PE-3(a)[2](1)
+ verifying individual access authorizations before granting access to the facility;
+
+
+ PE-3(a)[2](2)
+
+ PE-3(a)[2](2)[a]
+ defining physical access control systems/devices to be employed to control ingress/egress to the facility where the information system resides;
+
+
+ PE-3(a)[2](2)[b]
+ using one or more of the following ways to control ingress/egress to the facility:
+
+ PE-3(a)[2](2)[b][1]
+ organization-defined physical access control systems/devices; and/or
+
+
+ PE-3(a)[2](2)[b][2]
+ guards;
+
+
+
+
+
+
+ PE-3(b)
+
+ PE-3(b)[1]
+ defines entry/exit points for which physical access audit logs are to be maintained;
+
+
+ PE-3(b)[2]
+ maintains physical access audit logs for organization-defined entry/exit points;
+
+
+
+ PE-3(c)
+
+ PE-3(c)[1]
+ defines security safeguards to be employed to control access to areas within the facility officially designated as publicly accessible;
+
+
+ PE-3(c)[2]
+ provides organization-defined security safeguards to control access to areas within the facility officially designated as publicly accessible;
+
+
+
+ PE-3(d)
+
+ PE-3(d)[1]
+ defines circumstances requiring visitor:
+
+ PE-3(d)[1][a]
+ escorts;
+
+
+ PE-3(d)[1][b]
+ monitoring;
+
+
+
+ PE-3(d)[2]
+ in accordance with organization-defined circumstances requiring visitor escorts and monitoring:
+
+ PE-3(d)[2][a]
+ escorts visitors;
+
+
+ PE-3(d)[2][b]
+ monitors visitor activities;
+
+
+
+
+ PE-3(e)
+
+ PE-3(e)[1]
+ secures keys;
+
+
+ PE-3(e)[2]
+ secures combinations;
+
+
+ PE-3(e)[3]
+ secures other physical access devices;
+
+
+
+ PE-3(f)
+
+ PE-3(f)[1]
+ defines physical access devices to be inventoried;
+
+
+ PE-3(f)[2]
+ defines the frequency to inventory organization-defined physical access devices;
+
+
+ PE-3(f)[3]
+ inventories the organization-defined physical access devices with the organization-defined frequency;
+
+
+
+ PE-3(g)
+
+ PE-3(g)[1]
+ defines the frequency to change combinations and keys; and
+
+
+ PE-3(g)[2]
+ changes combinations and keys with the organization-defined frequency and/or when:
+
+ PE-3(g)[2][a]
+ keys are lost;
+
+
+ PE-3(g)[2][b]
+ combinations are compromised;
+
+
+ PE-3(g)[2][c]
+ individuals are transferred or terminated.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-3(1)
+ INFORMATION SYSTEM ACCESS
+
+ Determine if the organization:
+
+ PE-3(1)[1]
+ defines physical spaces containing one or more components of the information system; and
+
+
+ PE-3(1)[2]
+ enforces physical access authorizations to the information system in addition to the physical access controls for the facility at organization-defined physical spaces containing one or more components of the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-3(2)
+ FACILITY/INFORMATION SYSTEM BOUNDARIES
+
+ Determine if the organization:
+
+ PE-3(2)[1]
+ defines the frequency to perform security checks at the physical boundary of the facility or information system for:
+
+ PE-3(2)[1][a]
+ unauthorized exfiltration of information; or
+
+
+ PE-3(2)[1][b]
+ removal of information system components; and
+
+
+
+ PE-3(2)[2]
+ performs security checks with the organization-defined frequency at the physical boundary of the facility or information system for:
+
+ PE-3(2)[2][a]
+ unauthorized exfiltration of information; or
+
+
+ PE-3(2)[2][b]
+ removal of information system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-3(3)
+ CONTINUOUS GUARDS / ALARMS / MONITORING
+
+ Determine if the organization employs one or more of the following to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week:
+
+ PE-3(3)[1]
+ guards; and/or
+
+
+ PE-3(3)[2]
+ alarms.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-3(4)
+ LOCKABLE CASINGS
+
+ Determine if the organization:
+
+ PE-3(4)[1]
+ defines information system components to be protected from unauthorized physical access using lockable physical casings; and
+
+
+ PE-3(4)[2]
+ uses lockable physical casings to protect organization-defined information system components from unauthorized physical access.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-3(5)
+ TAMPER PROTECTION
+
+ Determine if the organization:
+
+ PE-3(5)[1]
+ defines security safeguards to be employed to detect and/or prevent physical tampering or alteration of organization-defined hardware components within the information system;
+
+
+ PE-3(5)[2]
+ defines hardware components within the information system for which security safeguards are to be employed to detect and/or prevent physical tampering or alteration of such components;
+
+
+ PE-3(5)[3]
+ employs organization-defined security safeguards to do one or more of the following:
+
+ PE-3(5)[3][a]
+ detect physical tampering or alteration of organization-defined hardware components within the information system; and/or
+
+
+ PE-3(5)[3][b]
+ prevent physical tampering or alteration of organization-defined hardware components within the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-3(6)
+ FACILITY PENETRATION TESTING
+
+ Determine if the organization:
+
+ PE-3(6)[1]
+ defines the frequency of unannounced attempts to be included in a penetration testing process to bypass or circumvent security controls associated with physical access points to the facility; and
+
+
+ PE-3(6)[2]
+ employs a penetration testing process with the organization-defined frequency that includes unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-4
+ ACCESS CONTROL FOR TRANSMISSION MEDIUM
+
+ Determine if the organization:
+
+ PE-4[1]
+ defines information system distribution and transmission lines requiring physical access controls;
+
+
+ PE-4[2]
+ defines security safeguards to be employed to control physical access to organization-defined information system distribution and transmission lines within organizational facilities; and
+
+
+ PE-4[3]
+ controls physical access to organization-defined information system distribution and transmission lines within organizational facilities using organization-defined security safeguards.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-5
+ ACCESS CONTROL FOR OUTPUT DEVICES
+
+ Determine if the organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-5(1)
+ ACCESS TO OUTPUT BY AUTHORIZED INDIVIDUALS
+
+ Determine if the organization:
+
+ PE-5(1)(a)
+
+ PE-5(1)(a)[1]
+ defines output devices whose output requires physical access controls;
+
+
+ PE-5(1)(a)[2]
+ controls physical access to output from organization-defined output devices; and
+
+
+
+ PE-5(1)(b)
+ ensures that only authorized individuals receive output from the device.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-5(2)
+ ACCESS TO OUTPUT BY INDIVIDUAL IDENTITY
+
+ Determine if:
+
+ PE-5(2)(a)
+
+ PE-5(2)(a)[1]
+ the organization defines output devices whose output requires physical access controls;
+
+
+ PE-5(2)(a)[2]
+ the information system controls physical access to output from organization-defined output devices; and
+
+
+
+ PE-5(2)(b)
+ the information system links individual identity to receipt of the output from the device.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-5(3)
+ MARKING OUTPUT DEVICES
+
+ Determine if the organization:
+
+ PE-5(3)[1]
+ defines information system output devices to be marked with appropriate security marking of the information permitted to be output from such devices; and
+
+
+ PE-5(3)[2]
+ marks organization-defined information system output devices indicating the appropriate security marking of the information permitted to be output from the device.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-6
+ MONITORING PHYSICAL ACCESS
+
+ Determine if the organization:
+
+ PE-6(a)
+ monitors physical access to the facility where the information system resides to detect and respond to physical security incidents;
+
+
+ PE-6(b)
+
+ PE-6(b)[1]
+ defines the frequency to review physical access logs;
+
+
+ PE-6(b)[2]
+ defines events or potential indication of events requiring physical access logs to be reviewed;
+
+
+ PE-6(b)[3]
+ reviews physical access logs with the organization-defined frequency and upon occurrence of organization-defined events or potential indications of events; and
+
+
+
+ PE-6(c)
+ coordinates results of reviews and investigations with the organizational incident response capability.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-6(1)
+ INTRUSION ALARMS / SURVEILLANCE EQUIPMENT
+
+ Determine if the organization monitors physical intrusion alarms and surveillance equipment.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-6(2)
+ AUTOMATED INTRUSION RECOGNITION / RESPONSES
+
+ Determine if the organization:
+
+ PE-6(2)[1]
+ defines classes/types of intrusions to be recognized by automated mechanisms;
+
+
+ PE-6(2)[2]
+ defines response actions to be initiated by automated mechanisms when organization-defined classes/types of intrusions are recognized; and
+
+
+ PE-6(2)[3]
+ employs automated mechanisms to recognize organization-defined classes/types of intrusions and initiate organization-defined response actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-6(3)
+ VIDEO SURVEILLANCE
+
+ Determine if the organization:
+
+ PE-6(3)[1]
+ defines operational areas where video surveillance is to be employed;
+
+
+ PE-6(3)[2]
+ defines a time period to retain video recordings of organization-defined operational areas;
+
+
+ PE-6(3)[3]
+
+ PE-6(3)[3][a]
+ employs video surveillance of organization-defined operational areas; and
+
+
+ PE-6(3)[3][b]
+ retains video recordings for the organization-defined time period.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-6(4)
+ MONITORING PHYSICAL ACCESS TO INFORMATION SYSTEMS
+
+ Determine if the organization:
+
+ PE-6(4)[1]
+ defines physical spaces containing one or more components of the information system; and
+
+
+ PE-6(4)[2]
+ monitors physical access to the information system in addition to the physical access monitoring of the facility at organization-defined physical spaces containing one or more components of the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-7
+ VISITOR CONTROL
+
+ PE-2
+ PE-3
+
+
+ [Withdrawn: Incorporated into PE-2 and PE-3].
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-8
+ VISITOR ACCESS RECORDS
+
+ Determine if the organization:
+
+ PE-8(a)
+
+ PE-8(a)[1]
+ defines the time period to maintain visitor access records to the facility where the information system resides;
+
+
+ PE-8(a)[2]
+ maintains visitor access records to the facility where the information system resides for the organization-defined time period;
+
+
+
+ PE-8(b)
+
+ PE-8(b)[1]
+ defines the frequency to review visitor access records; and
+
+
+ PE-8(b)[2]
+ reviews visitor access records with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-8(1)
+ AUTOMATED RECORDS MAINTENANCE / REVIEW
+
+ Determine if the organization employs automated mechanisms to facilitate the maintenance and review of visitor access records.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-8(2)
+ PHYSICAL ACCESS RECORDS
+
+ PE-2
+
+
+ [Withdrawn: Incorporated into PE-2].
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-9
+ POWER EQUIPMENT AND CABLING
+
+ Determine if the organization protects power equipment and power cabling for the information system from damage and destruction.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-9(1)
+ REDUNDANT CABLING
+
+ Determine if the organization:
+
+ PE-9(1)[1]
+ defines the distance by which redundant power cabling paths are to be physically separated; and
+
+
+ PE-9(1)[2]
+ employs redundant power cabling paths that are physically separated by organization-defined distance.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-9(2)
+ AUTOMATIC VOLTAGE CONTROLS
+
+ Determine if the organization:
+
+ PE-9(2)[1]
+ defines critical information system components that require automatic voltage controls; and
+
+
+ PE-9(2)[2]
+ employs automatic voltage controls for organization-defined critical information system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-10
+ EMERGENCY SHUTOFF
+
+ Determine if the organization:
+
+ PE-10(a)
+ provides the capability of shutting off power to the information system or individual system components in emergency situations;
+
+
+ PE-10(b)
+
+ PE-10(b)[1]
+ defines the location of emergency shutoff switches or devices by information system or system component;
+
+
+ PE-10(b)[2]
+ places emergency shutoff switches or devices in the organization-defined location by information system or system component to facilitate safe and easy access for personnel; and
+
+
+
+ PE-10(c)
+ protects emergency power shutoff capability from unauthorized activation.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-10(1)
+ ACCIDENTAL / UNAUTHORIZED ACTIVATION
+
+ PE-10
+
+
+ [Withdrawn: Incorporated into PE-10].
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-11
+ EMERGENCY POWER
+
+ Determine if the organization provides a short-term uninterruptible power supply to facilitate one or more of the following in the event of a primary power source loss:
+
+ PE-11[1]
+ an orderly shutdown of the information system; and/or
+
+
+ PE-11[2]
+ transition of the information system to long-term alternate power.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-11(1)
+ LONG-TERM ALTERNATE POWER SUPPLY – MINIMAL OPERATIONAL CAPABILITY
+
+ Determine if the organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-11(2)
+ LONG-TERM ALTERNATE POWER SUPPLY – SELF-CONTAINED
+
+ Determine if the organization provides a long-term alternate power supply for the information system that is:
+
+ PE-11(2)(a)
+ self-contained;
+
+
+ PE-11(2)(b)
+ not reliant on external power generation;
+
+
+ PE-11(2)(c)
+ capable of maintaining one of the following in the event of an extended loss of the primary power source:
+
+ PE-11(2)(c)[1]
+ minimally required operational capability; or
+
+
+ PE-11(2)(c)[2]
+ full operational capability.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-12
+ EMERGENCY LIGHTING
+
+ Determine if the organization employs and maintains automatic emergency lighting for the information system that:
+
+ PE-12[1]
+ activates in the event of a power outage or disruption; and
+
+
+ PE-12[2]
+ covers emergency exits and evacuation routes within the facility.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-12(1)
+ ESSENTIAL MISSIONS / BUSINESS FUNCTIONS
+
+ Determine if the organization provides emergency lighting for all areas within the facility supporting essential missions and business functions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-13
+ FIRE PROTECTION
+
+ Determine if the organization:
+
+ PE-13[1]
+ employs fire suppression and detection devices/systems for the information system that are supported by an independent energy source; and
+
+
+ PE-13[2]
+ maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-13(1)
+ DETECTION DEVICES / SYSTEMS
+
+ Determine if the organization:
+
+ PE-13(1)[1]
+ defines personnel or roles to be notified in the event of a fire;
+
+
+ PE-13(1)[2]
+ defines emergency responders to be notified in the event of a fire;
+
+
+ PE-13(1)[3]
+ employs fire detection devices/systems for the information system that, in the event of a fire,:
+
+ PE-13(1)[3][a]
+ activate automatically;
+
+
+ PE-13(1)[3][b]
+ notify organization-defined personnel or roles; and
+
+
+ PE-13(1)[3][c]
+ notify organization-defined emergency responders.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-13(2)
+ SUPPRESSION DEVICES / SYSTEMS
+
+ Determine if the organization:
+
+ PE-13(2)[1]
+ defines personnel or roles to be provided automatic notification of any activation of fire suppression devices/systems for the information system;
+
+
+ PE-13(2)[2]
+ defines emergency responders to be provided automatic notification of any activation of fire suppression devices/systems for the information system;
+
+
+ PE-13(2)[3]
+ employs fire suppression devices/systems for the information system that provide automatic notification of any activation to:
+
+ PE-13(2)[3][a]
+ organization-defined personnel or roles; and
+
+
+ PE-13(2)[3][b]
+ organization-defined emergency responders.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-13(3)
+ AUTOMATIC FIRE SUPPRESSION
+
+ Determine if the organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-13(4)
+ INSPECTIONS
+
+ Determine if the organization:
+
+ PE-13(4)[1]
+ defines the frequency of inspections to be conducted on the facility by authorized and qualified inspectors;
+
+
+ PE-13(4)[2]
+ ensures that the facility undergoes inspections by authorized and qualified inspectors with the organization-defined frequency;
+
+
+ PE-13(4)[3]
+ defines a time period to resolve deficiencies identified when the facility undergoes such inspections; and
+
+
+ PE-13(4)[4]
+ resolves identified deficiencies within the organization-defined time period.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-14
+ TEMPERATURE AND HUMIDITY CONTROLS
+
+ Determine if the organization:
+
+ PE-14(a)
+
+ PE-14(a)[1]
+ defines acceptable temperature levels to be maintained within the facility where the information system resides;
+
+
+ PE-14(a)[2]
+ defines acceptable humidity levels to be maintained within the facility where the information system resides;
+
+
+ PE-14(a)[3]
+ maintains temperature levels within the facility where the information system resides at the organization-defined levels;
+
+
+ PE-14(a)[4]
+ maintains humidity levels within the facility where the information system resides at the organization-defined levels;
+
+
+
+ PE-14(b)
+
+ PE-14(b)[1]
+ defines the frequency to monitor temperature levels;
+
+
+ PE-14(b)[2]
+ defines the frequency to monitor humidity levels;
+
+
+ PE-14(b)[3]
+ monitors temperature levels with the organization-defined frequency; and
+
+
+ PE-14(b)[4]
+ monitors humidity levels with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-14(1)
+ AUTOMATIC CONTROLS
+
+ Determine if the organization:
+
+ PE-14(1)[1]
+ employs automatic temperature controls in the facility to prevent fluctuations potentially harmful to the information system; and
+
+
+ PE-14(1)[2]
+ employs automatic humidity controls in the facility to prevent fluctuations potentially harmful to the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-14(2)
+ MONITORING WITH ALARMS / NOTIFICATIONS
+
+ Determine if the organization:
+
+ PE-14(2)[1]
+ employs temperature monitoring that provides an alarm of changes potentially harmful to personnel or equipment; and/or
+
+
+ PE-14(2)[2]
+ employs temperature monitoring that provides notification of changes potentially harmful to personnel or equipment;
+
+
+ PE-14(2)[3]
+ employs humidity monitoring that provides an alarm of changes potentially harmful to personnel or equipment; and/or
+
+
+ PE-14(2)[4]
+ employs humidity monitoring that provides notification of changes potentially harmful to personnel or equipment.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-15
+ WATER DAMAGE PROTECTION
+
+ Determine if the organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are:
+
+ PE-15[1]
+ accessible;
+
+
+ PE-15[2]
+ working properly; and
+
+
+ PE-15[3]
+ known to key personnel.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-15(1)
+ AUTOMATION SUPPORT
+
+ Determine if the organization:
+
+ PE-15(1)[1]
+ defines personnel or roles to be alerted when the presence of water is detected in the vicinity of the information system;
+
+
+ PE-15(1)[2]
+ employs automated mechanisms to detect the presence of water in the vicinity of the information system; and
+
+
+ PE-15(1)[3]
+ alerts organization-defined personnel or roles when the presence of water is detected in the vicinity of the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-16
+ DELIVERY AND REMOVAL
+
+ Determine if the organization:
+
+ PE-16[1]
+ defines types of information system components to be authorized, monitored, and controlled as such components are entering and exiting the facility;
+
+
+ PE-16[2]
+ authorizes organization-defined information system components entering the facility;
+
+
+ PE-16[3]
+ monitors organization-defined information system components entering the facility;
+
+
+ PE-16[4]
+ controls organization-defined information system components entering the facility;
+
+
+ PE-16[5]
+ authorizes organization-defined information system components exiting the facility;
+
+
+ PE-16[6]
+ monitors organization-defined information system components exiting the facility;
+
+
+ PE-16[7]
+ controls organization-defined information system components exiting the facility;
+
+
+ PE-16[8]
+ maintains records of information system components entering the facility; and
+
+
+ PE-16[9]
+ maintains records of information system components exiting the facility.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-17
+ ALTERNATE WORK SITE
+
+ Determine if the organization:
+
+ PE-17(a)
+
+ PE-17(a)[1]
+ defines security controls to be employed at alternate work sites;
+
+
+ PE-17(a)[2]
+ employs organization-defined security controls at alternate work sites;
+
+
+
+ PE-17(b)
+ assesses, as feasible, the effectiveness of security controls at alternate work sites; and
+
+
+ PE-17(c)
+ provides a means for employees to communicate with information security personnel in case of security incidents or problems.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-18
+ LOCATION OF INFORMATION SYSTEM COMPONENTS
+
+ Determine if the organization:
+
+ PE-18[1]
+ defines physical hazards that could result in potential damage to information system components within the facility;
+
+
+ PE-18[2]
+ defines environmental hazards that could result in potential damage to information system components within the facility;
+
+
+ PE-18[3]
+ positions information system components within the facility to minimize potential damage from organization-defined physical and environmental hazards; and
+
+
+ PE-18[4]
+ positions information system components within the facility to minimize the opportunity for unauthorized access.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-18(1)
+ FACILITY SITE
+
+ Determine if the organization:
+
+ PE-18(1)[1]
+ plans the location or site of the facility where the information system resides with regard to physical hazards;
+
+
+ PE-18(1)[2]
+ plans the location or site of the facility where the information system resides with regard to environmental hazards;
+
+
+ PE-18(1)[3]
+ for existing facilities, considers the physical hazards in its risk mitigation strategy; and
+
+
+ PE-18(1)[4]
+ for existing facilities, considers the environmental hazards in its risk mitigation strategy.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-19
+ INFORMATION LEAKAGE
+
+ Determine if the organization protects the information system from information leakage due to electromagnetic signals emanations.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-19(1)
+ NATIONAL EMISSIONS / TEMPEST POLICIES AND PROCEDURES
+
+ Determine if the organization ensures that the following are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information:
+
+ PE-19(1)[1]
+ information system components;
+
+
+ PE-19(1)[2]
+ associated data communications; and
+
+
+ PE-19(1)[3]
+ networks.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+ PE-20
+ ASSET MONITORING AND TRACKING
+
+ Determine if the organization:
+
+ PE-20(a)
+
+ PE-20(a)[1]
+ defines assets whose location and movement are to be tracked and monitored;
+
+
+ PE-20(a)[2]
+ defines asset location technologies to be employed to track and monitor the location and movement of organization-defined assets;
+
+
+ PE-20(a)[3]
+ defines controlled areas within which to track and monitor organization-defined assets;
+
+
+ PE-20(a)[4]
+ employs organization-defined asset location technologies to track and monitor the location and movement of organization-defined assets within organization-defined controlled areas; and
+
+
+
+ PE-20(b)
+ ensures that asset location technologies are employed in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards and guidance.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PLANNING
+ PL-1
+ SECURITY PLANNING POLICY AND PROCEDURES
+
+ Determine if the organization:
+
+ PL-1(a)(1)
+
+ PL-1(a)(1)[1]
+ develops and documents a planning policy that addresses:
+
+ PL-1(a)(1)[1][a]
+ purpose;
+
+
+ PL-1(a)(1)[1][b]
+ scope;
+
+
+ PL-1(a)(1)[1][c]
+ roles;
+
+
+ PL-1(a)(1)[1][d]
+ responsibilities;
+
+
+ PL-1(a)(1)[1][e]
+ management commitment;
+
+
+ PL-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ PL-1(a)(1)[1][g]
+ compliance;
+
+
+
+ PL-1(a)(1)[2]
+ defines personnel or roles to whom the planning policy is to be disseminated;
+
+
+ PL-1(a)(1)[3]
+ disseminates the planning policy to organization-defined personnel or roles;
+
+
+
+ PL-1(a)(2)
+
+ PL-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the planning policy and associated planning controls;
+
+
+ PL-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ PL-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ PL-1(b)(1)
+
+ PL-1(b)(1)[1]
+ defines the frequency to review and update the current planning policy;
+
+
+ PL-1(b)(1)[2]
+ reviews and updates the current planning policy with the organization-defined frequency;
+
+
+
+ PL-1(b)(2)
+
+ PL-1(b)(2)[1]
+ defines the frequency to review and update the current planning procedures; and
+
+
+ PL-1(b)(2)[2]
+ reviews and updates the current planning procedures with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PLANNING
+ PL-2
+ SYSTEM SECURITY PLAN
+
+ Determine if the organization:
+
+ PL-2(a)
+ develops a security plan for the information system that:
+
+ PL-2(a)(1)
+ is consistent with the organization’s enterprise architecture;
+
+
+ PL-2(a)(2)
+ explicitly defines the authorization boundary for the system;
+
+
+ PL-2(a)(3)
+ describes the operational context of the information system in terms of missions and business processes;
+
+
+ PL-2(a)(4)
+ provides the security categorization of the information system including supporting rationale;
+
+
+ PL-2(a)(5)
+ describes the operational environment for the information system and relationships with or connections to other information systems;
+
+
+ PL-2(a)(6)
+ provides an overview of the security requirements for the system;
+
+
+ PL-2(a)(7)
+ identifies any relevant overlays, if applicable;
+
+
+ PL-2(a)(8)
+ describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring and supplemental decisions;
+
+
+ PL-2(a)(9)
+ is reviewed and approved by the authorizing official or designated representative prior to plan implementation;
+
+
+
+ PL-2(b)
+
+ PL-2(b)[1]
+ defines personnel or roles to whom copies of the security plan are to be distributed and subsequent changes to the plan are to be communicated;
+
+
+ PL-2(b)[2]
+ distributes copies of the security plan and communicates subsequent changes to the plan to organization-defined personnel or roles;
+
+
+
+ PL-2(c)
+
+ PL-2(c)[1]
+ defines the frequency to review the security plan for the information system;
+
+
+ PL-2(c)[2]
+ reviews the security plan for the information system with the organization-defined frequency;
+
+
+
+ PL-2(d)
+ updates the plan to address:
+
+ PL-2(d)[1]
+ changes to the information system/environment of operation;
+
+
+ PL-2(d)[2]
+ problems identified during plan implementation;
+
+
+ PL-2(d)[3]
+ problems identified during security control assessments;
+
+
+
+ PL-2(e)
+ protects the security plan from unauthorized:
+
+ PL-2(e)[1]
+ disclosure; and
+
+
+ PL-2(e)[2]
+ modification.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PL-2(1)
+ CONCEPT OF OPERATIONS
+
+ PL-7
+
+
+ [Withdrawn: Incorporated into PL-7].
+
+
+
+ PL-2(2)
+ FUNCTIONAL ARCHITECTURE
+
+ PL-8
+
+
+ [Withdrawn: Incorporated into PL-8].
+
+
+
+ PL-2(3)
+ PLAN / COORDINATE WITH OTHER ORGANIZATIONAL ENTITIES
+
+ Determine if the organization:
+
+ PL-2(3)[1]
+ defines individuals or groups with whom security-related activities affecting the information system are to be planned and coordinated before conducting such activities in order to reduce the impact on other organizational entities; and
+
+
+ PL-2(3)[2]
+ plans and coordinates security-related activities affecting the information system with organization-defined individuals or groups before conducting such activities in order to reduce the impact on other organizational entities.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PLANNING
+ PL-3
+ SYSTEM SECURITY PLAN UPDATE
+
+ PL-2
+
+
+ [Withdrawn: Incorporated into PL-2].
+
+
+
+ PLANNING
+ PL-4
+ RULES OF BEHAVIOR
+
+ Determine if the organization:
+
+ PL-4(a)
+
+ PL-4(a)[1]
+ establishes, for individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;
+
+
+ PL-4(a)[2]
+ makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;
+
+
+
+ PL-4(b)
+ receives a signed acknowledgement from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system;
+
+
+ PL-4(c)
+
+ PL-4(c)[1]
+ defines the frequency to review and update the rules of behavior;
+
+
+ PL-4(c)[2]
+ reviews and updates the rules of behavior with the organization-defined frequency; and
+
+
+
+ PL-4(d)
+ requires individuals who have signed a previous version of the rules of behavior to read and resign when the rules of behavior are revised/updated.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PL-4(1)
+ SOCIAL MEDIA AND NETWORKING RESTRICTIONS
+
+ Determine if the organization includes the following in the rules of behavior:
+
+ PL-4(1)[1]
+ explicit restrictions on the use of social media/networking sites; and
+
+
+ PL-4(1)[2]
+ posting organizational information on public websites.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PLANNING
+ PL-5
+ PRIVACY IMPACT ASSESSMENT
+
+ Appendix J
+ AR-2
+
+
+ [Withdrawn: Incorporated into Appendix J, AR-2].
+
+
+
+ PLANNING
+ PL-6
+ SECURITY-RELATED ACTIVITY PLANNING
+
+ PL-2
+
+
+ [Withdrawn: Incorporated into PL-2].
+
+
+
+ PLANNING
+ PL-7
+ SECURITY CONCEPT OF OPERATIONS
+
+ Determine if the organization:
+
+ PL-7(a)
+ develops a security Concept of Operations (CONOPS) for the information system containing at a minimum, how the organization intends to operate the system from the perspective of information security;
+
+
+ PL-7(b)
+
+ PL-7(b)[1]
+ defines the frequency to review and update the security CONOPS; and
+
+
+ PL-7(b)[2]
+ reviews and updates the security CONOPS with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PLANNING
+ PL-8
+ INFORMATION SECURITY ARCHITECTURE
+
+ Determine if the organization:
+
+ PL-8(a)
+ develops an information security architecture for the information system that describes:
+
+ PL-8(a)(1)
+ the overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information;
+
+
+ PL-8(a)(2)
+ how the information security architecture is integrated into and supports the enterprise architecture;
+
+
+ PL-8(a)(3)
+ any information security assumptions about, and dependencies on, external services;
+
+
+
+ PL-8(b)
+
+ PL-8(b)[1]
+ defines the frequency to review and update the information security architecture;
+
+
+ PL-8(b)[2]
+ reviews and updates the information security architecture with the organization-defined frequency to reflect updates in the enterprise architecture;
+
+
+
+ PL-8(c)
+ ensures that planned information security architecture changes are reflected in:
+
+ PL-8(c)[1]
+ the security plan;
+
+
+ PL-8(c)[2]
+ the security Concept of Operations (CONOPS); and
+
+
+ PL-8(c)[3]
+ the organizational procurements/acquisitions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PL-8(1)
+ DEFENSE-IN-DEPTH
+
+ Determine if the organization:
+
+ PL-8(1)(a)
+
+ PL-8(1)(a)[1]
+ defines security safeguards to be allocated to locations and architectural layers within the design of its security architecture;
+
+
+ PL-8(1)(a)[2]
+ defines locations and architectural layers of its security architecture in which organization-defined security safeguards are to be allocated;
+
+
+ PL-8(1)(a)[3]
+ designs its security architecture using a defense-in-depth approach that allocates organization-defined security safeguards to organization-defined locations and architectural layers; and
+
+
+
+ PL-8(1)(b)
+ designs its security architecture using a defense-in-depth approach that ensures the allocated organization-defined security safeguards operate in a coordinated and mutually reinforcing manner.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PL-8(2)
+ SUPPLIER DIVERSITY
+
+ Determine if the organization:
+
+ PL-8(2)[1]
+ defines security safeguards to be allocated to locations and architectural layers within the design of its security architecture;
+
+
+ PL-8(2)[2]
+ defines locations and architectural layers of its security architecture in which organization-defined security safeguards are to be allocated; and
+
+
+ PL-8(2)[3]
+ requires that organization-defined security safeguards allocated to organization-defined locations and architectural layers are obtained from different suppliers.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PLANNING
+ PL-9
+ CENTRAL MANAGEMENT
+
+ Determine if the organization:
+
+ PL-9[1]
+ defines security controls and related processes to be centrally managed; and
+
+
+ PL-9[2]
+ centrally manages organization-defined security controls and related processes.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-1
+ INFORMATION SECURITY PROGRAM PLAN
+
+ Determine if the organization:
+
+ PM-1(a)
+ develops and disseminates an organization-wide information security program plan that:
+
+ PM-1(a)(1)
+
+ PM-1(a)(1)[1]
+ provides an overview of the requirements for the security program;
+
+
+ PM-1(a)(1)[2]
+ provides a description of the:
+
+ PM-1(a)(1)[2][a]
+ security program management controls in place or planned for meeting those requirements;
+
+
+ PM-1(a)(1)[2][b]
+ common controls in place or planned for meeting those requirements;
+
+
+
+
+ PM-1(a)(2)
+ includes the identification and assignment of:
+
+ PM-1(a)(2)[1]
+ roles;
+
+
+ PM-1(a)(2)[2]
+ responsibilities;
+
+
+ PM-1(a)(2)[3]
+ management commitment;
+
+
+ PM-1(a)(2)[4]
+ coordination among organizational entities;
+
+
+ PM-1(a)(2)[5]
+ compliance;
+
+
+
+ PM-1(a)(3)
+ reflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical);
+
+
+ PM-1(a)(4)
+ is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations, organizational assets, individuals, other organizations, and the Nation;
+
+
+
+ PM-1(b)
+
+ PM-1(b)[1]
+ defines the frequency to review the security program plan for the information system;
+
+
+ PM-1(b)[2]
+ reviews the organization-wide information security program plan with the organization-defined frequency;
+
+
+
+ PM-1(c)
+ updates the plan to address organizational:
+
+ PM-1(c)[1]
+ changes identified during plan implementation;
+
+
+ PM-1(c)[2]
+ changes identified during security control assessments;
+
+
+ PM-1(c)[3]
+ problems identified during plan implementation;
+
+
+ PM-1(c)[4]
+ problems identified during security control assessments;
+
+
+
+ PM-1(d)
+ protects the information security program plan from unauthorized:
+
+ PM-1(d)[1]
+ disclosure; and
+
+
+ PM-1(d)[2]
+ modification.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-2
+ SENIOR INFORMATION SECURITY OFFICER
+
+ Determine if the organization appoints a senior information security officer with the mission and resources to:
+
+ PM-2[1]
+ coordinate an organization-wide information security program;
+
+
+ PM-2[2]
+ develop an organization-wide information security program;
+
+
+ PM-2[3]
+ implement an organization-wide information security program; and
+
+
+ PM-2[4]
+ maintain an organization-wide information security program.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-3
+ INFORMATION SECURITY RESOURCES
+
+ Determine if the organization:
+
+ PM-3(a)
+
+ PM-3(a)[1]
+ ensures that all capital planning and investment requests include the resources needed to implement the information security program plan;
+
+
+ PM-3(a)[2]
+ documents all exceptions to the requirement;
+
+
+
+ PM-3(b)
+ employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and
+
+
+ PM-3(c)
+ ensures that information security resources are available for expenditure as planned.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-4
+ PLAN OF ACTION AND MILESTONES PROCESS
+
+ Determine if the organization:
+
+ PM-4(a)
+ implements a process for ensuring that plans of action and milestones for the security program and associated organizational information systems:
+
+ PM-4(a)(1)
+
+ PM-4(a)(1)[1]
+ are developed;
+
+
+ PM-4(a)(1)[2]
+ are maintained;
+
+
+
+ PM-4(a)(2)
+ document the remedial information security actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation;
+
+
+ PM-4(a)(3)
+ are reported in accordance with OMB FISMA reporting requirements;
+
+
+
+ PM-4(b)
+ reviews plans of action and milestones for consistency with:
+
+ PM-4(b)[1]
+ the organizational risk management strategy; and
+
+
+ PM-4(b)[2]
+ organization-wide priorities for risk response actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-5
+ INFORMATION SYSTEM INVENTORY
+
+ Determine if the organization:
+
+ PM-5[1]
+ develops an inventory of its information systems; and
+
+
+ PM-5[2]
+ maintains the inventory of its information systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-6
+ INFORMATION SECURITY MEASURES OF PERFORMANCE
+
+ Determine if the organization:
+
+ PM-6[1]
+ develops information security measures of performance;
+
+
+ PM-6[2]
+ monitors information security measures of performance; and
+
+
+ PM-6[3]
+ reports information security measures of performance.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-7
+ ENTERPRISE ARCHITECTURE
+
+ Determine if the organization develops an enterprise architecture with consideration for:
+
+ PM-7[1]
+ information security; and
+
+
+ PM-7[2]
+ the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-8
+ CRITICAL INFRASTRUCTURE PLAN
+
+ Determine if the organization addresses information security issues in the:
+
+ PM-8[1]
+ development of a critical infrastructure and key resources protection plan;
+
+
+ PM-8[2]
+ documentation of a critical infrastructure and key resources protection plan; and
+
+
+ PM-8[3]
+ updating of the critical infrastructure and key resources protection plan.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-9
+ RISK MANAGEMENT STRATEGY
+
+ Determine if the organization:
+
+ PM-9(a)
+ develops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information systems;
+
+
+ PM-9(b)
+ implements the risk management strategy consistently across the organization;
+
+
+ PM-9(c)
+
+ PM-9(c)[1]
+ defines the frequency to review and update the risk management strategy;
+
+
+ PM-9(c)[2]
+ reviews and updates the risk management strategy to address organizational changes:
+
+ PM-9(c)[2][a]
+ with the organization-defined frequency; or
+
+
+ PM-9(c)[2][b]
+ as required.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-10
+ SECURITY AUTHORIZATION PROCESS
+
+ Determine if the organization:
+
+ PM-10(a)
+ manages (i.e., documents, tracks, and reports) the security state of organizational information systems and the environments in which those systems operate through security authorization processes;
+
+
+ PM-10(b)
+ designates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and
+
+
+ PM-10(c)
+ fully integrates the security authorization processes into an organization-wide risk management program.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-11
+ MISSION/BUSINESS PROCESS DEFINITION
+
+ Determine if the organization:
+
+ PM-11(a)
+ defines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation;
+
+
+ PM-11(b)
+
+ PM-11(b)[1]
+ determines information protection needs arising from the defined mission/business process; and
+
+
+ PM-11(b)[2]
+ revises the processes as necessary until achievable protection needs are obtained.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-12
+ INSIDER THREAT PROGRAM
+
+ Determine if the organization implements an insider threat program that includes a cross-discipline insider threat incident handling team.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-13
+ INFORMATION SECURITY WORKFORCE
+
+ Determine if the organization establishes an information security workforce development and improvement program.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-14
+ TESTING, TRAINING, AND MONITORING
+
+ Determine if the organization:
+
+ PM-14(a)
+ implements a process for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational information systems:
+
+ PM-14(a)(1)
+
+ PM-14(a)(1)[1]
+ are developed;
+
+
+ PM-14(a)(1)[2]
+ are maintained;
+
+
+
+ PM-14(a)(2)
+ continue to be executed in a timely manner;
+
+
+
+ PM-14(b)
+ reviews testing, training, and monitoring plans for consistency with:
+
+ PM-14(b)[1]
+ the organizational risk management strategy; and
+
+
+ PM-14(b)[2]
+ organization-wide priorities for risk response actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-15
+ CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS
+
+ Determine if the organization establishes and institutionalizes contact with selected groups and associations with the security community to:
+
+ PM-15(a)
+ facilitate ongoing security education and training for organizational personnel;
+
+
+ PM-15(b)
+ maintain currency with recommended security practices, techniques, and technologies; and
+
+
+ PM-15(c)
+ share current security-related information including threats, vulnerabilities, and incidents.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PROGRAM MANAGEMENT
+ PM-16
+ THREAT AWARENESS PROGRAM
+
+ Determine if the organization implements a threat awareness program that includes a cross-organization information-sharing capability.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PERSONNEL SECURITY
+ PS-1
+ PERSONNEL SECURITY POLICY AND PROCEDURES
+
+ Determine if the organization:
+
+ PS-1(a)(1)
+
+ PS-1(a)(1)[1]
+ develops and documents an personnel security policy that addresses:
+
+ PS-1(a)(1)[1][a]
+ purpose;
+
+
+ PS-1(a)(1)[1][b]
+ scope;
+
+
+ PS-1(a)(1)[1][c]
+ roles;
+
+
+ PS-1(a)(1)[1][d]
+ responsibilities;
+
+
+ PS-1(a)(1)[1][e]
+ management commitment;
+
+
+ PS-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ PS-1(a)(1)[1][g]
+ compliance;
+
+
+
+ PS-1(a)(1)[2]
+ defines personnel or roles to whom the personnel security policy is to be disseminated;
+
+
+ PS-1(a)(1)[3]
+ disseminates the personnel security policy to organization-defined personnel or roles;
+
+
+
+ PS-1(a)(2)
+
+ PS-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the personnel security policy and associated personnel security controls;
+
+
+ PS-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ PS-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ PS-1(b)(1)
+
+ PS-1(b)(1)[1]
+ defines the frequency to review and update the current personnel security policy;
+
+
+ PS-1(b)(1)[2]
+ reviews and updates the current personnel security policy with the organization-defined frequency;
+
+
+
+ PS-1(b)(2)
+
+ PS-1(b)(2)[1]
+ defines the frequency to review and update the current personnel security procedures; and
+
+
+ PS-1(b)(2)[2]
+ reviews and updates the current personnel security procedures with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PERSONNEL SECURITY
+ PS-2
+ POSITION RISK DESIGNATION
+
+ Determine if the organization:
+
+ PS-2(a)
+ assigns a risk designation to all organizational positions;
+
+
+ PS-2(b)
+ establishes screening criteria for individuals filling those positions;
+
+
+ PS-2(c)
+
+ PS-2(c)[1]
+ defines the frequency to review and update position risk designations; and
+
+
+ PS-2(c)[2]
+ reviews and updates position risk designations with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PERSONNEL SECURITY
+ PS-3
+ PERSONNEL SCREENING
+
+ Determine if the organization:
+
+ PS-3(a)
+ screens individuals prior to authorizing access to the information system;
+
+
+ PS-3(b)
+
+ PS-3(b)[1]
+ defines conditions requiring re-screening;
+
+
+ PS-3(b)[2]
+ defines the frequency of re-screening where it is so indicated; and
+
+
+ PS-3(b)[3]
+ re-screens individuals in accordance with organization-defined conditions requiring re-screening and, where re-screening is so indicated, with the organization-defined frequency of such re-screening.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PS-3(1)
+ CLASSIFIED INFORMATION
+
+ Determine if the organization:
+
+ PS-3(1)[1]
+ ensures that individuals accessing an information system processing, storing, or transmitting classified information are cleared to the highest classification level of the information to which they have access on the system; and
+
+
+ PS-3(1)[2]
+ ensures that individuals accessing an information system processing, storing, or transmitting classified information are indoctrinated to the highest classification level of the information to which they have access on the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PS-3(2)
+ FORMAL INDOCTRINATION
+
+ Determine if the organization ensures that individuals accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, are formally indoctrinated for all of the relevant types of information to which they have access on the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PS-3(3)
+ INFORMATION WITH SPECIAL PROTECTION MEASURES
+
+ Determine if the organization:
+
+ PS-3(3)(a)
+ ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection have valid access authorizations that are demonstrated by assigned official government duties;
+
+
+ PS-3(3)(b)
+
+ PS-3(3)(b)[1]
+ defines additional personnel screening criteria to be satisfied for individuals accessing an information system processing, storing, or transmitting information requiring special protection; and
+
+
+ PS-3(3)(b)[2]
+ ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection satisfy organization-defined additional personnel screening criteria.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PERSONNEL SECURITY
+ PS-4
+ PERSONNEL TERMINATION
+
+ Determine if the organization, upon termination of individual employment,:
+
+ PS-4(a)
+
+ PS-4(a)[1]
+ defines a time period within which to disable information system access;
+
+
+ PS-4(a)[2]
+ disables information system access within the organization-defined time period;
+
+
+
+ PS-4(b)
+ terminates/revokes any authenticators/credentials associated with the individual;
+
+
+ PS-4(c)
+
+ PS-4(c)[1]
+ defines information security topics to be discussed when conducting exit interviews;
+
+
+ PS-4(c)[2]
+ conducts exit interviews that include a discussion of organization-defined information security topics;
+
+
+
+ PS-4(d)
+ retrieves all security-related organizational information system-related property;
+
+
+ PS-4(e)
+ retains access to organizational information and information systems formerly controlled by the terminated individual;
+
+
+ PS-4(f)
+
+ PS-4(f)[1]
+ defines personnel or roles to be notified of the termination;
+
+
+ PS-4(f)[2]
+ defines the time period within which to notify organization-defined personnel or roles; and
+
+
+ PS-4(f)[3]
+ notifies organization-defined personnel or roles within the organization-defined time period.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PS-4(1)
+ POST-EMPLOYMENT REQUIREMENTS
+
+ Determine if the organization:
+
+ PS-4(1)(a)
+ notifies terminated individuals of applicable, legally binding, post-employment requirements for the protection of organizational information; and
+
+
+ PS-4(1)(b)
+ requires terminated individuals to sign an acknowledgement of post-employment requirements as part of the organizational termination process.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PS-4(2)
+ AUTOMATED NOTIFICATION
+
+ Determine if the organization:
+
+ PS-4(2)[1]
+ defines personnel or roles to be notified upon termination of an individual; and
+
+
+ PS-4(2)[2]
+ employs automated mechanisms to notify organization-defined personnel or roles upon termination of an individual.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PERSONNEL SECURITY
+ PS-5
+ PERSONNEL TRANSFER
+
+ Determine if the organization:
+
+ PS-5(a)
+ when individuals are reassigned or transferred to other positions within the organization, reviews and confirms ongoing operational need for current:
+
+ PS-5(a)[1]
+ logical access authorizations to information systems;
+
+
+ PS-5(a)[2]
+ physical access authorizations to information systems and facilities;
+
+
+
+ PS-5(b)
+
+ PS-5(b)[1]
+ defines transfer or reassignment actions to be initiated following transfer or reassignment;
+
+
+ PS-5(b)[2]
+ defines the time period within which transfer or reassignment actions must occur following transfer or reassignment;
+
+
+ PS-5(b)[3]
+ initiates organization-defined transfer or reassignment actions within the organization-defined time period following transfer or reassignment;
+
+
+
+ PS-5(c)
+ modifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer;
+
+
+ PS-5(d)
+
+ PS-5(d)[1]
+ defines personnel or roles to be notified when individuals are reassigned or transferred to other positions within the organization;
+
+
+ PS-5(d)[2]
+ defines the time period within which to notify organization-defined personnel or roles when individuals are reassigned or transferred to other positions within the organization; and
+
+
+ PS-5(d)[3]
+ notifies organization-defined personnel or roles within the organization-defined time period when individuals are reassigned or transferred to other positions within the organization.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PERSONNEL SECURITY
+ PS-6
+ ACCESS AGREEMENTS
+
+ Determine if the organization:
+
+ PS-6(a)
+ develops and documents access agreements for organizational information systems;
+
+
+ PS-6(b)
+
+ PS-6(b)[1]
+ defines the frequency to review and update the access agreements;
+
+
+ PS-6(b)[2]
+ reviews and updates the access agreements with the organization-defined frequency;
+
+
+
+ PS-6(c)
+
+ PS-6(c)(1)
+ ensures that individuals requiring access to organizational information and information systems sign appropriate access agreements prior to being granted access;
+
+
+ PS-6(c)(2)
+
+ PS-6(c)(2)[1]
+ defines the frequency to re-sign access agreements to maintain access to organizational information systems when access agreements have been updated;
+
+
+ PS-6(c)(2)[2]
+ ensures that individuals requiring access to organizational information and information systems re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PS-6(1)
+ INFORMATION REQUIRING SPECIAL PROTECTION
+
+ PS-3
+
+
+ [Withdrawn: Incorporated into PS-3].
+
+
+
+ PS-6(2)
+ CLASSIFIED INFORMATION REQUIRING SPECIAL PROTECTION
+
+ Determine if the organization ensures that access to classified information requiring special protection is granted only to individuals who:
+
+ PS-6(2)(a)
+ have a valid access authorization that is demonstrated by assigned official government duties;
+
+
+ PS-6(2)(b)
+ satisfy associated personnel security criteria; and
+
+
+ PS-6(2)(c)
+ have read, understood, and signed a nondisclosure agreement.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PS-6(3)
+ POST-EMPLOYMENT REQUIREMENTS
+
+ Determine if the organization:
+
+ PS-6(3)(a)
+ notifies individuals of applicable, legally binding post-employment requirements for protection of organizational information; and
+
+
+ PS-6(3)(b)
+ requires individuals to sign an acknowledgement of these requirements, if applicable, as part of granting initial access to covered information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PERSONNEL SECURITY
+ PS-7
+ THIRD-PARTY PERSONNEL SECURITY
+
+ Determine if the organization:
+
+ PS-7(a)
+ establishes personnel security requirements, including security roles and responsibilities, for third-party providers;
+
+
+ PS-7(b)
+ requires third-party providers to comply with personnel security policies and procedures established by the organization;
+
+
+ PS-7(c)
+ documents personnel security requirements;
+
+
+ PS-7(d)
+
+ PS-7(d)[1]
+ defines personnel or roles to be notified of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges;
+
+
+ PS-7(d)[2]
+ defines the time period within which third-party providers are required to notify organization-defined personnel or roles of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges;
+
+
+ PS-7(d)[3]
+ requires third-party providers to notify organization-defined personnel or roles within the organization-defined time period of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges; and
+
+
+
+ PS-7(e)
+ monitors provider compliance.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PERSONNEL SECURITY
+ PS-8
+ PERSONNEL SANCTIONS
+
+ Determine if the organization:
+
+ PS-8(a)
+ employs a formal sanctions process for individuals failing to comply with established information security policies and procedures;
+
+
+ PS-8(b)
+
+ PS-8(b)[1]
+ defines personnel or roles to be notified when a formal employee sanctions process is initiated;
+
+
+ PS-8(b)[2]
+ defines the time period within which organization-defined personnel or roles must be notified when a formal employee sanctions process is initiated; and
+
+
+ PS-8(b)[3]
+ notifies organization-defined personnel or roles within the organization-defined time period when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ RISK ASSESSMENT
+ RA-1
+ RISK ASSESSMENT POLICY AND PROCEDURES
+
+ Determine if the organization:
+
+ RA-1(a)(1)
+
+ RA-1(a)(1)[1]
+ develops and documents a risk assessment policy that addresses:
+
+ RA-1(a)(1)[1][a]
+ purpose;
+
+
+ RA-1(a)(1)[1][b]
+ scope;
+
+
+ RA-1(a)(1)[1][c]
+ roles;
+
+
+ RA-1(a)(1)[1][d]
+ responsibilities;
+
+
+ RA-1(a)(1)[1][e]
+ management commitment;
+
+
+ RA-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ RA-1(a)(1)[1][g]
+ compliance;
+
+
+
+ RA-1(a)(1)[2]
+ defines personnel or roles to whom the risk assessment policy is to be disseminated;
+
+
+ RA-1(a)(1)[3]
+ disseminates the risk assessment policy to organization-defined personnel or roles;
+
+
+
+ RA-1(a)(2)
+
+ RA-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls;
+
+
+ RA-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ RA-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ RA-1(b)(1)
+
+ RA-1(b)(1)[1]
+ defines the frequency to review and update the current risk assessment policy;
+
+
+ RA-1(b)(1)[2]
+ reviews and updates the current risk assessment policy with the organization-defined frequency;
+
+
+
+ RA-1(b)(2)
+
+ RA-1(b)(2)[1]
+ defines the frequency to review and update the current risk assessment procedures; and
+
+
+ RA-1(b)(2)[2]
+ reviews and updates the current risk assessment procedures with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ RISK ASSESSMENT
+ RA-2
+ SECURITY CATEGORIZATION
+
+ Determine if the organization:
+
+ RA-2(a)
+ categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+
+
+ RA-2(b)
+ documents the security categorization results (including supporting rationale) in the security plan for the information system; and
+
+
+ RA-2(c)
+ ensures the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ RISK ASSESSMENT
+ RA-3
+ RISK ASSESSMENT
+
+ Determine if the organization:
+
+ RA-3(a)
+ conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of:
+
+ RA-3(a)[1]
+ the information system;
+
+
+ RA-3(a)[2]
+ the information the system processes, stores, or transmits;
+
+
+
+ RA-3(b)
+
+ RA-3(b)[1]
+ defines a document in which risk assessment results are to be documented (if not documented in the security plan or risk assessment report);
+
+
+ RA-3(b)[2]
+ documents risk assessment results in one of the following:
+
+ RA-3(b)[2][a]
+ the security plan;
+
+
+ RA-3(b)[2][b]
+ the risk assessment report; or
+
+
+ RA-3(b)[2][c]
+ the organization-defined document;
+
+
+
+
+ RA-3(c)
+
+ RA-3(c)[1]
+ defines the frequency to review risk assessment results;
+
+
+ RA-3(c)[2]
+ reviews risk assessment results with the organization-defined frequency;
+
+
+
+ RA-3(d)
+
+ RA-3(d)[1]
+ defines personnel or roles to whom risk assessment results are to be disseminated;
+
+
+ RA-3(d)[2]
+ disseminates risk assessment results to organization-defined personnel or roles;
+
+
+
+ RA-3(e)
+
+ RA-3(e)[1]
+ defines the frequency to update the risk assessment;
+
+
+ RA-3(e)[2]
+ updates the risk assessment:
+
+ RA-3(e)[2][a]
+ with the organization-defined frequency;
+
+
+ RA-3(e)[2][b]
+ whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities); and
+
+
+ RA-3(e)[2][c]
+ whenever there are other conditions that may impact the security state of the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ RISK ASSESSMENT
+ RA-4
+ RISK ASSESSMENT UPDATE
+
+ RA-3
+
+
+ [Withdrawn: Incorporated into RA-3].
+
+
+
+ RISK ASSESSMENT
+ RA-5
+ VULNERABILITY SCANNING
+
+ Determine if the organization:
+
+ RA-5(a)
+
+ RA-5(a)[1]
+
+ RA-5(a)[1][a]
+ defines the frequency for conducting vulnerability scans on the information system and hosted applications; and/or
+
+
+ RA-5(a)[1][b]
+ defines the process for conducting random vulnerability scans on the information system and hosted applications;
+
+
+
+ RA-5(a)[2]
+ in accordance with the organization-defined frequency and/or organization-defined process for conducting random scans, scans for vulnerabilities in:
+
+ RA-5(a)[2][a]
+ the information system;
+
+
+ RA-5(a)[2][b]
+ hosted applications;
+
+
+
+ RA-5(a)[3]
+ when new vulnerabilities potentially affecting the system/applications are identified and reported, scans for vulnerabilities in:
+
+ RA-5(a)[3][a]
+ the information system;
+
+
+ RA-5(a)[3][b]
+ hosted applications;
+
+
+
+
+ RA-5(b)
+ employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:
+
+ RA-5(b)(1)
+
+ RA-5(b)(1)[1]
+ enumerating platforms;
+
+
+ RA-5(b)(1)[2]
+ enumerating software flaws;
+
+
+ RA-5(b)(1)[3]
+ enumerating improper configurations;
+
+
+
+ RA-5(b)(2)
+
+ RA-5(b)(2)[1]
+ formatting checklists;
+
+
+ RA-5(b)(2)[2]
+ formatting test procedures;
+
+
+
+ RA-5(b)(3)
+ measuring vulnerability impact;
+
+
+
+ RA-5(c)
+
+ RA-5(c)[1]
+ analyzes vulnerability scan reports;
+
+
+ RA-5(c)[2]
+ analyzes results from security control assessments;
+
+
+
+ RA-5(d)
+
+ RA-5(d)[1]
+ defines response times to remediate legitimate vulnerabilities in accordance with an organizational assessment of risk;
+
+
+ RA-5(d)[2]
+ remediates legitimate vulnerabilities within the organization-defined response times in accordance with an organizational assessment of risk;
+
+
+
+ RA-5(e)
+
+ RA-5(e)[1]
+ defines personnel or roles with whom information obtained from the vulnerability scanning process and security control assessments is to be shared;
+
+
+ RA-5(e)[2]
+ shares information obtained from the vulnerability scanning process with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies); and
+
+
+ RA-5(e)[3]
+ shares information obtained from security control assessments with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ RA-5(1)
+ UPDATE TOOL CAPABILITY
+
+ Determine if the organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ RA-5(2)
+ UPDATE BY FREQUENCY / PRIOR TO NEW SCAN / WHEN IDENTIFIED
+
+ Determine if the organization:
+
+ RA-5(2)[1]
+ defines the frequency to update the information system vulnerabilities scanned;
+
+
+ RA-5(2)[2]
+ updates the information system vulnerabilities scanned one or more of the following:
+
+ RA-5(2)[2][a]
+ with the organization-defined frequency;
+
+
+ RA-5(2)[2][b]
+ prior to a new scan; and/or
+
+
+ RA-5(2)[2][c]
+ when new vulnerabilities are identified and reported.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ RA-5(3)
+ BREADTH / DEPTH OF COVERAGE
+
+ Determine if the organization employs vulnerability scanning procedures that can identify:
+
+ RA-5(3)[1]
+ the breadth of coverage (i.e., information system components scanned); and
+
+
+ RA-5(3)[2]
+ the depth of coverage (i.e., vulnerabilities checked).
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ RA-5(4)
+ DISCOVERABLE INFORMATION
+
+ Determine if the organization:
+
+ RA-5(4)[1]
+ defines corrective actions to be taken if information about the information system is discoverable by adversaries;
+
+
+ RA-5(4)[2]
+ determines what information about the information system is discoverable by adversaries; and
+
+
+ RA-5(4)[3]
+ subsequently takes organization-defined corrective actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ RA-5(5)
+ PRIVILEGED ACCESS
+
+ Determine if:
+
+ RA-5(5)[1]
+ the organization defines information system components to which privileged access is authorized for selected vulnerability scanning activities;
+
+
+ RA-5(5)[2]
+ the organization defines vulnerability scanning activities selected for privileged access authorization to organization-defined information system components; and
+
+
+ RA-5(5)[3]
+ the information system implements privileged access authorization to organization-defined information system components for selected organization-defined vulnerability scanning activities.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ RA-5(6)
+ AUTOMATED TREND ANALYSES
+
+ Determine if the organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ RA-5(7)
+ AUTOMATED DETECTION AND NOTIFICATION OF UNAUTHORIZED COMPONENTS
+
+ CM-8
+
+
+ [Withdrawn: Incorporated into CM-8].
+
+
+
+ RA-5(8)
+ REVIEW HISTORIC AUDIT LOGS
+
+ Determine if the organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ RA-5(9)
+ PENETRATION TESTING AND ANALYSES
+
+ CA-8
+
+
+ [Withdrawn: Incorporated into CA-8].
+
+
+
+ RA-5(10)
+ CORRELATE SCANNING INFORMATION
+
+ Determine if the organization correlates the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ RISK ASSESSMENT
+ RA-6
+ TECHNICAL SURVEILLANCE COUNTERMEASURES SURVEY
+
+ Determine if the organization:
+
+ RA-6[1]
+ defines locations to employ technical surveillance countermeasure surveys;
+
+
+ RA-6[2]
+ defines a frequency to employ technical surveillance countermeasure surveys;
+
+
+ RA-6[3]
+ defines events or indicators which, if they occur, trigger a technical surveillance countermeasures survey;
+
+
+ RA-6[4]
+ employs a technical surveillance countermeasures survey at organization-defined locations one or more of the following:
+
+ RA-6[4][a]
+ with the organization-defined frequency; and/or
+
+
+ RA-6[4][b]
+ when organization-defined events or indicators occur.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-1
+ SYSTEM AND SERVICES ACQUISITION POLICY AND PROCEDURES
+
+ Determine if the organization:
+
+ SA-1(a)(1)
+
+ SA-1(a)(1)[1]
+ develops and documents a system and services acquisition policy that addresses:
+
+ SA-1(a)(1)[1][a]
+ purpose;
+
+
+ SA-1(a)(1)[1][b]
+ scope;
+
+
+ SA-1(a)(1)[1][c]
+ roles;
+
+
+ SA-1(a)(1)[1][d]
+ responsibilities;
+
+
+ SA-1(a)(1)[1][e]
+ management commitment;
+
+
+ SA-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ SA-1(a)(1)[1][g]
+ compliance;
+
+
+
+ SA-1(a)(1)[2]
+ defines personnel or roles to whom the system and services acquisition policy is to be disseminated;
+
+
+ SA-1(a)(1)[3]
+ disseminates the system and services acquisition policy to organization-defined personnel or roles;
+
+
+
+ SA-1(a)(2)
+
+ SA-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls;
+
+
+ SA-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ SA-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ SA-1(b)(1)
+
+ SA-1(b)(1)[1]
+ defines the frequency to review and update the current system and services acquisition policy;
+
+
+ SA-1(b)(1)[2]
+ reviews and updates the current system and services acquisition policy with the organization-defined frequency;
+
+
+
+ SA-1(b)(2)
+
+ SA-1(b)(2)[1]
+ defines the frequency to review and update the current system and services acquisition procedures; and
+
+
+ SA-1(b)(2)[2]
+ reviews and updates the current system and services acquisition procedures with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-2
+ ALLOCATION OF RESOURCES
+
+ Determine if the organization:
+
+ SA-2(a)
+ determines information security requirements for the information system or information system service in mission/business process planning;
+
+
+ SA-2(b)
+ to protect the information system or information system service as part of its capital planning and investment control process:
+
+ SA-2(b)[1]
+ determines the resources required;
+
+
+ SA-2(b)[2]
+ documents the resources required;
+
+
+ SA-2(b)[3]
+ allocates the resources required; and
+
+
+
+ SA-2(c)
+ establishes a discrete line item for information security in organizational programming and budgeting documentation.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-3
+ SYSTEM DEVELOPMENT LIFE CYCLE
+
+ Determine if the organization:
+
+ SA-3(a)
+
+ SA-3(a)[1]
+ defines a system development life cycle that incorporates information security considerations to be used to manage the information system;
+
+
+ SA-3(a)[2]
+ manages the information system using the organization-defined system development life cycle;
+
+
+
+ SA-3(b)
+ defines and documents information security roles and responsibilities throughout the system development life cycle;
+
+
+ SA-3(c)
+ identifies individuals having information security roles and responsibilities; and
+
+
+ SA-3(d)
+ integrates the organizational information security risk management process into system development life cycle activities.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-4
+ ACQUISITION PROCESS
+
+ Determine if the organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contracts for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:
+
+ SA-4(a)
+ security functional requirements;
+
+
+ SA-4(b)
+ security strength requirements;
+
+
+ SA-4(c)
+ security assurance requirements;
+
+
+ SA-4(d)
+ security-related documentation requirements;
+
+
+ SA-4(e)
+ requirements for protecting security-related documentation;
+
+
+ SA-4(f)
+ description of:
+
+ SA-4(f)[1]
+ the information system development environment;
+
+
+ SA-4(f)[2]
+ the environment in which the system is intended to operate; and
+
+
+
+ SA-4(g)
+ acceptance criteria.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-4(1)
+ FUNCTIONAL PROPERTIES OF SECURITY CONTROLS
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-4(2)
+ DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS
+
+ Determine if the organization:
+
+ SA-4(2)[1]
+ defines level of detail that the developer is required to provide in design and implementation information for the security controls to be employed in the information system, system component, or information system service;
+
+
+ SA-4(2)[2]
+ defines design/implementation information that the developer is to provide for the security controls to be employed (if selected);
+
+
+ SA-4(2)[3]
+ requires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes, at the organization-defined level of detail, one or more of the following:
+
+ SA-4(2)[3][a]
+ security-relevant external system interfaces;
+
+
+ SA-4(2)[3][b]
+ high-level design;
+
+
+ SA-4(2)[3][c]
+ low-level design;
+
+
+ SA-4(2)[3][d]
+ source code;
+
+
+ SA-4(2)[3][e]
+ hardware schematics; and/or
+
+
+ SA-4(2)[3][f]
+ organization-defined design/implementation information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-4(3)
+ DEVELOPMENT METHODS / TECHNIQUES / PRACTICES
+
+ Determine if the organization:
+
+ SA-4(3)[1]
+ defines state-of-the-practice system/security engineering methods to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;
+
+
+ SA-4(3)[2]
+ defines software development methods to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;
+
+
+ SA-4(3)[3]
+ defines testing/evaluation/validation techniques to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;
+
+
+ SA-4(3)[4]
+ defines quality control processes to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;
+
+
+ SA-4(3)[5]
+ requires the developer of the information system, system component, or information system service to demonstrate the use of a system development life cycle that includes:
+
+ SA-4(3)[5][a]
+ organization-defined state-of-the-practice system/security engineering methods;
+
+
+ SA-4(3)[5][b]
+ organization-defined software development methods;
+
+
+ SA-4(3)[5][c]
+ organization-defined testing/evaluation/validation techniques; and
+
+
+ SA-4(3)[5][d]
+ organization-defined quality control processes.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-4(4)
+ ASSIGNMENT OF COMPONENTS TO SYSTEMS
+
+ CM-8(9)
+
+
+ [Withdrawn: Incorporated into CM-8(9)].
+
+
+
+ SA-4(5)
+ SYSTEM / COMPONENT / SERVICE CONFIGURATIONS
+
+ Determine if the organization:
+
+ SA-4(5)(a)
+
+ SA-4(5)(a)[1]
+ defines security configurations to be implemented by the developer of the information system, system component, or information system service;
+
+
+ SA-4(5)(a)[2]
+ requires the developer of the information system, system component, or information system service to deliver the system, component, or service with organization-defined security configurations implemented; and
+
+
+
+ SA-4(5)(b)
+ requires the developer of the information system, system component, or information system service to use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-4(6)
+ USE OF INFORMATION ASSURANCE PRODUCTS
+
+ Determine if the organization:
+
+ SA-4(6)(a)
+ employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and
+
+
+ SA-4(6)(b)
+ ensures that these products have been evaluated and/or validated by the NSA or in accordance with NSA-approved procedures.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-4(7)
+ NIAP-APPROVED PROTECTION PROFILES
+
+ Determine if the organization:
+
+ SA-4(7)(a)
+ limits the use of commercially-provided information assurance (IA) and IA-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and
+
+
+ SA-4(7)(b)
+ requires, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-4(8)
+ CONTINUOUS MONITORING PLAN
+
+ Determine if the organization:
+
+ SA-4(8)[1]
+ defines the level of detail the developer of the information system, system component, or information system service is required to provide when producing a plan for the continuous monitoring of security control effectiveness; and
+
+
+ SA-4(8)[2]
+ requires the developer of the information system, system component, or information system service to produce a plan for the continuous monitoring of security control effectiveness that contains the organization-defined level of detail.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-4(9)
+ FUNCTIONS / PORTS / PROTOCOLS / SERVICES IN USE
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle:
+
+ SA-4(9)[1]
+ the functions intended for organizational use;
+
+
+ SA-4(9)[2]
+ the ports intended for organizational use;
+
+
+ SA-4(9)[3]
+ the protocols intended for organizational use; and
+
+
+ SA-4(9)[4]
+ the services intended for organizational use.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-4(10)
+ USE OF APPROVED PIV PRODUCTS
+
+ Determine if the organization employs only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational information systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-5
+ INFORMATION SYSTEM DOCUMENTATION
+
+ Determine if the organization:
+
+ SA-5(a)
+ obtains administrator documentation for the information system, system component, or information system service that describes:
+
+ SA-5(a)(1)
+
+ SA-5(a)(1)[1]
+ secure configuration of the system, system component, or service;
+
+
+ SA-5(a)(1)[2]
+ secure installation of the system, system component, or service;
+
+
+ SA-5(a)(1)[3]
+ secure operation of the system, system component, or service;
+
+
+
+ SA-5(a)(2)
+
+ SA-5(a)(2)[1]
+ effective use of the security features/mechanisms;
+
+
+ SA-5(a)(2)[2]
+ effective maintenance of the security features/mechanisms;
+
+
+
+ SA-5(a)(3)
+ known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions;
+
+
+
+ SA-5(b)
+ obtains user documentation for the information system, system component, or information system service that describes:
+
+ SA-5(b)(1)
+
+ SA-5(b)(1)[1]
+ user-accessible security functions/mechanisms;
+
+
+ SA-5(b)(1)[2]
+ how to effectively use those functions/mechanisms;
+
+
+
+ SA-5(b)(2)
+ methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner;
+
+
+ SA-5(b)(3)
+ user responsibilities in maintaining the security of the system, component, or service;
+
+
+
+ SA-5(c)
+
+ SA-5(c)[1]
+ defines actions to be taken after documented attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent;
+
+
+ SA-5(c)[2]
+ documents attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent;
+
+
+ SA-5(c)[3]
+ takes organization-defined actions in response;
+
+
+
+ SA-5(d)
+ protects documentation as required, in accordance with the risk management strategy;
+
+
+ SA-5(e)
+
+ SA-5(e)[1]
+ defines personnel or roles to whom documentation is to be distributed; and
+
+
+ SA-5(e)[2]
+ distributes documentation to organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-5(1)
+ FUNCTIONAL PROPERTIES OF SECURITY CONTROLS
+
+ SA-4(1)
+
+
+ [Withdrawn: Incorporated into SA-4(1)].
+
+
+
+ SA-5(2)
+ SECURITY-RELEVANT EXTERNAL SYSTEM INTERFACES
+
+ SA-4(2)
+
+
+ [Withdrawn: Incorporated into SA-4(2)].
+
+
+
+ SA-5(3)
+ HIGH-LEVEL DESIGN
+
+ SA-4(2)
+
+
+ [Withdrawn: Incorporated into SA-4(2)].
+
+
+
+ SA-5(4)
+ LOW-LEVEL DESIGN
+
+ SA-4(2)
+
+
+ [Withdrawn: Incorporated into SA-4(2)].
+
+
+
+ SA-5(5)
+ SOURCE CODE
+
+ SA-4(2)
+
+
+ [Withdrawn: Incorporated into SA-4(2)].
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-6
+ SOFTWARE USAGE RESTRICTIONS
+
+ CM-10
+ SI-7
+
+
+ [Withdrawn: Incorporated into CM-10 and SI-7].
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-7
+ USER- INSTALLED SOFTWARE
+
+ CM-11
+ SI-7
+
+
+ [Withdrawn: Incorporated into CM-11 and SI-7].
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-8
+ SECURITY ENGINEERING PRINCIPLES
+
+ Determine if the organization applies information system security engineering principles in:
+
+ SA-8[1]
+ the specification of the information system;
+
+
+ SA-8[2]
+ the design of the information system;
+
+
+ SA-8[3]
+ the development of the information system;
+
+
+ SA-8[4]
+ the implementation of the information system; and
+
+
+ SA-8[5]
+ the modification of the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-9
+ EXTERNAL INFORMATION SYSTEM SERVICES
+
+ Determine if the organization:
+
+ SA-9(a)
+
+ SA-9(a)[1]
+ defines security controls to be employed by providers of external information system services;
+
+
+ SA-9(a)[2]
+ requires that providers of external information system services comply with organizational information security requirements;
+
+
+ SA-9(a)[3]
+ requires that providers of external information system services employ organization-defined security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+
+
+
+ SA-9(b)
+
+ SA-9(b)[1]
+ defines and documents government oversight with regard to external information system services;
+
+
+ SA-9(b)[2]
+ defines and documents user roles and responsibilities with regard to external information system services;
+
+
+
+ SA-9(c)
+
+ SA-9(c)[1]
+ defines processes, methods, and techniques to be employed to monitor security control compliance by external service providers; and
+
+
+ SA-9(c)[2]
+ employs organization-defined processes, methods, and techniques to monitor security control compliance by external service providers on an ongoing basis.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-9(1)
+ RISK ASSESSMENTS / ORGANIZATIONAL APPROVALS
+
+ Determine if the organization:
+
+ SA-9(1)(a)
+ conducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services;
+
+
+ SA-9(1)(b)
+
+ SA-9(1)(b)[1]
+ defines personnel or roles designated to approve the acquisition or outsourcing of dedicated information security services; and
+
+
+ SA-9(1)(b)[2]
+ ensures that the acquisition or outsourcing of dedicated information security services is approved by organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-9(2)
+ IDENTIFICATION OF FUNCTIONS / PORTS / PROTOCOLS / SERVICES
+
+ Determine if the organization:
+
+ SA-9(2)[1]
+ defines external information system services for which providers of such services are to identify the functions, ports, protocols, and other services required for the use of such services;
+
+
+ SA-9(2)[2]
+ requires providers of organization-defined external information system services to identify:
+
+ SA-9(2)[2][a]
+ the functions required for the use of such services;
+
+
+ SA-9(2)[2][b]
+ the ports required for the use of such services;
+
+
+ SA-9(2)[2][c]
+ the protocols required for the use of such services; and
+
+
+ SA-9(2)[2][d]
+ the other services required for the use of such services.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-9(3)
+ ESTABLISH / MAINTAIN TRUST RELATIONSHIP WITH PROVIDERS
+
+ Determine if the organization:
+
+ SA-9(3)[1]
+ defines requirements, properties, factors, or conditions defining acceptable trust relationships;
+
+
+ SA-9(3)[2]
+ based on organization-defined requirements, properties, factors, or conditions defining acceptable trust relationships:
+
+ SA-9(3)[2][a]
+ establishes trust relationships with external service providers;
+
+
+ SA-9(3)[2][b]
+ documents trust relationships with external service providers; and
+
+
+ SA-9(3)[2][c]
+ maintains trust relationships with external service providers.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-9(4)
+ CONSISTENT INTERESTS OF CONSUMERS AND PROVIDERS
+
+ Determine if the organization:
+
+ SA-9(4)[1]
+ defines external service providers whose interests are to be consistent with and reflect organizational interests;
+
+
+ SA-9(4)[2]
+ defines security safeguards to be employed to ensure that the interests of organization-defined external service providers are consistent with and reflect organizational interests; and
+
+
+ SA-9(4)[3]
+ employs organization-defined security safeguards to ensure that the interests of organization-defined external service providers are consistent with and reflect organizational interests.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-9(5)
+ PROCESSING, STORAGE, AND SERVICE LOCATION
+
+ Determine if the organization:
+
+ SA-9(5)[1]
+ defines locations where organization-defined information processing, information/data, and/or information system services are to be restricted;
+
+
+ SA-9(5)[2]
+ defines requirements or conditions to restrict the location of information processing, information/data, and/or information system services;
+
+
+ SA-9(5)[3]
+ restricts the location of one or more of the following to organization-defined locations based on organization-defined requirements or conditions:
+
+ SA-9(5)[3][a]
+ information processing;
+
+
+ SA-9(5)[3][b]
+ information/data; and/or
+
+
+ SA-9(5)[3][c]
+ information services.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-10
+ DEVELOPER CONFIGURATION MANAGEMENT
+
+ Determine if the organization:
+
+ SA-10(a)
+ requires the developer of the information system, system component, or information system service to perform configuration management during one or more of the following:
+
+ SA-10(a)[1]
+ system, component, or service design;
+
+
+ SA-10(a)[2]
+ system, component, or service development;
+
+
+ SA-10(a)[3]
+ system, component, or service implementation; and/or
+
+
+ SA-10(a)[4]
+ system, component, or service operation;
+
+
+
+ SA-10(b)
+
+ SA-10(b)[1]
+ defines configuration items to be placed under configuration management;
+
+
+ SA-10(b)[2]
+ requires the developer of the information system, system component, or information system service to:
+
+ SA-10(b)[2][a]
+ document the integrity of changes to organization-defined items under configuration management;
+
+
+ SA-10(b)[2][b]
+ manage the integrity of changes to organization-defined items under configuration management;
+
+
+ SA-10(b)[2][c]
+ control the integrity of changes to organization-defined items under configuration management;
+
+
+
+
+ SA-10(c)
+ requires the developer of the information system, system component, or information system service to implement only organization-approved changes to the system, component, or service;
+
+
+ SA-10(d)
+ requires the developer of the information system, system component, or information system service to document:
+
+ SA-10(d)[1]
+ approved changes to the system, component, or service;
+
+
+ SA-10(d)[2]
+ the potential security impacts of such changes;
+
+
+
+ SA-10(e)
+
+ SA-10(e)[1]
+ defines personnel to whom findings, resulting from security flaws and flaw resolution tracked within the system, component, or service, are to be reported;
+
+
+ SA-10(e)[2]
+ requires the developer of the information system, system component, or information system service to:
+
+ SA-10(e)[2][a]
+ track security flaws within the system, component, or service;
+
+
+ SA-10(e)[2][b]
+ track security flaw resolution within the system, component, or service; and
+
+
+ SA-10(e)[2][c]
+ report findings to organization-defined personnel.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-10(1)
+ SOFTWARE / FIRMWARE INTEGRITY VERIFICATION
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-10(2)
+ ALTERNATIVE CONFIGURATION MANAGEMENT PROCESSES
+
+ Determine if the organization provides an alternative configuration management process with organizational personnel in the absence of a dedicated developer configuration management team.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-10(3)
+ HARDWARE INTEGRITY VERIFICATION
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to enable integrity verification of hardware components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-10(4)
+ TRUSTED GENERATION
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to employ tools for comparing newly generated versions of:
+
+ SA-10(4)[1]
+ security-relevant hardware descriptions with previous versions; and
+
+
+ SA-10(4)[2]
+ software/firmware source and object code with previous versions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-10(5)
+ MAPPING INTEGRITY FOR VERSION CONTROL
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-10(6)
+ TRUSTED DISTRIBUTION
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-11
+ DEVELOPER SECURITY TESTING AND EVALUATION
+
+ Determine if the organization:
+
+ SA-11(a)
+ requires the developer of the information system, system component, or information system service to create and implement a security plan;
+
+
+ SA-11(b)
+
+ SA-11(b)[1]
+ defines the depth of testing/evaluation to be performed by the developer of the information system, system component, or information system service;
+
+
+ SA-11(b)[2]
+ defines the coverage of testing/evaluation to be performed by the developer of the information system, system component, or information system service;
+
+
+ SA-11(b)[3]
+ requires the developer of the information system, system component, or information system service to perform one or more of the following testing/evaluation at the organization-defined depth and coverage:
+
+ SA-11(b)[3][a]
+ unit testing/evaluation;
+
+
+ SA-11(b)[3][b]
+ integration testing/evaluation;
+
+
+ SA-11(b)[3][c]
+ system testing/evaluation; and/or
+
+
+ SA-11(b)[3][d]
+ regression testing/evaluation;
+
+
+
+
+ SA-11(c)
+ requires the developer of the information system, system component, or information system service to produce evidence of:
+
+ SA-11(c)[1]
+ the execution of the security assessment plan;
+
+
+ SA-11(c)[2]
+ the results of the security testing/evaluation;
+
+
+
+ SA-11(d)
+ requires the developer of the information system, system component, or information system service to implement a verifiable flaw remediation process; and
+
+
+ SA-11(e)
+ requires the developer of the information system, system component, or information system service to correct flaws identified during security testing/evaluation.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-11(1)
+ STATIC CODE ANALYSIS
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-11(2)
+ THREAT AND VULNERABILITY ANALYSES
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to perform:
+
+ SA-11(2)[1]
+ threat analyses of the as-built, system component, or service;
+
+
+ SA-11(2)[2]
+ vulnerability analyses of the as-built, system component, or service; and
+
+
+ SA-11(2)[3]
+ subsequent testing/evaluation of the as-built, system component, or service.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-11(3)
+ INDEPENDENT VERIFICATION OF ASSESSMENT PLANS / EVIDENCE
+
+ Determine if the organization:
+
+ SA-11(3)(a)
+
+ SA-11(3)(a)[1]
+ defines independence criteria that an independent agent is required to satisfy;
+
+
+ SA-11(3)(a)[2]
+ requires an independent agent satisfying organization-defined independence criteria to verify:
+
+ SA-11(3)(a)[2][a]
+ the correct implementation of the developer security assessment plan;
+
+
+ SA-11(3)(a)[2][b]
+ the evidence produced during security testing/evaluation;
+
+
+
+
+ SA-11(3)(b)
+ ensures that the independent agent is either:
+
+ SA-11(3)(b)[1]
+ provided with sufficient information to complete the verification process; or
+
+
+ SA-11(3)(b)[2]
+ granted the authority to obtain such information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-11(4)
+ MANUAL CODE REVIEWS
+
+ Determine if the organization:
+
+ SA-11(4)[1]
+ defines specific code for which the developer of the information system, system component, or information system service is required to perform a manual code review;
+
+
+ SA-11(4)[2]
+ defines processes, procedures, and/or techniques to be used when the developer performs a manual code review of organization-defined specific code; and
+
+
+ SA-11(4)[3]
+ requires the developer of the information system, system component, or information system service to perform a manual code review of organization-defined specific code using organization-defined processes, procedures, and/or techniques.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-11(5)
+ PENETRATION TESTING / ANALYSIS
+
+ Determine if the organization:
+
+ SA-11(5)[1]
+ defines for the developer of the information system, system component, or information system service:
+
+ SA-11(5)[1][a]
+ the breadth of penetration testing to be performed by the developer;
+
+
+ SA-11(5)[1][b]
+ the depth of penetration testing to be performed by the developer;
+
+
+
+ SA-11(5)[2]
+ defines constraints under which the developer is to perform penetration testing; and
+
+
+ SA-11(5)[3]
+ requires the developer of the information system, system component, or information system service to perform penetration testing at organization-defined breadth/depth and with organization-defined constraints.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-11(6)
+ ATTACK SURFACE REVIEWS
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to perform attack surface reviews.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-11(7)
+ VERIFY SCOPE OF TESTING / EVALUATION
+
+ Determine if the organization:
+
+ SA-11(7)[1]
+ defines the depth of testing/evaluation to ensure the scope of security/testing evaluation provides complete coverage of required security controls; and
+
+
+ SA-11(7)[2]
+ requires the developer of the information system, system component, or information system service to verify that the scope of security testing/evaluation provides complete coverage of required security controls at the organization-defined depth of testing/evaluation.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-11(8)
+ DYNAMIC CODE ANALYSIS
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-12
+ SUPPLY CHAIN PROTECTION
+
+ Determine if the organization:
+
+ SA-12[1]
+ defines security safeguards to be employed to protect against supply chain threats to the information system, system component, or information system service; and
+
+
+ SA-12[2]
+ protects against supply chain threats to the information system, system component, or information system service by employing organization-defined security safeguards as part of a comprehensive, defense-in-breadth information security strategy.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-12(1)
+ ACQUISITION STRATEGIES / TOOLS / METHODS
+
+ Determine if the organization:
+
+ SA-12(1)[1]
+ defines the following to be employed for the purchase of the information system, system component, or information system service from suppliers:
+
+ SA-12(1)[1][a]
+ tailored acquisition strategies;
+
+
+ SA-12(1)[1][b]
+ contract tools;
+
+
+ SA-12(1)[1][c]
+ procurement methods; and
+
+
+
+ SA-12(1)[2]
+ employs organization-defined tailored acquisition strategies, contract tools, and procurement methods for the purchase of the information system, system component, or information system service from suppliers.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-12(2)
+ SUPPLIER REVIEWS
+
+ Determine if the organization conducts a supplier review prior to entering into a contractual agreement to acquire the information system, system component, or information system service.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-12(3)
+ TRUSTED SHIPPING AND WAREHOUSING
+
+ SA-12(1)
+
+
+ [Withdrawn: Incorporated into SA-12(1)].
+
+
+
+ SA-12(4)
+ DIVERSITY OF SUPPLIERS
+
+ SA-12(13)
+
+
+ [Withdrawn: Incorporated into SA-12(13)].
+
+
+
+ SA-12(5)
+ LIMITATION OF HARM
+
+ Determine if the organization:
+
+ SA-12(5)[1]
+ defines security safeguards to be employed to limit harm from potential adversaries identifying and targeting the organizational supply chain; and
+
+
+ SA-12(5)[2]
+ employs organization-defined security safeguards to limit harm from potential adversaries identifying and targeting the organizational supply chain.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-12(6)
+ MINIMIZING PROCUREMENT TIME
+
+ SA-12(1)
+
+
+ [Withdrawn: Incorporated into SA-12(1)].
+
+
+
+ SA-12(7)
+ ASSESSMENTS PRIOR TO SELECTION / ACCEPTANCE / UPDATE
+
+ Determine if the organization conducts an assessment of the information system, system component, or information system service prior to:
+
+ SA-12(7)[1]
+ selection;
+
+
+ SA-12(7)[2]
+ acceptance; or
+
+
+ SA-12(7)[3]
+ update.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-12(8)
+ USE OF ALL-SOURCE INTELLIGENCE
+
+ Determine if the organization uses all-source intelligence analysis of:
+
+ SA-12(8)[1]
+ suppliers of the information system, system component, or information system service; and
+
+
+ SA-12(8)[2]
+ potential suppliers of the information system, system component, or information system service.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-12(9)
+ OPERATIONS SECURITY
+
+ Determine if the organization:
+
+ SA-12(9)[1]
+ defines Operations Security (OPSEC) safeguards to be employed in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service; and
+
+
+ SA-12(9)[2]
+ employs organization-defined OPSEC safeguards in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-12(10)
+ VALIDATE AS GENUINE AND NOT ALTERED
+
+ Determine if the organization:
+
+ SA-12(10)[1]
+ defines security safeguards to be employed to validate that the information system or system component received is genuine and has not been altered; and
+
+
+ SA-12(10)[2]
+ employs organization-defined security safeguards to validate that the information system or system components received is genuine and has not been altered.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-12(11)
+ PENETRATION TESTING / ANALYSIS OF ELEMENTS, PROCESSES, AND ACTORS
+
+ Determine if the organization:
+
+ SA-12(11)[1]
+ defines supply chain:
+
+ SA-12(11)[1][a]
+ elements to be analyzed and/or tested;
+
+
+ SA-12(11)[1][b]
+ processes to be analyzed and/or tested;
+
+
+ SA-12(11)[1][c]
+ actors to be analyzed and/or tested;
+
+
+
+ SA-12(11)[2]
+ employs one or more of the following to analyze and/or test organization-defined supply chain elements, processes, and actors associated with the information system, system component, or information system service:
+
+ SA-12(11)[2][a]
+ organizational analysis;
+
+
+ SA-12(11)[2][b]
+ independent third party analysis;
+
+
+ SA-12(11)[2][c]
+ organizational penetration testing; and/or
+
+
+ SA-12(11)[2][d]
+ independent third-party penetration testing.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-12(12)
+ INTER-ORGANIZATIONAL AGREEMENTS
+
+ Determine if the organization establishes, with entities involved in the supply chain for the information system, system component, or information system service,:
+
+ SA-12(12)[1]
+ inter-organizational agreements; and
+
+
+ SA-12(12)[2]
+ inter-organizational procedures.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-12(13)
+ CRITICAL INFORMATION SYSTEM COMPONENTS
+
+ Determine if the organization:
+
+ SA-12(13)[1]
+ defines critical information system components for which security safeguards are to be employed to ensure an adequate supply of such components;
+
+
+ SA-12(13)[2]
+ defines security safeguards to be employed to ensure an adequate supply of organization-defined critical information components; and
+
+
+ SA-12(13)[3]
+ employs organization-defined security safeguards to ensure an adequate supply of organization-defined critical information system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-12(14)
+ IDENTITY AND TRACEABILITY
+
+ Determine if the organization:
+
+ SA-12(14)[1]
+ defines the following for the establishment and retention of unique identification:
+
+ SA-12(14)[1][a]
+ supply chain elements;
+
+
+ SA-12(14)[1][b]
+ supply chain processes;
+
+
+ SA-12(14)[1][c]
+ supply chain actors; and
+
+
+
+ SA-12(14)[2]
+ establishes and retains unique identification of organization-defined supply chain elements, processes, and actors for the information system, system component, or information system service.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-12(15)
+ PROCESSES TO ADDRESS WEAKNESSES OR DEFICIENCIES
+
+ Determine if the organization establishes a process to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-13
+ TRUSTWORTHINESS
+
+ Determine if the organization:
+
+ SA-13(a)
+
+ SA-13(a)[1]
+ defines information system, system component, or information system service for which the trustworthiness required is to be described;
+
+
+ SA-13(a)[2]
+ describes the trustworthiness required in organization-defined information system, information system component, or information system service supporting its critical mission/business functions;
+
+
+
+ SA-13(b)
+
+ SA-13(b)[1]
+ defines an assurance overlay to be implemented to achieve such trustworthiness; and
+
+
+ SA-13(b)[2]
+ organization implements the organization-defined assurance overlay to achieve such trustworthiness.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-14
+ CRITICALITY ANALYSIS
+
+ Determine if the organization:
+
+ SA-14[1]
+ defines information systems, information system components, or information system services requiring a criticality analysis to identify critical information system components and functions;
+
+
+ SA-14[2]
+ defines decision points in the system development life cycle when a criticality analysis is to be performed for organization-defined information systems, information system components, or information system services; and
+
+
+ SA-14[3]
+ identifies critical information system components and functions by performing a criticality analysis for organization-defined information systems, information system components, or information system services at organization-defined decisions points in the system development life cycle.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-14(1)
+ CRITICAL COMPONENTS WITH NO VIABLE ALTERNATIVE SOURCING
+
+ SA-20
+
+
+ [Withdrawn: Incorporated into SA-20].
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-15
+ DEVELOPMENT PROCESS, STANDARDS, AND TOOLS
+
+ Determine if the organization:
+
+ SA-15(a)
+ requires the developer of the information system, system component, or information system service to follow a documented development process that:
+
+ SA-15(a)(1)
+ explicitly addresses security requirements;
+
+
+ SA-15(a)(2)
+ identifies the standards and tools used in the development process;
+
+
+ SA-15(a)(3)
+
+ SA-15(a)(3)[1]
+ documents the specific tool options used in the development process;
+
+
+ SA-15(a)(3)[2]
+ documents the specific tool configurations used in the development process;
+
+
+
+ SA-15(a)(4)
+
+ SA-15(a)(4)[1]
+ documents changes to the process and/or tools used in the development;
+
+
+ SA-15(a)(4)[2]
+ manages changes to the process and/or tools used in the development;
+
+
+ SA-15(a)(4)[3]
+ ensures the integrity of changes to the process and/or tools used in the development;
+
+
+
+
+ SA-15(b)
+
+ SA-15(b)[1]
+ defines a frequency to review the development process, standards, tools, and tool options/configurations;
+
+
+ SA-15(b)[2]
+ defines security requirements to be satisfied by the process, standards, tools, and tool option/configurations selected and employed; and
+
+
+ SA-15(b)[3]
+
+ SA-15(b)[3][a]
+ reviews the development process with the organization-defined frequency to determine if the process selected and employed can satisfy organization-defined security requirements;
+
+
+ SA-15(b)[3][b]
+ reviews the development standards with the organization-defined frequency to determine if the standards selected and employed can satisfy organization-defined security requirements;
+
+
+ SA-15(b)[3][c]
+ reviews the development tools with the organization-defined frequency to determine if the tools selected and employed can satisfy organization-defined security requirements; and
+
+
+ SA-15(b)[3][d]
+ reviews the development tool options/configurations with the organization-defined frequency to determine if the tool options/configurations selected and employed can satisfy organization-defined security requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-15(1)
+ QUALITY METRICS
+
+ Determine if the organization:
+
+ SA-15(1)(a)
+ requires the developer of the information system, system component, or information system service to define quality metrics at the beginning of the development process;
+
+
+ SA-15(1)(b)
+
+ SA-15(1)(b)[1]
+ defines a frequency to provide evidence of meeting the quality metrics;
+
+
+ SA-15(1)(b)[2]
+ defines program review milestones to provide evidence of meeting the quality metrics;
+
+
+ SA-15(1)(b)[3]
+ requires the developer of the information system, system component, or information system service to provide evidence of meeting the quality metrics one or more of the following:
+
+ SA-15(1)(b)[3][a]
+ with the organization-defined frequency;
+
+
+ SA-15(1)(b)[3][b]
+ in accordance with the organization-defined program review milestones; and/or
+
+
+ SA-15(1)(b)[3][c]
+ upon delivery of the information system, system component, or information system service.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-15(2)
+ SECURITY TRACKING TOOLS
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to select and employ a security tracking tool for use during the development process.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-15(3)
+ CRITICALITY ANALYSIS
+
+ Determine if the organization:
+
+ SA-15(3)[1]
+ defines the breadth of criticality analysis to be performed by the developer of the information system, system component, or information system service;
+
+
+ SA-15(3)[2]
+ defines the depth of criticality analysis to be performed by the developer of the information system, system component, or information system service;
+
+
+ SA-15(3)[3]
+ defines decision points in the system development life cycle when a criticality analysis is to be performed for the information system, system component, or information system service; and
+
+
+ SA-15(3)[4]
+ requires the developer of the information system, system component, or information system service to perform a criticality analysis at the organization-defined breadth/depth and at organization-defined decision points in the system development life cycle.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-15(4)
+ THREAT MODELING / VULNERABILITY ANALYSIS
+
+ Determine if the organization:
+
+ SA-15(4)[1]
+ defines the breadth of threat modeling and vulnerability analysis to be performed by developers for the information system;
+
+
+ SA-15(4)[2]
+ defines the depth of threat modeling and vulnerability analysis to be performed by developers for the information system;
+
+
+ SA-15(4)[3]
+ defines information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels to be used in threat modeling and vulnerability analysis;
+
+
+ SA-15(4)[4]
+ defines tools and methods to be employed in threat modeling and vulnerability analysis;
+
+
+ SA-15(4)[5]
+ defines acceptance criteria for evidence produced from threat modeling and vulnerability analysis;
+
+
+ SA-15(4)[6]
+ requires that developers perform threat modeling and a vulnerability analysis for the information system at the organization-defined breadth/depth that:
+
+ SA-15(4)[6](a)
+ uses organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels;
+
+
+ SA-15(4)[6](b)
+ employs organization-defined tools and methods; and
+
+
+ SA-15(4)[6](c)
+ produces evidence that meets organization-defined acceptance criteria.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-15(5)
+ ATTACK SURFACE REDUCTION
+
+ Determine if the organization:
+
+ SA-15(5)[1]
+ defines thresholds to which attack surfaces are to be reduced; and
+
+
+ SA-15(5)[2]
+ requires the developer of the information system, system component, or information system service to reduce attack surfaces to organization-defined thresholds.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-15(6)
+ CONTINUOUS IMPROVEMENT
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to implement an explicit process to continuously improve the development process.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-15(7)
+ AUTOMATED VULNERABILITY ANALYSIS
+
+ Determine if the organization:
+
+ SA-15(7)(a)
+
+ SA-15(7)(a)[1]
+ defines tools to be used to perform automated vulnerability analysis of the information system, system component, or information system service;
+
+
+ SA-15(7)(a)[2]
+ requires the developer of the information system, system component, or information system service to perform an automated vulnerability analysis using organization-defined tools;
+
+
+
+ SA-15(7)(b)
+ requires the developer of the information system, system component, or information system service to determine the exploitation potential for discovered vulnerabilities;
+
+
+ SA-15(7)(c)
+ requires the developer of the information system, system component, or information system service to determine potential risk mitigations for delivered vulnerabilities;
+
+
+ SA-15(7)(d)
+
+ SA-15(7)(d)[1]
+ defines personnel or roles to whom the output of the tools and results of the analysis are to be delivered; and
+
+
+ SA-15(7)(d)[2]
+ requires the developer of the information system, system component, or information system service to deliver the outputs of the tools and results of the analysis to organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-15(8)
+ REUSE OF THREAT / VULNERABILITY INFORMATION
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-15(9)
+ USE OF LIVE DATA
+
+ Determine if the organization, for the information system, system component, or information system service:
+
+ SA-15(9)[1]
+ approves the use of live data in development and test environments;
+
+
+ SA-15(9)[2]
+ documents the use of live data in development and test environments; and
+
+
+ SA-15(9)[3]
+ controls the use of live data in development and test environments.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-15(10)
+ INCIDENT RESPONSE PLAN
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to provide an incident response plan.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-15(11)
+ ARCHIVE INFORMATION SYSTEM / COMPONENT
+
+ Determine if the organization requires the developer of the information system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security review.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-16
+ DEVELOPER-PROVIDED TRAINING
+
+ Determine if the organization:
+
+ SA-16[1]
+ defines training to be provided by the developer of the information system, system component, or information system service; and
+
+
+ SA-16[2]
+ requires the developer of the information system, system component, or information system service to provide organization-defined training on the correct use and operation of the implemented security functions, controls, and/or mechanisms.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-17
+ DEVELOPER SECURITY ARCHITECTURE AND DESIGN
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:
+
+ SA-17(a)
+ is consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture;
+
+
+ SA-17(b)
+ accurately and completely describes:
+
+ SA-17(b)[1]
+ the required security functionality;
+
+
+ SA-17(b)[2]
+ the allocation of security controls among physical and logical components; and
+
+
+
+ SA-17(c)
+ expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-17(1)
+ FORMAL POLICY MODEL
+
+ Determine if the organization:
+
+ SA-17(1)(a)
+
+ SA-17(1)(a)[1]
+ defines elements of the organizational security policy to be enforced under a formal policy model produced by the developer as an integral part of the development process for the information system, system component, or information system service;
+
+
+ SA-17(1)(a)[2]
+ requires the developer of the information system, system component, or information system service to produce, as an integral part of the development process, a formal policy model describing the organization-defined elements of organizational security policy to be enforced; and
+
+
+
+ SA-17(1)(b)
+ requires the developer of the information system, system component, or information system service to prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-17(2)
+ SECURITY-RELEVANT COMPONENTS
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17(2)(a)
+
+ SA-17(2)(a)[1]
+ define security-relevant hardware;
+
+
+ SA-17(2)(a)[2]
+ define security-relevant software;
+
+
+ SA-17(2)(a)[3]
+ define security-relevant firmware; and
+
+
+
+ SA-17(2)(b)
+ provide a rationale that the definition for security-relevant hardware, software, and firmware components is complete.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-17(3)
+ FORMAL CORRESPONDENCE
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17(3)(a)
+ produce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of:
+
+ SA-17(3)(a)[1]
+ exceptions;
+
+
+ SA-17(3)(a)[2]
+ error messages;
+
+
+ SA-17(3)(a)[3]
+ effects;
+
+
+
+ SA-17(3)(b)
+ show via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;
+
+
+ SA-17(3)(c)
+ show via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;
+
+
+ SA-17(3)(d)
+ show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and
+
+
+ SA-17(3)(e)
+ describe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-17(4)
+ INFORMAL CORRESPONDENCE
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17(4)(a)
+ produce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of:
+
+ SA-17(4)(a)[1]
+ exceptions;
+
+
+ SA-17(4)(a)[2]
+ error messages;
+
+
+ SA-17(4)(a)[3]
+ effects;
+
+
+
+ SA-17(4)(b)
+ show via informal demonstration and/or convincing argument with formal methods as feasible that the descriptive top-level specification is consistent with the formal policy model;
+
+
+ SA-17(4)(c)
+ show via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;
+
+
+ SA-17(4)(d)
+ show that the descriptive top-level specification is an accurate description of the interfaces to the security-relevant hardware, software, and firmware; and
+
+
+ SA-17(4)(e)
+ describe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-17(5)
+ CONCEPTUALLY SIMPLE DESIGN
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17(5)(a)
+ design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and
+
+
+ SA-17(5)(b)
+ internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-17(6)
+ STRUCTURE FOR TESTING
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate testing.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-17(7)
+ STRUCTURE FOR LEAST PRIVILEGE
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-18
+ TAMPER RESISTANCE AND DETECTION
+
+ Determine if the organization implements a tamper protection program for the information system, system component, or information system service.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-18(1)
+ MULTIPLE PHASES OF SDLC
+
+ Determine if the organization employs anti-tamper technologies and techniques during multiple phases in the system development life cycle including:
+
+ SA-18(1)[1]
+ design;
+
+
+ SA-18(1)[2]
+ development;
+
+
+ SA-18(1)[3]
+ integration;
+
+
+ SA-18(1)[4]
+ operations; and
+
+
+ SA-18(1)[5]
+ maintenance.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-18(2)
+ INSPECTION OF INFORMATION SYSTEMS, COMPONENTS, OR DEVICES
+
+ Determine if the organization:
+
+ SA-18(2)[1]
+ defines information systems, system components, or devices to be inspected to detect tampering;
+
+
+ SA-18(2)[2]
+ defines the frequency to inspect organization-defined information systems, system components, or devices to detect tampering;
+
+
+ SA-18(2)[3]
+ defines indications of need for inspection of organization-defined information systems, system components, or devices to detect tampering;
+
+
+ SA-18(2)[4]
+ inspects organization-defined information systems, system components, or devices to detect tampering, selecting one or more of the following:
+
+ SA-18(2)[4][a]
+ at random;
+
+
+ SA-18(2)[4][b]
+ with the organization-defined frequency; and/or
+
+
+ SA-18(2)[4][c]
+ upon organization-defined indications of need for inspection.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-19
+ COMPONENT AUTHENTICITY
+
+ Determine if the organization:
+
+ SA-19(a)
+ develops and implements anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the information system;
+
+
+ SA-19(b)
+
+ SA-19(b)[1]
+ defines external reporting organizations to whom counterfeit information system components are to be reported;
+
+
+ SA-19(b)[2]
+ defines personnel or roles to whom counterfeit information system components are to be reported;
+
+
+ SA-19(b)[3]
+ reports counterfeit information system components to one or more of the following:
+
+ SA-19(b)[3][a]
+ the source of counterfeit component;
+
+
+ SA-19(b)[3][b]
+ the organization-defined external reporting organizations; and/or
+
+
+ SA-19(b)[3][c]
+ the organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-19(1)
+ ANTI-COUNTERFEIT TRAINING
+
+ Determine if the organization:
+
+ SA-19(1)[1]
+ defines personnel or roles to be trained to detect counterfeit information system components (including hardware, software, and firmware); and
+
+
+ SA-19(1)[2]
+ trains organization-defined personnel or roles to detect counterfeit information system components (including hardware, software, and firmware).
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-19(2)
+ CONFIGURATION CONTROL FOR COMPONENT SERVICE / REPAIR
+
+ Determine if the organization:
+
+ SA-19(2)[1]
+ defines information system components requiring configuration control to be maintained when awaiting service/repair;
+
+
+ SA-19(2)[2]
+ defines information system components requiring configuration control to be maintained when awaiting return to service; and
+
+
+ SA-19(2)[3]
+ maintains configuration control over organization-defined information system components awaiting service/repairs and serviced/repaired components awaiting return to service.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-19(3)
+ COMPONENT DISPOSAL
+
+ Determine if the organization:
+
+ SA-19(3)[1]
+ defines techniques and methods to dispose of information system components; and
+
+
+ SA-19(3)[2]
+ disposes of information system components using organization-defined techniques and methods.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-19(4)
+ ANTI-COUNTERFEIT SCANNING
+
+ Determine if the organization:
+
+ SA-19(4)[1]
+ defines a frequency to scan for counterfeit information system components; and
+
+
+ SA-19(4)[2]
+ scans for counterfeit information system components with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-20
+ CUSTOMIZED DEVELOPMENT OF CRITICAL COMPONENTS
+
+ Determine if the organization:
+
+ SA-20[1]
+ defines critical information system components to be re-implemented or custom developed; and
+
+
+ SA-20[2]
+ re-implements or custom develops organization-defined information system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-21
+ DEVELOPER SCREENING
+
+ Determine if the organization:
+
+ SA-21[1]
+ defines the information system, system component, or information system service for which the developer is to be screened;
+
+
+ SA-21[2]
+ defines official government duties to be used to determine appropriate access authorizations for the developer;
+
+
+ SA-21[3]
+ defines additional personnel screening criteria to be satisfied by the developer;
+
+
+ SA-21[4]
+
+ SA-21[4][a]
+ requires that the developer of organization-defined information system, system component, or information system service have appropriate access authorizations as determined by assigned organization-defined official government duties; and
+
+
+ SA-21[4][b]
+ requires that the developer of organization-defined information system, system component, or information system service satisfy organization-defined additional personnel screening criteria.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-21(1)
+ VALIDATION OF SCREENING
+
+ Determine if the organization:
+
+ SA-21(1)[1]
+ defines actions to be taken by the developer of the information system, system component, or information system service to ensure that the required access authorizations and screening criteria are satisfied; and
+
+
+ SA-21(1)[2]
+ requires the developer of the information system, system component, or information system service take organization-defined actions to ensure that the required access authorizations and screening criteria are satisfied.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+ SA-22
+ UNSUPPORTED SYSTEM COMPONENTS
+
+ Determine if the organization:
+
+ SA-22(a)
+ replaces information system components when support for the components is no longer available from the developer, vendor, or manufacturer;
+
+
+ SA-22(b)
+
+ SA-22(b)[1]
+ provides justification for the continued use of unsupported system components required to satisfy mission/business needs; and
+
+
+ SA-22(b)[2]
+ documents approval for the continued use of unsupported system components required to satisfy mission/business needs.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-22(1)
+ ALTERNATIVE SOURCES FOR CONTINUED SUPPORT
+
+ Determine if the organization:
+
+ SA-22(1)[1]
+ defines support from external providers to be provided for unsupported information system components;
+
+
+ SA-22(1)[2]
+ provides and/or obtains support for unsupported information system components from one or more of the following:
+
+ SA-22(1)[2][a]
+ in-house support; and/or
+
+
+ SA-22(1)[2][b]
+ organization-defined support from external providers.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-1
+ SYSTEM AND COMMUNICATIONS PROTECTION POLICY AND PROCEDURES
+
+ Determine if the organization:
+
+ SC-1(a)(1)
+
+ SC-1(a)(1)[1]
+ develops and documents a system and communications protection policy that addresses:
+
+ SC-1(a)(1)[1][a]
+ purpose;
+
+
+ SC-1(a)(1)[1][b]
+ scope;
+
+
+ SC-1(a)(1)[1][c]
+ roles;
+
+
+ SC-1(a)(1)[1][d]
+ responsibilities;
+
+
+ SC-1(a)(1)[1][e]
+ management commitment;
+
+
+ SC-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ SC-1(a)(1)[1][g]
+ compliance;
+
+
+
+ SC-1(a)(1)[2]
+ defines personnel or roles to whom the system and communications protection policy is to be disseminated;
+
+
+ SC-1(a)(1)[3]
+ disseminates the system and communications protection policy to organization-defined personnel or roles;
+
+
+
+ SC-1(a)(2)
+
+ SC-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls;
+
+
+ SC-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ SC-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ SC-1(b)(1)
+
+ SC-1(b)(1)[1]
+ defines the frequency to review and update the current system and communications protection policy;
+
+
+ SC-1(b)(1)[2]
+ reviews and updates the current system and communications protection policy with the organization-defined frequency;
+
+
+
+ SC-1(b)(2)
+
+ SC-1(b)(2)[1]
+ defines the frequency to review and update the current system and communications protection procedures; and
+
+
+ SC-1(b)(2)[2]
+ reviews and updates the current system and communications protection procedures with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-2
+ APPLICATION PARTITIONING
+
+ Determine if the information system separates user functionality (including user interface services) from information system management functionality.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-2(1)
+ INTERFACES FOR NON-PRIVILEGED USERS
+
+ Determine if the information system prevents the presentation of information system management-related functionality at an interface for non-privileged users.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-3
+ SECURITY FUNCTION ISOLATION
+
+ Determine if the information system isolates security functions from nonsecurity functions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-3(1)
+ HARDWARE SEPARATION
+
+ Determine if the information system utilizes underlying hardware separation mechanisms to implement security function isolation.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-3(2)
+ ACCESS/FLOW CONTROL FUNCTIONS
+
+ Determine if the information system isolates security functions enforcing:
+
+ SC-3(2)[1]
+ access control from nonsecurity functions;
+
+
+ SC-3(2)[2]
+ information flow control from nonsecurity functions;
+
+
+ SC-3(2)[3]
+ access control from other security functions; and
+
+
+ SC-3(2)[4]
+ information flow control from other security functions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-3(3)
+ MINIMIZE NONSECURITY FUNCTIONALITY
+
+ Determine if the organization implements an information system isolation boundary to minimize the number of nonsecurity functions included within the boundary containing security functions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-3(4)
+ MODULE COUPLING AND COHESIVENESS
+
+ Determine if the organization implements security functions as largely independent modules that:
+
+ SC-3(4)[1]
+ maximize internal cohesiveness within modules; and
+
+
+ SC-3(4)[2]
+ minimize coupling between modules.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-3(5)
+ LAYERED STRUCTURES
+
+ Determine if the organization implements security functions as a layered structure:
+
+ SC-3(5)[1]
+ minimizing interactions between layers of the design; and
+
+
+ SC-3(5)[2]
+ avoiding any dependence by lower layers on the functionality or correctness of higher layers.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-4
+ INFORMATION IN SHARED RESOURCES
+
+ Determine if the information system prevents unauthorized and unintended information transfer via shared system resources.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-4(1)
+ SECURITY LEVELS
+
+ SC-4
+
+
+ [Withdrawn: Incorporated into SC-4].
+
+
+
+ SC-4(2)
+ PERIODS PROCESSING
+
+ Determine if:
+
+ SC-4(2)[1]
+ the organization defines procedures to be employed to ensure unauthorized information transfer via shared resources is prevented when system processing explicitly switches between different information classification levels or security categories; and
+
+
+ SC-4(2)[2]
+ the information system prevents unauthorized information transfer via shared resources in accordance with organization-defined procedures when system processing explicitly switches between different information classification levels or security categories.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-5
+ DENIAL OF SERVICE PROTECTION
+
+ Determine if:
+
+ SC-5[1]
+ the organization defines types of denial of service attacks or reference to source of such information for the information system to protect against or limit the effects;
+
+
+ SC-5[2]
+ the organization defines security safeguards to be employed by the information system to protect against or limit the effects of organization-defined types of denial of service attacks; and
+
+
+ SC-5[3]
+ the information system protects against or limits the effects of the organization-defined denial or service attacks (or reference to source for such information) by employing organization-defined security safeguards.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-5(1)
+ RESTRICT INTERNAL USERS
+
+ Determine if:
+
+ SC-5(1)[1]
+ the organization defines denial of service attacks for which the information system is required to restrict the ability of individuals to launch such attacks against other information systems; and
+
+
+ SC-5(1)[2]
+ the information system restricts the ability of individuals to launch organization-defined denial of service attacks against other information systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-5(2)
+ EXCESS CAPACITY / BANDWIDTH / REDUNDANCY
+
+ Determine if the information system, to limit the effects of information flooding denial of service attacks, manages:
+
+ SC-5(2)[1]
+ excess capacity;
+
+
+ SC-5(2)[2]
+ bandwidth; or
+
+
+ SC-5(2)[3]
+ other redundancy.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-5(3)
+ DETECTION / MONITORING
+
+ Determine if the organization:
+
+ SC-5(3)(a)
+
+ SC-5(3)(a)[1]
+ defines monitoring tools to be employed to detect indicators of denial of service attacks against the information system;
+
+
+ SC-5(3)(a)[2]
+ employs organization-defined monitoring tools to detect indicators of denial of service attacks against the information system;
+
+
+
+ SC-5(3)(b)
+
+ SC-5(3)(b)[1]
+ defines information system resources to be monitored to determine if sufficient resources exist to prevent effective denial of service attacks; and
+
+
+ SC-5(3)(b)[2]
+ monitors organization-defined information system resources to determine if sufficient resources exist to prevent effective denial of service attacks.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-6
+ RESOURCE AVAILABILITY
+
+ Determine if:
+
+ SC-6[1]
+ the organization defines resources to be allocated to protect the availability of resources;
+
+
+ SC-6[2]
+ the organization defines security safeguards to be employed to protect the availability of resources;
+
+
+ SC-6[3]
+ the information system protects the availability of resources by allocating organization-defined resources by one or more of the following:
+
+ SC-6[3][a]
+ priority;
+
+
+ SC-6[3][b]
+ quota; and/or
+
+
+ SC-6[3][c]
+ organization-defined safeguards.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-7
+ BOUNDARY PROTECTION
+
+ Determine if the information system:
+
+ SC-7(a)
+
+ SC-7(a)[1]
+ monitors communications at the external boundary of the information system;
+
+
+ SC-7(a)[2]
+ monitors communications at key internal boundaries within the system;
+
+
+ SC-7(a)[3]
+ controls communications at the external boundary of the information system;
+
+
+ SC-7(a)[4]
+ controls communications at key internal boundaries within the system;
+
+
+
+ SC-7(b)
+ implements subnetworks for publicly accessible system components that are either:
+
+ SC-7(b)[1]
+ physically separated from internal organizational networks; and/or
+
+
+ SC-7(b)[2]
+ logically separated from internal organizational networks; and
+
+
+
+ SC-7(c)
+ connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(1)
+ PHYSICALLY SEPARATED SUBNETWORKS
+
+ SC-7
+
+
+ [Withdrawn: Incorporated into SC-7].
+
+
+
+ SC-7(2)
+ PUBLIC ACCESS
+
+ SC-7
+
+
+ [Withdrawn: Incorporated into SC-7].
+
+
+
+ SC-7(3)
+ ACCESS POINTS
+
+ Determine if the organization limits the number of external network connections to the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(4)
+ EXTERNAL TELECOMMUNICATIONS SERVICES
+
+ Determine if the organization:
+
+ SC-7(4)(a)
+ implements a managed interface for each external telecommunication service;
+
+
+ SC-7(4)(b)
+ establishes a traffic flow policy for each managed interface;
+
+
+ SC-7(4)(c)
+ protects the confidentiality and integrity of the information being transmitted across each interface;
+
+
+ SC-7(4)(d)
+ documents each exception to the traffic flow policy with:
+
+ SC-7(4)(d)[1]
+ a supporting mission/business need;
+
+
+ SC-7(4)(d)[2]
+ duration of that need;
+
+
+
+ SC-7(4)(e)
+
+ SC-7(4)(e)[1]
+ defines a frequency to review exceptions to traffic flow policy;
+
+
+ SC-7(4)(e)[2]
+ reviews exceptions to the traffic flow policy with the organization-defined frequency; and
+
+
+ SC-7(4)(e)[3]
+ removes traffic flow policy exceptions that are no longer supported by an explicit mission/business need
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(5)
+ DENY BY DEFAULT / ALLOW BY EXCEPTION
+
+ Determine if the information system, at managed interfaces:
+
+ SC-7(5)[1]
+ denies network traffic by default; and
+
+
+ SC-7(5)[2]
+ allows network traffic by exception.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(6)
+ RESPONSE TO RECOGNIZED FAILURES
+
+ SC-7(18)
+
+
+ [Withdrawn: Incorporated into SC-7(18)].
+
+
+
+ SC-7(7)
+ PREVENT SPLIT TUNNELING FOR REMOTE DEVICES
+
+ Determine if the information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(8)
+ ROUTE TRAFFIC TO AUTHENTICATED PROXY SERVERS
+
+ Determine if:
+
+ SC-7(8)[1]
+ the organization defines internal communications traffic to be routed to external networks;
+
+
+ SC-7(8)[2]
+ the organization defines external networks to which organization-defined internal communications traffic is to be routed; and
+
+
+ SC-7(8)[3]
+ the information system routes organization-defined internal communications traffic to organization-defined external networks through authenticated proxy servers at managed interfaces.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(9)
+ RESTRICT THREATENING OUTGOING COMMUNICATIONS TRAFFIC
+
+ Determine if the information system:
+
+ SC-7(9)(a)
+
+ SC-7(9)(a)[1]
+ detects outgoing communications traffic posing a threat to external information systems; and
+
+
+ SC-7(9)(a)[2]
+ denies outgoing communications traffic posing a threat to external information systems; and
+
+
+
+ SC-7(9)(b)
+ audits the identity of internal users associated with denied communications.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(10)
+ PREVENT UNAUTHORIZED EXFILTRATION
+
+ Determine if the organization prevents the unauthorized exfiltration of information across managed interfaces.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(11)
+ RESTRICT INCOMING COMMUNICATIONS TRAFFIC
+
+ Determine if:
+
+ SC-7(11)[1]
+ the organization defines internal communications traffic to be routed to external networks;
+
+
+ SC-7(11)[2]
+ the organization defines authorized destinations only to which that incoming communications from organization-defined authorized sources may be routed; and
+
+
+ SC-7(11)[3]
+ the information system only allows incoming communications from organization-defined authorized sources to be routed to organization-defined authorized destinations.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(12)
+ HOST-BASED PROTECTION
+
+ Determine if the organization:
+
+ SC-7(12)[1]
+ defines host-based boundary protection mechanisms;
+
+
+ SC-7(12)[2]
+ defines information system components where organization-defined host-based boundary protection mechanisms are to be implemented; and
+
+
+ SC-7(12)[3]
+ implements organization-defined host-based boundary protection mechanisms at organization-defined information system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(13)
+ ISOLATION OF SECURITY TOOLS / MECHANISMS / SUPPORT COMPONENTS
+
+ Determine if the organization:
+
+ SC-7(13)[1]
+ defines information security tools, mechanisms, and support components to be isolated from other internal information system components; and
+
+
+ SC-7(13)[2]
+ isolates organization-defined information security tools, mechanisms, and support components from other internal information system components by implementing physically separate subnetworks with managed interfaces to other components of the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(14)
+ PROTECTS AGAINST UNAUTHORIZED PHYSICAL CONNECTIONS
+
+ Determine if the organization:
+
+ SC-7(14)[1]
+ defines managed interfaces to be protected against unauthorized physical connections; and
+
+
+ SC-7(14)[2]
+ protects against unauthorized physical connections at organization-defined managed interfaces.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(15)
+ ROUTE PRIVILEGED NETWORK ACCESSES
+
+ Determine if the information system routes all networked, privileged accesses through a dedicated, managed interface for the purposes of:
+
+ SC-7(15)[1]
+ access control; and
+
+
+ SC-7(15)[2]
+ auditing.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(16)
+ PREVENT DISCOVERY OF COMPONENTS / DEVICES
+
+ Determine if the information system prevents discovery of specific system components composing a managed interface.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(17)
+ AUTOMATED ENFORCEMENT OF PROTOCOL FORMATS
+
+ Determine if the information system enforces adherence to protocol formats.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(18)
+ FAIL SECURE
+
+ Determine if the information system fails securely in the event of an operational failure of a boundary protection device.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(19)
+ BLOCKS COMMUNICATION FROM NON-ORGANIZATIONALLY CONFIGURED HOSTS
+
+ Determine if the organization:
+
+ SC-7(19)[1]
+ defines communication clients that are independently configured by end users and external service providers; and
+
+
+ SC-7(19)[2]
+ blocks, between organization-defined communication clients that are independently configured by end users and external service providers,:
+
+ SC-7(19)[2][a]
+ inbound communications traffic; and
+
+
+ SC-7(19)[2][b]
+ outbound communications traffic.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(20)
+ DYNAMIC ISOLATION / SEGREGATION
+
+ Determine if:
+
+ SC-7(20)[1]
+ the organization defines information system components to be dynamically isolated/segregated from other components of the system; and
+
+
+ SC-7(20)[2]
+ the information system provides the capability to dynamically isolate/segregate organization-defined information system components from other components of the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(21)
+ ISOLATION OF INFORMATION SYSTEM COMPONENTS
+
+ Determine if the organization:
+
+ SC-7(21)[1]
+ defines information system components to be separated by boundary protection mechanisms;
+
+
+ SC-7(21)[2]
+ defines missions and/or business functions to be supported by organization-defined information system components separated by boundary protection mechanisms; and
+
+
+ SC-7(21)[3]
+ employs boundary protection mechanisms to separate organization-defined information system components supporting organization-defined missions and/or business functions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(22)
+ SEPARATE SUBNETS FOR CONNECTING TO DIFFERENT SECURITY DOMAINS
+
+ Determine if the information system implements separate network addresses (i.e., different subnets) to connect to systems in different security domains.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7(23)
+ DISABLE SENDER FEEDBACK ON PROTOCOL VALIDATION FAILURE
+
+ Determine if the information system disables feedback to senders on protocol format validation failure.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-8
+ TRANSMISSION CONFIDENTIALITY AND INTEGRITY
+
+ Determine if the information system protects one or more of the following:
+
+ SC-8[1]
+ confidentiality of transmitted information; and/or
+
+
+ SC-8[2]
+ integrity of transmitted information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-8(1)
+ CRYPTOGRAPHIC OR ALTERNATE PHYSICAL PROTECTION
+
+ Determine if:
+
+ SC-8(1)[1]
+ the organization defines physical safeguards to be implemented to protect information during transmission when cryptographic mechanisms are not implemented; and
+
+
+ SC-8(1)[2]
+ the information system implements cryptographic mechanisms to do one or more of the following during transmission unless otherwise protected by organization-defined alternative physical safeguards:
+
+ SC-8(1)[2][a]
+ prevent unauthorized disclosure of information; and/or
+
+
+ SC-8(1)[2][b]
+ detect changes to information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-8(2)
+ PRE / POST TRANSMISSION HANDLING
+
+ Determine if the information system maintains one or more of the following:
+
+ SC-8(2)[1]
+ confidentiality of information during preparation for transmission;
+
+
+ SC-8(2)[2]
+ confidentiality of information during reception; and/or
+
+
+ SC-8(2)[3]
+ integrity of information during preparation for transmission;
+
+
+ SC-8(2)[4]
+ integrity of information during reception.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-8(3)
+ CRYPTOGRAPHIC PROTECTION FOR MESSAGE EXTERNALS
+
+ Determine if:
+
+ SC-8(3)[1]
+ the organization defines alternative physical safeguards to be implemented to protect message externals; and
+
+
+ SC-8(3)[2]
+ the information system implements cryptographic mechanisms to protect message externals unless otherwise protected by organization-defined alternative physical safeguards.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-8(4)
+ CONCEAL / RANDOMIZE COMMUNICATIONS
+
+ Determine if:
+
+ SC-8(4)[1]
+ the organization defines alternative physical safeguards to be implemented to protect against unauthorized disclosure of communication patterns;
+
+
+ SC-8(4)[2]
+ the information system, unless otherwise protected by organization-defined alternative physical safeguards, implements cryptographic mechanisms to:
+
+ SC-8(4)[2][a]
+ conceal communication patterns; or
+
+
+ SC-8(4)[2][b]
+ randomize communication patterns.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-9
+ TRANSMISSION CONFIDENTIALITY
+
+ SC-8
+
+
+ [Withdrawn: Incorporated into SC-8].
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-10
+ NETWORK DISCONNECT
+
+ Determine if:
+
+ SC-10[1]
+ the organization defines a time period of inactivity after which the information system terminates a network connection associated with a communications session; and
+
+
+ SC-10[2]
+ the information system terminates the network connection associated with a communication session at the end of the session or after the organization-defined time period of inactivity.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-11
+ TRUSTED PATH
+
+ Determine if:
+
+ SC-11[1]
+ the organization defines security functions of the information system;
+
+
+ SC-11[2]
+ the organization-defined security functions include at a minimum, information system authentication and re-authentication; and
+
+
+ SC-11[3]
+ the information system establishes a trusted communications path between the user and the organization-defined security functions of the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-11(1)
+ LOGICAL ISOLATION
+
+ Determine if the information system provides a trusted communications path that is:
+
+ SC-11(1)[1]
+ logically isolated; and
+
+
+ SC-11(1)[2]
+ distinguishable from other paths.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-12
+ CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT
+
+ Determine if the organization:
+
+ SC-12[1]
+ defines requirements for cryptographic key:
+
+ SC-12[1][a]
+ generation;
+
+
+ SC-12[1][b]
+ distribution;
+
+
+ SC-12[1][c]
+ storage;
+
+
+ SC-12[1][d]
+ access;
+
+
+ SC-12[1][e]
+ destruction; and
+
+
+
+ SC-12[2]
+ establishes and manages cryptographic keys for required cryptography employed within the information system in accordance with organization-defined requirements for key generation, distribution, storage, access, and destruction.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-12(1)
+ AVAILABILITY
+
+ Determine if the organization maintains availability of information in the event of the loss of cryptographic keys by users.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-12(2)
+ SYMMETRIC KEYS
+
+ Determine if the organization produces, controls, and distributes symmetric cryptographic keys using one of the following:
+
+ SC-12(2)[1]
+ NIST FIPS-compliant key management technology and processes; or
+
+
+ SC-12(2)[2]
+ NSA-approved key management technology and processes.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-12(3)
+ ASYMMETRIC KEYS
+
+ Determine if the organization produces, controls, and distributes asymmetric cryptographic keys using one of the following:
+
+ SC-12(3)[1]
+ NSA-approved key management technology and processes;
+
+
+ SC-12(3)[2]
+ approved PKI Class 3 certificates or prepositioned keying material; or
+
+
+ SC-12(3)[3]
+ approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user’s private key.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-12(4)
+ PKI CERTIFICATES
+
+ SC-12
+
+
+ [Withdrawn: Incorporated into SC-12].
+
+
+
+ SC-12(5)
+ PKI CERTIFICATES / HARDWARE TOKENS
+
+ SC-12
+
+
+ [Withdrawn: Incorporated into SC-12].
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-13
+ CRYPTOGRAPHIC PROTECTION
+
+ Determine if:
+
+ SC-13[1]
+ the organization defines cryptographic uses; and
+
+
+ SC-13[2]
+ the organization defines the type of cryptography required for each use; and
+
+
+ SC-13[3]
+ the information system implements the organization-defined cryptographic uses and type of cryptography required for each use in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-13(1)
+ FIPS-VALIDATED CRYPTOGRAPHY
+
+ SC-13
+
+
+ [Withdrawn: Incorporated into SC-13].
+
+
+
+ SC-13(2)
+ NSA-APPROVED CRYPTOGRAPHY
+
+ SC-13
+
+
+ [Withdrawn: Incorporated into SC-13].
+
+
+
+ SC-13(3)
+ INDIVIDUALS WITHOUT FORMAL ACCESS APPROVALS
+
+ SC-13
+
+
+ [Withdrawn: Incorporated into SC-13].
+
+
+
+ SC-13(4)
+ DIGITAL SIGNATURES
+
+ SC-13
+
+
+ [Withdrawn: Incorporated into SC-13].
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-14
+ PUBLIC ACCESS PROTECTIONS
+
+ AC-2
+ AC-3
+ AC-5
+ AC-6
+ SI-3
+ SI-4
+ SI-5
+ SI-7
+ SI-10
+
+
+ [Withdrawn: Capability provided by AC-2, AC-3, AC-5, AC-6, SI-3, SI-4, SI-5, SI-7, SI-10].
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-15
+ COLLABORATIVE COMPUTING DEVICES
+
+ Determine if:
+
+ SC-15(a)
+
+ SC-15(a)[1]
+ the organization defines exceptions where remote activation of collaborative computing devices is to be allowed;
+
+
+ SC-15(a)[2]
+ the information system prohibits remote activation of collaborative computing devices, except for organization-defined exceptions where remote activation is to be allowed; and
+
+
+
+ SC-15(b)
+ the information system provides an explicit indication of use to users physically present at the devices.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-15(1)
+ PHYSICAL DISCONNECT
+
+ Determine if the information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-15(2)
+ BLOCKING INBOUND / OUTBOUND COMMUNICATIONS TRAFFIC
+
+ SC-7
+
+
+ [Withdrawn: Incorporated into SC-7].
+
+
+
+ SC-15(3)
+ DISABLING / REMOVAL IN SECURE WORK AREAS
+
+ Determine if the organization:
+
+ SC-15(3)[1]
+ defines information systems or information system components from which collaborative computing devices are to be disabled or removed;
+
+
+ SC-15(3)[2]
+ defines secure work areas where collaborative computing devices are to be disabled or removed from information systems or information system components placed in such work areas; and
+
+
+ SC-15(3)[3]
+ disables or removes collaborative computing devices from organization-defined information systems or information system components in organization-defined secure work areas.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-15(4)
+ EXPLICITLY INDICATE CURRENT PARTICIPANTS
+
+ Determine if:
+
+ SC-15(4)[1]
+ the organization defines online meetings and teleconferences for which an explicit indication of current participants is to be provided; and
+
+
+ SC-15(4)[2]
+ the information system provides an explicit indication of current participants in organization-defined meetings and teleconferences.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-16
+ TRANSMISSION OF SECURITY ATTRIBUTES
+
+ Determine if:
+
+ SC-16[1]
+ the organization defines security attributes to be associated with information exchanged:
+
+ SC-16[1][a]
+ between information systems;
+
+
+ SC-16[1][b]
+ between system components;
+
+
+
+ SC-16[2]
+ the information system associates organization-defined security attributes with information exchanged:
+
+ SC-16[2][a]
+ between information systems; and
+
+
+ SC-16[2][b]
+ between system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-16(1)
+ INTEGRITY VALIDATION
+
+ Determine if the information system validates the integrity of transmitted security attributes.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-17
+ PUBLIC KEY INFRASTRUCTURE CERTIFICATES
+
+ Determine if the organization:
+
+ SC-17[1]
+ defines a certificate policy for issuing public key certificates;
+
+
+ SC-17[2]
+ issues public key certificates:
+
+ SC-17[2][a]
+ under an organization-defined certificate policy: or
+
+
+ SC-17[2][b]
+ obtains public key certificates from an approved service provider.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-18
+ MOBILE CODE
+
+ Determine if the organization:
+
+ SC-18(a)
+ defines acceptable and unacceptable mobile code and mobile code technologies;
+
+
+ SC-18(b)
+
+ SC-18(b)[1]
+ establishes usage restrictions for acceptable mobile code and mobile code technologies;
+
+
+ SC-18(b)[2]
+ establishes implementation guidance for acceptable mobile code and mobile code technologies;
+
+
+
+ SC-18(c)
+
+ SC-18(c)[1]
+ authorizes the use of mobile code within the information system;
+
+
+ SC-18(c)[2]
+ monitors the use of mobile code within the information system; and
+
+
+ SC-18(c)[3]
+ controls the use of mobile code within the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-18(1)
+ IDENTIFY UNACCEPTABLE CODE / TAKE CORRECTION ACTIONS
+
+ Determine if:
+
+ SC-18(1)[1]
+ the organization defines unacceptable mobile code to be identified by the information system;
+
+
+ SC-18(1)[2]
+ the organization defines correctives actions to be taken when the information system identifies organization-defined unacceptable mobile code;
+
+
+ SC-18(1)[3]
+ the information system:
+
+ SC-18(1)[3][a]
+ identifies organization-defined unacceptable mobile code; and
+
+
+ SC-18(1)[3][b]
+ takes organization-defined corrective actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-18(2)
+ ACQUISITION / DEVELOPMENT / USE
+
+ Determine if the organization:
+
+ SC-18(2)[1]
+ defines requirements for:
+
+ SC-18(2)[1][a]
+ the acquisition of mobile code;
+
+
+ SC-18(2)[1][b]
+ the development of mobile code;
+
+
+ SC-18(2)[1][c]
+ the use of mobile code; and
+
+
+
+ SC-18(2)[2]
+ ensures that the acquisition, development, and use of mobile code to be deployed in the information system meets organization-defined mobile code requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-18(3)
+ PREVENT DOWNLOADING / EXECUTION
+
+ Determine if:
+
+ SC-18(3)[1]
+ the organization defines unacceptable mobile code to be prevented from downloading and execution;
+
+
+ SC-18(3)[2]
+ the information system prevents the:
+
+ SC-18(3)[2][a]
+ download of organization-defined unacceptable mobile code; and
+
+
+ SC-18(3)[2][b]
+ execution of organization-defined unacceptable mobile code.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-18(4)
+ PREVENT AUTOMATIC EXECUTION
+
+ Determine if:
+
+ SC-18(4)[1]
+ the organization defines software applications in which the automatic execution of mobile code is to be prohibited;
+
+
+ SC-18(4)[2]
+ the organization defines actions to be enforced by the information system prior to executing mobile code;
+
+
+ SC-18(4)[3]
+ the information system prevents the automatic execution of mobile code in the organization-defined software applications; and
+
+
+ SC-18(4)[4]
+ the information system enforces organization-defined actions prior to executing the code.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-18(5)
+ ALLOW EXECUTION ONLY IN CONFINED ENVIRONMENTS
+
+ Determine if the organization allows execution of permitted mobile code only in confined virtual machine environments.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-19
+ VOICE OVER INTERNET PROTOCOL
+
+ Determine if the organization:
+
+ SC-19(a)
+
+ SC-19(a)[1]
+ establishes usage restrictions for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously;
+
+
+ SC-19(a)[2]
+ establishes implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously;
+
+
+
+ SC-19(b)
+
+ SC-19(b)[1]
+ authorizes the use of VoIP within the information system;
+
+
+ SC-19(b)[2]
+ monitors the use of VoIP within the information system; and
+
+
+ SC-19(b)[3]
+ controls the use of VoIP within the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-20
+ SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)
+
+ Determine if the information system:
+
+ SC-20(a)
+ provides additional data origin and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries;
+
+
+ SC-20(b)
+ provides the means to, when operating as part of a distributed, hierarchical namespace:
+
+ SC-20(b)[1]
+ indicate the security status of child zones; and
+
+
+ SC-20(b)[2]
+ enable verification of a chain of trust among parent and child domains (if the child supports secure resolution services).
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-20(1)
+ CHILD SUBSPACES
+
+ SC-20
+
+
+ [Withdrawn: Incorporated into SC-20].
+
+
+
+ SC-20(2)
+ DATA ORIGIN / DATA INTEGRITY
+
+ Determine if the information system provides data origin and integrity protection artifacts for internal name/address resolution queries.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-21
+ SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)
+
+ Determine if the information system:
+
+ SC-21[1]
+ requests data origin authentication on the name/address resolution responses the system receives from authoritative sources;
+
+
+ SC-21[2]
+ requests data integrity verification on the name/address resolution responses the system receives from authoritative sources;
+
+
+ SC-21[3]
+ performs data origin authentication on the name/address resolution responses the system receives from authoritative sources; and
+
+
+ SC-21[4]
+ performs data integrity verification on the name/address resolution responses the system receives from authoritative sources.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-21(1)
+ DATA ORIGIN / INTEGRITY
+
+ SC-21
+
+
+ [Withdrawn: Incorporated into SC-21].
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-22
+ ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE
+
+ Determine if the information systems that collectively provide name/address resolution service for an organization:
+
+ SC-22[1]
+ are fault tolerant; and
+
+
+ SC-22[2]
+ implement internal/external role separation.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-23
+ SESSION AUTHENTICITY
+
+ Determine if the information system protects the authenticity of communications sessions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-23(1)
+ INVALIDATE SESSION IDENTIFIERS AT LOGOUT
+
+ Determine if the information system invalidates session identifiers upon user logout or other session termination.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-23(2)
+ USER-INITIATED LOGOUTS / MESSAGE DISPLAYS
+
+ AC-12(1)
+
+
+ [Withdrawn: Incorporated into AC-12(1)].
+
+
+
+ SC-23(3)
+ UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION
+
+ Determine if:
+
+ SC-23(3)[1]
+ the organization defines randomness requirements for generating a unique session identifier for each session;
+
+
+ SC-23(3)[2]
+ the information system generates a unique session identifier for each session with organization-defined randomness requirements; and
+
+
+ SC-23(3)[3]
+ the information system recognizes only session identifiers that are system-generated.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-23(4)
+ UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION
+
+ SC-23(3)
+
+
+ [Withdrawn: Incorporated into SC-23(3)].
+
+
+
+ SC-23(5)
+ ALLOWED CERTIFICATE AUTHORITIES
+
+ Determine if:
+
+ SC-23(5)[1]
+ the organization defines certificate authorities to be allowed for verification of the establishment of protected sessions; and
+
+
+ SC-23(5)[2]
+ the information system only allows the use of organization-defined certificate authorities for verification of the establishment of protected sessions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-24
+ FAIL IN KNOWN STATE
+
+ Determine if:
+
+ SC-24[1]
+ the organization defines a known-state to which the information system is to fail in the event of a system failure;
+
+
+ SC-24[2]
+ the organization defines types of failures for which the information system is to fail to an organization-defined known-state;
+
+
+ SC-24[3]
+ the organization defines system state information to be preserved in the event of a system failure;
+
+
+ SC-24[4]
+ the information system fails to the organization-defined known-state for organization-defined types of failures; and
+
+
+ SC-24[5]
+ the information system preserves the organization-defined system state information in the event of a system failure.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-25
+ THIN NODES
+
+ Determine if the organization:
+
+ SC-25[1]
+ defines information system components to be employed with minimal functionality and information storage; and
+
+
+ SC-25[2]
+ employs organization-defined information system components with minimal functionality and information storage.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-26
+ HONEY POTS
+
+ Determine if the information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-26(1)
+ DETECTION OF MALICIOUS CODE
+
+ SC-35
+
+
+ [Withdrawn: Incorporated into SC-35].
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-27
+ PLATFORM-INDEPENDENT APPLICATIONS
+
+ Determine if:
+
+ SC-27[1]
+ the organization defines platform-independent applications; and
+
+
+ SC-27[2]
+ the information system includes organization-defined platform-independent applications.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-28
+ PROTECTION OF INFORMATION AT REST
+
+ Determine if:
+
+ SC-28[1]
+ the organization defines information at rest requiring one or more of the following:
+
+ SC-28[1][a]
+ confidentiality protection; and/or
+
+
+ SC-28[1][b]
+ integrity protection;
+
+
+
+ SC-28[2]
+ the information system protects:
+
+ SC-28[2][a]
+ the confidentiality of organization-defined information at rest; and/or
+
+
+ SC-28[2][b]
+ the integrity of organization-defined information at rest.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-28(1)
+ CRYPTOGRAPHIC PROTECTIONS
+
+ Determine if:
+
+ SC-28(1)[1]
+ the organization defines information requiring cryptographic protection;
+
+
+ SC-28(1)[2]
+ the organization defines information system components with organization-defined information requiring cryptographic protection; and
+
+
+ SC-28(1)[3]
+ the information system employs cryptographic mechanisms to prevent unauthorized disclosure and modification of organization-defined information on organization-defined information system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-28(2)
+ OFF-LINE STORAGE
+
+ Determine if the organization:
+
+ SC-28(2)[1]
+ defines information to be removed from online storage and stored off-line in a secure location; and
+
+
+ SC-28(2)[2]
+ removes organization-defined information from online storage; and
+
+
+ SC-28(2)[3]
+ stores such information off-line in a secure location.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-29
+ HETEROGENEITY
+
+ Determine if the organization:
+
+ SC-29[1]
+ defines information system components requiring a diverse set of information technologies to be employed in the implementation of the information system; and
+
+
+ SC-29[2]
+ employs a diverse set of information technologies for organization-defined information system components in the implementation of the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-29(1)
+ VIRTUALIZATION TECHNIQUES
+
+ Determine if the organization:
+
+ SC-29(1)[1]
+ defines a frequency to change the diversity of operating systems and applications deployed using virtualization techniques; and
+
+
+ SC-29(1)[2]
+ employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-30
+ CONCEALMENT AND MISDIRECTION
+
+ Determine if the organization:
+
+ SC-30[1]
+ defines concealment and misdirection techniques to be employed to confuse and mislead adversaries potentially targeting organizational information systems;
+
+
+ SC-30[2]
+ defines information systems for which organization-defined concealment and misdirection techniques are to be employed;
+
+
+ SC-30[3]
+ defines time periods to employ organization-defined concealment and misdirection techniques for organization-defined information systems; and
+
+
+ SC-30[4]
+ employs organization-defined concealment and misdirection techniques for organization-defined information systems at organization-defined time periods to confuse and mislead adversaries.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-30(1)
+ VIRTUALIZATION TECHNIQUES
+
+ SC-29(1)
+
+
+ [Withdrawn: Incorporated into SC-29(1)].
+
+
+
+ SC-30(2)
+ RANDOMNESS
+
+ Determine if the organization:
+
+ SC-30(2)[1]
+ defines techniques to be employed to introduce randomness into organizational operations and assets; and
+
+
+ SC-30(2)[2]
+ employs organization-defined techniques to introduce randomness into organizational operations and assets.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-30(3)
+ CHANGE PROCESSING / STORAGE LOCATIONS
+
+ Determine if the organization:
+
+ SC-30(3)[1]
+ defines processing and/or storage locations to be changed at time intervals specified by the organization;
+
+
+ SC-30(3)[2]
+ defines a frequency to change the location of organization-defined processing and/or storage; and
+
+
+ SC-30(3)[3]
+ changes the location of organization-defined processing and/or storage at one of the following:
+
+ SC-30(3)[3][a]
+ organization-defined time intervals; or
+
+
+ SC-30(3)[3][b]
+ random time intervals.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-30(4)
+ MISLEADING INFORMATION
+
+ Determine if the organization:
+
+ SC-30(4)[1]
+ defines information system components in which to employ realistic, but misleading information regarding its security state or posture; and
+
+
+ SC-30(4)[2]
+ employs realistic, but misleading information in organization-defined information system components with regard to its security state or posture.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-30(5)
+ CONCEALMENT OF SYSTEM COMPONENTS
+
+ Determine if the organization:
+
+ SC-30(5)[1]
+ defines techniques to be employed to hide or conceal information system components;
+
+
+ SC-30(5)[2]
+ defines information system components to be hidden or concealed using organization-defined techniques; and
+
+
+ SC-30(5)[3]
+ employs organization-defined techniques to hide or conceal organization-defined information system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-31
+ COVERT CHANNEL ANALYSIS
+
+ Determine if the organization:
+
+ SC-31(a)
+ performs a covert channel analysis to identify those aspects of communications within the information system that are potential avenues for one or more of the following:
+
+ SC-31(a)[1]
+ covert storage channels; and/or
+
+
+ SC-31(a)[2]
+ covert timing channels; and
+
+
+
+ SC-31(b)
+ estimates the maximum bandwidth of those channels.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-31(1)
+ TEST COVERT CHANNELS FOR EXPLOITABILITY
+
+ Determine if the organization tests a subset of identified covert channels to determine which channels are exploitable.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-31(2)
+ MAXIMUM BANDWIDTH
+
+ Determine if the organization:
+
+ SC-31(2)[1]
+ defines values to be employed as the maximum bandwidth allowed for identified covert channels; and
+
+
+ SC-31(2)[2]
+ reduces the maximum bandwidth to organization-defined values for one or more of the following identified:
+
+ SC-31(2)[2][a]
+ covert storage channels; and/or
+
+
+ SC-31(2)[2][b]
+ covert timing channels.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-31(3)
+ MEASURE BANDWIDTH IN OPERATIONAL ENVIRONMENTS
+
+ Determine if the organization:
+
+ SC-31(3)[1]
+ defines subset of identified covert channels whose bandwidth is to be measured in the operational environment of the information system; and
+
+
+ SC-31(3)[2]
+ measures the bandwidth of the organization-defined subset of identified covert channels in the operational environment of the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-32
+ INFORMATION SYSTEM PARTITIONING
+
+ Determine if the organization:
+
+ SC-32[1]
+ defines circumstances for physical separation of information system components into information system partitions;
+
+
+ SC-32[2]
+ defines information system components to reside in separate physical domains or environments based on organization-defined circumstances for physical separation of components; and
+
+
+ SC-32[3]
+ partitions the information system into organization-defined information system components residing in separate physical domains or environments based on organization-defined circumstances for physical separation of components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-33
+ TRANSMISSION PREPARATION INTEGRITY
+
+ SC-8
+
+
+ [Withdrawn: Incorporated into SC-8].
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-34
+ NON-MODIFIABLE EXECUTABLE PROGRAMS
+
+ Determine if:
+
+ SC-34[1]
+ the organization defines information system components for which the operating environment and organization-defined applications are to be loaded and executed from hardware-enforced, read-only media;
+
+
+ SC-34[2]
+ the organization defines applications to be loaded and executed from hardware-enforced, read-only media;
+
+
+ SC-34[3]
+ the information system, at organization-defined information system components:
+
+ SC-34[3](a)
+ loads and executes the operating environment from hardware-enforced, read-only media; and
+
+
+ SC-34[3](b)
+ loads and executes organization-defined applications from hardware-enforced, read-only media.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-34(1)
+ NO WRITABLE STORAGE
+
+ Determine if the organization:
+
+ SC-34(1)[1]
+ defines information system components to be employed with no writeable storage; and
+
+
+ SC-34(1)[2]
+ employs organization-defined information system components with no writeable storage that is persistent across component restart or power on/off.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-34(2)
+ INTEGRITY PROTECTION/READ-ONLY MEDIA
+
+ Determine if the organization:
+
+ SC-34(2)[1]
+ protects the integrity of the information prior to storage on read-only media; and
+
+
+ SC-34(2)[2]
+ controls the media after such information has been recorded onto the media.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-34(3)
+ HARDWARE-BASED PROTECTION
+
+ Determine if the organization:
+
+ SC-34(3)(a)
+
+ SC-34(3)(a)[1]
+ defines information system firmware components for which hardware-based, write-protection is to be employed;
+
+
+ SC-34(3)(a)[2]
+ employs hardware-based, write-protection for organization-defined information system firmware components;
+
+
+
+ SC-34(3)(b)
+
+ SC-34(3)(b)[1]
+ defines individuals authorized to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode; and
+
+
+ SC-34(3)(b)[2]
+ implements specific procedures for organization-defined authorized individuals to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-35
+ HONEYCLIENTS
+
+ Determine if the information system includes components that proactively seek to identify malicious websites and/or web-based malicious code.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-36
+ DISTRIBUTED PROCESSING AND STORAGE
+
+ Determine if the organization:
+
+ SC-36[1]
+ defines processing and storage to be distributed across multiple physical locations; and
+
+
+ SC-36[2]
+ distributes organization-defined processing and storage across multiple physical locations.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-36(1)
+ POLLING TECHNIQUES
+
+ Determine if the organization:
+
+ SC-36(1)[1]
+ defines distributed processing and storage components for which polling techniques are to be employed to identify potential faults, errors, or compromises; and
+
+
+ SC-36(1)[2]
+ employs polling techniques to identify potential faults, errors, or compromises to organization-defined distributed processing and storage components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-37
+ OUT-OF-BAND CHANNELS
+
+ Determine if the organization:
+
+ SC-37[1]
+ defines out-of-band channels to be employed for the physical delivery or electronic transmission of information, information system components, or devices to individuals or information systems;
+
+
+ SC-37[2]
+ defines information, information system components, or devices for which physical delivery or electronic transmission of such information, information system components, or devices to individuals or information systems requires employment of organization-defined out-of-band channels;
+
+
+ SC-37[3]
+ defines individuals or information systems to which physical delivery or electronic transmission of organization-defined information, information system components, or devices is to be achieved via employment of organization-defined out-of-band channels; and
+
+
+ SC-37[4]
+ employs organization-defined out-of-band channels for the physical delivery or electronic transmission of organization-defined information, information system components, or devices to organization-defined individuals or information systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-37(1)
+ ENSURE DELIVERY / TRANSMISSION
+
+ Determine if the organization:
+
+ SC-37(1)[1]
+ defines security safeguards to be employed to ensure that only designated individuals or information systems receive specific information, information system components, or devices;
+
+
+ SC-37(1)[2]
+ defines individuals or information systems designated to receive specific information, information system components, or devices;
+
+
+ SC-37(1)[3]
+ defines information, information system components, or devices that only organization-defined individuals or information systems are designated to receive; and
+
+
+ SC-37(1)[4]
+ employs organization-defined security safeguards to ensure that only organization-defined individuals or information systems receive the organization-defined information, information system components, or devices.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-38
+ OPERATIONS SECURITY
+
+ Determine if the organization:
+
+ SC-38[1]
+ defines operations security safeguards to be employed to protect key organizational information throughout the system development life cycle; and
+
+
+ SC-38[2]
+ employs organization-defined operations security safeguards to protect key organizational information throughout the system development life cycle.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-39
+ PROCESS ISOLATION
+
+ Determine if the information system maintains a separate execution domain for each executing process.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-39(1)
+ HARDWARE SEPARATION
+
+ Determine if the information system implements underlying hardware separation mechanisms to facilitate process separation.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-39(2)
+ THREAD ISOLATION
+
+ Determine if the information system:
+
+ SC-39(2)[1]
+ defines multi-threaded processing for which a separate execution domain is to be maintained for each thread in multi-threaded processing; and
+
+
+ SC-39(2)[2]
+ maintains a separate execution domain for each thread in organization-defined multi-threaded processing.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-40
+ WIRELESS LINK PROTECTION
+
+ Determine if:
+
+ SC-40[1]
+ the organization defines:
+
+ SC-40[1][a]
+ internal wireless links to be protected from particular types of signal parameter attacks;
+
+
+ SC-40[1][b]
+ external wireless links to be protected from particular types of signal parameter attacks;
+
+
+
+ SC-40[2]
+ the organization defines types of signal parameter attacks or references to sources for such attacks that are based upon exploiting the signal parameters of organization-defined internal and external wireless links; and
+
+
+ SC-40[3]
+ the information system protects internal and external organization-defined wireless links from organization-defined types of signal parameter attacks or references to sources for such attacks.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-40(1)
+ ELECTROMAGNETIC INTERFERENCE
+
+ Determine if:
+
+ SC-40(1)[1]
+ the organization defines level of protection to be employed against the effects of intentional electromagnetic interference; and
+
+
+ SC-40(1)[2]
+ the information system employs cryptographic mechanisms that achieve organization-defined level of protection against the effects of intentional electromagnetic interference.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-40(2)
+ REDUCE DETECTION POTENTIAL
+
+ Determine if:
+
+ SC-40(2)[1]
+ the organization defines level of reduction to be achieved to reduce the detection potential of wireless links; and
+
+
+ SC-40(2)[2]
+ the information system implements cryptographic mechanisms to reduce the detection potential of wireless links to organization-defined level of reduction.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-40(3)
+ IMITATIVE OR MANIPULATIVE COMMUNICATIONS DECEPTION
+
+ Determine if the information system implements cryptographic mechanisms to:
+
+ SC-40(3)[1]
+ identify wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters; and
+
+
+ SC-40(3)[2]
+ reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-40(4)
+ SIGNAL PARAMETER IDENTIFICATION
+
+ Determine if:
+
+ SC-40(4)[1]
+ the organization defines wireless transmitters for which cryptographic mechanisms are to be implemented to prevent identification of such transmitters by using the transmitter signal parameters; and
+
+
+ SC-40(4)[2]
+ the information system implements cryptographic mechanisms to prevent the identification of organization-defined wireless transmitters by using the transmitter signal parameters.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-41
+ PORT AND I/O DEVICE ACCESS
+
+ Determine if the organization:
+
+ SC-41[1]
+ defines connection ports or input/output devices to be physically disabled or removed on information systems or information system components;
+
+
+ SC-41[2]
+ defines information systems or information system components with organization-defined connection ports or input/output devices that are to be physically disabled or removed; and
+
+
+ SC-41[3]
+ physically disables or removes organization-defined connection ports or input/output devices on organization-defined information systems or information system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-42
+ SENSOR CAPABILITY AND DATA
+
+ Determine if:
+
+ SC-42(a)
+
+ SC-42(a)[1]
+ the organization defines exceptions where remote activation of sensors is to be allowed;
+
+
+ SC-42(a)[2]
+ the information system prohibits the remote activation of sensors, except for organization-defined exceptions where remote activation of sensors is to be allowed;
+
+
+
+ SC-42(b)
+
+ SC-42(b)[1]
+ the organization defines the class of users to whom an explicit indication of sensor use is to be provided; and
+
+
+ SC-42(b)[2]
+ the information system provides an explicit indication of sensor use to the organization-defined class of users.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-42(1)
+ REPORTING TO AUTHORIZED INDIVIDUALS OR ROLES
+
+ Determine if the organization:
+
+ SC-42(1)[1]
+ defines sensors to be used to collect data or information only reported to authorized individuals or roles; and
+
+
+ SC-42(1)[2]
+ ensures that the information system is configured so that data or information collected by the organization-defined sensors is only reported to authorized individuals or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-42(2)
+ AUTHORIZED USE
+
+ Determine if the organization:
+
+ SC-42(2)[1]
+ defines measures to be employed so that data or information collected by sensors is only used for authorized purposes;
+
+
+ SC-42(2)[2]
+ defines sensors to be used to collect data or information for authorized purposes only; and
+
+
+ SC-42(2)[3]
+ employs organization-defined measures so that data or information collected by organization-defined sensors is only used for authorized purposes.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-42(3)
+ PROHIBIT USE OF DEVICES
+
+ Determine if the organization:
+
+ SC-42(3)[1]
+ defines environmental sensing capabilities to be prohibited from use in facilities, areas, or systems;
+
+
+ SC-42(3)[2]
+ defines facilities, areas, or systems where the use of devices possessing organization-defined environmental sensing capabilities is to be prohibited; and
+
+
+ SC-42(3)[3]
+ prohibits the use of devices possessing organization-defined environmental sensing capabilities in organization-defined facilities, areas, or systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-43
+ USAGE RESTRICTIONS
+
+ Determine if the organization:
+
+ SC-43(a)
+
+ SC-43(a)[1]
+ defines information system components for which usage restrictions and implementation guidance are to be established;
+
+
+ SC-43(a)[2]
+ establishes, for organization-defined information system components:
+
+ SC-43(a)[2][a]
+ usage restrictions based on the potential to cause damage to the information system if used maliciously;
+
+
+ SC-43(a)[2][b]
+ implementation guidance based on the potential to cause damage to the information system if used maliciously;
+
+
+
+
+ SC-43(b)
+
+ SC-43(b)[1]
+ authorizes the use of such components within the information system;
+
+
+ SC-43(b)[2]
+ monitors the use of such components within the information system; and
+
+
+ SC-43(b)[3]
+ controls the use of such components within the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+ SC-44
+ DETONATION CHAMBERS
+
+ Determine if the organization:
+
+ SC-44[1]
+ defines information system, system component, or location where a detonation chamber capability is to be employed; and
+
+
+ SC-44[2]
+ employs a detonation chamber capability within organization-defined information system, system component, or location.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-1
+ SYSTEM AND INFORMATION INTEGRITY POLICY AND PROCEDURES
+
+ Determine if the organization:
+
+ SI-1(a)(1)
+
+ SI-1(a)(1)[1]
+ develops and documents a system and information integrity policy that addresses:
+
+ SI-1(a)(1)[1][a]
+ purpose;
+
+
+ SI-1(a)(1)[1][b]
+ scope;
+
+
+ SI-1(a)(1)[1][c]
+ roles;
+
+
+ SI-1(a)(1)[1][d]
+ responsibilities;
+
+
+ SI-1(a)(1)[1][e]
+ management commitment;
+
+
+ SI-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ SI-1(a)(1)[1][g]
+ compliance;
+
+
+
+ SI-1(a)(1)[2]
+ defines personnel or roles to whom the system and information integrity policy is to be disseminated;
+
+
+ SI-1(a)(1)[3]
+ disseminates the system and information integrity policy to organization-defined personnel or roles;
+
+
+
+ SI-1(a)(2)
+
+ SI-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls;
+
+
+ SI-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ SI-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ SI-1(b)(1)
+
+ SI-1(b)(1)[1]
+ defines the frequency to review and update the current system and information integrity policy;
+
+
+ SI-1(b)(1)[2]
+ reviews and updates the current system and information integrity policy with the organization-defined frequency;
+
+
+
+ SI-1(b)(2)
+
+ SI-1(b)(2)[1]
+ defines the frequency to review and update the current system and information integrity procedures; and
+
+
+ SI-1(b)(2)[2]
+ reviews and updates the current system and information integrity procedures with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-2
+ FLAW REMEDIATION
+
+ Determine if the organization:
+
+ SI-2(a)
+
+ SI-2(a)[1]
+ identifies information system flaws;
+
+
+ SI-2(a)[2]
+ reports information system flaws;
+
+
+ SI-2(a)[3]
+ corrects information system flaws;
+
+
+
+ SI-2(b)
+
+ SI-2(b)[1]
+ tests software updates related to flaw remediation for effectiveness and potential side effects before installation;
+
+
+ SI-2(b)[2]
+ tests firmware updates related to flaw remediation for effectiveness and potential side effects before installation;
+
+
+
+ SI-2(c)
+
+ SI-2(c)[1]
+ defines the time period within which to install security-relevant software updates after the release of the updates;
+
+
+ SI-2(c)[2]
+ defines the time period within which to install security-relevant firmware updates after the release of the updates;
+
+
+ SI-2(c)[3]
+ installs software updates within the organization-defined time period of the release of the updates;
+
+
+ SI-2(c)[4]
+ installs firmware updates within the organization-defined time period of the release of the updates; and
+
+
+
+ SI-2(d)
+ incorporates flaw remediation into the organizational configuration management process.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-2(1)
+ CENTRAL MANAGEMENT
+
+ Determine if the organization centrally manages the flaw remediation process.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-2(2)
+ AUTOMATED FLAW REMEDIATION STATUS
+
+ Determine if the organization:
+
+ SI-2(2)[1]
+ defines a frequency to employ automated mechanisms to determine the state of information system components with regard to flaw remediation; and
+
+
+ SI-2(2)[2]
+ employs automated mechanisms with the organization-defined frequency to determine the state of information system components with regard to flaw remediation.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-2(3)
+ TIME TO REMEDIATE FLAWS / BENCHMARKS FOR CORRECTION ACTIONS
+
+ Determine if the organization:
+
+ SI-2(3)(a)
+ measures the time between flaw identification and flaw remediation;
+
+
+ SI-2(3)(b)
+
+ SI-2(3)(b)[1]
+ defines benchmarks for taking corrective actions; and
+
+
+ SI-2(3)(b)[2]
+ establishes organization-defined benchmarks for taking corrective actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-2(4)
+ AUTOMATED PATCH MANAGEMENT TOOLS
+
+ SI-2
+
+
+ [Withdrawn: Incorporated into SI-2].
+
+
+
+ SI-2(5)
+ AUTOMATIC SOFTWARE / FIRMWARE UPDATES
+
+ Determine if the organization:
+
+ SI-2(5)[1]
+
+ SI-2(5)[1][a]
+ defines information system components requiring security-relevant software updates to be automatically installed;
+
+
+ SI-2(5)[1][b]
+ defines information system components requiring security-relevant firmware updates to be automatically installed;
+
+
+
+ SI-2(5)[2]
+
+ SI-2(5)[2][a]
+ defines security-relevant software updates to be automatically installed to organization-defined information system components;
+
+
+ SI-2(5)[2][b]
+ defines security-relevant firmware updates to be automatically installed to organization-defined information system components;
+
+
+
+ SI-2(5)[3]
+
+ SI-2(5)[3][a]
+ installs organization-defined security-relevant software updates automatically to organization-defined information system components; and
+
+
+ SI-2(5)[3][b]
+ installs organization-defined security-relevant firmware updates automatically to organization-defined information system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-2(6)
+ REMOVAL OF PREVIOUS VERSIONS OF SOFTWARE / FIRMWARE
+
+ Determine if the organization:
+
+ SI-2(6)[1]
+
+ SI-2(6)[1][a]
+ defines software components to be removed after updated versions have been installed;
+
+
+ SI-2(6)[1][b]
+ defines firmware components to be removed after updated versions have been installed;
+
+
+
+ SI-2(6)[2]
+
+ SI-2(6)[2][a]
+ removes organization-defined software components after updated versions have been installed; and
+
+
+ SI-2(6)[2][b]
+ removes organization-defined firmware components after updated versions have been installed.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-3
+ MALICIOUS CODE PROTECTION
+
+ Determine if the organization:
+
+ SI-3(a)
+ employs malicious code protection mechanisms to detect and eradicate malicious code at information system:
+
+ SI-3(a)[1]
+ entry points;
+
+
+ SI-3(a)[2]
+ exit points;
+
+
+
+ SI-3(b)
+ updates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures (as identified in CM-1);
+
+
+ SI-3(c)
+
+ SI-3(c)[1]
+ defines a frequency for malicious code protection mechanisms to perform periodic scans of the information system;
+
+
+ SI-3(c)[2]
+ defines action to be initiated by malicious protection mechanisms in response to malicious code detection;
+
+
+ SI-3(c)[3]
+
+ SI-3(c)[3](1)
+ configures malicious code protection mechanisms to:
+
+ SI-3(c)[3](1)[a]
+ perform periodic scans of the information system with the organization-defined frequency;
+
+
+ SI-3(c)[3](1)[b]
+ perform real-time scans of files from external sources at endpoint and/or network entry/exit points as the files are downloaded, opened, or executed in accordance with organizational security policy;
+
+
+
+ SI-3(c)[3](2)
+ configures malicious code protection mechanisms to do one or more of the following:
+
+ SI-3(c)[3](2)[a]
+ block malicious code in response to malicious code detection;
+
+
+ SI-3(c)[3](2)[b]
+ quarantine malicious code in response to malicious code detection;
+
+
+ SI-3(c)[3](2)[c]
+ send alert to administrator in response to malicious code detection; and/or
+
+
+ SI-3(c)[3](2)[d]
+ initiate organization-defined action in response to malicious code detection;
+
+
+
+
+
+ SI-3(d)
+
+ SI-3(d)[1]
+ addresses the receipt of false positives during malicious code detection and eradication; and
+
+
+ SI-3(d)[2]
+ addresses the resulting potential impact on the availability of the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-3(1)
+ CENTRAL MANAGEMENT
+
+ Determine if the organization centrally manages malicious code protection mechanisms.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-3(2)
+ AUTOMATIC UPDATES
+
+ Determine if the information system automatically updates malicious code protection mechanisms.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-3(3)
+ NON-PRIVILEGED USERS
+
+ AC-6(10)
+
+
+ [Withdrawn: Incorporated into AC-6(10)].
+
+
+
+ SI-3(4)
+ UPDATES ONLY BY PRIVILEGED USERS
+
+ Determine if the information system updates malicious code protection mechanisms only when directed by a privileged user.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-3(5)
+ PORTABLE STORAGE DEVICES
+
+ MP-7
+
+
+ [Withdrawn: Incorporated into MP-7].
+
+
+
+ SI-3(6)
+ TESTING / VERIFICATION
+
+ Determine if the organization:
+
+ SI-3(6)(a)
+
+ SI-3(6)(a)[1]
+ defines a frequency to test malicious code protection mechanisms;
+
+
+ SI-3(6)(a)[2]
+ tests malicious code protection mechanisms with the organization-defined frequency by introducing a known benign, non-spreading test case into the information system;
+
+
+
+ SI-3(6)(b)
+
+ SI-3(6)(b)[1]
+ verifies that detection of the test case occurs; and
+
+
+ SI-3(6)(b)[2]
+ verifies that associated incident reporting occurs.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-3(7)
+ NONSIGNATURE-BASED DETECTION
+
+ Determine if the information system implements non signature-based malicious code detection mechanisms.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-3(8)
+ DETECT UNAUTHORIZED COMMANDS
+
+ Determine if:
+
+ SI-3(8)[1]
+ the organization defines unauthorized operating system commands to be detected by the information system;
+
+
+ SI-3(8)[2]
+ the organization defines information system hardware components for which organization-defined unauthorized operating system commands are to be detected through the kernel application programming interface;
+
+
+ SI-3(8)[3]
+ the information system detects organization-defined unauthorized operating system commands through the kernel application programming interface at organization-defined information system hardware components, and does one or more of the following:
+
+ SI-3(8)[3][a]
+ issues a warning;
+
+
+ SI-3(8)[3][b]
+ audits the command execution; and/or
+
+
+ SI-3(8)[3][c]
+ prevents the execution of the command.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-3(9)
+ AUTHENTICATE REMOTE COMMANDS
+
+ Determine if:
+
+ SI-3(9)[1]
+ the organization defines security safeguards to be implemented by the information system to authenticate organization-defined remote commands;
+
+
+ SI-3(9)[2]
+ the organization defines remote commands to be authenticated by organization-defined security safeguards; and
+
+
+ SI-3(9)[3]
+ the information system implements organization-defined security safeguards to authenticate organization-defined remote commands.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-3(10)
+ MALICIOUS CODE ANALYSIS
+
+ Determine if the organization:
+
+ SI-3(10)(a)
+
+ SI-3(10)(a)[1]
+ defines tools and techniques to be employed to analyze the characteristics and behavior of malicious code;
+
+
+ SI-3(10)(a)[2]
+ employs organization-defined tools and techniques to analyze the characteristics and behavior of malicious code; and
+
+
+
+ SI-3(10)(b)
+ incorporates the results from malicious code analysis into incident response and flaw remediate processes.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-4
+ INFORMATION SYSTEM MONITORING
+
+ Determine if the organization:
+
+ SI-4(a)
+
+ SI-4(a)(1)
+
+ SI-4(a)(1)[1]
+ defines monitoring objectives to detect attacks and indicators of potential attacks on the information system;
+
+
+ SI-4(a)(1)[2]
+ monitors the information system to detect, in accordance with organization-defined monitoring objectives,:
+
+ SI-4(a)(1)[2][a]
+ attacks;
+
+
+ SI-4(a)(1)[2][b]
+ indicators of potential attacks;
+
+
+
+
+ SI-4(a)(2)
+ monitors the information system to detect unauthorized:
+
+ SI-4(a)(2)[1]
+ local connections;
+
+
+ SI-4(a)(2)[2]
+ network connections;
+
+
+ SI-4(a)(2)[3]
+ remote connections;
+
+
+
+
+ SI-4(b)
+
+ SI-4(b)(1)
+ defines techniques and methods to identify unauthorized use of the information system;
+
+
+ SI-4(b)(2)
+ identifies unauthorized use of the information system through organization-defined techniques and methods;
+
+
+
+ SI-4(c)
+ deploys monitoring devices:
+
+ SI-4(c)[1]
+ strategically within the information system to collect organization-determined essential information;
+
+
+ SI-4(c)[2]
+ at ad hoc locations within the system to track specific types of transactions of interest to the organization;
+
+
+
+ SI-4(d)
+ protects information obtained from intrusion-monitoring tools from unauthorized:
+
+ SI-4(d)[1]
+ access;
+
+
+ SI-4(d)[2]
+ modification;
+
+
+ SI-4(d)[3]
+ deletion;
+
+
+
+ SI-4(e)
+ heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;
+
+
+ SI-4(f)
+ obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations;
+
+
+ SI-4(g)
+
+ SI-4(g)[1]
+ defines personnel or roles to whom information system monitoring information is to be provided;
+
+
+ SI-4(g)[2]
+ defines information system monitoring information to be provided to organization-defined personnel or roles;
+
+
+ SI-4(g)[3]
+ defines a frequency to provide organization-defined information system monitoring to organization-defined personnel or roles;
+
+
+ SI-4(g)[4]
+ provides organization-defined information system monitoring information to organization-defined personnel or roles one or more of the following:
+
+ SI-4(g)[4][a]
+ as needed; and/or
+
+
+ SI-4(g)[4][b]
+ with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(1)
+ SYSTEM-WIDE INTRUSION DETECTION SYSTEM
+
+ Determine if the organization:
+
+ SI-4(1)[1]
+ connects individual intrusion detection tools into an information system-wide intrusion detection system; and
+
+
+ SI-4(1)[2]
+ configures individual intrusion detection tools into an information system-wide intrusion detection system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(2)
+ AUTOMATED TOOLS FOR REAL-TIME ANALYSIS
+
+ Determine if the organization employs automated tools to support near real-time analysis of events.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(3)
+ AUTOMATED TOOL INTEGRATION
+
+ Determine if the organization, for rapid response to attacks by enabling reconfiguration of intrusion detection tools in support of attack isolation and elimination, employs automated tools to integrate intrusion detection tools into:
+
+ SI-4(3)[1]
+ access control mechanisms; and
+
+
+ SI-4(3)[2]
+ flow control mechanisms.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(4)
+ INBOUND AND OUTBOUND COMMUNICATIONS TRAFFIC
+
+ Determine if the organization:
+
+ SI-4(4)[1]
+ defines a frequency to monitor:
+
+ SI-4(4)[1][a]
+ inbound communications traffic for unusual or unauthorized activities or conditions;
+
+
+ SI-4(4)[1][b]
+ outbound communications traffic for unusual or unauthorized activities or conditions;
+
+
+
+ SI-4(4)[2]
+ monitors, with the organization-defined frequency:
+
+ SI-4(4)[2][a]
+ inbound communications traffic for unusual or unauthorized activities or conditions; and
+
+
+ SI-4(4)[2][b]
+ outbound communications traffic for unusual or unauthorized activities or conditions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(5)
+ SYSTEM-GENERATED ALERTS
+
+ Determine if:
+
+ SI-4(5)[1]
+ the organization defines compromise indicators for the information system;
+
+
+ SI-4(5)[2]
+ the organization defines personnel or roles to be alerted when indications of compromise or potential compromise occur; and
+
+
+ SI-4(5)[3]
+ the information system alerts organization-defined personnel or roles when organization-defined compromise indicators occur.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(6)
+ RESTRICT NON-PRIVILEGED USERS
+
+ AC-6(10)
+
+
+ [Withdrawn: Incorporated into AC-6(10)].
+
+
+
+ SI-4(7)
+ AUTOMATED RESPONSE TO SUSPICIOUS EVENTS
+
+ Determine if:
+
+ SI-4(7)[1]
+ the organization defines incident response personnel (identified by name and/or by role) to be notified of detected suspicious events;
+
+
+ SI-4(7)[2]
+ the organization defines least-disruptive actions to be taken by the information system to terminate suspicious events;
+
+
+ SI-4(7)[3]
+ the information system notifies organization-defined incident response personnel of detected suspicious events; and
+
+
+ SI-4(7)[4]
+ the information system takes organization-defined least-disruptive actions to terminate suspicious events.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(8)
+ PROTECTION OF MONITORING INFORMATION
+
+ SI-4
+
+
+ [Withdrawn: Incorporated into SI-4].
+
+
+
+ SI-4(9)
+ TESTING OF MONITORING TOOLS
+
+ Determine if the organization:
+
+ SI-4(9)[1]
+ defines a frequency to test intrusion-monitoring tools; and
+
+
+ SI-4(9)[2]
+ tests intrusion-monitoring tools with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(10)
+ VISIBILITY OF ENCRYPTED COMMUNICATIONS
+
+ Determine if the organization:
+
+ SI-4(10)[1]
+ defines encrypted communications traffic required to be visible to information system monitoring tools;
+
+
+ SI-4(10)[2]
+ defines information system monitoring tools to be provided access to organization-defined encrypted communications traffic; and
+
+
+ SI-4(10)[3]
+ makes provisions so that organization-defined encrypted communications traffic is visible to organization-defined information system monitoring tools.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(11)
+ ANALYZE COMMUNICATIONS TRAFFIC ANOMALIES
+
+ Determine if the organization:
+
+ SI-4(11)[1]
+ defines interior points within the system (e.g., subnetworks, subsystems) where communications traffic is to be analyzed;
+
+
+ SI-4(11)[2]
+ analyzes outbound communications traffic to discover anomalies at:
+
+ SI-4(11)[2][a]
+ the external boundary of the information system; and
+
+
+ SI-4(11)[2][b]
+ selected organization-defined interior points within the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(12)
+ AUTOMATED ALERTS
+
+ Determine if the organization:
+
+ SI-4(12)[1]
+ defines activities that trigger alerts to security personnel based on inappropriate or unusual activities with security implications; and
+
+
+ SI-4(12)[2]
+ employs automated mechanisms to alert security personnel of organization-defined activities that trigger alerts based on inappropriate or unusual activities with security implications.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(13)
+ ANALYZE TRAFFIC/EVENT PATTERNS
+
+ Determine if the organization:
+
+ SI-4(13)(a)
+ analyzes communications traffic/event patterns for the information system;
+
+
+ SI-4(13)(b)
+ develops profiles representing common traffic patterns and/or events;
+
+
+ SI-4(13)(c)
+ uses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives and false negatives.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(14)
+ WIRELESS INTRUSION DETECTION
+
+ Determine if the organization employs a wireless intrusion detection system to:
+
+ SI-4(14)[1]
+ identify rogue wireless devices;
+
+
+ SI-4(14)[2]
+ detect attack attempts to the information system; and
+
+
+ SI-4(14)[3]
+ detect potential compromises/breaches to the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(15)
+ WIRELESS TO WIRELINE COMMUNICATIONS
+
+ Determine if the organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(16)
+ CORRELATE MONITORING INFORMATION
+
+ Determine if the organization correlates information from monitoring tools employed throughout the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(17)
+ INTEGRATED SITUATIONAL AWARENESS
+
+ Determine if the organization, to achieve integrated, organization-wide situational awareness, correlates information from monitoring:
+
+ SI-4(17)[1]
+ physical activities;
+
+
+ SI-4(17)[2]
+ cyber activities; and
+
+
+ SI-4(17)[3]
+ supply chain activities.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(18)
+ ANALYZE TRAFFIC / COVERT EXFILTRATION
+
+ Determine if the organization:
+
+ SI-4(18)[1]
+ defines interior points within the system (e.g., subsystems, subnetworks) where communications traffic is to be analyzed;
+
+
+ SI-4(18)[2]
+ to detect covert exfiltration of information, analyzes outbound communications traffic at:
+
+ SI-4(18)[2][a]
+ the external boundary of the information system (i.e., system perimeter); and
+
+
+ SI-4(18)[2][b]
+ organization-defined interior points within the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(19)
+ INDIVIDUALS POSING GREATER RISK
+
+ Determine if the organization:
+
+ SI-4(19)[1]
+ defines sources that identify individuals who pose an increased level of risk;
+
+
+ SI-4(19)[2]
+ defines additional monitoring to be implemented on individuals who have been identified by organization-defined sources as posing an increased level of risk; and
+
+
+ SI-4(19)[3]
+ implements organization-defined additional monitoring of individuals who have been identified by organization-defined sources as posing an increased level of risk.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(20)
+ PRIVILEGED USERS
+
+ Determine if the organization:
+
+ SI-4(20)[1]
+ defines additional monitoring to be implemented on privileged users; and
+
+
+ SI-4(20)[2]
+ implements organization-defined additional monitoring of privileged users;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(21)
+ PROBATIONARY PERIODS
+
+ Determine if the organization:
+
+ SI-4(21)[1]
+ defines additional monitoring to be implemented on individuals during probationary periods;
+
+
+ SI-4(21)[2]
+ defines probationary period during which organization-defined additional monitoring of individuals is to be performed; and
+
+
+ SI-4(21)[3]
+ implements organization-defined additional monitoring of individuals during organization-defined probationary period.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(22)
+ UNAUTHORIZED NETWORK SERVICES
+
+ Determine if:
+
+ SI-4(22)[1]
+ the organization defines authorization or approval processes for network services;
+
+
+ SI-4(22)[2]
+ the organization defines personnel or roles to be alerted upon detection of network services that have not been authorized or approved by organization-defined authorization or approval processes;
+
+
+ SI-4(22)[3]
+ the information system detects network services that have not been authorized or approved by organization-defined authorization or approval processes and does one or more of the following:
+
+ SI-4(22)[3][a]
+ audits; and/or
+
+
+ SI-4(22)[3][b]
+ alerts organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(23)
+ HOST-BASED DEVICES
+
+ Determine if the organization:
+
+ SI-4(23)[1]
+ defines host-based monitoring mechanisms to be implemented;
+
+
+ SI-4(23)[2]
+ defines information system components where organization-defined host-based monitoring is to be implemented; and
+
+
+ SI-4(23)[3]
+ implements organization-defined host-based monitoring mechanisms at organization-defined information system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4(24)
+ INDICATORS OF COMPROMISE
+
+ Determine if the information system:
+
+ SI-4(24)[1]
+ discovers indicators of compromise;
+
+
+ SI-4(24)[2]
+ collects indicators of compromise;
+
+
+ SI-4(24)[3]
+ distributes indicators of compromise; and
+
+
+ SI-4(24)[4]
+ uses indicators of compromise.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-5
+ SECURITY ALERTS, ADVISORIES, AND DIRECTIVES
+
+ Determine if the organization:
+
+ SI-5(a)
+
+ SI-5(a)[1]
+ defines external organizations from whom information system security alerts, advisories and directives are to be received;
+
+
+ SI-5(a)[2]
+ receives information system security alerts, advisories, and directives from organization-defined external organizations on an ongoing basis;
+
+
+
+ SI-5(b)
+ generates internal security alerts, advisories, and directives as deemed necessary;
+
+
+ SI-5(c)
+
+ SI-5(c)[1]
+ defines personnel or roles to whom security alerts, advisories, and directives are to be provided;
+
+
+ SI-5(c)[2]
+ defines elements within the organization to whom security alerts, advisories, and directives are to be provided;
+
+
+ SI-5(c)[3]
+ defines external organizations to whom security alerts, advisories, and directives are to be provided;
+
+
+ SI-5(c)[4]
+ disseminates security alerts, advisories, and directives to one or more of the following:
+
+ SI-5(c)[4][a]
+ organization-defined personnel or roles;
+
+
+ SI-5(c)[4][b]
+ organization-defined elements within the organization; and/or
+
+
+ SI-5(c)[4][c]
+ organization-defined external organizations; and
+
+
+
+
+ SI-5(d)
+
+ SI-5(d)[1]
+ implements security directives in accordance with established time frames; or
+
+
+ SI-5(d)[2]
+ notifies the issuing organization of the degree of noncompliance.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-5(1)
+ AUTOMATED ALERTS AND ADVISORIES
+
+ Determine if the organization employs automated mechanisms to make security alert and advisory information available throughout the organization.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-6
+ SECURITY FUNCTION VERIFICATION
+
+ Determine if:
+
+ SI-6(a)
+
+ SI-6(a)[1]
+ the organization defines security functions to be verified for correct operation;
+
+
+ SI-6(a)[2]
+ the information system verifies the correct operation of organization-defined security functions;
+
+
+
+ SI-6(b)
+
+ SI-6(b)[1]
+ the organization defines system transitional states requiring verification of organization-defined security functions;
+
+
+ SI-6(b)[2]
+ the organization defines a frequency to verify the correct operation of organization-defined security functions;
+
+
+ SI-6(b)[3]
+ the information system performs this verification one or more of the following:
+
+ SI-6(b)[3][a]
+ at organization-defined system transitional states;
+
+
+ SI-6(b)[3][b]
+ upon command by user with appropriate privilege; and/or
+
+
+ SI-6(b)[3][c]
+ with the organization-defined frequency;
+
+
+
+
+ SI-6(c)
+
+ SI-6(c)[1]
+ the organization defines personnel or roles to be notified of failed security verification tests;
+
+
+ SI-6(c)[2]
+ the information system notifies organization-defined personnel or roles of failed security verification tests;
+
+
+
+ SI-6(d)
+
+ SI-6(d)[1]
+ the organization defines alternative action(s) to be performed when anomalies are discovered;
+
+
+ SI-6(d)[2]
+ the information system performs one or more of the following actions when anomalies are discovered:
+
+ SI-6(d)[2][a]
+ shuts the information system down;
+
+
+ SI-6(d)[2][b]
+ restarts the information system; and/or
+
+
+ SI-6(d)[2][c]
+ performs organization-defined alternative action(s).
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-6(1)
+ NOTIFICATION OF FAILED SECURITY TESTS
+
+ SI-6
+
+
+ [Withdrawn: Incorporated into SI-6].
+
+
+
+ SI-6(2)
+ AUTOMATION SUPPORT FOR DISTRIBUTED TESTING
+
+ Determine if the information system implements automated mechanisms to support the management of distributed security testing.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-6(3)
+ REPORT VERIFICATION RESULTS
+
+ Determine if the organization:
+
+ SI-6(3)[1]
+ defines personnel or roles designated to receive the results of security function verification; and
+
+
+ SI-6(3)[2]
+ reports the results of security function verification to organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-7
+ SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY
+
+ Determine if the organization:
+
+ SI-7[1]
+
+ SI-7[1][a]
+ defines software requiring integrity verification tools to be employed to detect unauthorized changes;
+
+
+ SI-7[1][b]
+ defines firmware requiring integrity verification tools to be employed to detect unauthorized changes;
+
+
+ SI-7[1][c]
+ defines information requiring integrity verification tools to be employed to detect unauthorized changes;
+
+
+
+ SI-7[2]
+ employs integrity verification tools to detect unauthorized changes to organization-defined:
+
+ SI-7[2][a]
+ software;
+
+
+ SI-7[2][b]
+ firmware; and
+
+
+ SI-7[2][c]
+ information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-7(1)
+ INTEGRITY CHECKS
+
+ Determine if:
+
+ SI-7(1)[1]
+ the organization defines:
+
+ SI-7(1)[1][a]
+ software requiring integrity checks to be performed;
+
+
+ SI-7(1)[1][b]
+ firmware requiring integrity checks to be performed;
+
+
+ SI-7(1)[1][c]
+ information requiring integrity checks to be performed;
+
+
+
+ SI-7(1)[2]
+ the organization defines transitional states or security-relevant events requiring integrity checks of organization-defined:
+
+ SI-7(1)[2][a]
+ software;
+
+
+ SI-7(1)[2][b]
+ firmware;
+
+
+ SI-7(1)[2][c]
+ information;
+
+
+
+ SI-7(1)[3]
+ the organization defines a frequency with which to perform an integrity check of organization-defined:
+
+ SI-7(1)[3][a]
+ software;
+
+
+ SI-7(1)[3][b]
+ firmware;
+
+
+ SI-7(1)[3][c]
+ information;
+
+
+
+ SI-7(1)[4]
+ the information system performs an integrity check of organization-defined software, firmware, and information one or more of the following:
+
+ SI-7(1)[4][a]
+ at startup;
+
+
+ SI-7(1)[4][b]
+ at organization-defined transitional states or security-relevant events; and/or
+
+
+ SI-7(1)[4][c]
+ with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-7(2)
+ AUTOMATED NOTIFICATIONS OF INTEGRITY VIOLATIONS
+
+ Determine if the organization:
+
+ SI-7(2)[1]
+ defines personnel or roles to whom notification is to be provided upon discovering discrepancies during integrity verification; and
+
+
+ SI-7(2)[2]
+ employs automated tools that provide notification to organization-defined personnel or roles upon discovering discrepancies during integrity verification.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-7(3)
+ CENTRALLY-MANAGED INTEGRITY TOOLS
+
+ Determine if the organization employs centrally managed integrity verification tools.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-7(4)
+ TAMPER-EVIDENT PACKAGING
+
+ SA-12
+
+
+ [Withdrawn: Incorporated into SA-12].
+
+
+
+ SI-7(5)
+ AUTOMATED RESPONSE TO INTEGRITY VIOLATIONS
+
+ Determine if:
+
+ SI-7(5)[1]
+ the organization defines security safeguards to be implemented when integrity violations are discovered;
+
+
+ SI-7(5)[2]
+ the information system automatically performs one or more of the following actions when integrity violations are discovered:
+
+ SI-7(5)[2][a]
+ shuts the information system down;
+
+
+ SI-7(5)[2][b]
+ restarts the information system; and/or
+
+
+ SI-7(5)[2][c]
+ implements the organization-defined security safeguards.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-7(6)
+ CRYPTOGRAPHIC PROTECTION
+
+ Determine if the information system employs cryptographic mechanism to detect unauthorized changes to:
+
+ SI-7(6)[1]
+ software;
+
+
+ SI-7(6)[2]
+ firmware; and
+
+
+ SI-7(6)[3]
+ information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-7(7)
+ INTEGRATION OF DETECTION AND RESPONSE
+
+ Determine if the organization:
+
+ SI-7(7)[1]
+ defines unauthorized security-relevant changes to the information system; and
+
+
+ SI-7(7)[2]
+ incorporates the detection of unauthorized organization-defined security-relevant changes to the information system into the organizational incident response capability.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-7(8)
+ AUDITING CAPABILITY FOR SIGNIFICANT EVENTS
+
+ Determine if:
+
+ SI-7(8)[1]
+ the organization defines personnel or roles to be alerted upon detection of a potential integrity violation;
+
+
+ SI-7(8)[2]
+ the organization defines other actions to be taken upon detection of a potential integrity violation;
+
+
+ SI-7(8)[3]
+
+ SI-7(8)[3][a]
+ the information system, upon detection of a potential integrity violation, provides the capability to audit the event;
+
+
+ SI-7(8)[3][b]
+ the information system, upon detection of a potential integrity violation, initiates one or more of the following actions:
+
+ SI-7(8)[3][b][1]
+ generates an audit record;
+
+
+ SI-7(8)[3][b][2]
+ alerts current user;
+
+
+ SI-7(8)[3][b][3]
+ alerts organization-defined personnel or roles; and/or
+
+
+ SI-7(8)[3][b][4]
+ organization-defined other actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-7(9)
+ VERIFY BOOT PROCESS
+
+ Determine if:
+
+ SI-7(9)[1]
+ the organization defines devices requiring integrity verification of the boot process; and
+
+
+ SI-7(9)[2]
+ the information system verifies the integrity of the boot process of organization-defined devices.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-7(10)
+ PROTECTION OF BOOT SOFTWARE
+
+ Determine if:
+
+ SI-7(10)[1]
+ the organization defines security safeguards to be implemented to protect the integrity of boot firmware in devices;
+
+
+ SI-7(10)[2]
+ the organization defines devices requiring organization-defined security safeguards to be implemented to protect the integrity of boot firmware; and
+
+
+ SI-7(10)[3]
+ the information system implements organization-defined security safeguards to protect the integrity of boot firmware in organization-defined devices.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-7(11)
+ CONFINED ENVIRONMENTS WITH LIMITED PRIVILEGES
+
+ Determine if the organization:
+
+ SI-7(11)[1]
+ defines user-installed software to be executed in a confined physical or virtual machine environment with limited privileges; and
+
+
+ SI-7(11)[2]
+ requires that organization-defined user-installed software execute in a confined physical or virtual machine environment with limited privileges.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-7(12)
+ INTEGRITY VERIFICATION
+
+ Determine if the organization:
+
+ SI-7(12)[1]
+ defines user-installed software requiring integrity verification prior to execution; and
+
+
+ SI-7(12)[2]
+ requires that the integrity of organization-defined user-installed software be verified prior to execution.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-7(13)
+ CODE EXECUTION IN PROTECTED ENVIRONMENTS
+
+ Determine if the organization:
+
+ SI-7(13)[1]
+ allows execution of binary or machine-executable code obtained from sources with limited or no warranty;
+
+
+ SI-7(13)[2]
+ allows execution of binary or machine-executable code without the provision of source code only in confined physical or virtual machines;
+
+
+ SI-7(13)[3]
+ defines personnel or roles required to provide explicit approval to allow execution of binary or machine-executable code; and
+
+
+ SI-7(13)[4]
+ allows execution of binary or machine-executable code with the explicit approval of organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-7(14)
+ BINARY OR MACHINE EXECUTABLE CODE
+
+ Determine if the organization:
+
+ SI-7(14)(a)
+
+ SI-7(14)(a)[1]
+ prohibits the use of binary or machine-executable code from sources with limited or no warranty;
+
+
+ SI-7(14)(a)[2]
+ prohibits the use of binary or machine-executable code without the provision of source code;
+
+
+
+ SI-7(14)(b)
+
+ SI-7(14)(b)[1]
+ provides exceptions to the source code requirement only for compelling mission/operational requirements; and
+
+
+ SI-7(14)(b)[2]
+ provides exceptions to the source code requirement only with the approval of the authorizing official.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-7(15)
+ CODE AUTHENTICATION
+
+ Determine if:
+
+ SI-7(15)[1]
+
+ SI-7(15)[1][a]
+ the organization defines software components to be authenticated by cryptographic mechanisms prior to installation;
+
+
+ SI-7(15)[1][b]
+ the organization defines firmware components to be authenticated by cryptographic mechanisms prior to installation;
+
+
+
+ SI-7(15)[2]
+
+ SI-7(15)[2][a]
+ the information system implements cryptographic mechanisms to authenticate organization-defined software components prior to installation; and
+
+
+ SI-7(15)[2][b]
+ the information system implements cryptographic mechanisms to authenticate organization-defined firmware components prior to installation.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-7(16)
+ TIME LIMIT ON PROCESS EXECUTION WITHOUT SUPERVISION
+
+ Determine if the organization:
+
+ SI-7(16)[1]
+ defines a time period as the maximum period allowed for processes to execute without supervision; and
+
+
+ SI-7(16)[2]
+ does not allow processes to execute without supervision for more than the organization-defined time period.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-8
+ SPAM PROTECTION
+
+ Determine if the organization:
+
+ SI-8(a)
+ employs spam protection mechanisms:
+
+ SI-8(a)[1]
+ at information system entry points to detect unsolicited messages;
+
+
+ SI-8(a)[2]
+ at information system entry points to take action on unsolicited messages;
+
+
+ SI-8(a)[3]
+ at information system exit points to detect unsolicited messages;
+
+
+ SI-8(a)[4]
+ at information system exit points to take action on unsolicited messages; and
+
+
+
+ SI-8(b)
+ updates spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-8(1)
+ CENTRAL MANAGEMENT
+
+ Determine if the organization centrally manages spam protection mechanisms.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-8(2)
+ AUTOMATIC UPDATES
+
+ Determine if the information system automatically updates spam protection mechanisms.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-8(3)
+ CONTINUOUS LEARNING CAPABILITY
+
+ Determine if the information system implements spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-9
+ INFORMATION INPUT RESTRICTIONS
+
+ AC-2
+ AC-3
+ AC-5
+ AC-6
+
+
+ [Withdrawn: Incorporated into AC-2, AC-3, AC-5, AC-6].
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-10
+ INFORMATION INPUT VALIDATION
+
+ Determine if:
+
+ SI-10[1]
+ the organization defines information inputs requiring validity checks; and
+
+
+ SI-10[2]
+ the information system checks the validity of organization-defined information inputs.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-10(1)
+ MANUAL OVERRIDE CAPABILITY
+
+ Determine if:
+
+ SI-10(1)(a)
+
+ SI-10(1)(a)[1]
+ the organization defines information inputs for which the information system provides a manual override capability for input validation;
+
+
+ SI-10(1)(a)[2]
+ the information system provides a manual override capability for input validation of organization-defined inputs;
+
+
+
+ SI-10(1)(b)
+
+ SI-10(1)(b)[1]
+ the organization defines authorized individuals who can use the manual override capability;
+
+
+ SI-10(1)(b)[2]
+ the information system restricts the use of manual override capability to organization-defined authorized individuals; and
+
+
+
+ SI-10(1)(c)
+ the information system audits the use of the manual override capability.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-10(2)
+ REVIEW / RESOLUTION OF ERRORS
+
+ Determine if the organization:
+
+ SI-10(2)[1]
+ defines a time period within which input validation errors are to be reviewed and resolved; and
+
+
+ SI-10(2)[2]
+ ensures that input validation errors are reviewed and resolved within the organization-defined time period.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-10(3)
+ PREDICTABLE BEHAVIOR
+
+ Determine if the information system behaves in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-10(4)
+ REVIEW / TIMING INTERACTIONS
+
+ Determine if the organization accounts for timing interactions among information system components in determining appropriate responses for invalid inputs.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-10(5)
+ RESTRICT INPUTS TO TRUSTED SOURCES AND APPROVED FORMATS
+
+ Determine if the organization:
+
+ SI-10(5)[1]
+ defines trusted sources to which the use of information inputs is to be restricted;
+
+
+ SI-10(5)[2]
+ defines formats to which the use of information inputs is to be restricted;
+
+
+ SI-10(5)[3]
+ restricts the use of information inputs to:
+
+ SI-10(5)[3][a]
+ organization-defined trust sources; and/or
+
+
+ SI-10(5)[3][b]
+ organization-defined formats.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-11
+ ERROR HANDLING
+
+ Determine if:
+
+ SI-11(a)
+ the information system generates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries;
+
+
+ SI-11(b)
+
+ SI-11(b)[1]
+ the organization defines personnel or roles to whom error messages are to be revealed; and
+
+
+ SI-11(b)[2]
+ the information system reveals error messages only to organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-12
+ INFORMATION HANDLING AND RETENTION
+
+ Determine if the organization, in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements:
+
+ SI-12[1]
+ handles information within the information system;
+
+
+ SI-12[2]
+ handles output from the information system;
+
+
+ SI-12[3]
+ retains information within the information system; and
+
+
+ SI-12[4]
+ retains output from the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-13
+ PREDICTABLE FAILURE PREVENTION
+
+ Determine if the organization:
+
+ SI-13(a)
+
+ SI-13(a)[1]
+ defines information system components for which mean time to failure (MTTF) should be determined;
+
+
+ SI-13(a)[2]
+ determines MTTF for organization-defined information system components in specific environments of operation;
+
+
+
+ SI-13(b)
+
+ SI-13(b)[1]
+ defines MTTF substitution criteria to be used as a means to exchange active and standby components;
+
+
+ SI-13(b)[2]
+ provides substitute information system components at organization-defined MTTF substitution criteria; and
+
+
+ SI-13(b)[3]
+ provides a means to exchange active and standby components at organization-defined MTTF substitution criteria.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-13(1)
+ TRANSFERRING COMPONENT RESPONSIBILITIES
+
+ Determine if the organization:
+
+ SI-13(1)[1]
+ defines maximum fraction or percentage of mean time to failure within which to transfer the responsibilities of an information system component that is out of service to a substitute component; and
+
+
+ SI-13(1)[2]
+ takes the information system component out of service by transferring component responsibilities to substitute components no later than organization-defined fraction or percentage of mean time to failure.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-13(2)
+ TIME LIMIT ON PROCESS EXECUTION WITHOUT SUPERVISION
+
+ SI-7(16)
+
+
+ [Withdrawn: Incorporated into SI-7(16)].
+
+
+
+ SI-13(3)
+ MANUAL TRANSFER BETWEEN COMPONENTS
+
+ Determine if the organization:
+
+ SI-13(3)[1]
+ defines the minimum frequency with which the organization manually initiates a transfer between active and standby information system components if the mean time to failure exceeds the organization-defined time period;
+
+
+ SI-13(3)[2]
+ defines the time period that the mean time to failure must exceed before the organization manually initiates a transfer between active and standby information system components; and
+
+
+ SI-13(3)[3]
+ manually initiates transfers between active and standby information system components at the organization-defined frequency if the mean time to failure exceeds the organization-defined time period.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-13(4)
+ STANDBY COMPONENT INSTALLATION / NOTIFICATION
+
+ Determine if the organization:
+
+ SI-13(4)(a)
+
+ SI-13(4)(a)[1]
+ defines a time period for standby information system components to be successfully and transparently installed when information system component failures are detected;
+
+
+ SI-13(4)(a)[2]
+ ensures that the standby components are successfully and transparently installed within the organization-defined time period;
+
+
+
+ SI-13(4)(b)
+
+ SI-13(4)(b)[1]
+ defines an alarm to be activated when information system component failures are detected;
+
+
+ SI-13(4)(b)[2]
+ if information system component failures are detected, does one or more of the following:
+
+ SI-13(4)(b)[2][a]
+ activates the organization-defined alarm; and/or
+
+
+ SI-13(4)(b)[2][b]
+ automatically shuts down the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-13(5)
+ FAILOVER CAPABILITY
+
+ Determine if the organization:
+
+ SI-13(5)[1]
+ defines failover capability to be provided for the information system;
+
+
+ SI-13(5)[2]
+ provides one of the following organization-defined failover capabilities for the information system:
+
+ SI-13(5)[2][a]
+ real-time failover capability; and/or
+
+
+ SI-13(5)[2][b]
+ near real-time failover capability.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-14
+ NON-PERSISTENCE
+
+ Determine if the organization:
+
+ SI-14[1]
+ defines non-persistent information system components and services to be implemented;
+
+
+ SI-14[2]
+
+ SI-14[2][a]
+ defines a frequency to terminate non-persistent organization-defined components and services that are initiated in a known state;
+
+
+ SI-14[2][b]
+ implements non-persistent organization-defined information system components and services that are initiated in a known state and terminated one or more of the following:
+
+ SI-14[2][b][1]
+ upon end of session of use; and/or
+
+
+ SI-14[2][b][2]
+ periodically at the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-14(1)
+ REFRESH FROM TRUSTED SOURCES
+
+ Determine if the organization:
+
+ SI-14(1)[1]
+ defines trusted sources from which software and data employed during information system component and service refreshes are to be obtained; and
+
+
+ SI-14(1)[2]
+ ensures that software and data employed during information system component and service refreshes are obtained from organization-defined trusted sources.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-15
+ INFORMATION OUTPUT FILTERING
+
+ Determine if:
+
+ SI-15[1]
+ the organization defines software programs and/or applications whose information output requires validation to ensure that the information is consistent with the expected content; and
+
+
+ SI-15[2]
+ the information system validates information output from organization-defined software programs and/or applications to ensure that the information is consistent with the expected content.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-16
+ MEMORY PROTECTION
+
+ Determine if:
+
+ SI-16[1]
+ the organization defines security safeguards to be implemented to protect information system memory from unauthorized code execution; and
+
+
+ SI-16[2]
+ the information system implements organization-defined security safeguards to protect its memory from unauthorized code execution.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+ SI-17
+ FAIL-SAFE PROCEDURES
+
+ Determine if:
+
+ SI-17[1]
+ the organization defines fail-safe procedures to be implemented when organization-defined failure conditions occur;
+
+
+ SI-17[2]
+ the organization defines failure conditions resulting in organization-defined fail-safe procedures being implemented when such conditions occur; and
+
+
+ SI-17[3]
+ the information system implements organization-defined fail-safe procedures when organization-defined failure conditions occur.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
\ No newline at end of file
diff --git a/sources/800-53/old/800-53-800-53A-controls-and-objectives.xml b/sources/800-53/old/800-53-800-53A-controls-and-objectives.xml
new file mode 100644
index 0000000000..d8348b00f3
--- /dev/null
+++ b/sources/800-53/old/800-53-800-53A-controls-and-objectives.xml
@@ -0,0 +1,25180 @@
+
+
+
+ Technical
+ Access Control
+ AC-1
+ Access Control Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the access control policy and associated access controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the access control family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The access control policy can be included as part of the general information security policy for the organization. Access control procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the access control policy. Related control: PM-9.
+
+
+
+
+
+
+ the organization develops and formally documents access control policy
+
+
+ the organization access control policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented access control policy to elements within the organization having associated access control roles and responsibilities
+
+
+ the organization develops and formally documents access control procedures
+
+
+ the organization access control procedures facilitate implementation of the access control policy and associated access controls
+
+
+ the organization disseminates formal documented access control procedures to elements within the organization having associated access control roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of access control policy reviews/updates
+
+
+ the organization reviews/updates access control policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of access control procedure reviews/updates
+
+
+ the organization reviews/updates access control procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Technical
+ Access Control
+ AC-2
+ Account Management
+ P1
+
+
+ The organization manages information system accounts, including:
+
+ Identifying account types (i.e., individual, group, system, application, guest/anonymous, and temporary);
+ Establishing conditions for group membership;
+ Identifying authorized users of the information system and specifying access privileges;
+ Requiring appropriate approvals for requests to establish accounts;
+ Establishing, activating, modifying, disabling, and removing accounts;
+ Specifically authorizing and monitoring the use of guest/anonymous and temporary accounts;
+ Notifying account managers when temporary accounts are no longer required and when information system users are terminated, transferred, or information system usage or need-to-know/need-to-share changes;
+ Deactivating: (i) temporary accounts that are no longer required; and (ii) accounts of terminated or transferred users;
+ Granting access to the system based on: (i) a valid access authorization; (ii) intended system usage; and (iii) other attributes as required by the organization or associated missions/business functions; and
+ Reviewing accounts [Assignment: organization-defined frequency].
+
+
+
+
+
+ The identification of authorized users of the information system and the specification of access privileges is consistent with the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by organizational officials responsible for approving such accounts and privileged access. Related controls: AC-3, AC-4, AC-5, AC-6, AC-10, AC-17, AC-19, AC-20, AU-9, IA-4, IA-5, CM-5, CM-6, MA-3, MA-4, MA-5, SA-7, SC-13, SI-9.
+
+
+
+
+
+
+ The organization employs automated mechanisms to support the management of information system accounts.
+
+
+
+
+
+
+the organization employs automated mechanisms to support information system account management functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system automatically terminates temporary and emergency accounts after [Assignment: organization-defined time period for each type of account].
+
+
+
+
+
+
+the organization defines a time period for each type of account after which the information system terminates temporary and emergency accounts
+
+
+the information system automatically terminates temporary and emergency accounts after organization-defined time period for each type of account
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system automatically disables inactive accounts after [Assignment: organization-defined time period].
+
+
+
+
+
+
+the organization defines in a time period after which the information system disables inactive accounts
+
+
+the information system automatically disables inactive accounts after organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system automatically audits account creation, modification, disabling, and termination actions and notifies, as required, appropriate individuals.
+
+
+
+
+
+
+the information system automatically audits:
+-account creation;
+-modification;
+-disabling; and
+-termination actions
+
+
+the information system notifies, as required, appropriate individuals
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Requires that users log out when [Assignment: organization defined time-period of expected inactivity and/or description of when to log out];
+ Determines normal time-of-day and duration usage for information system accounts;
+ Monitors for atypical usage of information system accounts; and
+ Reports atypical usage to designated organizational officials.
+
+
+
+
+
+
+
+the organization defines the time period of expected inactivity and/or description of when users log out
+
+
+the organization requires that users log out in accordance with the organization-defined time-period of inactivity and/or description of when to log out
+
+
+the organization determines normal time-of-day and duration usage for information system accounts
+
+
+the organization monitors for atypical usage of information system accounts
+
+
+the organization reports atypical usage to designated organizational officials
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system dynamically manages user privileges and associated access authorizations.
+
+
+
+
+ In contrast to conventional access control approaches which employ static information system accounts and predefined sets of user privileges, many service-oriented architecture implementations rely on run time access control decisions facilitated by dynamic privilege management. While user identities remain relatively constant over time, user privileges may change more frequently based on the ongoing mission/business requirements and operational needs of the organization.
+
+
+
+
+
+
+the information system dynamically manages user privileges and associated access authorizations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes information system and network privileges into roles; and
+ Tracks and monitors privileged role assignments.
+
+
+
+
+
+ Privileged roles include, for example, key management, network and system administration, database administration, web administration.
+
+
+
+
+
+
+the organization establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes information system and network privileges into roles
+
+
+the organization tracks and monitors privileged role assignments
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization manages information system accounts, including;
+-identifying account types (i.e., individual, group, system, application, guest/anonymous, and temporary);
+-establishing conditions for group membership;
+-identifying authorized users of the information system and specifying access privileges;
+-requiring appropriate approvals for requests to establish accounts;
+-establishing, activating, modifying, disabling, and removing accounts;
+-specifically authorizing and monitoring the use of guest/anonymous and temporary accounts;
+-notifying account managers when temporary accounts are no longer required and when information system users are terminated, transferred, or information system usage or need-to-know/need-to-share changes;
+-deactivating: i) temporary accounts that are no longer required; and ii) accounts of terminated or transferred users; and
+-granting access to the system based on:
+ -a valid access authorization;
+ -intended system usage; and
+ -other attributes as required by the organization or associated missions/business functions
+
+
+ the organization defines the frequency of information system account reviews
+
+
+ the organization reviews information system accounts in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-3
+ Access Enforcement
+ P1
+
+
+ The information system enforces approved authorizations for logical access to the system in accordance with applicable policy.
+
+
+
+
+ Access control policies (e.g., identity-based policies, role-based policies, attribute-based policies) and access enforcement mechanisms (e.g., access control lists, access control matrices, cryptography) are employed by organizations to control access between users (or processes acting on behalf of users) and objects (e.g., devices, files, records, processes, programs, domains) in the information system. In addition to enforcing authorized access at the information-system level, access enforcement mechanisms are employed at the application level, when necessary, to provide increased information security for the organization. Consideration is given to the implementation of an audited, explicit override of automated mechanisms in the event of emergencies or other serious events. If encryption of stored information is employed as an access enforcement mechanism, the cryptography used is FIPS 140-2 (as amended) compliant. For classified information, the cryptography used is largely dependent on the classification level of the information and the clearances of the individuals having access to the information. Mechanisms implemented by AC-3 are configured to enforce authorizations determined by other security controls. Related controls: AC-2, AC-4, AC-5, AC-6, AC-16, AC-17, AC-18, AC-19, AC-20, AC-21, AC-22, AU-9, CM-5, CM-6, MA-3, MA-4, MA-5, SA-7, SC-13, SI-9.
+
+
+
+
+
+
+ [Withdrawn: Incorporated into AC-6].
+
+
+
+
+
+
+ The information system enforces dual authorization, based on organizational policies and procedures for [Assignment: organization-defined privileged commands].
+
+
+
+
+ Dual authorization mechanisms require two forms of approval to execute. The organization does not employ dual authorization mechanisms when an immediate response is necessary to ensure public and environmental safety.
+
+
+
+
+
+
+the organization defines, in organizational policies and procedures, the privileged commands for which dual authorization is to be enforced
+
+
+the information system enforces dual authorization based on organizational policies and procedures for organization-defined privileged commands
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces [Assignment: organization-defined nondiscretionary access control policies] over [Assignment: organization-defined set of users and resources] where the policy rule set for each policy specifies:
+
+ Access control information (i.e., attributes) employed by the policy rule set (e.g., position, nationality, age, project, time of day); and
+ Required relationships among the access control information to permit access.
+
+
+
+
+
+ Nondiscretionary access control policies that may be implemented by organizations include, for example, Attribute-Based Access Control, Mandatory Access Control, and Originator Controlled Access Control. Nondiscretionary access control policies may be employed by organizations in addition to the employment of discretionary access control policies.
+ For Mandatory Access Control (MAC): Policy establishes coverage over all subjects and objects under its control to ensure that each user receives only that information to which the user is authorized access based on classification of the information, and on user clearance and formal access authorization. The information system assigns appropriate security attributes (e.g., labels/security domains/types) to subjects and objects, and uses these attributes as the basis for MAC decisions. The Bell-LaPadula security model defines allowed access with regard to an organization-defined set of strictly hierarchical security levels as follows: A subject can read an object only if the security level of the subject dominates the security level of the object and a subject can write to an object only if two conditions are met: the security level of the object dominates the security level of the subject, and the security level of the users clearance dominates the security level of the object (no read up, no write down).
+ For Role-Based Access Control (RBAC): Policy establishes coverage over all users and resources to ensure that access rights are grouped by role name, and access to resources is restricted to users who have been authorized to assume the associated role.
+
+
+
+
+
+
+the organization defines the users and resources over which the information system is to enforce nondiscretionary access control policies
+
+
+the organization defines nondiscretionary access control policies to be enforced over the organization-defined set of users and resources, where the rule set for each policy specifies:
+-access control information (i.e., attributes) employed by the policy rule set (e.g., position, nationality, age, project, time of day); and
+-required relationships among the access control information to permit access
+
+
+the information system enforces organization-defined nondiscretionary access control policies over the organization-defined set of users and resources
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces a Discretionary Access Control (DAC) policy that:
+
+ Allows users to specify and control sharing by named individuals or groups of individuals, or by both;
+ Limits propagation of access rights; and
+ Includes or excludes access to the granularity of a single user.
+
+
+
+
+
+
+
+the information system enforces a Discretionary Access Control (DAC) policy that:
+-allows users to specify and control sharing by named individuals or groups of individuals, or by both;
+-limits propagation of access rights; and
+-includes or excludes access to the granularity of a single user
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system prevents access to [Assignment: organization-defined security-relevant information] except during secure, nonoperable system states.
+
+
+
+
+ Security-relevant information is any information within the information system that can potentially impact the operation of security functions in a manner that could result in failure to enforce the system security policy or maintain isolation of code and data. Filtering rules for routers and firewalls, cryptographic key management information, key configuration parameters for security services, and access control lists are examples of security-relevant information. Secure, nonoperable system states are states in which the information system is not performing mission/business-related processing (e.g., the system is off-line for maintenance, troubleshooting, boot-up, shutdown).
+
+
+
+
+
+
+the organization defines the security-relevant information to which the information system prevents access except during secure, nonoperable system states
+
+
+the information system prevents access to organization-defined security-relevant information except during secure, nonoperable system states
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization encrypts or stores off-line in a secure location [Assignment: organization-defined user and/or system information].
+
+
+
+
+ The use of encryption by the organization reduces the probability of unauthorized disclosure of information and can also detect unauthorized changes to information. Removing information from online storage to offline storage eliminates the possibility of individuals gaining unauthorized access via a network. Related control: MP-4.
+
+
+
+
+
+
+the organization defines the user and/or system information to be encrypted or stored off-line in a secure location
+
+
+the organization encrypts, or stores off-line in a secure location, organization-defined user and/or system information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system enforces approved authorizations for logical access to the system in accordance with applicable policy
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-4
+ Information Flow Enforcement
+ P1
+
+
+ The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems in accordance with applicable policy.
+
+
+
+
+ Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. A few examples of flow control restrictions include: keeping export controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, and not passing any web requests to the Internet that are not from the internal web proxy. Information flow control policies and enforcement mechanisms are commonly employed by organizations to control the flow of information between designated sources and destinations (e.g., networks, individuals, devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Specific examples of flow control enforcement can be found in boundary protection devices (e.g., proxies, gateways, guards, encrypted tunnels, firewalls, and routers) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on content (e.g., using key word searches or document characteristics). Mechanisms implemented by AC-4 are configured to enforce authorizations determined by other security controls. Related controls: AC-17, AC-19, AC-21, CM-7, SA-8, SC-2, SC-5, SC-7, SC-18.
+
+
+
+
+
+
+ The information system enforces information flow control using explicit security attributes on information, source, and destination objects as a basis for flow control decisions.
+
+
+
+
+ Information flow enforcement mechanisms compare security attributes on all information (data content and data structure), source and destination objects, and respond appropriately (e.g., block, quarantine, alert administrator) when the mechanisms encounter information flows not explicitly allowed by the information flow policy. Information flow enforcement using explicit security attributes can be used, for example, to control the release of certain types of information.
+
+
+
+
+
+
+the information system enforces information flow control using explicit security attributes on information, source, and destination objects as a basis for flow control decisions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces information flow control using protected processing domains (e.g., domain type-enforcement) as a basis for flow control decisions.
+
+
+
+
+
+
+the information system enforces information flow control using protected processing domains (e.g., domain type-enforcement) as a basis for flow control decisions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces dynamic information flow control based on policy that allows or disallows information flows based on changing conditions or operational considerations.
+
+
+
+
+
+
+the organization defines policy that allows or disallows information flows based on changing conditions or operational consideration
+
+
+the information system enforces dynamic information flow control based on policy that allows or disallows information flows based on changing conditions or operational considerations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system prevents encrypted data from bypassing content-checking mechanisms.
+
+
+
+
+
+
+the information system prevents encrypted data from bypassing content-checking mechanisms
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces [Assignment: organization-defined limitations on the embedding of data types within other data types].
+
+
+
+
+
+
+the organization defines the limitations on the embedding of data types with other data types
+
+
+the information system enforces organization-defined limitations on the embedding of data types within other data types
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces information flow control on metadata.
+
+
+
+
+
+
+the information system enforces information flow control on metadata
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces [Assignment: organization-defined one-way flows] using hardware mechanisms.
+
+
+
+
+
+
+the organization defines the one-way information flows to be enforced by the information system
+
+
+the information system enforces organization-defined one-way information flows using hardware mechanisms
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces information flow control using [Assignment: organization-defined security policy filters] as a basis for flow control decisions.
+
+
+
+
+ Organization-defined security policy filters include, for example, dirty word filters, file type checking filters, structured data filters, unstructured data filters, metadata content filters, and hidden content filters. Structured data permits the interpretation of its content by virtue of atomic elements that are understandable by an application and indivisible. Unstructured data refers to masses of (usually) digital information that does not have a data structure or has a data structure that is not easily readable by a machine. Unstructured data consists of two basic categories: (i) bitmap objects that are inherently non language-based (i.e., image, video, or audio files); and (ii) textual objects that are based on a written or printed language (i.e., commercial off-the-shelf word processing documents, spreadsheets, or emails).
+
+
+
+
+
+
+the organization defines the security policy filters to be enforced by the information system
+
+
+the information system enforces information flow control using organization-defined security policy filters as a basis for flow control decisions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces the use of human review for [Assignment: organization-defined security policy filters] when the system is not capable of making an information flow control decision.
+
+
+
+
+
+
+the organization defines the security policy filters that the information system enforces for the use of human review
+
+
+the information system enforces the use of human review for the organization-defined security policy filters, when the system is not capable of making an information flow control decision
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system provides the capability for a privileged administrator to enable/disable [Assignment: organization-defined security policy filters].
+
+
+
+
+
+
+the organization defines the security policy filters that privileged administrators have the capability to enable/disable
+
+
+the information system provides the capability for a privileged administrator to enable/disable organization-defined security policy filters
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system provides the capability for a privileged administrator to configure [Assignment: organization-defined security policy filters] to support different security policies.
+
+
+
+
+ For example, to reflect changes in the security policy, an administrator can change the list of "dirty words" that the security policy mechanism checks in accordance with the definitions provided by the organization.
+
+
+
+
+
+
+the organization defines the security policy filters that privileged administrators have the capability to configure
+
+
+the information system provides the capability for a privileged administrator to configure organization-defined security policy filters to support different security policies
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system, when transferring information between different security domains, identifies information flows by data type specification and usage.
+
+
+
+
+ Data type specification and usage include, for example, using file naming to reflect type of data and limiting data transfer based on file type.
+
+
+
+
+
+
+the information system, when transferring information between different security domains, identifies information flows by data type specification and usage
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system, when transferring information between different security domains, decomposes information into policy-relevant subcomponents for submission to policy enforcement mechanisms.
+
+
+
+
+ Policy enforcement mechanisms include the filtering and/or sanitization rules that are applied to information prior to transfer to a different security domain. Parsing transfer files facilitates policy decisions on source, destination, certificates, classification, subject, attachments, and other information security-related component differentiators. Policy rules for cross domain transfers include, for example, limitations on embedding components/information types within other components/information types, prohibiting more than two-levels of embedding, and prohibiting the transfer of archived information types.
+
+
+
+
+
+
+the information system, when transferring information between different security domains, decomposes information into policy-relevant subcomponents for submission to policy enforcement mechanisms
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system, when transferring information between different security domains, implements policy filters that constrain data structure and content to [Assignment: organization-defined information security policy requirements].
+
+
+
+
+ Constraining file lengths, allowed enumerations, character sets, schemas, and other data object attributes reduces the range of potential malicious and/or unsanctioned content. Examples of constraints include ensuring that: (i) character data fields only contain printable ASCII; (ii) character data fields only contain alpha-numeric characters; (iii) character data fields do not contain special characters; or (iv) maximum field sizes and file lengths are enforced based upon organization-defined security policy
+
+
+
+
+
+
+the organization defines the security policy requirements for constraining data structure and content
+
+
+the information system, when transferring information between different security domains, implements policy filters that constrain data structure and content in accordance with organization-defined information security policy requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system, when transferring information between different security domains, detects unsanctioned information and prohibits the transfer of such information in accordance with the security policy.
+
+
+
+
+ Actions to support this enhancement include: checking all transferred information for malware, implementing dirty word list searches on transferred information, and applying the same protection measures to metadata (e.g., security attributes) that is applied to the information payload.
+
+
+
+
+
+
+the information system, when transferring information between different security domains, detects unsanctioned information
+
+
+the information system prohibits the transfer of unsanctioned information in accordance with the security policy
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces security policies regarding information on interconnected systems.
+
+
+
+
+ Transferring information between interconnected information systems of differing security policies introduces risk that such transfers violate one or more policies. While security policy violations may not be absolutely prohibited, policy guidance from information owners/stewards is implemented at the policy enforcement point between the interconnected systems. Specific architectural solutions are mandated, when required, to reduce the potential for undiscovered vulnerabilities. Architectural solutions include, for example: (i) prohibiting information transfers between interconnected systems (i.e. implementing access only, one way transfer mechanisms); (ii) employing hardware mechanisms to enforce unitary information flow directions; and (iii) implementing fully tested, re-grading mechanisms to reassign security attributes and associated security labels.
+
+
+
+
+
+
+the information system enforces security policies regarding information on interconnected systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system:
+
+ Uniquely identifies and authenticates source and destination domains for information transfer;
+ Binds security attributes to information to facilitate information flow policy enforcement; and
+ Tracks problems associated with the security attribute binding and information transfer.
+
+
+
+
+
+ Attribution is a critical component of a security concept of operations. The ability to identify source and destination points for information flowing in an information system, allows forensic reconstruction of events when required, and increases policy compliance by attributing policy violations to specific organizations/individuals. Means to enforce this enhancement include ensuring that the information system resolution labels distinguish between information systems and organizations, and between specific system components or individuals involved in preparing, sending, receiving, or disseminating information.
+
+
+
+
+
+
+the information system uniquely identifies source domains for information transfer
+
+
+the information system uniquely authenticates source domains for information transfer
+
+
+the information system uniquely identifies destination domains for information transfer
+
+
+the information system uniquely authenticates destination domains for information transfer
+
+
+the information system binds security attributes to information to facilitate information flow policy enforcement
+
+
+the information system tracks problems associated with the security attribute binding
+
+
+the information system tracks problems associated with the information transfer
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines applicable policy for controlling the flow of information within the system and between interconnected systems
+
+
+ the organization defines approved authorizations for controlling the flow of information within the system and between interconnected systems in accordance with applicable policy
+
+
+ the information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems in accordance with applicable policy
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-5
+ Separation of Duties
+ P1
+
+
+ The organization:
+
+ Separates duties of individuals as necessary, to prevent malevolent activity without collusion;
+ Documents separation of duties; and
+ Implements separation of duties through assigned information system access authorizations.
+
+
+
+
+
+ Examples of separation of duties include: (i) mission functions and distinct information system support functions are divided among different individuals/roles; (ii) different individuals perform information system support functions (e.g., system management, systems programming, configuration management, quality assurance and testing, network security); (iii) security personnel who administer access control functions do not administer audit functions; and (iv) different administrator accounts for different roles. Access authorizations defined in this control are implemented by control AC-3. Related controls: AC-3.
+
+
+
+
+
+
+ the organization separates duties of individuals as necessary, to prevent malevolent activity without collusion
+
+
+ the organization documents separation of duties
+
+
+ the organization implements separation of duties through assigned information system access authorizations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-6
+ Least Privilege
+ P1
+
+
+ The organization employs the concept of least privilege, allowing only authorized accesses for users (and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.
+
+
+
+
+ The access authorizations defined in this control are largely implemented by control AC-3. The organization employs the concept of least privilege for specific duties and information systems (including specific ports, protocols, and services) in accordance with risk assessments as necessary to adequately mitigate risk to organizational operations and assets, individuals, other organizations, and the Nation. Related controls: AC-2, AC-3, CM-7.
+
+
+
+
+
+
+ The organization explicitly authorizes access to [Assignment: organization-defined list of security functions (deployed in hardware, software, and firmware) and security-relevant information].
+
+
+
+
+ Establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters are examples of security functions. Explicitly authorized personnel include, for example, security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users. Related control: AC-17.
+
+
+
+
+
+
+the organization defines the security functions (deployed in hardware, software, and firmware) and security-relevant information for which access must be explicitly authorized
+
+
+the organization explicitly authorizes access to the organization-defined security functions and security-relevant information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires that users of information system accounts, or roles, with access to [Assignment: organization-defined list of security functions or security-relevant information], use non-privileged accounts, or roles, when accessing other system functions, and if feasible, audits any use of privileged accounts, or roles, for such functions.
+
+
+
+
+ This control enhancement is intended to limit exposure due to operating from within a privileged account or role. The inclusion of role is intended to address those situations where an access control policy such as Role Based Access Control (RBAC) is being implemented and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account. Audit of privileged activity may require physical separation employing information systems on which the user does not have privileged access.
+
+
+
+
+
+
+the organization defines the security functions or security-relevant information to which users of information system accounts, or roles, have access
+
+
+the organization requires that users of information system accounts, or roles, with access to organization-defined security functions or security-relevant information, use non-privileged accounts, or roles, when accessing other system functions
+
+
+the organization, if deemed feasible, audits any use of privileged accounts, or roles, with access to organization-defined security functions or security-relevant information, when accessing other system functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization authorizes network access to [Assignment: organization-defined privileged commands] only for compelling operational needs and documents the rationale for such access in the security plan for the information system.
+
+
+
+
+
+
+the organization defines the privileged commands to which network access is to be authorized only for compelling operational needs
+
+
+the organization authorizes network access to organization-defined privileged commands only for compelling operational needs
+
+
+the organization documents the rationale for authorized network access to organization-defined privileged commands in the security plan for the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system provides separate processing domains to enable finer-grained allocation of user privileges.
+
+
+
+
+ Employing virtualization techniques to allow greater privilege within a virtual machine while restricting privilege to the underlying actual machine is an example of providing separate processing domains for finer-grained allocation of user privileges.
+
+
+
+
+
+
+the information system provides separate processing domains to enable finer-grained allocation of user privileges
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization limits authorization to super user accounts on the information system to designated system administration personnel.
+
+
+
+
+ Super user accounts are typically described as "root" or "administrator" for various types of commercial off-the-shelf operating systems. Configuring organizational information systems (e.g., notebook/laptop computers, servers, workstations) such that day-to-day users are not authorized access to super user accounts is an example of limiting system authorization. The organization may differentiate in the application of this control enhancement between allowed privileges for local information system accounts and for domain accounts provided the organization retains the ability to control the configuration of the system with regard to key security parameters and as otherwise necessary to sufficiently mitigate risk.
+
+
+
+
+
+
+the organization limits authorization to super user accounts on the information system to designated system administration personnel
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization prohibits privileged access to the information system by non-organizational users.
+
+
+
+
+ A qualified organizational user may be advised by a non-organizational user, if necessary.
+
+
+
+
+
+
+the organization prohibits privileged access to the information system by non-organizational users
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization employs the concept of least privilege, allowing only authorized accesses for users (and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-7
+ Unsuccessful Login Attempts
+ P2
+
+
+ The information system:
+
+ Enforces a limit of [Assignment: organization-defined number] consecutive invalid login attempts by a user during a [Assignment: organization-defined time period]; and
+ Automatically [Selection: locks the account/node for an [Assignment: organization-defined time period]; locks the account/node until released by an administrator; delays next login prompt according to [Assignment: organization-defined delay algorithm]] when the maximum number of unsuccessful attempts is exceeded. The control applies regardless of whether the login occurs via a local or network connection.
+
+
+
+
+
+ Due to the potential for denial of service, automatic lockouts initiated by the information system are usually temporary and automatically release after a predetermined time period established by the organization. If a delay algorithm is selected, the organization may chose to employ different algorithms for different information system components based on the capabilities of those components. Response to unsuccessful login attempts may be implemented at both the operating system and the application levels. This control applies to all accesses other than those accesses explicitly identified and documented by the organization in AC-14.
+
+
+
+
+
+
+ The information system automatically locks the account/node until released by an administrator when the maximum number of unsuccessful attempts is exceeded
+
+
+
+
+
+
+the information system automatically locks the account/node until released by an administrator when the maximum number of unsuccessful login attempts is exceeded
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system provides additional protection for mobile devices accessed via login by purging information from the device after [Assignment: organization-defined number] consecutive, unsuccessful login attempts to the device.
+
+
+
+
+ This enhancement applies only to mobile devices for which a login occurs (e.g., personal digital assistants) and not to mobile devices accessed without a login such as removable media. In certain situations, this enhancement may not apply to mobile devices if the information on the device is encrypted with sufficiently strong encryption mechanisms, making purging unnecessary. The login is to the mobile device, not to any one account on the device. Therefore, a successful login to any account on the mobile device resets the unsuccessful login count to zero.
+
+
+
+
+
+
+the organization defines the number of consecutive, unsuccessful login attempts allowed for accessing a mobile device before the information system purges information from the device
+
+
+the information system provides protection for mobile devices accessed via login by purging information from such devices after the organization-defined number of consecutive, unsuccessful login attempts to the device is exceeded
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the maximum number of consecutive invalid login attempts to the information system by a user and the time period in which the consecutive invalid attempts occur
+
+
+ the information system enforces the organization-defined limit of consecutive invalid login attempts by a user during the organization-defined time period
+
+
+ the organization defines action to be taken by the system when the maximum number of unsuccessful login attempts is exceeded as:
+-lock out the account/node for a specified time period;
+-lock out the account/note until released by an administrator; or
+- delay the next login prompt according to organization-defined delay algorithm
+
+
+ the information system either automatically locks the account/node for the organization-defined time period, locks the account/node until released by an administrator, or delays next login prompt for the organization-defined delay period when the maximum number of unsuccessful login attempts is exceeded
+
+
+ the information system performs the organization-defined actions when the maximum number of unsuccessful login attempts is exceeded regardless of whether the login occurs via a local or network connection
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-8
+ System Use Notification
+ P1
+
+
+ The information system:
+
+ Displays an approved system use notification message or banner before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance and states that: (i) users are accessing a U.S. Government information system; (ii) system usage may be monitored, recorded, and subject to audit; (iii) unauthorized use of the system is prohibited and subject to criminal and civil penalties; and (iv) use of the system indicates consent to monitoring and recording;
+ Retains the notification message or banner on the screen until users take explicit actions to log on to or further access the information system; and
+ For publicly accessible systems: (i) displays the system use information when appropriate, before granting further access; (ii) displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and (iii) includes in the notice given to public users of the information system, a description of the authorized uses of the system.
+
+
+
+
+
+ System use notification messages can be implemented in the form of warning banners displayed when individuals log in to the information system. System use notification is intended only for information system access that includes an interactive login interface with a human user and is not intended to require notification when an interactive interface does not exist.
+
+
+
+
+
+
+ the organization approves the information system use notification message or banner to be displayed by the information system before granting access to the system
+
+
+ the information system displays the approved system use notification message or banner before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance and states that:
+-users are accessing a U.S. Government information system;
+-system usage may be monitored, recorded, and subject to audit;
+-unauthorized use of the system is prohibited and subject to criminal and civil penalties; and
+-use of the system indicates consent to monitoring and recording
+
+
+ the information system retains the notification message or banner on the screen until the user takes explicit actions to log on to or further access the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system (for publicly accessible systems) displays the system use information when appropriate, before granting further access
+
+
+ the information system (for publicly accessible systems) displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities
+
+
+ the information system (for publicly accessible systems) includes in the notice given to public users of the information system, a description of the authorized uses of the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-9
+ Previous Logon (Access) Notification
+ P0
+
+
+ The information system notifies the user, upon successful logon (access), of the date and time of the last logon (access).
+
+
+
+
+ This control is intended to cover both traditional logons to information systems and general accesses to information systems that occur in other types of architectural configurations (e.g., service oriented architectures).
+
+
+
+
+
+
+ The information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.
+
+
+
+
+
+
+the information system, upon successful user logon/access, displays to the user the number of unsuccessful logon/access attempts since the last successful logon/access
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system notifies the user of the number of [Selection: successful logins/accesses; unsuccessful login/access attempts; both] during [Assignment: organization-defined time period].
+
+
+
+
+
+
+the organization defines the time period during which the number of successful logins/accesses and/or unsuccessful user login/access attempts occurs
+
+
+the information system notifies the user of the number of successful logins/accesses and/or unsuccessful login/access attempts that occur during the organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system notifies the user of [Assignment: organization-defined set of security-related changes to the users account] during [Assignment: organization-defined time period].
+
+
+
+
+
+
+the organization defines the time period for which security-related changes to the user's account occur
+
+
+the information system notifies the user of the organization-defined security-related changes to the user's account that occur during the organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system, upon successful user logon (access), displays to the user the date and time of the last logon (access)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-10
+ Concurrent Session Control
+ P2
+ HIGH
+
+
+ The information system limits the number of concurrent sessions for each system account to [Assignment: organization-defined number].
+
+
+
+
+ The organization may define the maximum number of concurrent sessions for an information system account globally, by account type, by account, or a combination. This control addresses concurrent sessions for a given information system account and does not address concurrent sessions by a single user via multiple system accounts.
+
+
+
+
+
+
+ the organization defines the maximum number of concurrent sessions to be allowed for each system account
+
+
+ the information system limits the number of concurrent sessions for each system account to the organization-defined number of sessions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-11
+ Session Lock
+ P3
+
+
+ The information system:
+
+ Prevents further access to the system by initiating a session lock after [Assignment: organization-defined time period] of inactivity or upon receiving a request from a user; and
+ Retains the session lock until the user reestablishes access using established identification and authentication procedures.
+
+
+
+
+
+ A session lock is a temporary action taken when a user stops work and moves away from the immediate physical vicinity of the information system but does not want to log out because of the temporary nature of the absence. The session lock is implemented at the point where session activity can be determined. This is typically at the operating system-level, but may be at the application-level. A session lock is not a substitute for logging out of the information system, for example, if the organization requires users to log out at the end of the workday.
+
+
+
+
+
+
+ The information system session lock mechanism, when activated on a device with a display screen, places a publicly viewable pattern onto the associated display, hiding what was previously visible on the screen.
+
+
+
+
+
+
+the information system session lock mechanism, when activated on a device with a display screen, places a publicly viewable pattern onto the associated display, hiding what was previously visible on the screen
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the time period of user inactivity after which the information system initiates a session lock
+
+
+ the information system initiates a session lock after the organization-defined time period of inactivity or upon receiving a request from a user
+
+
+ the information system retains the session lock until the user reestablishes access using established identification and authentication procedures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ OMB Memorandum 06-16
+
+
+
+ Technical
+ Access Control
+ AC-12
+ Session Termination
+
+
+ [Withdrawn: Incorporated into SC-10].
+
+
+
+
+ Technical
+ Access Control
+ AC-13
+ Supervision and Review Access Control
+
+
+ [Withdrawn: Incorporated into AC-2 and AU-6].
+
+
+
+
+ Technical
+ Access Control
+ AC-14
+ Permitted Actions Without Identification Or Authentication
+ P1
+
+
+ The organization:
+
+ Identifies specific user actions that can be performed on the information system without identification or authentication; and
+ Documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification and authentication.
+
+
+
+
+
+ This control is intended for those specific instances where an organization determines that no identification and authentication is required; it is not, however, mandating that such instances exist in given information system. The organization may allow a limited number of user actions without identification and authentication (e.g., when individuals access public websites or other publicly accessible federal information systems such as http://www.usa.gov). Organizations also identify any actions that normally require identification or authentication but may under certain circumstances (e.g., emergencies), allow identification or authentication mechanisms to be bypassed. Such bypass may be, for example, via a software-readable physical switch that commands bypass of the login functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not being repeated, but rather to situations where identification and/or authentication have not yet occurred. Related control: CP-2, IA-2.
+
+
+
+
+
+
+ The organization permits actions to be performed without identification and authentication only to the extent necessary to accomplish mission/business objectives.
+
+
+
+
+
+
+the organization permits actions to be performed without identification and authentication only to the extent necessary to accomplish mission/business objectives
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization identifies specific user actions that can be performed on the information system without identification or authentication
+
+
+ the organization documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification and authentication
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-15
+ Automated Marking
+
+
+ [Withdrawn: Incorporated into MP-3].
+
+
+
+
+ Technical
+ Access Control
+ AC-16
+ Security Attributes
+ P0
+
+
+ The information system supports and maintains the binding of [Assignment: organization-defined security attributes] to information in storage, in process, and in transmission.
+
+
+
+
+ Security attributes are abstractions representing the basic properties or characteristics of an entity (e.g., subjects and objects) with respect to safeguarding information. These attributes are typically associated with internal data structures (e.g., records, buffers, files) within the information system and are used to enable the implementation of access control and flow control policies, reflect special dissemination, handling or distribution instructions, or support other aspects of the information security policy. The term security label is often used to associate a set of security attributes with a specific information object as part of the data structure for that object (e.g., user access privileges, nationality, affiliation as contractor). Related controls: AC-3, AC-4, SC-16, MP-3.
+
+
+
+
+
+
+ The information system dynamically reconfigures security attributes in accordance with an identified security policy as information is created and combined.
+
+
+
+
+
+
+the information system dynamically reconfigures security attributes in accordance with an identified security policy as information is created and combined
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system allows authorized entities to change security attributes.
+
+
+
+
+
+
+the organization identifies the entities authorized to change security attributes; and
+
+
+the information system allows authorized entities to change security attributes
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system maintains the binding of security attributes to information with sufficient assurance that the information--attribute association can be used as the basis for automated policy actions.
+
+
+
+
+ Examples of automated policy actions include automated access control decisions (e.g., Mandatory Access Control decisions), or decisions to release (or not release) information (e.g., information flows via cross domain systems).
+
+
+
+
+
+
+the information system maintains the binding of security attributes to information with sufficient assurance that the information-attribute association can be used as the basis for automated policy actions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system allows authorized users to associate security attributes with information.
+
+
+
+
+ The support provided by the information system can vary from prompting users to select security attributes to be associated with specific information objects, to ensuring that the combination of attributes selected is valid.
+
+
+
+
+
+
+the organization identifies users authorized to associate security attributes with information; and
+
+
+the information system allows authorized users to associate security attributes with information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system displays security attributes in human-readable form on each object output from the system to system output devices to identify [Assignment: organization-identified set of special dissemination, handling, or distribution instructions] using [Assignment: organization-identified human readable, standard naming conventions].
+
+
+
+
+ Objects output from the information system include, for example, pages, screens, or equivalent. Output devices include, for example, printers and video displays on computer terminals, monitors, screens on notebook/laptop computers and personal digital assistants.
+
+
+
+
+
+
+the organization defines the set of special dissemination, handling, or distribution instructions to be used for each object output from the information system
+
+
+the organization defines standard naming conventions for the security attributes to be displayed in human-readable form on each object output from the system to system output devices; and
+
+
+the information system displays security attributes in human-readable form on each object output from the system to system output devices to identify the organization-defined set of special dissemination, handling, or distribution instructions using organization-defined human readable, standard naming conventions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the security attributes the information system binds to information:
+-in storage;
+-in process; and
+-in transmission
+
+
+ the information system supports and maintains the binding of the organization-defined security attributes to information in storage, in process, and in transmission
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-17
+ Remote Access
+ P1
+
+
+ The organization:
+
+ Documents allowed methods of remote access to the information system;
+ Establishes usage restrictions and implementation guidance for each allowed remote access method;
+ Monitors for unauthorized remote access to the information system;
+ Authorizes remote access to the information system prior to connection; and
+ Enforces requirements for remote connections to the information system.
+
+
+
+
+
+ This control requires explicit authorization prior to allowing remote access to an information system without specifying a specific format for that authorization. For example, while the organization may deem it appropriate to use a system interconnection agreement to authorize a given remote access, such agreements are not required by this control. Remote access is any access to an organizational information system by a user (or process acting on behalf of a user) communicating through an external network (e.g., the Internet). Examples of remote access methods include dial-up, broadband, and wireless (see AC-18 for wireless access). A virtual private network when adequately provisioned with appropriate security controls, is considered an internal network (i.e., the organization establishes a network connection between organization-controlled endpoints in a manner that does not require the organization to depend on external networks to protect the confidentiality or integrity of information transmitted across the network). Remote access controls are applicable to information systems other than public web servers or systems specifically designed for public access. Enforcing access restrictions associated with remote connections is accomplished by control AC-3. Related controls: AC-3, AC-18, AC-20, IA-2, IA-3, IA-8, MA-4.
+
+
+
+
+
+
+ The organization employs automated mechanisms to facilitate the monitoring and control of remote access methods.
+
+
+
+
+ Automated monitoring of remote access sessions allows organizations to audit user activities on a variety of information system components (e.g., servers, workstations, notebook/laptop computers) and to ensure compliance with remote access policy.
+
+
+
+
+
+
+the organization employs automated mechanisms to facilitate the monitoring and control of remote access methods
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization uses cryptography to protect the confidentiality and integrity of remote access sessions.
+
+
+
+
+ The encryption strength of mechanism is selected based on the security categorization of the information. Related controls: SC-8, SC-9, SC-13.
+
+
+
+
+
+
+the organization uses cryptography to protect the confidentiality and integrity of remote access sessions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system routes all remote accesses through a limited number of managed access control points.
+
+
+
+
+ Related control: SC-7.
+
+
+
+
+
+
+the organization defines a limited number of managed access control points for remote access to the information system
+
+
+the information system routes all remote accesses through managed access control points
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization authorizes the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs and documents the rationale for such access in the security plan for the information system.
+
+
+
+
+ Related control: AC-6.
+
+
+
+
+
+
+the organization authorizes the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs
+
+
+the organization documents the rationale for such access in the security plan for the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization monitors for unauthorized remote connections to the information system [Assignment: organization-defined frequency], and takes appropriate action if an unauthorized connection is discovered.
+
+
+
+
+
+
+the organization defines the frequency of monitoring for unauthorized remote connections to the information system
+
+
+the organization monitors for unauthorized remote connections to the information system in accordance with the organization-defined frequency
+
+
+the organization defines the appropriate action(s) to be taken if an unauthorized connection is discovered
+
+
+the organization takes organization-defined appropriate action(s) if an unauthorized connection is discovered
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.
+
+
+
+
+
+
+the organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that remote sessions for accessing [Assignment: organization-defined list of security functions and security-relevant information] employ [Assignment: organization-defined additional security measures] and are audited.
+
+
+
+
+ Additional security measures are typically above and beyond standard bulk or session layer encryption (e.g., Secure Shell [SSH], Virtual Private Networking [VPN] with blocking mode enabled). Related controls: SC-8, SC-9.
+
+
+
+
+
+
+the organization defines the security functions and security-relevant information that can be accessed using remote sessions
+
+
+the organization defines the additional security measures to be employed for remote sessions used to access organization-defined security functions and security-relevant information
+
+
+the organization employs organization-defined additional security measures for remote sessions used to access organization-defined security functions and security-relevant information
+
+
+the organization audits remote sessions for accessing organization-defined security functions and security-relevant information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization disables [Assignment: organization-defined networking protocols within the information system deemed to be nonsecure] except for explicitly identified components in support of specific operational requirements.
+
+
+
+
+ The organization can either make a determination of the relative security of the networking protocol or base the security decision on the assessment of other entities. Bluetooth and peer-to-peer networking are examples of less than secure networking protocols.
+
+
+
+
+
+
+the organization defines the networking protocols within the information system deemed to be nonsecure
+
+
+the organization disables the organization-defined networking protocols within the information system deemed to be nonsecure except for explicitly identified components in support of specific operational requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization documents allowed methods of remote access to the information system
+
+
+ the organization establishes usage restrictions and implementation guidance for each allowed remote access method
+
+
+ the organization monitors for unauthorized remote access to the information system
+
+
+ the organization authorizes remote access to the information system prior to connection
+
+
+ the organization enforces requirements for remote connections to the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-113
+ NIST 800-114
+ NIST 800-121
+ NIST 800-46
+ NIST 800-77
+
+
+
+ Technical
+ Access Control
+ AC-18
+ Wireless Access
+ P1
+
+
+ The organization:
+
+ Establishes usage restrictions and implementation guidance for wireless access;
+ Monitors for unauthorized wireless access to the information system;
+ Authorizes wireless access to the information system prior to connection; and
+ Enforces requirements for wireless connections to the information system.
+
+
+
+
+
+ Wireless technologies include, but are not limited to, microwave, satellite, packet radio (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., EAP/TLS, PEAP), which provide credential protection and mutual authentication. In certain situations, wireless signals may radiate beyond the confines and control of organization-controlled facilities. Related controls: AC-3, IA-2, IA-3, IA-8.
+
+
+
+
+
+
+ The information system protects wireless access to the system using authentication and encryption.
+
+
+
+
+ Authentication applies to user, device, or both as necessary. Related control: SC-13.
+
+
+
+
+
+
+the information system protects wireless access to the system using authentication and encryption
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization monitors for unauthorized wireless connections to the information system, including scanning for unauthorized wireless access points [Assignment: organization-defined frequency], and takes appropriate action if an unauthorized connection is discovered.
+
+
+
+
+ Organizations proactively search for unauthorized wireless connections including the conduct of thorough scans for unauthorized wireless access points. The scan is not necessarily limited to only those areas within the facility containing the information systems, yet is conducted outside of those areas only as needed to verify that unauthorized wireless access points are not connected to the system.
+
+
+
+
+
+
+the organization defines the frequency of monitoring for unauthorized wireless connections to the information system, including scans for unauthorized wireless access points
+
+
+the organization monitors for unauthorized wireless connections to the information system, including scanning for unauthorized wireless access points, in accordance with organization-defined frequency
+
+
+the organization defines the appropriate action(s) to be taken if an unauthorized connection is discovered
+
+
+the organization takes appropriate action(s) if an unauthorized connection discovered
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.
+
+
+
+
+
+
+the organization disables, when not intended for use, wireless networking capabilities internally embedded within the information system components prior to issuance and deployment
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization does not allow users to independently configure wireless networking capabilities.
+
+
+
+
+
+
+the organization does not allow users to independently configure wireless networking capabilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization confines wireless communications to organization-controlled boundaries.
+
+
+
+
+ Actions that may be taken by the organization to confine wireless communications to organization-controlled boundaries include: (i) reducing the power of the wireless transmission such that it cannot transit the physical perimeter of the organization; (ii) employing measures such as TEMPEST to control wireless emanations; and (iii) configuring the wireless access such that it is point to point in nature.
+
+
+
+
+
+
+the organization confines wireless communications to organization-controlled boundaries
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization establishes usage restrictions and implementation guidance for wireless access
+
+
+ the organization monitors for unauthorized wireless access to the information system
+
+
+ the organization authorizes wireless access to the information system prior to connection
+
+
+ the organization enforces requirements for wireless connections to the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ DOD Instruction 8552.01
+ NIST 800-48
+ NIST 800-94
+ NIST 800-97
+
+
+
+ Technical
+ Access Control
+ AC-19
+ Access Control for Mobile Devices
+ P1
+
+
+ The organization:
+
+ Establishes usage restrictions and implementation guidance for organization-controlled mobile devices;
+ Authorizes connection of mobile devices meeting organizational usage restrictions and implementation guidance to organizational information systems;
+ Monitors for unauthorized connections of mobile devices to organizational information systems;
+ Enforces requirements for the connection of mobile devices to organizational information systems;
+ Disables information system functionality that provides the capability for automatic execution of code on mobile devices without user direction;
+ Issues specially configured mobile devices to individuals traveling to locations that the organization deems to be of significant risk in accordance with organizational policies and procedures; and
+ Applies [Assignment: organization-defined inspection and preventative measures] to mobile devices returning from locations that the organization deems to be of significant risk in accordance with organizational policies and procedures.
+
+
+
+
+
+ Mobile devices include portable storage media (e.g., USB memory sticks, external hard disk drives) and portable computing and communications devices with information storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones, digital cameras, and audio recording devices). Organization-controlled mobile devices include those devices for which the organization has the authority to specify and the ability to enforce specific security requirements. Usage restrictions and implementation guidance related to mobile devices include, for example, configuration management, device identification and authentication, implementation of mandatory protective software (e.g., malicious code detection, firewall), scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). Examples of information system functionality that provide the capability for automatic execution of code are AutoRun and AutoPlay.
+ Organizational policies and procedures for mobile devices used by individuals departing on and returning from travel include, for example, determining which locations are of concern, defining required configurations for the devices, ensuring that the devices are configured as intended before travel is initiated, and applying specific measures to the device after travel is completed. Specially configured mobile devices include, for example, computers with sanitized hard drives, limited applications, and additional hardening (e.g., more stringent configuration settings). Specified measures applied to mobile devices upon return from travel include, for example, examining the device for signs of physical tampering and purging/reimaging the hard disk drive. Protecting information residing on mobile devices is covered in the media protection family. Related controls: MP-4, MP-5.
+
+
+
+
+
+
+ The organization restricts the use of writable, removable media in organizational information systems.
+
+
+
+
+
+
+the organization restricts the use of writable, removable media in organizational information systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization prohibits the use of personally owned, removable media in organizational information systems.
+
+
+
+
+
+
+the organization prohibits the use of personally owned, removable media in organizational information systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization prohibits the use of removable media in organizational information systems when the media has no identifiable owner.
+
+
+
+
+ An identifiable owner (e.g., individual, organization, or project) for removable media helps to reduce the risk of using such technology by assigning responsibility and accountability for addressing known vulnerabilities in the media (e.g., malicious code insertion).
+
+
+
+
+
+
+the organization prohibits the use of removable media in organizational information systems when the media has no identifiable owner
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Prohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the appropriate authorizing official(s); and
+ Enforces the following restrictions on individuals permitted to use mobile devices in facilities containing information systems processing, storing, or transmitting classified information: \
+
+ - Connection of unclassified mobile devices to classified information systems is prohibited;
+ - Connection of unclassified mobile devices to unclassified information systems requires approval from the appropriate authorizing official(s);
+ - Use of internal or external modems or wireless interfaces within the mobile devices is prohibited; and
+ - Mobile devices and the information stored on those devices are subject to random reviews/inspections by [Assignment: organization-defined security officials], and if classified information is found, the incident handling policy is followed.
+
+
+
+
+
+
+the organization prohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the appropriate authorizing official(s)
+
+
+the organization defines the security officials authorized to randomly review/inspect mobile devices and the information stored on those devices for classified information
+
+
+the organization enforces the following restrictions on individuals permitted to use mobile devices in facilities containing information systems processing, storing, or transmitting classified information:
+-connection of unclassified mobile devices to classified information systems is prohibited;
+-connection of unclassified mobile devices to unclassified information systems requires approval from the appropriate authorizing official(s);
+-use of internal or external modems or wireless interfaces within the mobile devices is prohibited; and
+-mobile devices and the information stored on those devices are subject to random reviews/inspections by organization-defined security officials, and if classified information is found, the incident handling policy is enforced
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization establishes usage restrictions and implementation guidance for organization-controlled portable and mobile devices
+
+
+ the organization authorizes connection of mobile devices meeting organizational usage restrictions and implementation guidance to organizational information systems
+
+
+ the organization monitors for unauthorized connections of mobile devices to organizational information systems
+
+
+ the organization enforces requirements for the connection of mobile devices to organizational information systems
+
+
+ the organization disables information system functionality that provides the capability for automatic execution of code on mobile devices without user direction
+
+
+ the organization issues specially configured mobile devices to individuals traveling to locations that the organization deems to be of significant risk in accordance with organizational policies and procedures
+
+
+ the organization defines the inspection and preventative measures to be applied to mobile devices returning from locations that the organization deems to be of significant risk
+
+
+ the organization applies organization-defined inspection and preventative measures to mobile devices returning from locations that the organization deems to be of significant risk in accordance with organizational policies and procedures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-114
+ NIST 800-124
+
+
+
+ Technical
+ Access Control
+ AC-20
+ Use of External Information Systems
+ P1
+
+
+ The organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:
+
+ Access the information system from the external information systems; and
+ Process, store, and/or transmit organization-controlled information using the external information systems.
+
+
+
+
+
+ External information systems are information systems or components of information systems that are outside of the authorization boundary established by the organization and for which the organization typically has no direct supervision and authority over the application of required security controls or the assessment of security control effectiveness. External information systems include, but are not limited to: (i) personally owned information systems (e.g., computers, cellular telephones, or personal digital assistants); (ii) privately owned computing and communications devices resident in commercial or public facilities (e.g., hotels, convention centers, or airports); (iii) information systems owned or controlled by nonfederal governmental organizations; and (iv) federal information systems that are not owned by, operated by, or under the direct supervision and authority of the organization. For some external systems, in particular those systems operated by other federal agencies, including organizations subordinate to those agencies, the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. In effect, the information systems of these organizations would not be considered external. These situations typically occur when, for example, there is some pre-existing sharing or trust agreement (either implicit or explicit) established between federal agencies and/or organizations subordinate to those agencies, or such trust agreements are specified by applicable laws, Executive Orders, directives, or policies. Authorized individuals include organizational personnel, contractors, or any other individuals with authorized access to the organizational information system and over which the organization has the authority to impose rules of behavior with regard to system access. The restrictions that an organization imposes on authorized individuals need not be uniform, as those restrictions are likely to vary depending upon the trust relationships between organizations. Thus, an organization might impose more stringent security restrictions on a contractor than on a state, local, or tribal government.
+ This control does not apply to the use of external information systems to access public interfaces to organizational information systems and information (e.g., individuals accessing federal information through www.usa.gov). The organization establishes terms and conditions for the use of external information systems in accordance with organizational security policies and procedures. The terms and conditions address as a minimum; (i) the types of applications that can be accessed on the organizational information system from the external information system; and (ii) the maximum security categorization of information that can be processed, stored, and transmitted on the external information system. This control defines access authorizations enforced by AC-3, rules of behavior requirements enforced by PL-4, and session establishment rules enforced by AC-17. Related controls: AC-3, AC-17, PL-4.
+
+
+
+
+
+
+ The organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:
+
+ Can verify the implementation of required security controls on the external system as specified in the organizations information security policy and security plan; or
+ Has approved information system connection or processing agreements with the organizational entity hosting the external information system.
+
+
+
+
+
+
+
+the organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:
+-can verify the implementation of required security controls on the external system as specified in the organization's information security policy and security plan; or
+-has approved information system connection or processing agreements with the organizational entity hosting the external information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization limits the use of organization-controlled portable storage media by authorized individuals on external information systems.
+
+
+
+
+ Limits on the use of organization-controlled portable storage media in external information systems can include, for example, complete prohibition of the use of such devices or restrictions on how the devices may be used and under what conditions the devices may be used.
+
+
+
+
+
+
+the organization limits the use of organization-controlled portable storage media by authorized individuals on external information systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization identifies individuals authorized to:
+-access the information system from the external information systems; and
+-process, store, and/or transmit organization-controlled information using the external information systems
+
+
+ the organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:
+-access the information system from the external information systems; and
+-process, store, and/or transmit organization-controlled information using the external information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS Publication 199
+
+
+
+ Technical
+ Access Control
+ AC-21
+ User-based Collaboration and Information Sharing
+ P0
+
+
+ The organization:
+
+ Facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for [Assignment: organization-defined information sharing circumstances where user discretion is required]; and
+ Employs [Assignment: list of organization-defined information sharing circumstances and automated mechanisms or manual processes required] to assist users in making information sharing/collaboration decisions.
+
+
+
+
+
+ The control applies to information that may be restricted in some manner (e.g., privileged medical, contract-sensitive, proprietary, personally identifiable information, special access programs/compartments) based on some formal or administrative determination. Depending on the information-sharing circumstance, the sharing partner may be defined at the individual, group, or organization level and information may be defined by specific content, type, or security categorization. Related control: AC-3.
+
+
+
+
+
+
+ The information system employs automated mechanisms to enable authorized users to make information-sharing decisions based on access authorizations of sharing partners and access restrictions on information to be shared.
+
+
+
+
+
+
+the information system employs automated mechanisms to enable authorized users to make information-sharing decisions based on access authorizations of sharing partners and access restrictions on information to be shared
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the circumstances where user discretion is required to facilitate information sharing
+
+
+ the organization facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for the organization-defined circumstances
+
+
+ the organization defines the information sharing circumstances and automated mechanisms or manual processes required to assist users in making information sharing/collaboration decisions
+
+
+ the organization employs organization-defined circumstances and automated mechanisms or manual processes to assist users in making information sharing/collaboration decisions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-22
+ Publicly Accessible Content
+ P2
+
+
+ The organization:
+
+ Designates individuals authorized to post information onto an organizational information system that is publicly accessible;
+ Trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;
+ Reviews the proposed content of publicly accessible information for nonpublic information prior to posting onto the organizational information system;
+ Reviews the content on the publicly accessible organizational information system for nonpublic information [Assignment: organization-defined frequency]; and
+ Removes nonpublic information from the publicly accessible organizational information system, if discovered.
+
+
+
+
+
+ Nonpublic information is any information for which the general public is not authorized access in accordance with federal laws, Executive Orders, directives, policies, regulations, standards, or guidance. Information protected under the Privacy Act and vendor proprietary information are examples of nonpublic information. This control addresses posting information on an organizational information system that is accessible to the general public, typically without identification or authentication. The posting of information on non-organization information systems is covered by appropriate organizational policy. Related controls: AC-3, AU-13.
+
+
+
+
+
+
+ the organization designates individuals authorized to post information onto an organizational information system that is publicly accessible
+
+
+ the organization trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information
+
+
+ the organization reviews the proposed content of publicly accessible information for nonpublic information prior to posting onto the organizational information system
+
+
+ the organization defines the frequency of reviews of the content on the publicly accessible organizational information system for nonpublic information
+
+
+ the organization reviews the content on the publicly accessible organizational information system for nonpublic information in accordance with the organization-defined frequency
+
+
+ he organization removes nonpublic information from the publicly accessible organizational information system, if discovered
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Awareness and Training
+ AT-1
+ Security Awareness and Training Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the security awareness and training family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The security awareness and training policy can be included as part of the general information security policy for the organization. Security awareness and training procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the security awareness and training policy. Related control: PM-9.
+
+
+
+
+
+
+ the organization develops and formally documents security awareness and training policy
+
+
+ the organization security awareness and training policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment; and
+-coordination among organizational entities, and compliance
+
+
+ the organization disseminates formal documented security awareness and training policy to elements within the organization having associated security awareness and training roles and responsibilities
+
+
+ the organization develops and formally documents security awareness and training procedures
+
+
+ the organization security awareness and training procedures facilitate implementation of the security awareness and training policy and associated security awareness and training controls
+
+
+ the organization disseminates formal documented security awareness and training procedures to elements within the organization having associated security awareness and training roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of security awareness and training policy reviews/updates
+
+
+ the organization reviews/updates security awareness and training policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of security awareness and training procedure reviews/updates
+
+
+ the organization reviews/updates security awareness and training procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-100
+ NIST 800-12
+ NIST 800-16
+ NIST 800-50
+
+
+
+ Operational
+ Awareness and Training
+ AT-2
+ Security Awareness
+ P1
+
+
+ The organization provides basic security awareness training to all information system users (including managers, senior executives, and contractors) as part of initial training for new users, when required by system changes, and [Assignment: organization-defined frequency] thereafter.
+
+
+
+
+ The organization determines the appropriate content of security awareness training and security awareness techniques based on the specific requirements of the organization and the information systems to which personnel have authorized access. The content includes a basic understanding of the need for information security and user actions to maintain security and to respond to suspected security incidents. The content also addresses awareness of the need for operations security as it relates to the organizations information security program. Security awareness techniques can include, for example, displaying posters, offering supplies inscribed with security reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security awareness events.
+
+
+
+
+
+
+ The organization includes practical exercises in security awareness training that simulate actual cyber attacks.
+
+
+
+
+ Practical exercises may include, for example, no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments or invoking malicious web links.
+
+
+
+
+
+
+the organization includes practical exercises in security awareness training that simulate actual cyber attacks
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization provides basic security awareness training to all information system users (including managers, senior executives, and contractors) as part of initial training for new users and when required by system changes
+
+
+ the organization defines the frequency of refresher security awareness training
+
+
+ the organization provides refresher security awareness training in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ 5 C.F.R. 930.301
+ NIST 800-50
+
+
+
+ Operational
+ Awareness and Training
+ AT-3
+ Security Training
+ P1
+
+
+ The organization provides role-based security-related training: (i) before authorizing access to the system or performing assigned duties; (ii) when required by system changes; and (iii) [Assignment: organization-defined frequency] thereafter.
+
+
+
+
+ The organization determines the appropriate content of security training based on assigned roles and responsibilities and the specific requirements of the organization and the information systems to which personnel have authorized access. In addition, the organization provides information system managers, system and network administrators, personnel performing independent verification and validation activities, security control assessors, and other personnel having access to system-level software, adequate security-related technical training to perform their assigned duties. Organizational security training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. The organization also provides the training necessary for these individuals to carry out their responsibilities related to operations security within the context of the organizations information security program. Related controls: AT-2, SA-3.
+
+
+
+
+
+
+ The organization provides employees with initial and [Assignment: organization-defined frequency] training in the employment and operation of environmental controls.
+
+
+
+
+ Environmental controls include, for example, fire suppression and detection devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature/humidity, HVAC, and power within the facility.
+
+
+
+
+
+
+the organization provides employees with initial training in the employment and operation of environment controls
+
+
+the organization defines the frequency of refresher training in the employment and operation of environmental controls
+
+
+the organization provides refresher training in the employment and operation of environmental controls in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization provides employees with initial and [Assignment: organization-defined frequency] training in the employment and operation of physical security controls.
+
+
+
+
+ Physical security controls include, for example, physical access control devices, physical intrusion alarms, monitoring and surveillance equipment, and security guards (deployment and operating procedures).
+
+
+
+
+
+
+the organization provides employees with initial training in the employment and operation of physical security controls
+
+
+the organization defines the frequency of refresher training in the employment and operation of physical security controls
+
+
+the organization provides refresher training in the employment and operation of physical security controls in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization provides role-based security-related training before authorizing access to the system or performing assigned duties, and when required by system changes
+
+
+ the organization defines the frequency of refresher role-based security-related training
+
+
+ the organization provides refresher role-based security-related training in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ 5 C.F.R. 930.301
+ NIST 800-16
+ NIST 800-50
+
+
+
+ Operational
+ Awareness and Training
+ AT-4
+ Security Training Records
+ P3
+
+
+ The organization:
+
+ Documents and monitors individual information system security training activities including basic security awareness training and specific information system security training; and
+ Retains individual training records for [Assignment: organization-defined time period].
+
+
+
+
+
+ While an organization may deem that organizationally mandated individual training programs and the development of individual training plans are necessary, this control does not mandate either. Documentation for specialized training may be maintained by individual supervisors at the option of the organization.
+
+
+
+
+
+
+ the organization documents and monitors individual information system security training activities including basic security awareness training and specific information system security training
+
+
+ the organization defines the time period for retaining individual training records
+
+
+ the organization retains individual training records in accordance with the organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Awareness and Training
+ AT-5
+ Contacts With Security Groups and Associations
+ P0
+
+
+ The organization establishes and institutionalizes contact with selected groups and associations within the security community:
+ - To facilitate ongoing security education and training for organizational personnel;
+ - To stay up to date with the latest recommended security practices, techniques, and technologies; and
+ - To share current security-related information including threats, vulnerabilities, and incidents.
+
+
+
+
+ Ongoing contact with security groups and associations is of paramount importance in an environment of rapid technology changes and dynamic threats. Security groups and associations can include, for example, special interest groups, specialized forums, professional associations, news groups, and/or peer groups of security professionals in similar organizations. The groups and associations selected are consistent with the organizations mission/business requirements. Information-sharing activities regarding threats, vulnerabilities, and incidents related to information systems are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+
+
+
+
+
+
+ the organization establishes and institutionalizes contact with selected groups and associations within the security community:
+
+
+- to facilitate ongoing security education and training for organizational personnel;
+- to stay up to date with the latest recommended security practices, techniques, and technologies; and
+- to share current security-related information including threats, vulnerabilities, and incidents
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-1
+ Audit and Accountability Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the audit and accountability family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The audit and accountability policy can be included as part of the general information security policy for the organization. Audit and accountability procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the audit and accountability policy. Related control: PM-9.
+
+
+
+
+
+
+ the organization develops and formally documents audit and accountability policy
+
+
+ the organization audit and accountability policy addresses:
+- purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented audit and accountability policy to elements within the organization having associated audit and accountability roles and responsibilities
+
+
+ the organization develops and formally documents audit and accountability procedures
+
+
+ the organization audit and accountability procedures facilitate implementation of the audit and accountability policy and associated audit and accountability controls
+
+
+ the organization disseminates formal documented audit and accountability procedures to elements within the organization having associated audit and accountability roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of audit and accountability policy reviews/updates
+
+
+ the organization reviews/updates audit and accountability policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of audit and accountability procedure reviews/updates
+
+
+ the organization reviews/updates audit and accountability procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Technical
+ Audit and Accountability
+ AU-2
+ Auditable Events
+ P1
+
+
+ The organization:
+
+ Determines, based on a risk assessment and mission/business needs, that the information system must be capable of auditing the following events: [Assignment: organization-defined list of auditable events];
+ Coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;
+ Provides a rationale for why the list of auditable events are deemed to be adequate to support after-the-fact investigations of security incidents; and
+ Determines, based on current threat information and ongoing assessment of risk, that the following events are to be audited within the information system: [Assignment: organization-defined subset of the auditable events defined in AU-2 a. to be audited along with the frequency of (or situation requiring) auditing for each identified event].
+
+
+
+
+
+ The purpose of this control is for the organization to identify events which need to be auditable as significant and relevant to the security of the information system; giving an overall system requirement in order to meet ongoing and specific audit needs. To balance auditing requirements with other information system needs, this control also requires identifying that subset of auditable events that are to be audited at a given point in time. For example, the organization may determine that the information system must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the extreme burden on system performance. In addition, audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the right level of abstraction for audit record generation is a critical aspect of an audit capability and can facilitate the identification of root causes to problems. Related control: AU-3.
+
+
+
+
+
+
+ [Withdrawn: Incorporated into AU-12].
+
+
+
+
+
+
+ [Withdrawn: Incorporated into AU-12].
+
+
+
+
+
+
+ The organization reviews and updates the list of auditable events [Assignment: organization-defined frequency].
+
+
+
+
+ The list of auditable events is defined in AU-2.
+
+
+
+
+
+
+the organization defines the frequency of reviews and updates to the list of organization-defined auditable events
+
+
+the organization reviews and updates the list of organization-defined auditable events in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization includes execution of privileged functions in the list of events to be audited by the information system.
+
+
+
+
+
+
+the organization includes execution of privileged functions in the list of events to be audited by the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the list of events the information system must be capable of auditing based on a risk assessment and mission/business needs
+
+
+ the organization coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and help guide the selection of auditable events
+
+
+ the organization provides a rationale for why the list of auditable events are deemed to be adequate to support after-the-fact investigations of security incidents
+
+
+ the organization defines the subset of auditable events defined in (i) that are to be audited within the information system and the frequency of (or situation requiring) auditing for each identified event
+
+
+ the organization determines, based on current threat information and ongoing assessment of risk, the subset of auditable events defined in (i) to be audited within the information system, and the frequency of (or situation requiring) auditing for each identified event
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-92
+ Web Resource CSRC.NIST.GOV/PCIG/CIG.HTML
+
+
+
+ Technical
+ Audit and Accountability
+ AU-3
+ Content of Audit Records
+ P1
+
+
+ The information system produces audit records that contain sufficient information to, at a minimum, establish what type of event occurred, when (date and time) the event occurred, where the event occurred, the source of the event, the outcome (success or failure) of the event, and the identity of any user/subject associated with the event.
+
+
+
+
+ Audit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Related controls: AU-2, AU-8.
+
+
+
+
+
+
+ The information system includes [Assignment: organization-defined additional, more detailed information] in the audit records for audit events identified by type, location, or subject.
+
+
+
+
+ An example of detailed information that the organization may require in audit records is full-text recording of privileged commands or the individual identities of group account users.
+
+
+
+
+
+
+the organization defines the additional, more detailed information to be included in audit records for audit events identified by type, location, or subject
+
+
+the information system includes the organization-defined additional, more detailed information in the audit records for audit events identified by type, location, or subject
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization centrally manages the content of audit records generated by [Assignment: organization-defined information system components].
+
+
+
+
+
+
+the organization defines the information system components for which the content of audit records generated is centrally managed
+
+
+the organization centrally manages the content of audit records generated by organization-defined information system components
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system produces audit records that contain sufficient information to, at a minimum, establish:
+-what type of event occurred;
+-when (date and time) the event occurred;
+-where the event occurred;
+-the source of the event;
+-the outcome (success or failure) of the event; and
+-the identity of any user/subject associated with the event
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-4
+ Audit Storage Capacity
+ P1
+
+
+ The organization allocates audit record storage capacity and configures auditing to reduce the likelihood of such capacity being exceeded.
+
+
+
+
+ The organization considers the types of auditing to be performed and the audit processing requirements when allocating audit storage capacity. Related controls: AU-2, AU-5, AU-6, AU-7, SI-4.
+
+
+
+
+
+
+ the organization allocates audit record storage capacity
+
+
+ the organization configures auditing to reduce the likelihood of audit record storage capacity being exceeded
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-5
+ Response To Audit Processing Failures
+ P1
+
+
+ The information system:
+
+ Alerts designated organizational officials in the event of an audit processing failure; and
+ Takes the following additional actions: [Assignment: organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)].
+
+
+
+
+
+ Audit processing failures include, for example, software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. Related control: AU-4.
+
+
+
+
+ HIGH
+
+
+ The information system provides a warning when allocated audit record storage volume reaches [Assignment: organization-defined percentage] of maximum audit record storage capacity.
+
+
+
+
+
+
+the organization defines the percentage of maximum audit record storage capacity that, if reached, requires a warning to be provided
+
+
+the information system provides a warning when the allocated audit record storage volume reaches the organization-defined percentage of maximum audit record storage capacity
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The information system provides a real-time alert when the following audit failure events occur: [Assignment: organization-defined audit failure events requiring real-time alerts].
+
+
+
+
+
+
+the organization defines audit failure events requiring real-time alerts
+
+
+the information system provides a real-time alert when organization-defined audit failure events occur
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces configurable traffic volume thresholds representing auditing capacity for network traffic and [Selection: rejects or delays] network traffic above those thresholds.
+
+
+
+
+
+
+the information system enforces configurable traffic volume thresholds representing auditing capacity for network traffic
+
+
+the organization defines if the network traffic above configurable traffic volume thresholds are rejected or delayed
+
+
+the information system rejects or delays, as defined by the organization, network traffic generated above configurable traffic volume thresholds
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system invokes a system shutdown in the event of an audit failure, unless an alternative audit capability exists.
+
+
+
+
+
+
+the information system invokes a system shutdown in the event of an audit failure, unless an alternative audit capability exists
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines designated organizational officials to be alerted in the event of an audit processing failure
+
+
+ the information system alerts designated organizational officials in the event of an audit processing failure
+
+
+ the organization defines additional actions to be taken in the event of an audit processing failure
+
+
+ the information system takes the additional organization-defined actions in the event of an audit processing failure
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-6
+ Audit Review, Analysis, and Reporting
+ P1
+
+
+ The organization:
+
+ Reviews and analyzes information system audit records [Assignment: organization-defined frequency] for indications of inappropriate or unusual activity, and reports findings to designated organizational officials; and
+ Adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk to organizational operations, organizational assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information.
+
+
+
+
+
+ Related control: AU-7.
+
+
+
+
+ HIGH
+
+
+ The information system integrates audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.
+
+
+
+
+
+
+the information system integrates audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ [Withdrawn: Incorporated into SI-4].
+
+
+
+
+
+
+ The organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.
+
+
+
+
+
+
+the organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system centralizes the review and analysis of audit records from multiple components within the system.
+
+
+
+
+ An example of an automated mechanism for centralized review and analysis is a Security Information Management (SIM) product. Related control: AU-2.
+
+
+
+
+
+
+the information system centralizes the review and analysis of audit records from multiple components within the system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization integrates analysis of audit records with analysis of vulnerability scanning information, performance data, and network monitoring information to further enhance the ability to identify inappropriate or unusual activity.
+
+
+
+
+ A Security Event/Information Management system tool can facilitate audit record aggregation and consolidation from multiple information system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by the organization (with localized script adjustments, as necessary), provides a more cost-effective approach for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of the vulnerability scans and correlating attack detection events with scanning results. Related control: AU-7, RA-5, SI-4.
+
+
+
+
+
+
+the organization integrates analysis of audit records with analysis of vulnerability scanning information, performance data, and network monitoring information to enhance the ability to identify inappropriate or unusual activity
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization correlates information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.
+
+
+
+
+ Related control: PE-6.
+
+
+
+
+
+
+the organization correlates information from audit records with information obtained from monitoring physical access to enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization specifies the permitted actions for each authorized information system process, role, and/or user in the audit and accountability policy.
+
+
+
+
+ Permitted actions for information system processes, roles, and/or users associated with the review, analysis, and reporting of audit records include, for example, read, write, append, and delete.
+
+
+
+
+
+
+the organization specifies the permitted actions for each authorized information system process, role, and/or user in the audit and accountability policy
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ [Withdrawn: Incorporated into SI-4].
+
+
+
+
+
+
+ The organization performs, in a physically dedicated information system, full-text analysis of privileged functions executed.
+
+
+
+
+
+
+the organization performs full-text analysis of privileged functions executed in a physically dedicated information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of information system audit record reviews and analyses
+
+
+ the organization reviews and analyzes information system audit records for indications of inappropriate or unusual activity in accordance with the organization-defined frequency
+
+
+ the organization reports findings of inappropriate/unusual activities, to designated organizational officials
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk to organizational operations, organizational assets, individuals, other organizations, or the Nation based on law enforcement information , intelligence information, or other credible sources of information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-7
+ Audit Reduction and Report Generation
+ P2
+
+
+ The information system provides an audit reduction and report generation capability.
+
+
+
+
+ An audit reduction and report generation capability provides support for near real-time audit review, analysis, and reporting requirements described in AU-6 and after-the-fact investigations of security incidents. Audit reduction and reporting tools do not alter original audit records. Related control: AU-6.
+
+
+
+
+
+
+ The information system provides the capability to automatically process audit records for events of interest based on selectable event criteria.
+
+
+
+
+
+
+the information system provides the capability to automatically process audit records for events of interest based on selectable event criteria
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system provides an audit reduction and report generation capability
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-8
+ Time Stamps
+ P1
+
+
+ The information system uses internal system clocks to generate time stamps for audit records.
+
+
+
+
+ Time stamps generated by the information system include both date and time. The time may be expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Related control: AU-3.
+
+
+
+
+
+
+ The information system synchronizes internal information system clocks [Assignment: organization-defined frequency] with [Assignment: organization-defined authoritative time source].
+
+
+
+
+
+
+the organization defines the frequency of internal clock synchronization for the information system
+
+
+the organization defines the authoritative time source for internal clock synchronization
+
+
+the organization synchronizes internal information system clocks with the organization-defined authoritative time source in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system uses internal system clocks to generate time stamps for audit records
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-9
+ Protection of Audit Information
+ P1
+
+
+ The information system protects audit information and audit tools from unauthorized access, modification, and deletion.
+
+
+
+
+ Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. Related controls: AC-3, AC-6.
+
+
+
+
+
+
+ The information system produces audit records on hardware-enforced, write-once media.
+
+
+
+
+
+
+the information system produces audit records on hardware-enforced, write-once media
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system backs up audit records [Assignment: organization-defined frequency] onto a different system or media than the system being audited.
+
+
+
+
+
+
+the organization defines the system or media for storing back up audit records that is a different system or media than the system being audited
+
+
+the organization defines the frequency of information system backups of audit records
+
+
+the information system backs up audit records, in accordance with the organization-defined frequency, onto organization-defined system or media
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system uses cryptographic mechanisms to protect the integrity of audit information and audit tools.
+
+
+
+
+ An example of a cryptographic mechanism for the protection of integrity is the computation and application of a cryptographic-signed hash using asymmetric cryptography, protecting the confidentiality of the key used to generate the hash, and using the public key to verify the hash information.
+
+
+
+
+
+
+the information system uses cryptographic mechanisms to protect the integrity of audit information and audit tools
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Authorizes access to management of audit functionality to only a limited subset of privileged users; and
+ Protects the audit records of non-local accesses to privileged accounts and the execution of privileged functions.
+
+
+
+
+
+ Auditing may not be reliable when performed by the information system to which the user being audited has privileged access. The privileged user may inhibit auditing or modify audit records. This control enhancement helps mitigate this risk by requiring that privileged access be further defined between audit-related privileges and other privileges, thus, limiting the users with audit-related privileges. Reducing the risk of audit compromises by privileged users can also be achieved, for example, by performing audit activity on a separate information system or by using storage media that cannot be modified (e.g., write-once recording devices).
+
+
+
+
+
+
+the organization authorizes access to management of audit functionality to only a limited subset of privileged users
+
+
+the organization protects the audit records of non-local accesses to privileged accounts and the execution of privileged functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system protects audit information and audit tools from unauthorized:
+-access;
+-modification; and
+-deletion
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-10
+ Non-repudiation
+ P1
+ HIGH
+
+
+ The information system protects against an individual falsely denying having performed a particular action.
+
+
+
+
+ Examples of particular actions taken by individuals include creating information, sending a message, approving information (e.g., indicating concurrence or signing a contract), and receiving a message. Non-repudiation protects individuals against later claims by an author of not having authored a particular document, a sender of not having transmitted a message, a receiver of not having received a message, or a signatory of not having signed a document. Non-repudiation services can be used to determine if information originated from an individual, or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request) or received specific information. Non-repudiation services are obtained by employing various techniques or mechanisms (e.g., digital signatures, digital message receipts).
+
+
+
+
+
+
+ The information system associates the identity of the information producer with the information.
+
+
+
+
+ This control enhancement supports audit requirements that provide appropriate organizational officials the means to identify who produced specific information in the event of an information transfer. The nature and strength of the binding between the information producer and the information are determined and approved by the appropriate organizational officials based on the security categorization of the information and relevant risk factors.
+
+
+
+
+
+
+the information system associates the identity of the information producer with the information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system validates the binding of the information producers identity to the information.
+
+
+
+
+ This control enhancement is intended to mitigate the risk that information is modified between production and review. The validation of bindings can be achieved, for example, by the use of cryptographic checksums.
+
+
+
+
+
+
+the information system validates the binding of the information producer's identity to the information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system maintains reviewer/releaser identity and credentials within the established chain of custody for all information reviewed or released.
+
+
+
+
+ If the reviewer is a human or if the review function is automated but separate from the release/transfer function, the information system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, this control enhancement provides appropriate organizational officials the means to identify who reviewed and released the information. In the case of automated reviews, this control enhancement helps ensure that only approved review functions are employed.
+
+
+
+
+
+
+the information system maintains reviewer/releaser identity and credentials within the established chain of custody for all information reviewed or released
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system validates the binding of the reviewers identity to the information at the transfer/release point prior to release/transfer from one security domain to another security domain.
+
+
+
+
+ This control enhancement is intended to mitigate the risk that information is modified between review and transfer/release.
+
+
+
+
+
+
+the information system validates the binding of the reviewer's identity to the information at the transfer/release point prior to release/transfer from one security domain to another security domain
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs [Selection: FIPS-validated; NSA-approved] cryptography to implement digital signatures.
+
+
+
+
+ Related control: SC-13.
+
+
+
+
+
+
+the organization defines whether FIPS-validated or NSA-approved cryptography is employed to implement digital signatures
+
+
+the organization employs the organization-defined cryptography to implement digital signatures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system protects against an individual falsely denying having performed a particular action
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-11
+ Audit Record Retention
+ P3
+
+
+ The organization retains audit records for [Assignment: organization-defined time period consistent with records retention policy] to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements.
+
+
+
+
+ The organization retains audit records until it is determined that they are no longer needed for administrative, legal, audit, or other operational purposes. This includes, for example, retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoena, and law enforcement actions. Standard categorizations of audit records relative to such types of actions and standard response processes for each type of action are developed and disseminated. The National Archives and Records Administration (NARA) General Records Schedules (GRS) provide federal policy on record retention.
+
+
+
+
+
+
+ the organization defines the retention period for audit records
+
+
+ the retention period for audit records is consistent with the records retention policy
+
+
+ the organization retains audit records for the organization-defined time period consistent with the records retention policy to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-12
+ Audit Generation
+ P1
+
+
+ The information system:
+
+ Provides audit record generation capability for the list of auditable events defined in AU-2 at [Assignment: organization-defined information system components];
+ Allows designated organizational personnel to select which auditable events are to be audited by specific components of the system; and
+ Generates audit records for the list of audited events defined in AU-2 with the content as defined in AU-3.
+
+
+
+
+
+ Audits records can be generated from various components within the information system. The list of audited events is the set of events for which audits are to be generated. This set of events is typically a subset of the list of all events for which the system is capable of generating audit records (i.e., auditable events). Related controls: AU-2, AU-3.
+
+
+
+
+ HIGH
+
+
+ The information system compiles audit records from [Assignment: organization-defined information system components] into a system-wide (logical or physical) audit trail that is time-correlated to within [Assignment: organization-defined level of tolerance for relationship between time stamps of individual records in the audit trail].
+
+
+
+
+ The audit trail is time-correlated if the time stamp in the individual audit records can be reliably related to the time stamp in other audit records to achieve a time ordering of the records within the organization-defined tolerance.
+
+
+
+
+
+
+the information system produces a system-wide (logical or physical) audit trail of information system audit records
+
+
+the organization defines the information system components from which audit records are to be compiled into the system-wide audit trail
+
+
+the information system compiles audit records from organization-defined information system components into the system-wide audit trail
+
+
+the organization defines the acceptable level of tolerance for relationship between time stamps of individual records in the system-wide audit trail
+
+
+the system-wide audit trail is time-correlated to within the organization-defined level of tolerance to achieve a time ordering of audit records
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.
+
+
+
+
+ Audit information normalized to a common standard promotes interoperability and exchange of such information between dissimilar devices and information systems. This facilitates an audit system that produces event information that can be more readily analyzed and correlated. System log records and audit records compliant with the Common Event Expression (CEE) are examples of standard formats for audit records. If individual logging mechanisms within the information system do not conform to a standardized format, the system may convert individual audit records into a standardized format when compiling the system-wide audit trail.
+
+
+
+
+
+
+the information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the information system components that provide audit record generation capability for the list of auditable events defined in AU-2
+
+
+ the information system provides audit record generation capability, at organization-defined information system components, for the list of auditable events defined in AU-2
+
+
+ the information system allows designated organizational personnel to select which auditable events are to be audited by specific components of the system
+
+
+ the information system generates audit records for the list of audited events defined in AU-2 with the content as defined in AU-3
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-13
+ Monitoring for Information Disclosure
+ P0
+
+
+ The organization monitors open source information for evidence of unauthorized exfiltration or disclosure of organizational information [Assignment: organization-defined frequency].
+
+
+
+
+ None.
+
+
+
+
+
+
+ the organization defines the frequency of monitoring open source information for evidence of unauthorized exfiltration or disclosure of organization information
+
+
+ the organization monitors open source information for evidence of unauthorized exfiltration or disclosure of organizational information in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-14
+ Session Audit
+ P0
+
+
+ The information system provides the capability to:
+
+ Capture/record and log all content related to a user session; and
+ Remotely view/hear all content related to an established user session in real time.
+
+
+
+
+
+ Session auditing activities are developed, integrated, and used in consultation with legal counsel in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations.
+
+
+
+
+
+
+ The information system initiates session audits at system start-up.
+
+
+
+
+
+
+the information system initiates session audits at system start-up
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system provides the capability to capture/record and log all content related to a user session
+
+
+ the information system provides the capability to remotely view/hear all content related to an established user session in real time
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Management
+ Security Assessment and Authorization
+ CA-1
+ Security Assessment and Authorization Policies and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ Formal, documented security assessment and authorization policies that address purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the security assessment and authorization policies and associated security assessment and authorization controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the security assessment and authorization family. The policies and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The security assessment/authorization policies can be included as part of the general information security policy for the organization. Security assessment/authorization procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the security assessment and authorization policy. Related control: PM-9.
+
+
+
+
+
+
+ the organization develops and formally documents security assessment and authorization policy
+
+
+ the organization security assessment and authorization policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented security assessment and authorization policy to elements within the organization having associated security assessment and authorization roles and responsibilities
+
+
+ the organization develops and formally documents security assessment and authorization procedures
+
+
+ the organization security assessment and authorization procedures facilitate implementation of the security assessment and authorization policy and associated security assessment and authorization controls
+
+
+ the organization disseminates formal documented security assessment and authorization procedures to elements within the organization having associated security assessment and authorization roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of security assessment and authorization policy reviews/updates
+
+
+ the organization reviews/updates security assessment and authorization policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of security assessment and authorization procedure reviews/updates
+
+
+ the organization reviews/updates security assessment and authorization procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-100
+ NIST 800-12
+ NIST 800-37
+ NIST 800-53A
+
+
+
+ Management
+ Security Assessment and Authorization
+ CA-2
+ Security Assessments
+ P2
+
+
+ The organization:
+
+ Develops a security assessment plan that describes the scope of the assessment including:
+ Security controls and control enhancements under assessment;
+ Assessment procedures to be used to determine security control effectiveness; and
+ Assessment environment, assessment team, and assessment roles and responsibilities;
+
+
+ Assesses the security controls in the information system [Assignment: organization-defined frequency] to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements for the system;
+ Produces a security assessment report that documents the results of the assessment; and
+ Provides the results of the security control assessment, in writing, to the authorizing official or authorizing official designated representative.
+
+
+
+
+
+ The organization assesses the security controls in an information system as part of: (i) security authorization or reauthorization; (ii) meeting the FISMA requirement for annual assessments; (iii) continuous monitoring; and (iv) testing/evaluation of the information system as part of the system development life cycle process. The assessment report documents the assessment results in sufficient detail as deemed necessary by the organization, to determine the accuracy and completeness of the report and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements of the information system. The FISMA requirement for (at least) annual security control assessments should not be interpreted by organizations as adding additional assessment requirements to those requirements already in place in the security authorization process. To satisfy the FISMA annual assessment requirement, organizations can draw upon the security control assessment results from any of the following sources, including but not limited to: (i) assessments conducted as part of an information system authorization or reauthorization process; (ii) continuous monitoring (see CA-7); or (iii) testing and evaluation of an information system as part of the ongoing system development life cycle (provided that the testing and evaluation results are current and relevant to the determination of security control effectiveness). Existing security control assessment results are reused to the extent that they are still valid and are supplemented with additional assessments as needed.
+ Subsequent to the initial authorization of the information system and in accordance with OMB policy, the organization assesses a subset of the security controls annually during continuous monitoring. The organization establishes the security control selection criteria and subsequently selects a subset of the security controls within the information system and its environment of operation for assessment. Those security controls that are the most volatile (i.e., controls most affected by ongoing changes to the information system or its environment of operation) or deemed critical by the organization to protecting organizational operations and assets, individuals, other organizations, and the Nation are assessed more frequently in accordance with an organizational assessment of risk. All other controls are assessed at least once during the information systems three-year authorization cycle. The organization can use the current years assessment results from any of the above sources to meet the FISMA annual assessment requirement provided that the results are current, valid, and relevant to determining security control effectiveness. External audits (e.g., audits conducted by external entities such as regulatory agencies) are outside the scope of this control. Related controls: CA-6, CA-7, PM-9, SA-11.
+
+
+
+
+
+
+ The organization employs an independent assessor or assessment team to conduct an assessment of the security controls in the information system.
+
+
+
+
+ An independent assessor or assessment team is any individual or group capable of conducting an impartial assessment of an organizational information system. Impartiality implies that the assessors are free from any perceived or actual conflicts of interest with respect to the developmental, operational, and/or management chain associated with the information system or to the determination of security control effectiveness. Independent security assessment services can be obtained from other elements within the organization or can be contracted to a public or private sector entity outside of the organization. Contracted assessment services are considered independent if the information system owner is not directly involved in the contracting process or cannot unduly influence the impartiality of the assessor or assessment team conducting the assessment of the security controls in the information system. The authorizing official determines the required level of assessor independence based on the security categorization of the information system and/or the ultimate risk to organizational operations and assets, and to individuals. The authorizing official determines if the level of assessor independence is sufficient to provide confidence that the assessment results produced are sound and can be used to make a credible, risk-based decision. In special situations, for example when the organization that owns the information system is small or the organizational structure requires that the assessment be accomplished by individuals that are in the developmental, operational, and/or management chain of the system owner, independence in the assessment process can be achieved by ensuring that the assessment results are carefully reviewed and analyzed by an independent team of experts to validate the completeness, accuracy, integrity, and reliability of the results.
+
+
+
+
+
+
+the organization employs an independent assessor or assessment team to conduct an assessment of the security controls in the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization includes as part of security control assessments, [Assignment: organization-defined frequency], [Selection: announced; unannounced], [Selection: in-depth monitoring; malicious user testing; penetration testing; red team exercises; [Assignment: organization-defined other forms of security testing]].
+
+
+
+
+ Penetration testing exercises both physical and technical security controls. A standard method for penetration testing consists of: (i) pretest analysis based on full knowledge of the target system; (ii) pretest identification of potential vulnerabilities based on pretest analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. Detailed rules of engagement are agreed upon by all parties before the commencement of any penetration testing scenario. These rules of engagement are correlated with the tools, techniques, and procedures that are anticipated to be employed by threat-sources in carrying out attacks. An organizational assessment of risk guides the decision on the level of independence required for penetration agents or penetration teams conducting penetration testing. Red team exercises are conducted as a simulated adversarial attempt to compromise organizational missions and/or business processes to provide a comprehensive assessment of the security capability of the information system and organization. While penetration testing may be laboratory-based testing, red team exercises are intended to be more comprehensive in nature and reflect real-world conditions. Information system monitoring, malicious user testing, penetration testing, red-team exercises, and other forms of security testing (e.g., independent verification and validation) are conducted to improve the readiness of the organization by exercising organizational capabilities and indicating current performance levels as a means of focusing organizational actions to improve the security state of the system and organization. Testing is conducted in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Testing methods are approved by authorizing officials in coordination with the organizations Risk Executive Function. Vulnerabilities uncovered during red team exercises are incorporated into the vulnerability remediation process. Related controls: RA-5, SI-2.
+
+
+
+
+
+
+the organization defines:
+-the forms of security testing to be included in security control assessments, selecting from in-depth monitoring, malicious user testing, penetration testing, red team exercises, or an organization-defined form of security testing;
+-the frequency for conducting each form of security testing;
+-whether the security testing will be announced or unannounced
+
+
+the organization conducts security control assessments using organization-defined forms of testing in accordance with organization-defined frequency and assessment techniques established for each form of testing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization develops a security assessment plan for the information system
+
+
+ the security assessment plan describes the scope of the assessment including:
+ -security controls and control enhancements under assessment;
+ -assessment procedures to be used to determine security control effectiveness; and
+ -assessment environment, assessment team, and assessment roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of assessing the security controls in the information system to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements for the system
+
+
+ the organization assesses the security controls in the information system at the organization-defined frequency
+
+
+ the organization produces a security assessment report that documents the results of the security control assessment
+
+
+ the results of the security control assessment are provided, in writing, to the authorizing official or authorizing official designated representative
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS Publication 199
+ NIST 800-115
+ NIST 800-37
+ NIST 800-53A
+
+
+
+ Management
+ Security Assessment and Authorization
+ CA-3
+ Information System Connections
+ P1
+
+
+ The organization:
+
+ Authorizes connections from the information system to other information systems outside of the authorization boundary through the use of Interconnection Security Agreements;
+ Documents, for each connection, the interface characteristics, security requirements, and the nature of the information communicated; and
+ Monitors the information system connections on an ongoing basis verifying enforcement of security requirements.
+
+
+
+
+
+ This control applies to dedicated connections between information systems and does not apply to transitory, user-controlled connections such as email and website browsing. The organization carefully considers the risks that may be introduced when information systems are connected to other systems with different security requirements and security controls, both within the organization and external to the organization. Authorizing officials determine the risk associated with each connection and the appropriate controls employed. If the interconnecting systems have the same authorizing official, an Interconnection Security Agreement is not required. Rather, the interface characteristics between the interconnecting information systems are described in the security plans for the respective systems. If the interconnecting systems have different authorizing officials but the authorizing officials are in the same organization, the organization determines whether an Interconnection Security Agreement is required, or alternatively, the interface characteristics between systems are described in the security plans of the respective systems. Instead of developing an Interconnection Security Agreement, organizations may choose to incorporate this information into a formal contract, especially if the interconnection is to be established between a federal agency and a nonfederal (private sector) organization. In every case, documenting the interface characteristics is required, yet the formality and approval process vary considerably even though all accomplish the same fundamental objective of managing the risk being incurred by the interconnection of the information systems. Risk considerations also include information systems sharing the same networks. Information systems may be identified and authenticated as devices in accordance with IA-3. Related controls: AC-4, IA-3, SC-7, SA-9.
+
+
+
+
+
+
+ The organization prohibits the direct connection of an unclassified, national security system to an external network.
+
+
+
+
+ An external network is a network that is not controlled by the organization (e.g., the Internet). No direct connection means that an information system cannot connect to an external network without the use of an approved boundary protection device (e.g., firewall) that mediates the communication between the system and the network
+
+
+
+
+
+
+the organization prohibits the direct connection of an unclassified, national security system to an external network
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization prohibits the direct connection of a classified, national security system to an external network.
+
+
+
+
+ An external network is a network that is not controlled by the organization (e.g., the Internet). No direct connection means that an information system cannot connect to an external network without the use of an approved boundary protection device (e.g., firewall) that mediates the communication between the system and the network. In addition, the approved boundary protection device (typically a managed interface/cross-domain system), provides information flow enforcement from the information system to the external network consistent with AC-4.
+
+
+
+
+
+
+the organization prohibits the direct connection of a classified, national security system to an external network
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization identifies connections to external information systems (i.e., information systems outside of the authorization boundary)
+
+
+ the organization authorizes connections from the information system to external information systems through the use of Interconnection Security Agreements
+
+
+ the organization documents, for each connection, the interface characteristics, security requirements, and the nature of the information communicated; and (iv) the organization monitors the information system connections on an ongoing basis to verify enforcement of security requirements
+
+
+ the organization monitors the information system connections on an ongoing basis to verify enforcement of security requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS Publication 199
+ NIST Special Publication 800-47
+
+
+
+ Management
+ Security Assessment and Authorization
+ CA-4
+ Security Certification
+
+
+ [Withdrawn: Incorporated into CA-2].
+
+
+
+
+ Management
+ Security Assessment and Authorization
+ CA-5
+ Plan of Action and Milestones
+ P3
+
+
+ The organization:
+
+ Develops a plan of action and milestones for the information system to document the organizations planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system; and
+ Updates existing plan of action and milestones [Assignment: organization-defined frequency] based on the findings from security controls assessments, security impact analyses, and continuous monitoring activities.
+
+
+
+
+
+ The plan of action and milestones is a key document in the security authorization package and is subject to federal reporting requirements established by OMB. Related control: PM-4.
+
+
+
+
+
+
+ The organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is accurate, up to date, and readily available.
+
+
+
+
+
+
+the organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is:
+-accurate;
+-up to date; and
+-readily available
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization develops a plan of action and milestones for the information system
+
+
+ the plan of action and milestones documents the organizationâ??s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system
+
+
+ the organization defines the frequency of plan of action and milestone updates
+
+
+ the organization updates the plan of action and milestones at an organization-defined frequency with findings from:
+-security controls assessments;
+-security impact analyses; and
+-continuous monitoring activities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-37
+ OMB Memorandum 02-01
+
+
+
+ Management
+ Security Assessment and Authorization
+ CA-6
+ Security Authorization
+ P3
+
+
+ The organization:
+
+ Assigns a senior-level executive or manager to the role of authorizing official for the information system;
+ Ensures that the authorizing official authorizes the information system for processing before commencing operations; and
+ Updates the security authorization [Assignment: organization-defined frequency].
+
+
+
+
+
+ Security authorization is the official management decision, conveyed through the authorization decision document, given by a senior organizational official or executive (i.e., authorizing official) to authorize operation of an information system and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of an agreed-upon set of security controls. Authorizing officials typically have budgetary oversight for information systems or are responsible for the mission or business operations supported by the systems. Security authorization is an inherently federal responsibility and therefore, authorizing officials must be federal employees. Through the security authorization process, authorizing officials are accountable for the security risks associated with information system operations. Accordingly, authorizing officials are in management positions with a level of authority commensurate with understanding and accepting such information system-related security risks. Through the employment of a comprehensive continuous monitoring process, the critical information contained in the authorization package (i.e., the security plan (including risk assessment), the security assessment report, and the plan of action and milestones) is updated on an ongoing basis, providing the authorizing official and the information system owner with an up-to-date status of the security state of the information system. To reduce the administrative cost of security reauthorization, the authorizing official uses the results of the continuous monitoring process to the maximum extent possible as the basis for rendering a reauthorization decision. OMB policy requires that federal information systems are reauthorized at least every three years or when there is a significant change to the system. The organization defines what constitutes a significant change to the information system. Related controls: CA-2, CA-7, PM-9, PM-10.
+
+
+
+
+
+
+ the organization assigns a senior-level executive or manager to the role of authorizing official for the information system
+
+
+ the authorizing official authorizes the information system for processing before commencing operations
+
+
+ the organization defines the frequency of security authorization updates
+
+
+ the organization updates the security authorization in accordance with an organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-37
+ OMB Circular A-130
+
+
+
+ Management
+ Security Assessment and Authorization
+ CA-7
+ Continuous Monitoring
+ P3
+
+
+ The organization establishes a continuous monitoring strategy and implements a continuous monitoring program that includes:
+
+ A configuration management process for the information system and its constituent components;
+ A determination of the security impact of changes to the information system and environment of operation;
+ Ongoing security control assessments in accordance with the organizational continuous monitoring strategy; and
+ Reporting the security state of the information system to appropriate organizational officials [Assignment: organization-defined frequency].
+
+
+
+
+
+ A continuous monitoring program allows an organization to maintain the security authorization of an information system over time in a highly dynamic environment of operation with changing threats, vulnerabilities, technologies, and missions/business processes. Continuous monitoring of security controls using automated support tools facilitates near real-time risk management and promotes organizational situational awareness with regard to the security state of the information system. The implementation of a continuous monitoring program results in ongoing updates to the security plan, the security assessment report, and the plan of action and milestones, the three principal documents in the security authorization package. A rigorous and well executed continuous monitoring program significantly reduces the level of effort required for the reauthorization of the information system. Continuous monitoring activities are scaled in accordance with the security categorization of the information system. Related controls: CA-2, CA-5, CA-6, CM-3, CM-4.
+
+
+
+
+
+
+ The organization employs an independent assessor or assessment team to monitor the security controls in the information system on an ongoing basis.
+
+
+
+
+ The organization can extend and maximize the value of the ongoing assessment of security controls during the continuous monitoring process by requiring an independent assessor or team to assess all of the security controls during the information systems three-year authorization cycle. See supplemental guidance for CA-2, enhancement (1), for further information on assessor independence. Related controls: CA-2, CA-5, CA-6, CM-4.
+
+
+
+
+
+
+the organization employs an independent assessor or assessment team to monitor the security controls in the information system on an ongoing basis
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization plans, schedules, and conducts assessments [Assignment: organization-defined frequency], [Selection: announced; unannounced], [Selection: in-depth monitoring; malicious user testing; penetration testing; red team exercises; [Assignment: organization-defined other forms of security assessment]] to ensure compliance with all vulnerability mitigation procedures.
+
+
+
+
+ Examples of vulnerability mitigation procedures are contained in Information Assurance Vulnerability Alerts. Testing is intended to ensure that the information system continues to provide adequate security against constantly evolving threats and vulnerabilities. Conformance testing also provides independent validation. See supplemental guidance for CA-2, enhancement (2) for further information on malicious user testing, penetration testing, red-team exercises, and other forms of security testing. Related control: CA-2.
+
+
+
+
+
+
+the organization defines:
+-the forms of security testing to be included in planning, scheduling, and security control assessments selecting from in-depth monitoring, malicious user testing, penetration testing, red team exercises, or an organization-defined form of security testing to ensure compliance with all vulnerability mitigation procedures;
+-the frequency for conducting each form of security testing;
+-whether the security testing will be announced or unannounced
+
+
+the organization plans, schedules, and conducts assessments using organization-defined forms of security testing in accordance with the organization-defined frequency and assessment techniques established for each form of testing to ensure compliance with all vulnerability mitigation procedures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization establishes a continuous monitoring strategy and program
+
+
+ the organization defines the frequency for reporting the security state of the information system to appropriate organizational officials
+
+
+ the organization defines organizational officials to whom the security state of the information system should be reported
+
+
+ the organization implements a continuous monitoring program that includes:
+-a configuration management process for the information system and its constituent components;
+-a determination of the security impact of changes to the information system and environment of operation;
+-ongoing security control assessments in accordance with the organizational continuous monitoring strategy; and
+-reporting the security state of the information system to appropriate organizational officials in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-37
+ NIST 800-53A
+ US-CERT Technical Cyber Security Alerts
+
+
+
+ Operational
+ Configuration Management
+ CM-1
+ Configuration Management Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented configuration management policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the configuration management policy and associated configuration management controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the configuration management family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The configuration management policy can be included as part of the general information security policy for the organization. Configuration management procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the configuration management policy. Related control: PM-9.
+
+
+
+
+
+
+ the organization develops and formally documents configuration management policy
+
+
+ the organization configuration management policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented configuration management policy to elements within the organization having associated configuration management roles and responsibilities
+
+
+ the organization develops and formally documents configuration management procedures
+
+
+ the organization configuration management procedures facilitate implementation of the configuration management policy and associated configuration management controls
+
+
+ the organization disseminates formal documented configuration management procedures to elements within the organization having associated configuration management roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of configuration management policy reviews/updates
+
+
+ the organization reviews/updates configuration management policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of configuration management procedure reviews/updates
+
+
+ the organization reviews/updates configuration management procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Operational
+ Configuration Management
+ CM-2
+ Baseline Configuration
+ P1
+
+
+ The organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system.
+
+
+
+
+ This control establishes a baseline configuration for the information system and its constituent components including communications and connectivity-related aspects of the system. The baseline configuration provides information about the components of an information system (e.g., the standard software load for a workstation, server, network component, or mobile device including operating system/installed applications with current version numbers and patch information), network topology, and the logical placement of the component within the system architecture. The baseline configuration is a documented, up-to-date specification to which the information system is built. Maintaining the baseline configuration involves creating new baselines as the information system changes over time. The baseline configuration of the information system is consistent with the organizations enterprise architecture. Related controls: CM-3, CM-6, CM-8, CM-9.
+
+
+
+
+
+
+ The organization reviews and updates the baseline configuration of the information system:
+
+ [Assignment: organization-defined frequency];
+ When required due to [Assignment organization-defined circumstances]; and
+ As an integral part of information system component installations and upgrades.
+
+
+
+
+
+
+
+the organization defines:
+-the frequency of reviews and updates to the baseline configuration of the information system; and
+-the circumstances that require reviews and updates to the baseline configuration of the information system
+
+
+the organization reviews and updates the baseline configuration of the information system
+-in accordance with the organization-defined frequency;
+-when required due to organization-defined circumstances; and
+-as an integral part of information system component installations and upgrades
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the information system.
+
+
+
+
+ Software inventory tools are examples of automated mechanisms that help organizations maintain consistent baseline configurations for information systems. Software inventory tools can be deployed for each operating system in use within the organization (e.g., on workstations, servers, network components, mobile devices) and used to track operating system version numbers, applications and types of software installed on the operating systems, and current patch levels. Software inventory tools can also scan information systems for unauthorized software to validate organization-defined lists of authorized and unauthorized software programs.
+
+
+
+
+
+
+the organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization retains older versions of baseline configurations as deemed necessary to support rollback.
+
+
+
+
+
+
+the organization retains older versions of baseline configurations as deemed necessary to support rollback
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MODERATE
+
+
+ The organization:
+
+ Develops and maintains [Assignment: organization-defined list of software programs not authorized to execute on the information system]; and
+ Employs an allow-all, deny-by-exception authorization policy to identify software allowed to execute on the information system.
+
+
+
+
+
+
+
+the organization develops and maintains a list of software programs not authorized to execute on the information system
+
+
+the organization employs an allow-all, deny-by-exception authorization policy to identify software allowed to execute on the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization:
+
+ Develops and maintains [Assignment: organization-defined list of software programs authorized to execute on the information system]; and
+ Employs a deny-all, permit-by-exception authorization policy to identify software allowed to execute on the information system.
+
+
+
+
+
+
+
+the organization develops and maintains a list of software programs authorized to execute on the information system
+
+
+the organization employs a deny-all, permit-by-exception authorization policy to identify software allowed to execute on the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization maintains a baseline configuration for development and test environments that is managed separately from the operational baseline configuration.
+
+
+
+
+
+
+the organization maintains a baseline configuration for development and test environments that is managed separately from the operational baseline configuration
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization develops and documents a baseline configuration of the information system
+
+
+ the organization maintains, under configuration control, a current baseline configuration of the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-128
+
+
+
+ Operational
+ Configuration Management
+ CM-3
+ Configuration Change Control
+ P1
+
+
+ The organization:
+
+ Determines the types of changes to the information system that are configuration controlled;
+ Approves configuration-controlled changes to the system with explicit consideration for security impact analyses;
+ Documents approved configuration-controlled changes to the system;
+ Retains and reviews records of configuration-controlled changes to the system;
+ Audits activities associated with configuration-controlled changes to the system; and
+ Coordinates and provides oversight for configuration change control activities through [Assignment: organization-defined configuration change control element (e.g., committee, board] that convenes [Selection: (one or more): [Assignment: organization-defined frequency]; [Assignment: organization-defined configuration change conditions]].
+
+
+
+
+
+ The organization determines the types of changes to the information system that are configuration controlled. Configuration change control for the information system involves the systematic proposal, justification, implementation, test/evaluation, review, and disposition of changes to the system, including upgrades and modifications. Configuration change control includes changes to components of the information system, changes to the configuration settings for information technology products (e.g., operating systems, applications, firewalls, routers), emergency changes, and changes to remediate flaws. A typical organizational process for managing configuration changes to the information system includes, for example, a chartered Configuration Control Board that approves proposed changes to the system. Auditing of changes refers to changes in activity before and after a change is made to the information system and the auditing activities required to implement the change. Related controls: CM-4, CM-5, CM-6, SI-2.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to:
+
+ Document proposed changes to the information system;
+ Notify designated approval authorities;
+ Highlight approvals that have not been received by [Assignment: organization-defined time period];
+ Inhibit change until designated approvals are received; and
+ Document completed changes to the information system.
+
+
+
+
+
+
+
+the organization defines the time period after which approvals that have not been received for proposed changes to the information system are highlighted
+
+
+the organization employs automated mechanisms to:
+-document proposed changes to the information system;
+-notify designated approval authorities;
+-highlight approvals that have not been received by the organization-defined time period;
+-inhibit change until designated approvals are received; and
+-document completed changes to the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization tests, validates, and documents changes to the information system before implementing the changes on the operational system.
+
+
+
+
+ The organization ensures that testing does not interfere with information system operations. The individual/group conducting the tests understands the organizational information security policies and procedures, the information system security policies and procedures, and the specific health, safety, and environmental risks associated with a particular facility and/or process. An operational system may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If an information system must be taken off-line for testing, the tests are scheduled to occur during planned system outages whenever possible. In situations where the organization cannot conduct testing of an operational system, the organization employs compensating controls (e.g., providing a replicated system to conduct testing) in accordance with the general tailoring guidance.
+
+
+
+
+
+
+the organization tests, validates, and documents changes to the information system before implementing the changes on the operational system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to implement changes to the current information system baseline and deploys the updated baseline across the installed base.
+
+
+
+
+ Related controls: CM-2, CM-6.
+
+
+
+
+
+
+the organization employs automated mechanisms to implement changes to the current information system baseline
+
+
+the organization deploys the updated baseline across the installed base
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires an information security representative to be a member of the [Assignment: organization-defined configuration change control element (e.g., committee, board)].
+
+
+
+
+ Information security representatives can include, for example, information system security officers or information system security managers. The configuration change control element in this control enhancement is consistent with the change control element defined by the organization in CM-3.
+
+
+
+
+
+
+the organization requires an information security representative to be a member of the configuration change control element as defined by the organization in CM-3.1 (vi)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization determines the types of changes to the information system that are configuration controlled
+
+
+ the organization approves configuration-controlled changes to the system with explicit consideration for security impact analyses
+
+
+ the organization documents approved configuration-controlled changes to the system
+
+
+ the organization retains and reviews records of configuration-controlled changes to the system
+
+
+ the organization audits activities associated with configuration-controlled changes to the system
+
+
+ the organization defines:
+-the configuration change control element (e.g., committee, board) responsible for coordinating and providing oversight for configuration change control activities;
+-the frequency with which the configuration change control element convenes; and/or;
+-configuration change conditions that prompt the configuration change control element to convene
+
+
+ the organization coordinates and provides oversight for configuration change control activities through the organization-defined configuration change control element that convenes at the organization-defined frequency and/or for any organization-defined configuration change conditions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-128
+
+
+
+ Operational
+ Configuration Management
+ CM-4
+ Security Impact Analysis
+ P2
+
+
+ The organization analyzes changes to the information system to determine potential security impacts prior to change implementation.
+
+
+
+
+ Security impact analyses are conducted by organizational personnel with information security responsibilities, including for example, Information System Administrators, Information System Security Officers, Information System Security Managers, and Information System Security Engineers. Individuals conducting security impact analyses have the appropriate skills and technical expertise to analyze the changes to information systems and the associated security ramifications. Security impact analysis may include, for example, reviewing information system documentation such as the security plan to understand how specific security controls are implemented within the system and how the changes might affect the controls. Security impact analysis may also include an assessment of risk to understand the impact of the changes and to determine if additional security controls are required. Security impact analysis is scaled in accordance with the security categorization of the information system. Related controls: CA-2, CA-7, CM-3, CM-9, SI-2.
+
+
+
+
+ HIGH
+
+
+ The organization analyzes new software in a separate test environment before installation in an operational environment, looking for security impacts due to flaws, weaknesses, incompatibility, or intentional malice.
+
+
+
+
+
+
+the organization analyzes new software in a separate test environment before installation in an operational environment
+
+
+the organization, when analyzing new software in a separate test environment, looks for security impacts due to flaws, weaknesses, incompatibility, or intentional malice
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization, after the information system is changed, checks the security functions to verify that the functions are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security requirements for the system.
+
+
+
+
+ Changes include information system upgrades and modifications.
+
+
+
+
+
+
+the organization, after the information system is changed, checks the security functions to verify that the functions are:
+-implemented correctly;
+-operating as intended; and
+-producing the desired outcome with regard to meeting the security requirements for the system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization analyzes changes to the information system to determine potential security impacts prior to change implementation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-128
+
+
+
+ Operational
+ Configuration Management
+ CM-5
+ Access Restrictions for Change
+ P1
+
+
+ The organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system.
+
+
+
+
+ Any changes to the hardware, software, and/or firmware components of the information system can potentially have significant effects on the overall security of the system. Accordingly, only qualified and authorized individuals are allowed to obtain access to information system components for purposes of initiating changes, including upgrades and modifications. Additionally, maintaining records of access is essential for ensuring that configuration change control is being implemented as intended and for supporting after-the-fact actions should the organization become aware of an unauthorized change to the information system. Access restrictions for change also include software libraries. Examples of access restrictions include, for example, physical and logical access controls (see AC-3 and PE-3), workflow automation, media libraries, abstract layers (e.g., changes are implemented into a third-party interface rather than directly into the information system component), and change windows (e.g., changes occur only during specified times, making unauthorized changes outside the window easy to discover). Some or all of the enforcement mechanisms and processes necessary to implement this security control are included in other controls. For measures implemented in other controls, this control provides information to be used in the implementation of the other controls to cover specific needs related to enforcing authorizations to make changes to the information system, auditing changes, and retaining and review records of changes. Related controls: AC-3, AC-6, PE-3.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to enforce access restrictions and support auditing of the enforcement actions.
+
+
+
+
+
+
+the organization employs automated mechanisms to enforce access restrictions and support auditing of the enforcement actions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization conducts audits of information system changes [Assignment: organization-defined frequency] and when indications so warrant to determine whether unauthorized changes have occurred.
+
+
+
+
+
+
+the organization defines the frequency for conducting audits of information system changes
+
+
+the organization conducts audits of information system changes in accordance with the organization-defined frequency and when indications so warrant to determine whether unauthorized changes have occurred
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The information system prevents the installation of [Assignment: organization-defined critical software programs] that are not signed with a certificate that is recognized and approved by the organization.
+
+
+
+
+ Critical software programs and/or modules include, for example, patches, service packs, and where applicable, device drivers.
+
+
+
+
+
+
+the organization defines critical software programs that the information system will prevent from being installed if such software programs are not signed with a recognized and approved certificate
+
+
+the information system prevents the installation of organization-defined critical software programs that are not signed with a certificate that is recognized and approved by the organization
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization enforces a two-person rule for changes to [Assignment: organization-defined information system components and system-level information].
+
+
+
+
+
+
+the organization defines information system components and system-level information requiring enforcement of a two-person rule for information system changes
+
+
+the organization enforces a two-person rule for changes to organization-defined information system components and system-level information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Limits information system developer/integrator privileges to change hardware, software, and firmware components and system information directly within a production environment; and
+ Reviews and reevaluates information system developer/integrator privileges [Assignment: organization-defined frequency].
+
+
+
+
+
+
+
+the organization limits information system developer/integrator privileges to change hardware, software, and firmware components and system information directly within a production environment
+
+
+the organization defines the frequency for reviews and reevaluations of information system developer/integrator privileges
+
+
+the organization reviews and reevaluates information system developer/integrator privileges in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization limits privileges to change software resident within software libraries (including privileged programs).
+
+
+
+
+
+
+the organization limits privileges to change software resident within software libraries (including privileged programs)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system automatically implements [Assignment: organization-defined safeguards and countermeasures] if security functions (or mechanisms) are changed inappropriately.
+
+
+
+
+ The information system reacts automatically when inappropriate and/or unauthorized modifications have occurred to security functions or mechanisms. Automatic implementation of safeguards and countermeasures includes, for example, reversing the change, halting the information system or triggering an audit alert when an unauthorized modification to a critical security file occurs.
+
+
+
+
+
+
+the organization defines safeguards and countermeasures to be employed by the information system if security functions (or mechanisms) are changed inappropriately
+
+
+the information system automatically implements organization-defined safeguards and countermeasures if security functions (or mechanisms) are changed inappropriately
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Configuration Management
+ CM-6
+ Configuration Settings
+ P1
+
+
+ The organization:
+
+ Establishes and documents mandatory configuration settings for information technology products employed within the information system using [Assignment: organization-defined security configuration checklists] that reflect the most restrictive mode consistent with operational requirements;
+ Implements the configuration settings;
+ Identifies, documents, and approves exceptions from the mandatory configuration settings for individual components within the information system based on explicit operational requirements; and
+ Monitors and controls changes to the configuration settings in accordance with organizational policies and procedures.
+
+
+
+
+
+ Configuration settings are the configurable security-related parameters of information technology products that are part of the information system. Security-related parameters are those parameters impacting the security state of the system including parameters related to meeting other security control requirements. Security-related parameters include, for example, registry settings; account, file, and directory settings (i.e., permissions); and settings for services, ports, protocols, and remote connections. Organizations establish organization-wide mandatory configuration settings from which the settings for a given information system are derived. A security configuration checklist (sometimes referred to as a lockdown guide, hardening guide, security guide, security technical implementation guide [STIG], or benchmark) is a series of instructions or procedures for configuring an information system component to meet operational requirements. Checklists can be developed by information technology developers and vendors, consortia, academia, industry, federal agencies (and other government organizations), and others in the public and private sectors. An example of a security configuration checklist is the Federal Desktop Core Configuration (FDCC) which potentially affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and defined standards within the protocol (e.g., Common Configuration Enumeration) provide an effective method to uniquely identify, track, and control configuration settings. OMB establishes federal policy on configuration requirements for federal information systems. Related controls: CM-2, CM-3, SI-4.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to centrally manage, apply, and verify configuration settings.
+
+
+
+
+
+
+the organization employs automated mechanisms to centrally manage, apply, and verify configuration settings
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to respond to unauthorized changes to [Assignment: organization-defined configuration settings].
+
+
+
+
+ Responses to unauthorized changes to configuration settings can include, for example, alerting designated organizational personnel, restoring mandatory/organization-defined configuration settings, or in the extreme case, halting affected information system processing.
+
+
+
+
+
+
+the organization defines configuration settings that, if modified by unauthorized changes, initiate the automated mechanisms to be employed to respond to such changes
+
+
+the organization employs automated mechanisms to respond to unauthorized changes to organization-defined configuration settings
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization incorporates detection of unauthorized, security-relevant configuration changes into the organizations incident response capability to ensure that such detected events are tracked, monitored, corrected, and available for historical purposes.
+
+
+
+
+ Related controls: IR-4, IR-5.
+
+
+
+
+
+
+the organization incorporates detection of unauthorized, security-relevant configuration changes into the organizationâ??s incident response capability
+
+
+the organization ensures that such detected events are tracked, monitored, corrected, and available for historical purposes
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system (including modifications to the baseline configuration) demonstrates conformance to security configuration guidance (i.e., security checklists), prior to being introduced into a production environment.
+
+
+
+
+
+
+the information system (including modifications to the baseline configuration) demonstrates conformance to security configuration guidance (i.e., security checklists), prior to being introduced into a production environment
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines security configuration checklists to be used to establish and document mandatory configuration settings for the information system technology products employed
+
+
+ the organization-defined security configuration checklists reflect the most restrictive mode consistent with operational requirements
+
+
+ the organization establishes and documents mandatory configuration settings for information technology products employed within the information system using organization-defined security configuration checklists
+
+
+ the organization implements the security configuration settings
+
+
+ the organization identifies, documents, and approves exceptions from the mandatory configuration settings for individual components within the information system based on explicit operational requirements
+
+
+ the organization monitors and controls changes to the configuration settings in accordance with organizational policies and procedures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-128
+ NIST 800-70
+ OMB Memorandum 07-11
+ OMB Memorandum 07-18
+ OMB Memorandum 08-22
+ Web Resource NVD.NIST.GOV
+ Web Resource WWW.NSA.GOV
+
+
+
+ Operational
+ Configuration Management
+ CM-7
+ Least Functionality
+ P1
+
+
+ The organization configures the information system to provide only essential capabilities and specifically prohibits or restricts the use of the following functions, ports, protocols, and/or services: [Assignment: organization-defined list of prohibited or restricted functions, ports, protocols, and/or services].
+
+
+
+
+ Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions). Additionally, it is sometimes convenient to provide multiple services from a single component of an information system, but doing so increases risk over limiting the services provided by any one component. Where feasible, organizations limit component functionality to a single function per device (e.g., email server or web server, not both). The functions and services provided by organizational information systems, or individual components of information systems, are carefully reviewed to determine which functions and services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant Messaging, auto-execute, file sharing). Organizations consider disabling unused or unnecessary physical and logical ports and protocols (e.g., Universal Serial Bus [USB], File Transfer Protocol [FTP], Internet Protocol Version 6 [IPv6], Hyper Text Transfer Protocol [HTTP]) on information system components to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize network scanning tools, intrusion detection and prevention systems, and end-point protections such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, ports, protocols, and services. Related control: RA-5.
+
+
+
+
+
+
+ The organization reviews the information system [Assignment: organization-defined frequency] to identify and eliminate unnecessary functions, ports, protocols, and/or services.
+
+
+
+
+
+
+the organization defines the frequency of information system reviews to identify and eliminate unnecessary:
+-functions;
+-ports;
+-protocols; and/or
+-services
+
+
+the organization reviews the information system in accordance with organization-defined frequency to identify and eliminate unnecessary:
+-functions;
+-ports;
+-protocols; and/or
+-services
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to prevent program execution in accordance with [Selection (one or more): list of authorized software programs; list of unauthorized software programs; rules authorizing the terms and conditions of software program usage].
+
+
+
+
+ Related control: CM-2.
+
+
+
+
+
+
+the organization develops and maintains one or more of the following specifications to prevent software program execution on the information system:
+-a list of software programs authorized to execute on the information system;
+-a list of software programs not authorized to execute on the information system; and/or
+-rules authorizing the terms and conditions of software program usage on the information system
+
+
+the organization employs automated mechanisms to prevent software program execution on the information system in accordance with the organization-defined specifications
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures compliance with [Assignment: organization-defined registration requirements for ports, protocols, and services].
+
+
+
+
+ Organizations use the registration process to manage, track, and provide oversight for information systems and implemented functionality.
+
+
+
+
+
+
+the organization defines registration requirements for:
+-ports;
+-protocols; and
+-services
+
+
+the organization ensures compliance with organization-defined registration requirements for:
+-ports;
+-protocols; and
+-services
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines for the information system prohibited or restricted:
+-functions;
+-ports;
+-protocols; and
+-services
+
+
+ the organization configures the information system to provide only essential capabilities
+
+
+ the organization configures the information system to specifically prohibit or restrict the use of organization-defined:
+-functions;
+-ports;
+-protocols; and/or
+-services
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Configuration Management
+ CM-8
+ Information System Component Inventory
+ P1
+
+
+ The organization develops, documents, and maintains an inventory of information system components that:
+
+ Accurately reflects the current information system;
+ Is consistent with the authorization boundary of the information system;
+ Is at the level of granularity deemed necessary for tracking and reporting;
+ Includes [Assignment: organization-defined information deemed necessary to achieve effective property accountability]; and
+ Is available for review and audit by designated organizational officials.
+
+
+
+
+
+ Information deemed to be necessary by the organization to achieve effective property accountability can include, for example, hardware inventory specifications (manufacturer, type, model, serial number, physical location), software license information, information system/component owner, and for a networked component/device, the machine name and network address. Related controls: CM-2, CM-6.
+
+
+
+
+
+
+ The organization updates the inventory of information system components as an integral part of component installations, removals, and information system updates.
+
+
+
+
+
+
+the organization updates the inventory of information system components as an integral part of component:
+-installations;
+-removals; and
+-information system updates
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of information system components.
+
+
+
+
+ Organizations maintain the information system inventory to the extent feasible. Virtual machines, for example, can be difficult to monitor because they are not visible to the network when not in use. In such cases, the intent of this control enhancement is to maintain as up-to-date, complete, and accurate an inventory as is reasonable.
+
+
+
+
+
+
+the organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available inventory of information system components
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization:
+
+ Employs automated mechanisms [Assignment: organization-defined frequency] to detect the addition of unauthorized components/devices into the information system; and
+ Disables network access by such components/devices or notifies designated organizational officials.
+
+
+
+
+
+ This control enhancement is applied in addition to the monitoring for unauthorized remote connections in AC-17 and for unauthorized mobile devices in AC-19. The monitoring for unauthorized components/devices on information system networks may be accomplished on an ongoing basis or by the periodic scanning of organizational networks for that purpose. Automated mechanisms can be implemented within the information system and/or in another separate information system or device. Related controls: AC-17, AC-19.
+
+
+
+
+
+
+the organization defines the frequency of employing automated mechanisms to detect the addition of unauthorized components/devices into the information system
+
+
+the organization employs automated mechanisms, in accordance with the organization-defined frequency, to detect the addition of unauthorized components/devices into the information system
+
+
+the organization disables network access by such components/devices or notifies designated organizational officials
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization includes in property accountability information for information system components, a means for identifying by [Selection (one or more): name; position; role] individuals responsible for administering those components.
+
+
+
+
+
+
+the organization includes in property accountability information for information system components, a means for identifying by name, position, or role, individuals responsible for administering those components
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization verifies that all components within the authorization boundary of the information system are either inventoried as a part of the system or recognized by another system as a component within that system.
+
+
+
+
+
+
+the organization verifies that all components within the authorization boundary of the information system are either inventoried as a part of the system or recognized by another system as a component within that system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization includes assessed component configurations and any approved deviations to current deployed configurations in the information system component inventory.
+
+
+
+
+ : This control enhancement focuses on the configuration settings established by the organization for its information system components, the specific information system components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings in the deployed information system components. Related controls: CM-2, CM-6.
+
+
+
+
+
+
+the organization includes assessed component configurations and any approved deviations to current deployed configurations in the information system component inventory
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines information deemed necessary to achieve effective property accountability
+
+
+ the organization develops, documents, and maintains an inventory of information system components that:
+-accurately reflects the current information system;
+-is consistent with the authorization boundary of the information system;
+-is at the level of granularity deemed necessary for tracking and reporting;
+-includes organization-defined information deemed necessary to achieve effective property accountability; and
+-is available for review and audit by designated organizational officials
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-128
+
+
+
+ Operational
+ Configuration Management
+ CM-9
+ Configuration Management Plan
+ P1
+
+
+ The organization develops, documents, and implements a configuration management plan for the information system that:
+
+ Addresses roles, responsibilities, and configuration management processes and procedures;
+ Defines the configuration items for the information system and when in the system development life cycle the configuration items are placed under configuration management; and
+ Establishes the means for identifying configuration items throughout the system development life cycle and a process for managing the configuration of the configuration items.
+
+
+
+
+
+ Configuration items are the information system items (hardware, software, firmware, and documentation) to be configuration managed. The configuration management plan satisfies the requirements in the organizations configuration management policy while being tailored to the individual information system. The configuration management plan defines detailed processes and procedures for how configuration management is used to support system development life cycle activities at the information system level. The plan describes how to move a change through the change management process, how configuration settings and configuration baselines are updated, how the information system component inventory is maintained, how development, test, and operational environments are controlled, and finally, how documents are developed, released, and updated. The configuration management approval process includes designation of key management stakeholders that are responsible for reviewing and approving proposed changes to the information system, and security personnel that would conduct an impact analysis prior to the implementation of any changes to the system. Related control: SA-10.
+
+
+
+
+
+
+ The organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in system development.
+
+
+
+
+ In the absence of a dedicated configuration management team, the system integrator may be tasked with developing the configuration management process.
+
+
+
+
+
+
+the organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in system development
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization develops, documents, and implements a configuration management plan for the information system that:
+-addresses roles, responsibilities, and configuration management processes and procedures;
+-defines the configuration items for the information system and when in the system development life cycle the configuration items are placed under configuration management; and
+-establishes the means for identifying configuration items throughout the system development life cycle and a process for managing the configuration of the configuration items
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-128
+
+
+
+ Operational
+ Contingency Planning
+ CP-1
+ Contingency Planning Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented contingency planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the contingency planning family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The contingency planning policy can be included as part of the general information security policy for the organization. Contingency planning procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the contingency planning policy. Related control: PM-9.
+
+
+
+
+
+
+ the organization develops and formally documents contingency planning policy
+
+
+ the organization contingency planning policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented contingency planning policy to elements within the organization having associated contingency planning roles and responsibilities
+
+
+ the organization develops and formally documents contingency planning procedures
+
+
+ the organization contingency planning procedures facilitate implementation of the contingency planning policy and associated contingency planning controls
+
+
+ the organization disseminates formal documented contingency planning procedures to elements within the organization having associated contingency planning roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of contingency planning policy reviews/updates
+
+
+ the organization reviews/updates contingency planning policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of contingency planning procedure reviews/updates
+
+
+ the organization reviews/updates contingency planning procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Federal Continuity Directive 1
+ NIST 800-100
+ NIST 800-12
+ NIST 800-34
+
+
+
+ Operational
+ Contingency Planning
+ CP-2
+ Contingency Plan
+ P1
+
+
+ The organization:
+
+ Develops a contingency plan for the information system that:
+ Identifies essential missions and business functions and associated contingency requirements;
+ Provides recovery objectives, restoration priorities, and metrics;
+ Addresses contingency roles, responsibilities, assigned individuals with contact information;
+ Addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;
+ Addresses eventual, full information system restoration without deterioration of the security measures originally planned and implemented; and
+ Is reviewed and approved by designated officials within the organization;
+
+
+ Distributes copies of the contingency plan to [Assignment: organization-defined list of key contingency personnel (identified by name and/or by role) and organizational elements];
+ Coordinates contingency planning activities with incident handling activities;
+ Reviews the contingency plan for the information system [Assignment: organization-defined frequency];
+ Revises the contingency plan to address changes to the organization, information system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing; and
+ Communicates contingency plan changes to [Assignment: organization-defined list of key contingency personnel (identified by name and/or by role) and organizational elements].
+
+
+
+
+
+ Contingency planning for information systems is part of an overall organizational program for achieving continuity of operations for mission/business operations. Contingency planning addresses both information system restoration and implementation of alternative mission/business processes when systems are compromised. Information system recovery objectives are consistent with applicable laws, Executive Orders, directives, policies, standards, or regulations. In addition to information system availability, contingency plans also address other security-related events resulting in a reduction in mission/business effectiveness, such as malicious attacks compromising the confidentiality or integrity of the information system. Examples of actions to call out in contingency plans include, for example, graceful degradation, information system shutdown, fall back to a manual mode, alternate information flows, or operating in a mode that is reserved solely for when the system is under attack. Related controls: AC-14, CP-6, CP-7, CP-8, IR-4, PM-8, PM-11.
+
+
+
+
+
+
+ The organization coordinates contingency plan development with organizational elements responsible for related plans.
+
+
+
+
+ Examples of related plans include Business Continuity Plan, Disaster Recovery Plan, Continuity of Operations Plan, Crisis Communications Plan, Critical Infrastructure Plan, Cyber Incident Response Plan, and Occupant Emergency Plan.
+
+
+
+
+
+
+the organization coordinates the contingency plan development with other organizational elements responsible for related plans
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization conducts capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.
+
+
+
+
+
+
+the organization conducts capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization plans for the resumption of essential missions and business functions within [Assignment: organization-defined time period] of contingency plan activation.
+
+
+
+
+
+
+the organization defines the time period for planning the resumption of essential missions and business functions as a result of contingency plan activation
+
+
+the organization plans for the resumption of essential missions and business function within organization-defined time period of contingency plan activation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization plans for the full resumption of missions and business functions within [Assignment: organization-defined time period] of contingency plan activation.
+
+
+
+
+
+
+the organization defines the time period for planning the full resumption of affected missions and business functions as a result of contingency plan activation
+
+
+the organization plans for the full resumption of affected missions and business functions within organization-defined time period of contingency plan activation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization plans for the continuance of essential missions and business functions with little or no loss of operational continuity and sustains that continuity until full information system restoration at primary processing and/or storage sites.
+
+
+
+
+
+
+the organization plans for the continuance of essential missions and business functions with little or no loss of operational continuity
+
+
+the organization sustains operational continuity until full information system restoration at primary processing and/or storage sites
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization provides for the transfer of all essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity and sustains that continuity through restoration to primary processing and/or storage sites.
+
+
+
+
+
+
+the organization provides for the transfer of all essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity
+
+
+the organization sustains operational continuity through restoration to primary processing and/or storage sites
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization develops a contingency plan for the information system that:
+-identifies essential missions and business functions and associated contingency requirements;
+-provides recovery objectives, restoration priorities, and metrics;
+-addresses contingency roles, responsibilities, assigned individuals with contact information;
+-addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure; and
+-addresses eventual, full information system restoration without deterioration of the security measures originally planned and implemented; and
+-is reviewed and approved by designated officials within the organization
+
+
+ the organization defines key contingency personnel (identified by name and/or by role) and organizational elements designated to receive copies of the contingency plan
+
+
+ the organization distributes copies of the contingency plan to organization-defined key contingency personnel and organizational elements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization coordinates contingency planning activities with incident handling activities
+
+
+ the organization defines the frequency of contingency plan reviews
+
+
+ the organization reviews the contingency plan for the information system in accordance with the organization-defined frequency
+
+
+ the organization revises the contingency plan to address changes to the organization, information system, or environment of operation and problems encountered during contingency plan implementation, execution or testing
+
+
+ the organization communicates contingency plan changes to the key contingency personnel and organizational elements as identified in CP-2.1 (ii)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Federal Continuity Directive 1
+ NIST 800-34
+
+
+
+ Operational
+ Contingency Planning
+ CP-3
+ Contingency Training
+ P2
+
+
+ The organization trains personnel in their contingency roles and responsibilities with respect to the information system and provides refresher training [Assignment: organization-defined frequency].
+
+
+
+
+ None.
+
+
+
+
+ HIGH
+
+
+ The organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.
+
+
+
+
+
+
+the organization incorporates simulated events into contingency training
+
+
+the incorporation of simulated events into contingency training facilitates effective response by personnel in crisis situations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to provide a more thorough and realistic training environment.
+
+
+
+
+
+
+the organization employs automated mechanisms that provide a more thorough and realistic contingency training environment
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization provides initial contingency training to personnel with contingency roles and responsibilities with respect to the information system
+
+
+ the organization defines the frequency of refresher contingency training
+
+
+ the organization provides refresher training in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-16
+ NIST 800-50
+
+
+
+ Operational
+ Contingency Planning
+ CP-4
+ Contingency Plan Testing and Exercises
+ P2
+
+
+ The organization:
+
+ Tests and/or exercises the contingency plan for the information system [Assignment: organization-defined frequency] using [Assignment: organization-defined tests and/or exercises] to determine the plans effectiveness and the organizations readiness to execute the plan; and
+ Reviews the contingency plan test/exercise results and initiates corrective actions.
+
+
+
+
+
+ There are several methods for testing and/or exercising contingency plans to identify potential weaknesses (e.g., checklist, walk-through/tabletop, simulation: parallel, full interrupt). Contingency plan testing and/or exercises include a determination of the effects on organizational operations and assets (e.g., reduction in mission capability) and individuals arising due to contingency operations in accordance with the plan.
+
+
+
+
+
+
+ The organization coordinates contingency plan testing and/or exercises with organizational elements responsible for related plans.
+
+
+
+
+ Examples of related plans include Business Continuity Plan, Disaster Recovery Plan, Continuity of Operations Plan, Crisis Communications Plan, Critical Infrastructure Plan, Cyber Incident Response Plan, and Occupant Emergency Plan.
+
+
+
+
+
+
+the organization coordinates contingency plan testing and/or exercises with organizational elements responsible for related plans
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization tests/exercises the contingency plan at the alternate processing site to familiarize contingency personnel with the facility and available resources and to evaluate the sites capabilities to support contingency operations.
+
+
+
+
+
+
+the organization conducts contingency plan testing/exercises at the alternate processing site to familiarize contingency personnel with the facility and available resources and to evaluate the site's capabilities to support contingency operations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to more thoroughly and effectively test/exercise the contingency plan by providing more complete coverage of contingency issues, selecting more realistic test/exercise scenarios and environments, and more effectively stressing the information system and supported missions.
+
+
+
+
+
+
+the organization employs automated mechanisms to more thoroughly and effectively test/exercise the contingency plan by providing more complete coverage of contingency issues, selecting more realistic test/exercise scenarios and environments, and more effectively stressing the information system and supported missions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization includes a full recovery and reconstitution of the information system to a known state as part of contingency plan testing.
+
+
+
+
+ Related controls: CP-10, SC-24.
+
+
+
+
+
+
+the organization includes a full recovery and reconstitution of the information system to a known state as part of contingency plan testing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the contingency plan tests and/or exercises to be conducted
+
+
+ the organization defines the frequency of contingency plan tests and/or exercises
+
+
+ the organization tests/exercises the contingency plan using organization-defined tests/exercises in accordance with organization-defined frequency
+
+
+ the organization reviews the contingency plan test/exercise results and takes corrective actions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS Publication 199
+ NIST 800-34
+ NIST 800-84
+
+
+
+ Operational
+ Contingency Planning
+ CP-5
+ Contingency Plan Update
+
+
+ [Withdrawn: Incorporated into CP-2].
+
+
+
+
+ Operational
+ Contingency Planning
+ CP-6
+ Alternate Storage Site
+ P1
+
+
+ The organization establishes an alternate storage site including necessary agreements to permit the storage and recovery of information system backup information.
+
+
+
+
+ Related controls: CP-2, CP-9, MP-4.
+
+
+
+
+
+
+ The organization identifies an alternate storage site that is separated from the primary storage site so as not to be susceptible to the same hazards.
+
+
+
+
+ Hazards of concern to the organization are typically defined in an organizational assessment of risk.
+
+
+
+
+
+
+the contingency plan identifies the primary storage site hazards
+
+
+the alternate storage site is separated from the primary storage site so as not to be susceptible to the same hazards identified at the primary site
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.
+
+
+
+
+
+
+the alternate storage site is configured to facilitate recovery operations in accordance with recovery time objectives and recovery point objectives
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.
+
+
+
+
+ Explicit mitigation actions include, for example, duplicating backup information at another alternate storage site if access to the first alternate site is hindered; or, if electronic accessibility to the alternate site is disrupted, planning for physical access to retrieve backup information.
+
+
+
+
+
+
+the organization identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster
+
+
+the organization outlines explicit mitigation actions for organization identified accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization establishes an alternate storage site
+
+
+ the organization initiates necessary alternate storage site agreements to permit the storage and recovery of information system backup information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-34
+
+
+
+ Operational
+ Contingency Planning
+ CP-7
+ Alternate Processing Site
+ P1
+
+
+ The organization:
+
+ Establishes an alternate processing site including necessary agreements to permit the resumption of information system operations for essential missions and business functions within [Assignment: organization-defined time period consistent with recovery time objectives] when the primary processing capabilities are unavailable; and
+ Ensures that equipment and supplies required to resume operations are available at the alternate site or contracts are in place to support delivery to the site in time to support the organization-defined time period for resumption.
+
+
+
+
+
+ Related control: CP-2.
+
+
+
+
+
+
+ The organization identifies an alternate processing site that is separated from the primary processing site so as not to be susceptible to the same hazards.
+
+
+
+
+ Hazards that might affect the information system are typically defined in the risk assessment.
+
+
+
+
+
+
+the contingency plan identifies the primary processing site hazards
+
+
+the alternate processing site is separated from the primary processing site so as not to be susceptible to the same hazards identified at the primary site
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.
+
+
+
+
+
+
+the organization identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster
+
+
+the organization outlines explicit mitigation actions for organization identified accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with the organizations availability requirements.
+
+
+
+
+
+
+the organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with the organization's availability requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization configures the alternate processing site so that it is ready to be used as the operational site supporting essential missions and business functions.
+
+
+
+
+
+
+the alternate processing site is configured so that it is ready to be used as the operational site to support essential missions and business functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that the alternate processing site provides information security measures equivalent to that of the primary site
+
+
+
+
+
+
+the alternate processing site provides information security measures equivalent to that of the primary site
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization establishes an alternate processing site
+
+
+ the organization defines the time period for achieving the recovery time objectives within which processing must be resumed at the alternate processing site
+
+
+ the organization includes necessary alternate processing site agreements to permit the resumption of information system operations for essential missions and business functions within organization-defined time period
+
+
+ the equipment and supplies required to resume operations are available at the alternate site or contracts are in place to support delivery to the site in time to support the organization-defined time period for resumption
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-34
+
+
+
+ Operational
+ Contingency Planning
+ CP-8
+ Telecommunications Services
+ P1
+
+
+ The organization establishes alternate telecommunications services including necessary agreements to permit the resumption of information system operations for essential missions and business functions within [Assignment: organization-defined time period] when the primary telecommunications capabilities are unavailable.
+
+
+
+
+ Related control: CP-2.
+
+
+
+
+
+
+ The organization:
+
+ Develops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with the organizations availability requirements; and
+ Requests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.
+
+
+
+
+
+
+
+the organization develops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements
+
+
+the organization requests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization obtains alternate telecommunications services with consideration for reducing the likelihood of sharing a single point of failure with primary telecommunications services.
+
+
+
+
+
+
+the organization obtains alternate telecommunications services with consideration for reducing the likelihood of sharing a single point of failure with primary telecommunications services
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization obtains alternate telecommunications service providers that are separated from primary service providers so as not to be susceptible to the same hazards.
+
+
+
+
+
+
+the organization identifies the primary provider's telecommunications service hazards
+
+
+the alternate telecommunications service providers are separated from the primary telecommunications service providers so as not to be susceptible to the same hazards
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization requires primary and alternate telecommunications service providers to have contingency plans.
+
+
+
+
+
+
+the organization requires primary and alternate telecommunications service providers to have contingency plans
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization establishes alternate telecommunications services to support the information system
+
+
+ the organization defines in the time period within which resumption of information system operations must take place
+
+
+ the organization establishes necessary alternate telecommunications service agreements to permit the resumption of telecommunications services for essential missions and business functions within the organization-defined time period when the primary telecommunications capabilities are unavailable
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-34
+ Web Resource TSP.NCS.GOV
+
+
+
+ Operational
+ Contingency Planning
+ CP-9
+ Information System Backup
+ P1
+
+
+ The organization:
+
+ Conducts backups of user-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives];
+ Conducts backups of system-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives];
+ Conducts backups of information system documentation including security-related documentation [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; and
+ Protects the confidentiality and integrity of backup information at the storage location.
+
+
+
+
+
+ System-level information includes, for example, system-state information, operating system and application software, and licenses. Digital signatures and cryptographic hashes are examples of mechanisms that can be employed by organizations to protect the integrity of information system backups. An organizational assessment of risk guides the use of encryption for protecting backup information. The protection of system backup information while in transit is beyond the scope of this control. Related controls: CP-6, MP-4.
+
+
+
+
+
+
+ The organization tests backup information [Assignment: organization-defined frequency] to verify media reliability and information integrity.
+
+
+
+
+
+
+the organization defines the frequency of information system backup testing
+
+
+the organization conducts information system backup testing in accordance with organization-defined frequency to verify backup media reliability and information integrity
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing.
+
+
+
+
+
+
+the organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization stores backup copies of the operating system and other critical information system software, as well as copies of the information system inventory (including hardware, software, and firmware components) in a separate facility or in a fire-rated container that is not colocated with the operational system.
+
+
+
+
+
+
+the organization stores backup copies of operating system and other critical information system software, as well as copies of the information system inventory (including hardware, software, and firmware components) in a separate facility or in a fire-rated container that is not collocated with the operational system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ [Withdrawn: Incorporated into CP-9].
+
+
+
+
+
+
+ The organization transfers information system backup information to the alternate storage site [Assignment: organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives].
+
+
+
+
+
+
+the organization defines the time period and rate of transferring information system backup information to the alternate storage site to support recovery time objectives and recovery point objectives
+
+
+the organization transfers information system backup information to the alternate storage site in accordance with the organization-defined frequency and transfer rate
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization accomplishes information system backup by maintaining a redundant secondary system, not collocated, that can be activated without loss of information or disruption to the operation.
+
+
+
+
+
+
+the organization maintains a redundant, secondary backup system that is not collocated with the primary backup system for the information system
+
+
+the redundant, secondary backup system can be activated to accomplish information system backups without causing loss of information or disruption to the operation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of conducting user-level information backups to support recovery time objectives and recovery point objectives
+
+
+ the organization defines the frequency of conducting system-level information backups to support recovery time objectives and recovery point objectives
+
+
+ the organization defines the frequency of conducting information system documentation backups (including security-related information) to support recovery time objectives and recovery point objectives
+
+
+ the organization backs up user-level information in accordance with the organization-defined frequency
+
+
+ the organization backs up system-level information in accordance with the organization-defined frequency
+
+
+ the organization backs up information system documentation in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization protects the confidentiality and integrity of backup information at the storage location
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-34
+
+
+
+ Operational
+ Contingency Planning
+ CP-10
+ Information System Recovery and Reconstitution
+ P1
+
+
+ The organization provides for the recovery and reconstitution of the information system to a known state after a disruption, compromise, or failure.
+
+
+
+
+ Recovery is executing information system contingency plan activities to restore essential missions and business functions. Reconstitution takes place following recovery and includes activities for returning the information system to its original functional state before contingency plan activation. Recovery and reconstitution procedures are based on organizational priorities, established recovery point/time and reconstitution objectives, and appropriate metrics. Reconstitution includes the deactivation of any interim information system capability that may have been needed during recovery operations. Reconstitution also includes an assessment of the fully restored information system capability, a potential system reauthorization and the necessary activities to prepare the system against another disruption, compromise, or failure. Recovery and reconstitution capabilities employed by the organization can be a combination of automated mechanisms and manual procedures. Related controls: CA-2, CA-6, CA-7, SC-24.
+
+
+
+
+
+
+ [Withdrawn: Incorporated into CP-4].
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system implements transaction recovery for systems that are transaction-based.
+
+
+
+
+ Database management systems and transaction processing systems are examples of information systems that are transaction-based. Transaction rollback and transaction journaling are examples of mechanisms supporting transaction recovery.
+
+
+
+
+
+
+the information system implements transaction recovery for systems that are transaction-based
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization provides compensating security controls for [Assignment: organization-defined circumstances that can inhibit recovery and reconstitution to a known state].
+
+
+
+
+
+
+the organization defines in the security plan, explicitly or by reference, the circumstances that can inhibit recovery and reconstitution of the information system to a known state
+
+
+the organization provides compensating security controls for organization-defined circumstances that can inhibit recovery and reconstitution of the information system to a known state
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization provides the capability to reimage information system components within [Assignment: organization-defined restoration time-periods] from configuration-controlled and integrity-protected disk images representing a secure, operational state for the components.
+
+
+
+
+
+
+the organization defines the time-periods within which information system components must be reimaged from configuration-controlled and integrity-protected disk images representing a secure, operational state for the components
+
+
+the organization provides the capability to reimage information system components, within organization-defined time-periods, from configuration-controlled and integrity-protected disk images representing a secure, operational state for the components
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization provides [Selection: real-time; near-real-time] [Assignment: organization-defined failover capability for the information system].
+
+
+
+
+ Examples of failover capability are incorporating mirrored information system operations at an alternate processing site or periodic data mirroring at regular intervals during a time period defined by the organization's recovery time period.
+
+
+
+
+
+
+the organization defines the type of failover capability for the information system (including whether the capability will be real-time or near real-time)
+
+
+the organization provides the organization-defined failover capability for the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization protects backup and restoration hardware, firmware, and software.
+
+
+
+
+ Protection of backup and restoration hardware, firmware, and software includes both physical and technical measures. Router tables, compilers, and other security-relevant system software are examples of backup and restoration software.
+
+
+
+
+
+
+the organization protects backup and restoration hardware, firmware, and software
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization provides automated mechanisms and/or manual procedures for the recovery and reconstitution of the information system to known state after a disruption, compromise, or failure
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-34
+
+
+
+ Technical
+ Identification and Authentication
+ IA-1
+ Identification and Authentication Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented identification and authentication policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the identification and authentication family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The identification and authentication policy can be included as part of the general information security policy for the organization. Identification and authentication procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the identification and authentication policy. Related control: PM-9.
+
+
+
+
+
+
+ the organization develops and formally documents identification and authentication policy
+
+
+ the organization identification and authentication policy addresses:
+- purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented identification and authentication policy to elements within the organization having associated identification and authentication roles and responsibilities
+
+
+ the organization develops and formally documents identification and authentication procedures
+
+
+ the organization identification and authentication procedures facilitate implementation of the identification and authentication policy and associated identification and authentication controls
+
+
+ the organization disseminates formal documented identification and authentication procedures to elements within the organization having associated identification and authentication roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of identification and authentication policy reviews/updates
+
+
+ the organization reviews/updates identification and authentication policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of identification and authentication procedure reviews/updates
+
+
+ the organization reviews/updates identification and authentication procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS 201
+ NIST 800-100
+ NIST 800-12
+ NIST 800-63
+ NIST 800-73
+ NIST 800-76
+ NIST 800-78
+
+
+
+ Technical
+ Identification and Authentication
+ IA-2
+ Identification and Authentication (Organizational Users)
+ P1
+
+
+ The information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).
+
+
+
+
+ Organizational users include organizational employees or individuals the organization deems to have equivalent status of employees (e.g., contractors, guest researchers, individuals from allied nations). Users are uniquely identified and authenticated for all accesses other than those accesses explicitly identified and documented by the organization in AC-14. Unique identification of individuals in group accounts (e.g., shared privilege accounts) may need to be considered for detailed accountability of activity. Authentication of user identities is accomplished through the use of passwords, tokens, biometrics, or in the case of multifactor authentication, some combination thereof. Access to organizational information systems is defined as either local or network. Local access is any access to an organizational information system by a user (or process acting on behalf of a user) where such access is obtained by direct connection without the use of a network. Network access is any access to an organizational information system by a user (or process acting on behalf of a user) where such access is obtained through a network connection. Remote access is a type of network access which involves communication through an external network (e.g., the Internet). Internal networks include local area networks, wide area networks, and virtual private networks that are under the control of the organization. For a virtual private network (VPN), the VPN is considered an internal network if the organization establishes the VPN connection between organization-controlled endpoints in a manner that does not require the organization to depend on any external networks across which the VPN transits to protect the confidentiality and integrity of information transmitted. Identification and authentication requirements for information system access by other than organizational users are described in IA-8.
+ The identification and authentication requirements in this control are satisfied by complying with Homeland Security Presidential Directive 12 consistent with organization-specific implementation plans provided to OMB. In addition to identifying and authenticating users at the information-system level (i.e., at logon), identification and authentication mechanisms are employed at the application level, when necessary, to provide increased information security for the organization. Related controls: AC-14, AC-17, AC-18, IA-4, IA-5.
+
+
+
+
+
+
+ The information system uses multifactor authentication for network access to privileged accounts.
+
+
+
+
+
+
+the information system uses multifactor authentication for network access to privileged accounts
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system uses multifactor authentication for network access to non-privileged accounts.
+
+
+
+
+
+
+the information system uses multifactor authentication for network access to non-privileged accounts
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system uses multifactor authentication for local access to privileged accounts.
+
+
+
+
+
+
+the information system uses multifactor authentication for local access to privileged accounts
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The information system uses multifactor authentication for local access to non-privileged accounts.
+
+
+
+
+
+
+the information system uses multifactor authentication for local access to non-privileged accounts
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Allows the use of group authenticators only when used in conjunction with an individual/unique authenticator; and
+ Requires individuals to be authenticated with an individual authenticator prior to using a group authenticator
+
+
+
+
+
+
+
+the organization allows the use of group authenticators only when used in conjunction with an individual/unique authenticator
+
+
+the organization requires individuals to be authenticated with an individual authenticator prior to using a group authenticator
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system uses multifactor authentication for network access to privileged accounts where one of the factors is provided by a device separate from the information system being accessed.
+
+
+
+
+
+
+the information system uses multifactor authentication for network access to privileged accounts where one of the factors is provided by a device separate from the information system being accessed
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system uses multifactor authentication for network access to non-privileged accounts where one of the factors is provided by a device separate from the information system being accessed.
+
+
+
+
+
+
+the information system uses multifactor authentication for network access to non-privileged accounts where one of the factors is provided by a device separate from the information system being accessed
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system uses [Assignment: organization-defined replay-resistant authentication mechanisms] for network access to privileged accounts.
+
+
+
+
+ An authentication process resists replay attacks if it is impractical to achieve a successful authentication by recording and replaying a previous authentication message. Techniques used to address this include protocols that use nonces or challenges (e.g., TLS), and time synchronous or challenge-response one-time authenticators.
+
+
+
+
+
+
+the organization defines the replay-resistant authentication mechanisms to be used for network access to privileged accounts
+
+
+the information system uses the organization-defined replay-resistant authentication mechanisms for network access to privileged accounts
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The information system uses [Assignment: organization-defined replay-resistant authentication mechanisms] for network access to non-privileged accounts.
+
+
+
+
+ An authentication process resists replay attacks if it is impractical to achieve a successful authentication by recording and replaying a previous authentication message. Techniques used to address this include protocols that use nonces or challenges (e.g., TLS), and time synchronous or challenge-response one-time authenticators.
+
+
+
+
+
+
+the organization defines the replay-resistant authentication mechanisms to be used for network access to non-privileged accounts
+
+
+the information system uses the organization-defined replay-resistant authentication mechanisms for network access to non-privileged accounts
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS 201
+ HSPD 12
+ NIST 800-63
+ NIST 800-73
+ NIST 800-76
+ NIST 800-78
+ OMB Memorandum 04-04
+
+
+
+ Technical
+ Identification and Authentication
+ IA-3
+ Device Identification and Authentication
+ P1
+
+
+ The information system uniquely identifies and authenticates [Assignment: organization-defined list of specific and/or types of devices] before establishing a connection.
+
+
+
+
+ The devices requiring unique identification and authentication may be defined by type, by specific device, or by a combination of type and device as deemed appropriate by the organization. The information system typically uses either shared known information (e.g., Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for identification or an organizational authentication solution (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify and authenticate devices on local and/or wide area networks. The required strength of the device authentication mechanism is determined by the security categorization of the information system.
+
+
+
+
+
+
+ The information system authenticates devices before establishing remote and wireless network connections using bidirectional authentication between devices that is cryptographically based.
+
+
+
+
+ Remote network connection is any connection with a device communicating through an external network (e.g., the Internet). Related controls: AC-17, AC-18.
+
+
+
+
+
+
+the information system authenticates devices before establishing remote network connections using bi-directional authentication between devices that is cryptographically based
+
+
+the information system authenticates devices before establishing wireless network connections using bi-directional authentication between devices that is cryptographically based
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system authenticates devices before establishing network connections using bidirectional authentication between devices that is cryptographically based.
+
+
+
+
+
+
+the information system authenticates devices before establishing network connections using bidirectional authentication between devices that is cryptographically based
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization standardizes, with regard to dynamic address allocation, Dynamic Host Control Protocol (DHCP) lease information and the time assigned to devices, and audits lease information when assigned to a device.
+
+
+
+
+ With regard to dynamic address allocation for devices, DHCP-enabled clients typically obtain leases for IP addresses from DHCP servers.
+
+
+
+
+
+
+the organization standardizes, with regard to dynamic address allocation, Dynamic Host Control Protocol (DHCP) lease information and the time assigned to DHCP-enabled devices
+
+
+the organization audits DHCP lease information (including IP addresses) when assigned to a DHCP-enabled devices
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the specific and/or types of devices for which identification and authentication is required before establishing a connection to the information system
+
+
+ the information system uniquely identifies and authenticates the organization-defined devices before establishing a connection to the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Identification and Authentication
+ IA-4
+ Identifier Management
+ P1
+
+
+ The organization manages information system identifiers for users and devices by:
+
+ Receiving authorization from a designated organizational official to assign a user or device identifier;
+ Selecting an identifier that uniquely identifies an individual or device;
+ Assigning the user identifier to the intended party or the device identifier to the intended device;
+ Preventing reuse of user or device identifiers for [Assignment: organization-defined time period]; and
+ Disabling the user identifier after [Assignment: organization-defined time period of inactivity].
+
+
+
+
+
+ Common device identifiers include media access control (MAC) or Internet protocol (IP) addresses, or device-unique token identifiers. Management of user identifiers is not applicable to shared information system accounts (e.g., guest and anonymous accounts). It is commonly the case that a user identifier is the name of an information system account associated with an individual. In such instances, identifier management is largely addressed by the account management activities of AC-2. IA-4 also covers user identifiers not necessarily associated with an information system account (e.g., the identifier used in a physical security control database accessed by a badge reader system for access to the information system). Related control: AC-2, IA-2.
+
+
+
+
+
+
+ The organization prohibits the use of information system account identifiers as public identifiers for user electronic mail accounts (i.e., user identifier portion of the electronic mail address)
+
+
+
+
+ The organization implements this control enhancement to the extent that the information system allows.
+
+
+
+
+
+
+the organization prohibits the use of information system account identifiers as public identifiers for user electronic mail accounts (i.e., user identifier portion of the electronic mail address)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires that registration to receive a user ID and password include authorization by a supervisor, and be done in person before a designated registration authority.
+
+
+
+
+
+
+the organization requires that registration to receive a user ID and password include authorization by a supervisor
+
+
+the organization requires that registration to receive a user ID and password be done in person before a designated registration authority
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires multiple forms of certification of individual identification such as documentary evidence or a combination of documents and biometrics be presented to the registration authority.
+
+
+
+
+
+
+the organization requires multiple forms of certification of individual identification such as documentary evidence or a combination of documents and biometrics be presented to the registration authority
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization manages user identifiers by uniquely identifying the user as [Assignment: organization-defined characteristic identifying user status].
+
+
+
+
+ Characteristics identifying user status include, for example, contractors and foreign nationals.
+
+
+
+
+
+
+the organization defines the characteristic to be used to identify user status
+
+
+the organization manages user identifiers by uniquely identifying the user with the organization-defined characteristic identifying user status
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system dynamically manages identifiers, attributes, and associated access authorizations.
+
+
+
+
+ : In contrast to conventional approaches to identification and authentication which employ static information system accounts for preregistered users, many service-oriented architecture implementations rely on establishing identities at run time for entities that were previously unknown. Dynamic establishment of identities and association of attributes and privileges with these identities is anticipated and provisioned. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.
+
+
+
+
+
+
+the information system dynamically manages:
+-identifiers;
+-attributes; and
+-associated access authorizations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the time period for preventing reuse of user or device identifiers
+
+
+ the organization defines the time period of inactivity after which a user identifier is to be disabled
+
+
+ the organization manages information system identifiers for users and devices by:
+-receiving authorization from a designated organizational official to assign a user or device identifier;
+-selecting an identifier that uniquely identifies an individual or device;
+-assigning the user identifier to the intended party or the device identifier to the intended device;
+-preventing reuse of user or device identifiers for the organization-defined time period; and
+-disabling the user identifier after the organization-defined time period of inactivity
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS 201
+ NIST 800-73
+ NIST 800-76
+ NIST 800-78
+
+
+
+ Technical
+ Identification and Authentication
+ IA-5
+ Authenticator Management
+ P1
+
+
+ The organization manages information system authenticators for users and devices by:
+
+ Verifying, as part of the initial authenticator distribution, the identity of the individual and/or device receiving the authenticator;
+ Establishing initial authenticator content for authenticators defined by the organization;
+ Ensuring that authenticators have sufficient strength of mechanism for their intended use;
+ Establishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators;
+ Changing default content of authenticators upon information system installation;
+ Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators (if appropriate);
+ Changing/refreshing authenticators [Assignment: organization-defined time period by authenticator type];
+ Protecting authenticator content from unauthorized disclosure and modification; and
+ Requiring users to take, and having devices implement, specific measures to safeguard authenticators.
+
+
+
+
+
+ User authenticators include, for example, passwords, tokens, biometrics, PKI certificates, and key cards. Initial authenticator content is the actual content (e.g., the initial password) as opposed to requirements about authenticator content (e.g., minimum password length). Many information system components are shipped with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, present a significant security risk, and therefore, are changed upon installation. The requirement to protect user authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of users and by controls AC-3, AC-6, and SC-28 for authenticators stored within the information system (e.g., passwords stored in a hashed or encrypted format, files containing encrypted or hashed passwords accessible only with super user privileges). The information system supports user authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, password composition, validation time window for time synchronous one time tokens, and number of allowed rejections during verification stage of biometric authentication. Measures to safeguard user authenticators include, for example, maintaining possession of individual authenticators, not loaning or sharing authenticators with others, and reporting lost or compromised authenticators immediately. Authenticator management includes issuing and revoking, when no longer needed, authenticators for temporary access such as that required for remote maintenance. Device authenticators include, for example, certificates and passwords. Related controls: AC-2, IA-2, PL-4, PS-6.
+
+
+
+
+
+
+ The information system, for password-based authentication:
+
+ Enforces minimum password complexity of [Assignment: organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type];
+ Enforces at least a [Assignment: organization-defined number of changed characters] when new passwords are created;
+ Encrypts passwords in storage and in transmission;
+ Enforces password minimum and maximum lifetime restrictions of [Assignment: organization-defined numbers for lifetime minimum, lifetime maximum]; and
+ Prohibits password reuse for [Assignment: organization-defined number] generations.
+
+
+
+
+
+ This control enhancement is intended primarily for environments where passwords are used as a single factor to authenticate users, or in a similar manner along with one or more additional authenticators. The enhancement generally does not apply to situations where passwords are used to unlock hardware authenticators. The implementation of such password mechanisms may not meet all of the requirements in the enhancement.
+
+
+
+
+
+
+the organization defines the minimum password complexity requirements to be enforced for case sensitivity, the number of characters, and the mix of upper-case letters, lower-case letters, numbers, and special characters including minimum requirements for each type
+
+
+the organization defines the minimum number of characters that must be changed when new passwords are created
+
+
+the organization defines the restrictions to be enforced for password minimum lifetime and password maximum lifetime parameters
+
+
+the organization defines the number of generations for which password reuse is prohibited
+
+
+the information system, for password-based authentication:
+-enforces the minimum password complexity standards that meet the organization-defined requirements;
+-enforces the organization-defined minimum number of characters that must be changed when new passwords are created;
+-encrypts passwords in storage and in transmission;
+-enforces the organization-defined restrictions for password minimum lifetime and password maximum lifetime parameters; and
+-prohibits password reuse for the organization-defined number of generations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system, for PKI-based authentication:
+
+ Validates certificates by constructing a certification path with status information to an accepted trust anchor;
+ Enforces authorized access to the corresponding private key; and
+ Maps the authenticated identity to the user account.
+
+
+
+
+
+ Status information for certification paths includes, for example, certificate revocation lists or online certificate status protocol responses.
+
+
+
+
+
+
+the information system, for PKI-based authentication:
+-validates certificates by constructing a certification path with status information to an accepted trust anchor;
+-enforces authorized access to the corresponding private key; and
+-maps the authenticated identity to the user account
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires that the registration process to receive [Assignment: organization-defined types of and/or specific authenticators] be carried out in person before a designated registration authority with authorization by a designated organizational official (e.g., a supervisor).
+
+
+
+
+
+
+the organization defines the types of and/or specific authenticators for which the registration process must be carried out in person before a designated registration authority with authorization by a designated organizational official
+
+
+the organization requires that the registration process to receive organization-defined types of and/or specific authenticators be carried out in person before a designated registration authority with authorization by a designated organizational official (e.g., a supervisor)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated tools to determine if authenticators are sufficiently strong to resist attacks intended to discover or otherwise compromise the authenticators.
+
+
+
+
+
+
+the organization employs automated tools to determine if authenticators are sufficiently strong to resist attacks intended to discover or otherwise compromise the authenticators
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires vendors and/or manufacturers of information system components to provide unique authenticators or change default authenticators prior to delivery.
+
+
+
+
+ This control enhancement extends the requirement for organizations to change default authenticators upon information system installation, by requiring vendors and/or manufacturers of information system components to provide unique authenticators or change default authenticators for those components prior to delivery to the organization. Unique authenticators are assigned by vendors and/or manufacturers to specific information system components (i.e., delivered information technology products) with distinct serial numbers. This requirement is included in acquisition documents prepared by the organization when procuring information systems and/or information system components.
+
+
+
+
+
+
+the organization requires vendors and/or manufacturers of information system components to provide unique authenticators or change default authenticators prior to delivery
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization protects authenticators commensurate with the classification or sensitivity of the information accessed.
+
+
+
+
+
+
+the organization protects authenticators commensurate with the classification or sensitivity of the information accessed
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys.
+
+
+
+
+ Organizations exercise caution in determining whether an embedded or stored authenticator is in encrypted or unencrypted form. If the authenticator in its stored representation, is used in the manner stored, then that representation is considered an unencrypted authenticator. This is irrespective of whether that representation is perhaps an encrypted version of something else (e.g., a password).
+
+
+
+
+
+
+the organization ensures that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization takes [Assignment: organization-defined measures] to manage the risk of compromise due to individuals having accounts on multiple information systems.
+
+
+
+
+ When an individual has accounts on multiple information systems, there is the risk that if one account is compromised and the individual is using the same user identifier and authenticator, other accounts will be compromised as well. Possible alternatives include, but are not limited to: (i) having the same user identifier but different authenticators on all systems; (ii) having different user identifiers and authenticators on each system; (iii) employing some form of single sign-on mechanism; or (iv) including some form of one-time passwords on all systems.
+
+
+
+
+
+
+the organization defines measures taken to manage the risk of compromise due to individuals having accounts on multiple information systems
+
+
+the organization takes organization-defined measures to manage the risk of compromise due to individuals having accounts on multiple information systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the time period (by authenticator type) for changing/refreshing authenticators
+
+
+ the organization manages information system authenticators for users and devices by:
+-verifying, as part of the initial authenticator distribution, the identity of the individual and/or device receiving the authenticator;
+-establishing initial authenticator content for authenticators defined by the organization;
+-ensuring that authenticators have sufficient strength of mechanism for their intended use;
+-establishing and implementing administrative procedures for initial authenticator distribution;
+-establishing and implementing administrative procedures for lost/compromised or damaged authenticators;
+-establishing and implementing administrative procedures for revoking authenticators;
+-changing default content of authenticators upon information system installation;
+-establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators (if deemed to be appropriate by the organization);
+-changing/refreshing authenticators in accordance with the organization-defined time period by authenticator type;
+-protecting authenticator content from unauthorized disclosure and modification; and
+-requiring users to take, and having devices implement, specific measures to safeguard authenticators
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS 201
+ NIST 800-63
+ NIST 800-73
+ NIST 800-76
+ NIST 800-78
+ OMB Memorandum 04-04
+
+
+
+ Technical
+ Identification and Authentication
+ IA-6
+ Authenticator Feedback
+ P1
+
+
+ The information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals
+
+
+
+
+ The feedback from the information system does not provide information that would allow an unauthorized user to compromise the authentication mechanism. Displaying asterisks when a user types in a password, is an example of obscuring feedback of authentication information.
+
+
+
+
+
+
+ the information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ Identification and Authentication
+ IA-7
+ Cryptographic Module Authentication
+ P1
+
+
+ The information system uses mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.
+
+
+
+
+ None.
+
+
+
+
+
+
+ the information system uses mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS 140-2
+ Web Resource CSRC.NIST.GOV/CRYPTVAL
+
+
+
+ Technical
+ Identification and Authentication
+ IA-8
+ Identification and Authentication (Non-organizational Users)
+ P1
+
+
+ The information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).
+
+
+
+
+ Non-organizational users include all information system users other than organizational users explicitly covered by IA-2. Users are uniquely identified and authenticated for all accesses other than those accesses explicitly identified and documented by the organization in accordance with AC-14. In accordance with the E-Authentication E-Government initiative, authentication of non-organizational users accessing federal information systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Accordingly, a risk assessment is used in determining the authentication needs of the organization. Scalability, practicality, and security are simultaneously considered in balancing the need to ensure ease of use for access to federal information and information systems with the need to protect and adequately mitigate risk to organizational operations, organizational assets, individuals, other organizations, and the Nation. Identification and authentication requirements for information system access by organizational users are described in IA-2. Related controls: AC-14, AC-17, AC-18, MA-4.
+
+
+
+
+
+
+ he information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-63
+ OMB Memorandum 04-04
+ Web Resource WWW.CIO.GOV/EAUTHENTICATION
+
+
+
+ Operational
+ Incident Response
+ IR-1
+ Incident Response Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented incident response policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the incident response policy and associated incident response controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the incident response family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The incident response policy can be included as part of the general information security policy for the organization. Incident response procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the incident response policy. Related control: PM-9.
+
+
+
+
+
+
+ the organization develops and formally documents incident response policy
+
+
+ the organization incident response policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented incident response policy to elements within the organization having associated incident response roles and responsibilities
+
+
+ the organization develops and formally documents incident response procedures
+
+
+ the organization incident response procedures facilitate implementation of the incident response policy and associated incident response controls
+
+
+ the organization disseminates formal documented incident response procedures to elements within the organization having associated incident response roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of incident response policy reviews/updates
+
+
+ the organization reviews/updates incident response policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of incident response procedure reviews/updates
+
+
+ the organization reviews/updates incident response procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-100
+ NIST 800-12
+ NIST 800-61
+ NIST 800-83
+
+
+
+ Operational
+ Incident Response
+ IR-2
+ Incident Response Training
+ P2
+
+
+ The organization:
+
+ Trains personnel in their incident response roles and responsibilities with respect to the information system; and
+ Provides refresher training [Assignment: organization-defined frequency].
+
+
+
+
+
+ Incident response training includes user training in the identification and reporting of suspicious activities, both from external and internal sources. Related control: AT-3.
+
+
+
+
+ HIGH
+
+
+ The organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations.
+
+
+
+
+
+
+the organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to provide a more thorough and realistic training environment.
+
+
+
+
+
+
+the organization employs automated mechanisms to provide a more thorough and realistic incident response training environment
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization identifies personnel with incident response roles and responsibilities with respect to the information system
+
+
+ the organization provides incident response training to personnel with incident response roles and responsibilities with respect to the information system
+
+
+ incident response training material addresses the procedures and activities necessary to fulfill identified organizational incident response roles and responsibilities
+
+
+ the organization defines the frequency of refresher incident response training
+
+
+ the organization provides refresher incident response training in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-16
+ NIST 800-50
+
+
+
+ Operational
+ Incident Response
+ IR-3
+ Incident Response Testing and Exercises
+ P2
+
+
+ The organization tests and/or exercises the incident response capability for the information system [Assignment: organization-defined frequency] using [Assignment: organization-defined tests and/or exercises] to determine the incident response effectiveness and documents the results.
+
+
+
+
+ None.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to more thoroughly and effectively test/exercise the incident response capability.
+
+
+
+
+ Automated mechanisms can provide the ability to more thoroughly and effectively test or exercise the incident response capability by providing more complete coverage of incident response issues, selecting more realistic test/exercise scenarios and environments, and more effectively stressing the response capability. Related control: AT-2.
+
+
+
+
+
+
+the organization employs automated mechanisms to more thoroughly and effectively test/exercise the incident response capability for the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines incident response tests/exercises
+
+
+ the organization defines the frequency of incident response tests/exercises
+
+
+ the organization tests/exercises the incident response capability for the information system using organization-defined tests/exercises in accordance with organization-defined frequency
+
+
+ the organization documents the results of incident response tests/exercises
+
+
+ the organization determines the effectiveness of the incident response capability
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-115
+ NIST 800-84
+
+
+
+ Operational
+ Incident Response
+ IR-4
+ Incident Handling
+ P1
+
+
+ The organization:
+
+ Implements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery;
+ Coordinates incident handling activities with contingency planning activities; and
+ Incorporates lessons learned from ongoing incident handling activities into incident response procedures, training, and testing/exercises, and implements the resulting changes accordingly.
+
+
+
+
+
+ Incident-related information can be obtained from a variety of sources including, but not limited to, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports. Related controls: AU-6, CP-2, IR-2, IR-3, PE-6, SC-5, SC-7, SI-3, SI-4, SI-7.
+
+
+
+
+
+
+ The organization employs automated mechanisms to support the incident handling process.
+
+
+
+
+ An online incident management system is an example of an automated mechanism.
+
+
+
+
+
+
+the organization employs automated mechanisms to support the incident handling process
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization includes dynamic reconfiguration of the information system as part of the incident response capability.
+
+
+
+
+ Dynamic reconfiguration includes, for example, changes to router rules, access control lists, intrusion detection/prevention system parameters, and filter rules for firewalls and gateways.
+
+
+
+
+
+
+the organization includes dynamic reconfiguration of the information system as part of the incident response capability
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization identifies classes of incidents and defines appropriate actions to take in response to ensure continuation of organizational missions and business functions.
+
+
+
+
+ Classes of incidents include, for example, malfunctions due to design/implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Incident response actions that may be appropriate include, for example, graceful degradation, information system shutdown, fall back to manual mode or alternative technology whereby the system operates differently, employing deceptive measures (e.g., false data flows, false status measures), alternate information flows, or operating in a mode that is reserved solely for when a system is under attack.
+
+
+
+
+
+
+the organization identifies classes of incidents
+
+
+the organization defines the appropriate actions to take in response to each class of incidents to ensure continuation of organizational missions and business functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.
+
+
+
+
+
+
+the organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization implements a configurable capability to automatically disable the information system if any of the following security violations are detected: [Assignment: organization-defined list of security violations].
+
+
+
+
+
+
+the organization defines a list of security violations that, if detected, initiate a configurable capability to automatically disable the information system
+
+
+the organization implements a configurable capability to automatically disable the information system if any of the organization-defined security violations are detected
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization implements an incident handling capability for security incidents that includes:
+-preparation;
+-detection and analysis;
+-containment;
+-eradication; and
+-recovery
+
+
+ the organization coordinates incident handling activities with contingency planning activities
+
+
+ the organization incorporates lessons learned from ongoing incident handling activities into:
+-incident response procedures;
+-training; and
+-testing/exercises
+
+
+ the organization implements the resulting changes to incident response procedures, training and testing/exercise accordingly
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-61
+
+
+
+ Operational
+ Incident Response
+ IR-5
+ Incident Monitoring
+ P1
+
+
+ The organization tracks and documents information system security incidents.
+
+
+
+
+ Documenting information system security incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics, evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources including, for example, incident reports, incident response teams, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to assist in the tracking of security incidents and in the collection and analysis of incident information.
+
+
+
+
+ Automated mechanisms for tracking security incidents and collecting/analyzing incident information include, for example, the Einstein network monitoring device and monitoring online Computer Incident Response Centers (CIRCs) or other electronic databases of incidents. Related controls: AU-6, AU-7, SI-4.
+
+
+
+
+
+
+the organization employs automated mechanisms to assist in the tracking of security incidents
+
+
+the organization employs automated mechanisms to assist in the collection of security incident information
+
+
+he organization employs automated mechanisms to assist in the analysis of security incident information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization tracks and documents information system security incidents
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-61
+
+
+
+ Operational
+ Incident Response
+ IR-6
+ Incident Reporting
+ P1
+
+
+ The organization:
+
+ Requires personnel to report suspected security incidents to the organizational incident response capability within [Assignment: organization-defined time-period]; and
+ Reports security incident information to designated authorities.
+
+
+
+
+
+ The intent of this control is to address both specific incident reporting requirements within an organization and the formal incident reporting requirements for federal agencies and their subordinate organizations. The types of security incidents reported, the content and timeliness of the reports, and the list of designated reporting authorities are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Current federal policy requires that all federal agencies (unless specifically exempted from such requirements) report security incidents to the United States Computer Emergency Readiness Team (US-CERT) within specified time frames designated in the US-CERT Concept of Operations for Federal Cyber Security Incident Handling. Related controls: IR-4, IR-5.
+
+
+
+
+
+
+ The organization employs automated mechanisms to assist in the reporting of security incidents.
+
+
+
+
+
+
+he organization employs automated mechanisms to assist in the reporting of security incidents
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization reports information system weaknesses, deficiencies, and/or vulnerabilities associated with reported security incidents to appropriate organizational officials.
+
+
+
+
+
+
+the organization reports information system weaknesses, deficiencies, and/or vulnerabilities associated with reported security incidents to appropriate organizational officials
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines in the time period required to report suspected security incidents to the organizational incident response capability
+
+
+ the organization requires personnel to report suspected security incidents to the organizational incident response capability within the organization-defined time period
+
+
+ the organization reports security incident information to designated authorities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-61
+
+
+
+ Operational
+ Incident Response
+ IR-7
+ Incident Response Assistance
+ P3
+
+
+ The organization provides an incident response support resource, integral to the organizational incident response capability, that offers advice and assistance to users of the information system for the handling and reporting of security incidents.
+
+
+
+
+ Possible implementations of incident response support resources in an organization include a help desk or an assistance group and access to forensics services, when required. Related controls: IR-4, IR-6.
+
+
+
+
+
+
+ The organization employs automated mechanisms to increase the availability of incident response-related information and support.
+
+
+
+
+ Automated mechanisms can provide a push and/or pull capability for users to obtain incident response assistance. For example, individuals might have access to a website to query the assistance capability, or conversely, the assistance capability may have the ability to proactively send information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.
+
+
+
+
+
+
+the organization employs automated mechanisms to increase the availability of incident response-related information and support
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Establishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and
+ Identifies organizational incident response team members to the external providers.
+
+
+
+
+
+ External providers of information system protection capability include, for example, the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks.
+
+
+
+
+
+
+the organization establishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability
+
+
+the organization identifies organizational incident response team members to the external providers
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization provides an incident response support resource that offers advice and assistance to users of the information system for the handling and reporting of security incidents
+
+
+ the incident response support resource is an integral part of the organization's incident response capability
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Incident Response
+ IR-8
+ Incident Response Plan
+ P1
+
+
+ The organization:
+
+ Develops an incident response plan that:
+ Provides the organization with a roadmap for implementing its incident response capability;
+ Describes the structure and organization of the incident response capability;
+ Provides a high-level approach for how the incident response capability fits into the overall organization;
+ Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;
+ Defines reportable incidents;
+ Provides metrics for measuring the incident response capability within the organization.
+ Defines the resources and management support needed to effectively maintain and mature an incident response capability; and
+ Is reviewed and approved by designated officials within the organization;
+
+
+ Distributes copies of the incident response plan to [Assignment: organization-defined list of incident response personnel (identified by name and/or by role) and organizational elements];
+ Reviews the incident response plan [Assignment: organization-defined frequency];
+ Revises the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing; and
+ Communicates incident response plan changes to [Assignment: organization-defined list of incident response personnel (identified by name and/or by role) and organizational elements].
+
+
+
+
+
+ It is important that organizations have a formal, focused, and coordinated approach to responding to incidents. The organizations mission, strategies, and goals for incident response help determine the structure of its incident response capability.
+
+
+
+
+
+
+ the organization develops an incident response plan that:
+-provides the organization with a roadmap for implementing its incident response capability;
+-describes the structure and organization of the incident response capability;
+-provides a high-level approach for how the incident response capability fits into the overall organization;
+-meets the unique requirements of the organization, which relate to mission, size, structure, and functions;
+-defines reportable incidents;
+-provides metrics for measuring the incident response capability within the organization;
+-defines the resources and management support needed to effectively maintain and mature an incident response capability; and
+-is reviewed and approved by designated officials within the organization
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines, in the incident response plan, incident response personnel (identified by name and/or role) and organizational elements
+
+
+ the organization distributes copies of the incident response plan to incident response personnel and organizational elements identified in the plan
+
+
+ the organization defines, in the incident response plan, the frequency to review the plan
+
+
+ the organization reviews the incident response plan in accordance with the organization-defined frequency
+
+
+ the organization revises the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing
+
+
+ the organization communicates incident response plan changes to incident response personnel and organizational elements identified in the plan
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-61
+
+
+
+ Operational
+ Maintenance
+ MA-1
+ System Maintenance Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented information system maintenance policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the information system maintenance policy and associated system maintenance controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the system maintenance family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The information system maintenance policy can be included as part of the general information security policy for the organization. System maintenance procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the system maintenance policy. Related control: PM-9.
+
+
+
+
+
+
+ the organization develops and formally documents system maintenance policy
+
+
+ the organization system maintenance policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented system maintenance policy to elements within the organization having associated system maintenance roles and responsibilities
+
+
+ the organization develops and formally documents system maintenance procedures
+
+
+ the organization system maintenance procedures facilitate implementation of the system maintenance policy and associated system maintenance controls
+
+
+ the organization disseminates formal documented system maintenance procedures to elements within the organization having associated system maintenance roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of system maintenance policy reviews/updates
+
+
+ the organization reviews/updates system maintenance policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of system maintenance procedure reviews/updates
+
+
+ the organization reviews/updates system maintenance procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Operational
+ Maintenance
+ MA-2
+ Controlled Maintenance
+ P2
+
+
+ The organization:
+
+ Schedules, performs, documents, and reviews records of maintenance and repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements;
+ Controls all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;
+ Requires that a designated official explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;
+ Sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs; and
+ Checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions.
+
+
+
+
+
+ The control is intended to address the information security aspects of the organizations information system maintenance program. Related controls: MP-6, SI-2.
+
+
+
+
+
+
+ The organization maintains maintenance records for the information system that include:
+
+ Date and time of maintenance;
+ Name of the individual performing the maintenance;
+ Name of escort, if necessary;
+ A description of the maintenance performed; and
+ A list of equipment removed or replaced (including identification numbers, if applicable).
+
+
+
+
+
+
+
+the organization maintains maintenance records for the information system that include:
+-date and time of maintenance;
+-name of the individual performing the maintenance;
+-name of escort, if necessary;
+-a description of the maintenance performed; and
+-a list of equipment removed or replaced (including identification numbers, if applicable)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to schedule, conduct, and document maintenance and repairs as required, producing up-to date, accurate, complete, and available records of all maintenance and repair actions, needed, in process, and completed.
+
+
+
+
+
+
+the organization employs automated mechanisms to schedule, conduct, and document maintenance and repairs as required
+
+
+the organization employs automated mechanisms to produce up-to-date, accurate, complete, and available records of all maintenance and repair actions needed, in process and complete
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization schedules, performs, documents, and reviews records of maintenance and repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements
+
+
+ the organization controls all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location
+
+
+ the organization requires that a designated official explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs
+
+
+ the organization sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs
+
+
+ the organization checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Maintenance
+ MA-3
+ Maintenance Tools
+ P2
+
+
+ The organization approves, controls, monitors the use of, and maintains on an ongoing basis, information system maintenance tools.
+
+
+
+
+ The intent of this control is to address the security-related issues arising from the hardware and software brought into the information system specifically for diagnostic and repair actions (e.g., a hardware or software packet sniffer that is introduced for the purpose of a particular maintenance activity). Hardware and/or software components that may support information system maintenance, yet are a part of the system (e.g., the software implementing ping, ls, ipconfig, or the hardware and software implementing the monitoring port of an Ethernet switch) are not covered by this control. Related control: MP-6.
+
+
+
+
+
+
+ The organization inspects all maintenance tools carried into a facility by maintenance personnel for obvious improper modifications.
+
+
+
+
+ Maintenance tools include, for example, diagnostic and test equipment used to conduct maintenance on the information system.
+
+
+
+
+
+
+the organization inspects all maintenance tools carried into a facility by maintenance personnel for obvious improper modifications
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization checks all media containing diagnostic and test programs for malicious code before the media are used in the information system.
+
+
+
+
+
+
+the organization checks all media containing diagnostic and test programs (e.g., software or firmware used for information system maintenance or diagnostics) for malicious code before the media are used in the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization prevents the unauthorized removal of maintenance equipment by one of the following:
+
+ verifying that there is no organizational information contained on the equipment; (ii) sanitizing or destroying the equipment; (iii) retaining the equipment within the facility; or (iv) obtaining an exemption from a designated organization official explicitly authorizing removal of the equipment from the facility.
+
+
+
+
+
+
+
+the organization prevents the unauthorized removal of maintenance equipment by one of the following:
+-verifying that there is no organizational information contained on the equipment;
+-sanitizing or destroying the equipment;
+-retaining the equipment within the facility; or
+-obtaining an exemption from a designated organization official explicitly authorizing removal of the equipment from the facility
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to restrict the use of maintenance tools to authorized personnel only.
+
+
+
+
+
+
+the organization employs automated mechanisms to restrict the use of maintenance tools to authorized personnel only
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization approves, controls, and monitors the use of information system maintenance tools
+
+
+ the organization maintains information system maintenance tools on an ongoing basis
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-88
+
+
+
+ Operational
+ Maintenance
+ MA-4
+ Non-local Maintenance
+ P1
+
+
+ The organization:
+
+ Authorizes, monitors, and controls non-local maintenance and diagnostic activities;
+ Allows the use of non-local maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the information system;
+ Employs strong identification and authentication techniques in the establishment of non-local maintenance and diagnostic sessions;
+ Maintains records for non-local maintenance and diagnostic activities; and
+ Terminates all sessions and network connections when non-local maintenance is completed.
+
+
+
+
+
+ Non-local maintenance and diagnostic activities are those activities conducted by individuals communicating through a network; either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. Identification and authentication techniques used in the establishment of non-local maintenance and diagnostic sessions are consistent with the network access requirements in IA-2. Strong authenticators include, for example, PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part, by other controls. Related controls: AC-2, AC-3, AC-6, AC-17, AU-2, AU-3, IA-2, IA-8, MA-5, MP-6, SC-7.
+
+
+
+
+
+
+ The organization audits non-local maintenance and diagnostic sessions and designated organizational personnel review the maintenance records of the sessions.
+
+
+
+
+
+
+the organization audits non-local maintenance and diagnostic sessions
+
+
+designated organizational personnel review the maintenance records of the sessions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization documents, in the security plan for the information system, the installation and use of non-local maintenance and diagnostic connections.
+
+
+
+
+
+
+the organization documents the installation and use of non-local maintenance and diagnostic connections in the security plan for the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization:
+
+ Requires that non-local maintenance and diagnostic services be performed from an information system that implements a level of security at least as high as that implemented on the system being serviced; or
+ Removes the component to be serviced from the information system and prior to non-local maintenance or diagnostic services, sanitizes the component (with regard to organizational information) before removal from organizational facilities, and after the service is performed, inspects and sanitizes the component (with regard to potentially malicious software and surreptitious implants) before reconnecting the component to the information system.
+
+
+
+
+
+
+
+the organization requires and ensures non-local maintenance and diagnostic services are performed from an information system that implements a level of security at least as high as the level of security implemented on the information system being serviced; or
+
+
+the organization removes the component to be serviced from the information system and prior to non-local maintenance or diagnostic services, sanitizes the component (with regard to organizational information) before removal from organizational facilities
+
+
+the organization after the removed component service is performed, inspects and sanitizes the component (with regard to potentially malicious software and surreptitious implants) before reconnecting to the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization protects non-local maintenance sessions through the use of a strong authenticator tightly bound to the user and by separating the maintenance session from other network sessions with the information system by either:
+
+ Physically separated communications paths; or
+ Logically separated communications paths based upon encryption.
+
+
+
+
+
+ Related control: SC-13.
+
+
+
+
+
+
+the organization protects non-local maintenance sessions through the use of a strong authenticator tightly bound to the user
+
+
+the organization protects non-local maintenance sessions by separating the maintenance session from other network sessions with the information system by:
+-either physically separated communications paths; or
+-logically separated communications paths based upon encryption
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires that:
+
+ Maintenance personnel notify [Assignment: organization-defined personnel] when non-local maintenance is planned (i.e., date/time); and
+ A designated organizational official with specific information security/information system knowledge approves the non-local maintenance.
+
+
+
+
+
+
+
+the organization defines the organizational personnel to be notified when non-local maintenance is planned
+
+
+the organization requires that maintenance personnel notify organization-defined personnel when non-local maintenance is planned (i.e., date/time)
+
+
+the organization requires that a designated organizational official with specific information security/information system knowledge approves the non-local maintenance
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs cryptographic mechanisms to protect the integrity and confidentiality of non-local maintenance and diagnostic communications.
+
+
+
+
+
+
+the organization employs cryptographic mechanisms to protect the integrity and confidentiality of non-local maintenance and diagnostic communications
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs remote disconnect verification at the termination of non-local maintenance and diagnostic sessions.
+
+
+
+
+
+
+the organization employs remote disconnect verification at the termination of non-local maintenance and diagnostic sessions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization authorizes, monitors, and controls non-local maintenance and diagnostic activities
+
+
+ the organization documents, in the organizational policy and security plan for the information system, the acceptable conditions for allowing the use of non-local maintenance and diagnostic tools
+
+
+ the organization allows the use of non-local maintenance and diagnostic tools only as consistent with organizational policy and as documented in the security plan
+
+
+ the organization employs strong identification and authentication techniques in the establishment of non-local maintenance and diagnostic sessions
+
+
+ the organization maintains records for non-local maintenance and diagnostic activities
+
+
+ the organization (or information system in certain cases) terminates all sessions and network connections when non-local maintenance or diagnostics is completed
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CNSS 15
+ FIPS 140-2
+ FIPS 197
+ FIPS 201
+ NIST 800-63
+ NIST 800-88
+
+
+
+ Operational
+ Maintenance
+ MA-5
+ Maintenance Personnel
+ P1
+
+
+ The organization:
+
+ Establishes a process for maintenance personnel authorization and maintains a current list of authorized maintenance organizations or personnel; and
+ Ensures that personnel performing maintenance on the information system have required access authorizations or designates organizational personnel with required access authorizations and technical competence deemed necessary to supervise information system maintenance when maintenance personnel do not possess the required access authorizations.
+
+
+
+
+
+ Individuals not previously identified in the information system, such as vendor personnel and consultants, may legitimately require privileged access to the system, for example, when required to conduct maintenance or diagnostic activities with little or no notice. Based on a prior assessment of risk, the organization may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for a very limited time period. Related controls: IA-8, MA-5.
+
+
+
+
+
+
+ The organization maintains procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:
+
+ Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;
+ Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the information system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and
+ In the event an information system component cannot be sanitized, the procedures contained in the security plan for the system are enforced.
+
+
+
+
+
+ The intent of this control enhancement is to deny individuals who lack appropriate security clearances (i.e., individuals who do not possess security clearances or possess security clearances at a lower level than required) or who are not U.S. citizens, visual and electronic access to any classified information, Controlled Unclassified Information (CUI), or any other sensitive information contained on the information system. Procedures for the use of maintenance personnel can be documented in the security plan for the information system.
+
+
+
+
+
+
+the organization maintains procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:
+-maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;
+-prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances, or formal access approvals, all volatile information storage components within the information system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and
+-in the event an information system component cannot be sanitized, the procedures contained in the security plan for the system are enforced
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are cleared (i.e., possess appropriate security clearances) for the highest level of information on the system.
+
+
+
+
+
+
+personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are cleared for the highest level of information on the system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens.
+
+
+
+
+
+
+personnel performing maintenance and diagnostic activities on the information system processing, storing, or transmitting classified information are U.S. citizens
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that:
+
+ Cleared foreign nationals (i.e., foreign nationals with appropriate security clearances), are used to conduct maintenance and diagnostic activities on an information system only when the system is jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and
+ Approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on an information system are fully documented within a Memorandum of Agreement.
+
+
+
+
+
+
+
+cleared foreign nationals are used to conduct maintenance and diagnostic activities on an information system only when the system is jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments
+
+
+the organization documents in a Memorandum of Agreement the approvals, consents, and detailed operational conditions under which foreign nationals are allowed to conduct maintenance and diagnostic activities on an information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization establishes a process for maintenance personnel authorization
+
+
+ the organization maintains a current list of authorized maintenance organizations or personnel
+
+
+ personnel performing maintenance on the information system either have the required access authorizations or are supervised by designated organizational personnel with the required access authorizations and technical competence deemed necessary to supervise information system maintenance
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Maintenance
+ MA-6
+ Timely Maintenance
+ P1
+
+
+ The organization obtains maintenance support and/or spare parts for [Assignment: organization-defined list of security-critical information system components and/or key information technology components] within [Assignment: organization-defined time period] of failure.
+
+
+
+
+ The organization specifies those information system components that, when not operational, result in increased risk to organizations, individuals, or the Nation because the security functionality intended by that component is not being provided. Security-critical components include, for example, firewalls, guards, gateways, intrusion detection systems, audit repositories, authentication servers, and intrusion prevention systems. Related control: CP-2.
+
+
+
+
+
+
+ the organization defines security-critical information system components and/or key information technology components for which it will obtain maintenance support and/or spare parts
+
+
+ the organization defines the time period within which support and/or spare parts must be obtained after a failure
+
+
+ the organization obtains maintenance support and/or spare parts for the organization-defined list of security-critical information system components and/or key information technology components within the organization-defined time period of failure
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Media Protection
+ MP-1
+ Media Protection Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented media protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the media protection policy and associated media protection controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the media protection family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The media protection policy can be included as part of the general information security policy for the organization. Media protection procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the media protection policy. Related control: PM-9.
+
+
+
+
+
+
+ the organization develops and formally documents media protection policy
+
+
+ the organization media protection policy addresses:
+- purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented media protection policy to elements within the organization having associated media protection roles and responsibilities
+
+
+ the organization develops and formally documents media protection procedures
+
+
+ the organization media protection procedures facilitate implementation of the media protection policy and associated media protection controls
+
+
+ the organization disseminates formal documented media protection procedures to elements within the organization having associated media protection roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of media protection policy reviews/updates
+
+
+ the organization reviews/updates media protection policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of media protection procedure reviews/updates
+
+
+ the organization reviews/updates media protection procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Operational
+ Media Protection
+ MP-2
+ Media Access
+ P1
+
+
+ The organization restricts access to [Assignment: organization-defined types of digital and non-digital media] to [Assignment: organization-defined list of authorized individuals] using [Assignment: organization-defined security measures].
+
+
+
+
+ Information system media includes both digital media (e.g., diskettes, magnetic tapes, external/removable hard drives, flash/thumb drives, compact disks, digital video disks) and non-digital media (e.g., paper, microfilm). This control also applies to mobile computing and communications devices with information storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones, digital cameras, and audio recording devices). An organizational assessment of risk guides the selection of media and associated information contained on that media requiring restricted access. Organizations document in policy and procedures, the media requiring restricted access, individuals authorized to access the media, and the specific measures taken to restrict access. Fewer protection measures are needed for media containing information determined by the organization to be in the public domain, to be publicly releasable, or to have limited or no adverse impact if accessed by other than authorized personnel. In these situations, it is assumed that the physical access controls where the media resides provide adequate protection. Related controls: MP-4, PE-3.
+
+
+
+
+
+
+ The organization employs automated mechanisms to restrict access to media storage areas and to audit access attempts and access granted.
+
+
+
+
+ This control enhancement is primarily applicable to media storage areas within an organization where a significant volume of media is stored and is not applicable to every location where some media is stored (e.g., in individual offices).
+
+
+
+
+
+
+the organization employs automated mechanisms to restrict access to media storage areas
+
+
+the organization employs automated mechanisms to audit access attempts and access granted to media storage areas
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system uses cryptographic mechanisms to protect and restrict access to information on portable digital media.
+
+
+
+
+
+
+the information system uses cryptographic mechanisms to protect and restrict access to information on portable digital media
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines:
+-digital and non-digital media requiring restricted access;
+-individuals authorized to access the media;
+-security measures taken to restrict access
+
+
+ the organization restricts access to organization-defined information system media to organization-defined authorized individuals using organization-defined security measures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS Publication 199
+ NIST 800-111
+
+
+
+ Operational
+ Media Protection
+ MP-3
+ Media Marking
+ P1
+
+
+ The organization:
+
+ Marks, in accordance with organizational policies and procedures, removable information system media and information system output indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and
+ Exempts [Assignment: organization-defined list of removable media types] from marking as long as the exempted items remain within [Assignment: organization-defined controlled areas].
+
+
+
+
+
+ The term marking is used when referring to the application or use of human-readable security attributes. The term labeling is used when referring to the application or use of security attributes with regard to internal data structures within the information system (see AC-16, Security Attributes). Removable information system media includes both digital media (e.g., diskettes, magnetic tapes, external/removable hard drives, flash/thumb drives, compact disks, digital video disks) and non-digital media (e.g., paper, microfilm). An organizational assessment of risk guides the selection of media requiring marking. Marking is generally not required for media containing information determined by the organization to be in the public domain or to be publicly releasable. Some organizations, however, may require markings for public information indicating that the information is publicly releasable. Organizations may extend the scope of this control to include information system output devices containing organizational information, including, for example, monitors and printers. Marking of removable media and information system output is consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+
+
+
+
+
+
+ the organization defines removable media types and information system output that require marking
+
+
+ the organization marks removable media and information system output in accordance with organizational policies and procedures, indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information
+
+
+ the organization defines:
+-removable media types and information system output exempt from marking;
+-controlled areas designated for retaining removable media and information output exempt from marking
+
+
+ removable media and information system output exempt from marking remain within designated controlled areas
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS Publication 199
+
+
+
+ Operational
+ Media Protection
+ MP-4
+ Media Storage
+ P1
+
+
+ The organization:
+
+ Physically controls and securely stores [Assignment: organization-defined types of digital and non-digital media] within [Assignment: organization-defined controlled areas] using [Assignment: organization-defined security measures];
+ Protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures
+
+
+
+
+
+ Information system media includes both digital media (e.g., diskettes, magnetic tapes, external/removable hard drives, flash/thumb drives, compact disks, digital video disks) and non-digital media (e.g., paper, microfilm). This control also applies to mobile computing and communications devices with information storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones, digital cameras, and audio recording devices). Telephone systems are also considered information systems and may have the capability to store information on internal media (e.g., on voicemail systems). Since telephone systems do not have, in most cases, the identification, authentication, and access control mechanisms typically employed in other information systems, organizational personnel use extreme caution in the types of information stored on telephone voicemail systems. A controlled area is any area or space for which the organization has confidence that the physical and procedural protections are sufficient to meet the requirements established for protecting the information and/or information system.
+ An organizational assessment of risk guides the selection of media and associated information contained on that media requiring physical protection. Fewer protection measures are needed for media containing information determined by the organization to be in the public domain, to be publicly releasable, or to have limited or no adverse impact on the organization or individuals if accessed by other than authorized personnel. In these situations, it is assumed that the physical access controls to the facility where the media resides provide adequate protection.
+ As part of a defense-in-depth strategy, the organization considers routinely encrypting information at rest on selected secondary storage devices. The employment of cryptography is at the discretion of the information owner/steward. The selection of the cryptographic mechanisms used is based upon maintaining the confidentiality and integrity of the information. The strength of mechanisms is commensurate with the classification and sensitivity of the information. Related controls: AC-3, AC-19, CP-6, CP-9, MP-2, PE-3.
+
+
+
+
+
+
+ The organization employs cryptographic mechanisms to protect information in storage.
+
+
+
+
+ Related control: SC-13.
+
+
+
+
+
+
+the organization employs cryptographic mechanisms to protect information in storage
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines:
+-types of digital and non-digital media physically controlled and securely stored within designated controlled areas;
+-controlled areas designated to physically control and securely store the media;
+-security measures to physically control and securely store the media within designated controlled areas
+
+
+ the organization physically controls and securely stores organization-defined information system media within organization-defined controlled areas using organization-defined security measures
+
+
+ the organization protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS Publication 199
+ NIST 800-111
+ NIST 800-56
+ NIST 800-57
+
+
+
+ Operational
+ Media Protection
+ MP-5
+ Media Transport
+ P1
+
+
+ The organization:
+
+ Protects and controls [Assignment: organization-defined types of digital and non-digital media] during transport outside of controlled areas using [Assignment: organization-defined security measures];
+ Maintains accountability for information system media during transport outside of controlled areas; and
+ Restricts the activities associated with transport of such media to authorized personnel.
+
+
+
+
+
+ Information system media includes both digital media (e.g., diskettes, magnetic tapes, removable hard drives, flash/thumb drives, compact disks, digital video disks) and non-digital media (e.g., paper, microfilm). This control also applies to mobile computing and communications devices with information storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones, digital cameras, and audio recording devices) that are transported outside of controlled areas. Telephone systems are also considered information systems and may have the capability to store information on internal media (e.g., on voicemail systems). Since telephone systems do not have, in most cases, the identification, authentication, and access control mechanisms typically employed in other information systems, organizational personnel use caution in the types of information stored on telephone voicemail systems that are transported outside of controlled areas. A controlled area is any area or space for which the organization has confidence that the physical and procedural protections provided are sufficient to meet the requirements established for protecting the information and/or information system.
+ Physical and technical security measures for the protection of digital and non-digital media are commensurate with the classification or sensitivity of the information residing on the media, and consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Locked containers and cryptography are examples of security measures available to protect digital and non-digital media during transport. Cryptographic mechanisms can provide confidentiality and/or integrity protections depending upon the mechanisms used. An organizational assessment of risk guides: (i) the selection of media and associated information contained on that media requiring protection during transport; and (ii) the selection and use of storage containers for transporting non-digital media. Authorized transport and courier personnel may include individuals from outside the organization (e.g., U.S. Postal Service or a commercial transport or delivery service). Related controls: AC-19, CP-9.
+
+
+
+
+
+
+ [Withdrawn: Incorporated into MP-5].
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization documents activities associated with the transport of information system media.
+
+
+
+
+ Organizations establish documentation requirements for activities associated with the transport of information system media in accordance with the organizational assessment of risk to include the flexibility to define different record-keeping methods for different types of media transport as part of an overall system of transport-related records.
+
+
+
+
+
+
+the organization documents activities associated with the transport of information system media
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization employs an identified custodian throughout the transport of information system media.
+
+
+
+
+ Custodial responsibilities can be transferred from one individual to another as long as an unambiguous custodian is identified at all times.
+
+
+
+
+
+
+the organization employs an identified custodian throughout the transport of information system media
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.
+
+
+
+
+ This control enhancement also applies to mobile devices. Mobile devices include portable storage media (e.g., USB memory sticks, external hard disk drives) and portable computing and communications devices with storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones). Related control: MP-4. Related controls: MP-2; SC-13.
+
+
+
+
+
+
+the organization employs cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines:
+-types of digital and non-digital media protected and controlled during transport outside of controlled areas;
+-security measures (e.g., locked container, encryption) for such media transported outside of controlled areas
+
+
+ the organization protects and controls organization-defined information system media during transport outside of controlled areas using organization-defined security measures
+
+
+ the organization maintains accountability for information system media during transport outside of controlled areas
+
+
+ the organization identifies personnel authorized to transport information system media outside of controlled areas
+
+
+ the organization restricts the activities associated with transport of information system media to authorized personnel
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS Publication 199
+ NIST 800-60
+
+
+
+ Operational
+ Media Protection
+ MP-6
+ Media Sanitization
+ P1
+
+
+ The organization:
+
+ Sanitizes information system media, both digital and non-digital, prior to disposal, release out of organizational control, or release for reuse; and
+ Employs sanitization mechanisms with strength and integrity commensurate with the classification or sensitivity of the information.
+
+
+
+
+
+ This control applies to all media subject to disposal or reuse, whether or not considered removable. Sanitization is the process used to remove information from information system media such that there is reasonable assurance that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, and destroying media information, prevent the disclosure of organizational information to unauthorized individuals when such media is reused or released for disposal. The organization uses its discretion on the employment of sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable, or deemed to have no adverse impact on the organization or individuals if released for reuse or disposal.
+
+
+
+
+ HIGH
+
+
+ The organization tracks, documents, and verifies media sanitization and disposal actions.
+
+
+
+
+
+
+the organization tracks, documents, and verifies media sanitization and disposal actions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization tests sanitization equipment and procedures to verify correct performance [Assignment: organization-defined frequency].
+
+
+
+
+
+
+the organization defines the frequency for testing sanitization equipment and procedures to verify correct performance
+
+
+the organization tests sanitization equipment and procedures to verify correct performance in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization sanitizes portable, removable storage devices prior to connecting such devices to the information system under the following circumstances: [Assignment: organization-defined list of circumstances requiring sanitization of portable, removable storage devices].
+
+
+
+
+ Portable, removable storage devices (e.g., thumb drives, flash drives, external storage devices) can be the source of malicious code insertions into organizational information systems. Many of these devices are obtained from unknown sources and may contain various types of malicious code that can be readily transferred to the information system through USB ports or other entry portals. While scanning such devices is always recommended, sanitization provides additional assurance that the device is free of all malicious code to include code capable of initiating zero-day attacks. Organizations consider sanitization of portable, removable storage devices, for example, when such devices are first purchased from the manufacturer or vendor prior to initial use or when the organization loses a positive chain of custody for the device. An organizational assessment of risk guides the specific circumstances for employing the sanitization process. Related control: SI-3.
+
+
+
+
+
+
+the organization defines circumstances requiring sanitization of portable, removable storage devices prior to connecting such devices to the information system
+
+
+the organization sanitizes portable, removable storage devices prior to connecting such devices to the information system under organization-defined circumstances
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization sanitizes information system media containing Controlled Unclassified Information (CUI) or other sensitive information in accordance with applicable organizational and/or federal standards and policies.
+
+
+
+
+
+
+the organization sanitizes information system media containing CUI or other sensitive information in accordance with applicable organizational and/or federal standards and policies
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization sanitizes information system media containing classified information in accordance with NSA standards and policies.
+
+
+
+
+
+
+he organization sanitizes information system media containing classified information in accordance with NSA standards and policies
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization destroys information system media that cannot be sanitized.
+
+
+
+
+
+
+the organization implements the media destruction process for information system media that cannot be sanitized
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization sanitizes information system media both digital and non-digital prior to:
+-disposal;
+-release out of organizational control; or
+-release for reuse
+
+
+ the organization employs sanitization mechanisms with strength and integrity commensurate with the classification or sensitivity of the information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS Publication 199
+ NIST 800-60
+ NIST 800-88
+ Web Resource WWW.NSA.GOV/IA/GUIDANCE/MEDIA_DESTRUCTION_GUIDANCE/INDEX.SHTML
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-1
+ Physical and Environmental Protection Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented physical and environmental protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the physical and environmental protection family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The physical and environmental protection policy can be included as part of the general information security policy for the organization. Physical and environmental protection procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the physical and environmental protection policy. Related control: PM-9.
+
+
+
+
+
+
+ the organization develops and formally documents physical and environmental protection policy
+
+
+ the organization physical and environmental protection policy addresses:
+- purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented physical and environmental protection policy to elements within the organization having associated physical and environmental protection roles and responsibilities
+
+
+ the organization develops and formally documents physical and environmental protection procedures
+
+
+ the organization physical and environmental protection procedures facilitate implementation of the physical and environmental protection policy and associated physical and environmental protection controls
+
+
+ the organization disseminates formal documented physical and environmental protection procedures to elements within the organization having associated physical and environmental protection roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of physical and environmental protection policy reviews/updates
+
+
+ the organization reviews/updates physical and environmental protection policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of physical and environmental protection procedure reviews/updates; (iv) the organization reviews/updates physical and environmental protection procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-2
+ Physical Access Authorizations
+ P1
+
+
+ The organization:
+
+ Develops and keeps current a list of personnel with authorized access to the facility where the information system resides (except for those areas within the facility officially designated as publicly accessible);
+ Issues authorization credentials;
+ Reviews and approves the access list and authorization credentials [Assignment: organization-defined frequency], removing from the access list personnel no longer requiring access.
+
+
+
+
+
+ Authorization credentials include, for example, badges, identification cards, and smart cards. Related control: PE-3, PE-4.
+
+
+
+
+
+
+ The organization authorizes physical access to the facility where the information system resides based on position or role.
+
+
+
+
+
+
+the organization identifies personnel positions or roles authorized for physical access to the facility where the information system resides
+
+
+the organization authorizes physical access to the facility where the information system resides based on position or role
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires two forms of identification to gain access to the facility where the information system resides.
+
+
+
+
+ Examples of forms of identification are identification badge, key card, cipher PIN, and biometrics.
+
+
+
+
+
+
+the organization requires two forms of identification to gain access to the facility where the information system resides
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization restricts physical access to the facility containing an information system that processes classified information to authorized personnel with appropriate clearances and access authorizations.
+
+
+
+
+
+
+the organization identifies authorized personnel with appropriate clearances and access authorizations for gaining physical access to the facility containing an information system that processes classified information
+
+
+the organization restricts physical access to the facility containing an information system that processes classified information to authorized personnel with appropriate clearances and access authorizations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization identifies areas within the facility that are publicly accessible
+
+
+ the organization develops and keeps current lists of personnel with authorized access to the facility where the information system resides (except for those areas within the facility officially designated as publicly accessible)
+
+
+ the organization issues authorization credentials (e.g., badges, identification cards, smart cards)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency for review and approval of the physical access list and authorization credentials for the facility
+
+
+ organization reviews and approves the access list and authorization credentials in accordance with the organization-defined frequency
+
+
+ the organization removes from the access list personnel no longer requiring access
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-3
+ Physical Access Control
+ P1
+
+
+ The organization:
+
+ Enforces physical access authorizations for all physical access points (including designated entry/exit points) to the facility where the information system resides (excluding those areas within the facility officially designated as publicly accessible);
+ Verifies individual access authorizations before granting access to the facility;
+ Controls entry to the facility containing the information system using physical access devices and/or guards;
+ Controls access to areas officially designated as publicly accessible in accordance with the organizations assessment of risk;
+ Secures keys, combinations, and other physical access devices;
+ Inventories physical access devices [Assignment: organization-defined frequency]; and
+ Changes combinations and keys [Assignment: organization-defined frequency] and when keys are lost, combinations are compromised, or individuals are transferred or terminated.
+
+
+
+
+
+ The organization determines the types of guards needed, for example, professional physical security staff or other personnel such as administrative staff or information system users, as deemed appropriate. Physical access devices include, for example, keys, locks, combinations, and card readers. Workstations and associated peripherals connected to (and part of) an organizational information system may be located in areas designated as publicly accessible with access to such devices being safeguarded. Related controls: MP-2, MP-4, PE-2
+
+
+
+
+ HIGH
+
+
+ The organization enforces physical access authorizations to the information system independent of the physical access controls for the facility
+
+
+
+
+ This control enhancement applies to server rooms, media storage areas, communications centers, or any other areas within an organizational facility containing large concentrations of information system components. The intent is to provide additional physical security for those areas where the organization may be more vulnerable due to the concentration of information system components. Security requirements for facilities containing organizational information systems that process, store, or transmit Sensitive Compartmented Information (SCI) are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. See also PS-3, security requirements for personnel access to SCI.
+
+
+
+
+
+
+the organization enforces physical access authorizations to the information system independent of the physical access controls for the facility
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization performs security checks at the physical boundary of the facility or information system for unauthorized exfiltration of information or information system components.
+
+
+
+
+ The extent/frequency or randomness of the checks is as deemed necessary by the organization to adequately mitigate risk associated with exfiltration.
+
+
+
+
+
+
+the organization performs security checks at the physical boundary of the facility or information system for unauthorized exfiltration of information or information system components
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization guards, alarms, and monitors every physical access point to the facility where the information system resides 24 hours per day, 7 days per week.
+
+
+
+
+
+
+the organization guards, alarms, and monitors every physical access point to the facility where the information system resides 24 hours per day, 7 days per week
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization uses lockable physical casings to protect [Assignment: organization-defined information system components] from unauthorized physical access.
+
+
+
+
+
+
+the organization defines information system components to be protected from unauthorized physical access using lockable physical casings
+
+
+the organization uses lockable physical casings to protect organization-defined information system components from unauthorized physical access
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system detects/prevents physical tampering or alteration of hardware components within the system.
+
+
+
+
+
+
+the information system detects/prevents physical tampering or alteration of hardware components within the system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs a penetration testing process that includes [Assignment: organization-defined frequency], unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility.
+
+
+
+
+ Related control: CA-2.
+
+
+
+
+
+
+the organization defines the frequency of unannounced attempts to be included in a penetration testing process to bypass or circumvent security controls associated with physical access points to the facility
+
+
+the organization employs a penetration testing process that includes unannounced attempts, in accordance with the organization-defined frequency, to bypass or circumvent security controls associated with physical access points to the facility
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization enforces physical access authorizations for all physical access points (including designated entry/exit points) to the facility where the information system resides (excluding those areas within the facility officially designated as publicly accessible)
+
+
+ the organization verifies individual access authorizations before granting access to the facility
+
+
+ the organization controls entry to the facility containing the information system using physical access devices (e.g., keys, locks, combinations, card readers) and/or guards; (iv) the organization controls access to areas officially designated as publicly accessible in accordance with the organization's assessment of risk
+
+
+ the organization secures keys, combinations, and other physical access devices
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency for conducting inventories of physical access devices
+
+
+ the organization inventories physical access devices in accordance with the organization-defined frequency
+
+
+ the organization defines the frequency of changes to combinations and keys
+
+
+ the organization changes combinations and keys in accordance with the organization-defined frequency, and when keys are lost, combinations are compromised, or individuals are transferred or terminated
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ DCID 6/9
+ FIPS 201
+ ICD 704
+ NIST 800-73
+ NIST 800-76
+ NIST 800-78
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-4
+ Access Control for Transmission Medium
+ P1
+
+
+ The organization controls physical access to information system distribution and transmission lines within organizational facilities.
+
+
+
+
+ Physical protections applied to information system distribution and transmission lines help prevent accidental damage, disruption, and physical tampering. Additionally, physical protections are necessary to help prevent eavesdropping or in transit modification of unencrypted transmissions. Protective measures to control physical access to information system distribution and transmission lines include: (i) locked wiring closets; (ii) disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable trays. Related control: PE-2.
+
+
+
+
+
+
+ the organization controls physical access to information system distribution and transmission lines within organizational facilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NSTISSI 7003
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-5
+ Access Control for Output Devices
+ P1
+
+
+ The organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.
+
+
+
+
+ Monitors, printers, and audio devices are examples of information system output devices.
+
+
+
+
+
+
+ the organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-6
+ Monitoring Physical Access
+ P1
+
+
+ The organization:
+
+ Monitors physical access to the information system to detect and respond to physical security incidents;
+ Reviews physical access logs [Assignment: organization-defined frequency]; and
+ Coordinates results of reviews and investigations with the organizations incident response capability.
+
+
+
+
+
+ Investigation of and response to detected physical security incidents, including apparent security violations or suspicious physical access activities, are part of the organizations incident response capability.
+
+
+
+
+
+
+ The organization monitors real-time physical intrusion alarms and surveillance equipment.
+
+
+
+
+
+
+the organization monitors real-time physical intrusion alarms and surveillance equipment
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to recognize potential intrusions and initiate designated response actions.
+
+
+
+
+
+
+the organization employs automated mechanisms to recognize potential intrusions and initiate designated response actions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization monitors physical access to the information system to detect and respond to physical security incidents
+
+
+ the organization defines the frequency to review physical access logs
+
+
+ the organization reviews physical access logs in accordance with the organization-defined frequency
+
+
+ the organization coordinates results of reviews and investigations with the organizationâ??s incident response capability
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-7
+ Visitor Control
+ P1
+
+
+ The organization controls physical access to the information system by authenticating visitors before authorizing access to the facility where the information system resides other than areas designated as publicly accessible.
+
+
+
+
+ Individuals (to include organizational employees, contract personnel, and others) with permanent authorization credentials for the facility are not considered visitors.
+
+
+
+
+
+
+ The organization escorts visitors and monitors visitor activity, when required.
+
+
+
+
+
+
+the organization escorts visitors and monitors visitor activity, when required
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires two forms of identification for visitor access to the facility.
+
+
+
+
+
+
+the organization requires two forms of identification for visitor access to the facility
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization controls physical access to the information system by authenticating visitors before authorizing access to the facility where the information system resides other than areas designated as publicly accessible
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-8
+ Access Records
+ P3
+
+
+ The organization:
+
+ Maintains visitor access records to the facility where the information system resides (except for those areas within the facility officially designated as publicly accessible); and
+ Reviews visitor access records [Assignment: organization-defined frequency].
+
+
+
+
+
+ Visitor access records include, for example, name/organization of the person visiting, signature of the visitor, form(s) of identification, date of access, time of entry and departure, purpose of visit, and name/organization of person visited.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to facilitate the maintenance and review of access records.
+
+
+
+
+
+
+the organization employs automated mechanisms to facilitate the maintenance and review of access records
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization maintains a record of all physical access, both visitor and authorized individuals.
+
+
+
+
+
+
+the organization maintains a record of all physical access, both visitor and authorized individuals
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization maintains visitor access records to the facility where the information system resides (except for those areas within the facility officially designated as publicly accessible)
+
+
+ the organization defines the frequency to review visitor access records
+
+
+ the organization reviews the visitor access records in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-9
+ Power Equipment and Power Cabling
+ P1
+
+
+ The organization protects power equipment and power cabling for the information system from damage and destruction.
+
+
+
+
+ This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
+
+
+
+
+
+
+ The organization employs redundant and parallel power cabling paths.
+
+
+
+
+
+
+the organization employs redundant and parallel power cabling paths
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automatic voltage controls for [Assignment: organization-defined list of critical information system components].
+
+
+
+
+
+
+the organization defines the critical information system components that require automatic voltage controls
+
+
+the organization employs automatic voltage controls for organization-defined critical information system components
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization protects power equipment and power cabling for the information system from damage and destruction
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-10
+ Emergency Shutoff
+ P1
+
+
+ The organization:
+
+ Provides the capability of shutting off power to the information system or individual system components in emergency situations;
+ Places emergency shutoff switches or devices in [Assignment: organization-defined location by information system or system component] to facilitate safe and easy access for personnel; and
+ Protects emergency power shutoff capability from unauthorized activation.
+
+
+
+
+
+ This control applies to facilities containing concentrations of information system resources, for example, data centers, server rooms, and mainframe computer rooms.
+
+
+
+
+
+
+ [Withdrawn: Incorporated into PE-10].
+
+
+
+
+
+
+
+
+ the organization provides the capability of shutting off power to the information system or individual system components in emergency situations
+
+
+ the organization defines the location of emergency shutoff switches or devices by information system or system component
+
+
+ the organization places emergency shutoff switches or devices in an organization-defined location by information system or system component to facilitate safe and easy access for personnel
+
+
+ the organization protects the emergency power shutoff capability from unauthorized activation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-11
+ Emergency Power
+ P1
+
+
+ The organization provides a short-term uninterruptible power supply to facilitate an orderly shutdown of the information system in the event of a primary power source loss.
+
+
+
+
+ This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
+
+
+
+
+ HIGH
+
+
+ The organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source.
+
+
+
+
+
+
+the organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization provides a long-term alternate power supply for the information system that is self-contained and not reliant on external power generation.
+
+
+
+
+ Long-term alternate power supplies for the information system are either manually or automatically activated.
+
+
+
+
+
+
+the organization provides a long-term alternate power supply for the information system that is self-contained and not reliant on external power generation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization provides a short-term uninterruptible power supply to facilitate an orderly shutdown of the information system in the event of a primary power source loss
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-12
+ Emergency Lighting
+ P1
+
+
+ The organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.
+
+
+
+
+ This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
+
+
+
+
+
+
+ The organization provides emergency lighting for all areas within the facility supporting essential missions and business functions.
+
+
+
+
+
+
+the organization provides emergency lighting for all areas within the facility supporting essential missions and business functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization employs automatic emergency lighting for the information system that activates in the event of a power outage or disruption
+
+
+ the organization employs automatic emergency lighting for the information system that covers emergency exits and evacuation routes within the facility
+
+
+ the organization maintains the automatic emergency lighting for the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-13
+ Fire Protection
+ P1
+
+
+ The organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.
+
+
+
+
+ Fire suppression and detection devices/systems include, for example, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors. This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
+
+
+
+
+
+
+ The organization employs fire detection devices/systems for the information system that activate automatically and notify the organization and emergency responders in the event of a fire.
+
+
+
+
+
+
+the organization employs fire detection devices/systems for the information system that, without manual intervention, activate automatically and notify the organization and emergency responders in the event of a fire
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs fire suppression devices/systems for the information system that provide automatic notification of any activation to the organization and emergency responders.
+
+
+
+
+
+
+the organization employs fire suppression devices/systems for the information system that provide automatic notification of any activation to the organization and emergency responders
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis.
+
+
+
+
+
+
+the organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that the facility undergoes [Assignment: organization-defined frequency] fire marshal inspections and promptly resolves identified deficiencies.
+
+
+
+
+
+
+the organization defines the frequency of fire marshal inspections for the facility
+
+
+the facility undergoes fire marshal inspections in accordance with the organization-defined frequency
+
+
+the organization promptly resolves deficiencies identified by fire marshal inspections
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization employs fire suppression and detection devices/systems for the information system that are supported by an independent energy source
+
+
+ the organization maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-14
+ Temperature and Humidity Controls
+ P1
+
+
+ The organization:
+
+ Maintains temperature and humidity levels within the facility where the information system resides at [Assignment: organization-defined acceptable levels]; and
+ Monitors temperature and humidity levels [Assignment: organization-defined frequency].
+
+
+
+
+
+ This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
+
+
+
+
+
+
+ The organization employs automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the information system.
+
+
+
+
+
+
+the organization employs automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment.
+
+
+
+
+
+
+the organization employs temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the acceptable temperature and humidity levels within the facility where the information system resides
+
+
+ the organization maintains temperature and humidity levels within the facility where the information system resides in accordance with organization-defined acceptable levels
+
+
+ the organization defines the frequency to monitor temperature and humidity levels
+
+
+ the organization monitors the temperature and humidity levels within the facility where the information system resides in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-15
+ Water Damage Protection
+ P1
+
+
+ The organization protects the information system from damage resulting from water leakage by providing master shutoff valves that are accessible, working properly, and known to key personnel.
+
+
+
+
+ This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
+
+
+
+
+ HIGH
+
+
+ The organization employs mechanisms that, without the need for manual intervention, protect the information system from water damage in the event of a water leak.
+
+
+
+
+
+
+the organization employs mechanisms that, without the need for manual intervention, protect the information system from water damage in the event of a water leak
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization protects the information system from damage resulting from water leakage by providing master shutoff valves that are accessible and working properly
+
+
+ key personnel within the organization have knowledge of the master water shutoff valves
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-16
+ Delivery and Removal
+ P1
+
+
+ The organization authorizes, monitors, and controls [Assignment: organization-defined types of information system components] entering and exiting the facility and maintains records of those items.
+
+
+
+
+ Effectively enforcing authorizations for entry and exit of information system components may require restricting access to delivery areas and possibly isolating the areas from the information system and media libraries.
+
+
+
+
+
+
+ the organization defines the types of information system components to be authorized, monitored, and controlled as such components are entering or exiting the facility
+
+
+ the organization authorizes, monitors, and controls organization-defined information system components entering and exiting the facility
+
+
+ the organization maintains records of information system components entering and exiting the facility
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-17
+ Alternate Work Site
+ P1
+
+
+ The organization:
+
+ Employs [Assignment: organization-defined management, operational, and technical information system security controls] at alternate work sites;
+ Assesses as feasible, the effectiveness of security controls at alternate work sites; and
+ Provides a means for employees to communicate with information security personnel in case of security incidents or problems.
+
+
+
+
+
+ Alternate work sites may include, for example, government facilities or private residences of employees. The organization may define different sets of security controls for specific alternate work sites or types of sites.
+
+
+
+
+
+
+ the organization defines the management, operational, and technical information system security controls to be employed at alternate work sites
+
+
+ the organization employs organization-defined management, operational, and technical information system security controls at alternate work sites
+
+
+ the organization assesses, as feasible, the effectiveness of security controls at alternate work sites
+
+
+ the organization provides a means for employees to communicate with information security personnel in case of security incidents or problems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-46
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-18
+ Location of Information System Components
+ P2
+
+
+ The organization positions information system components within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access.
+
+
+
+
+ Physical and environmental hazards include, for example, flooding, fire, tornados, earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, electrical interference, and electromagnetic radiation. Whenever possible, the organization also considers the location or site of the facility with regard to physical and environmental hazards. In addition, the organization considers the location of physical entry points where unauthorized individuals, while not being granted access, might nonetheless be in close proximity to the information system and therefore, increase the potential for unauthorized access to organizational communications (e.g., through the use of wireless sniffers or microphones). This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
+
+
+
+
+ HIGH
+
+
+ The organization plans the location or site of the facility where the information system resides with regard to physical and environmental hazards and for existing facilities, considers the physical and environmental hazards in its risk mitigation strategy.
+
+
+
+
+
+
+the organization plans the location or site of the facility where the information system resides with regard to physical and environmental hazards
+
+
+the organization, for existing facilities, considers the physical and environmental hazards in its risk mitigation strategy
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization positions information system components within the facility to minimize potential damage from physical and environmental hazards
+
+
+ the organization positions information system components within the facility to minimize the opportunity for unauthorized access
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-19
+ Information Leakage
+ P0
+
+
+ The organization protects the information system from information leakage due to electromagnetic signals emanations.
+
+
+
+
+ The security categorization of the information system (with respect to confidentiality) and organizational security policy guides the application of safeguards and countermeasures employed to protect the information system against information leakage due to electromagnetic signals emanations.
+
+
+
+
+
+
+ The organization ensures that information system components, associated data communications, and networks are protected in accordance with:
+
+ national emissions and TEMPEST policies and procedures; and (ii) the sensitivity of the information being transmitted.
+
+
+
+
+
+
+
+the information system components, associated data communications, and networks are protected in accordance with:
+-national emissions and TEMPEST policies and procedures; and
+-the sensitivity of the information being transmitted
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization protects the information system from information leakage due to electromagnetic signals emanations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS Publication 199
+
+
+
+ Management
+ Planning
+ PL-1
+ Security Planning Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented security planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the security planning policy and associated security planning controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the security planning family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The security planning policy addresses the overall policy requirements for confidentiality, integrity, and availability and can be included as part of the general information security policy for the organization. Security planning procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the security planning policy. Related control: PM-9.
+
+
+
+
+
+
+ the organization develops and formally documents security planning policy
+
+
+ the organization security planning policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented security planning policy to elements within the organization having associated security planning roles and responsibilities
+
+
+ the organization develops and formally documents security planning procedures
+
+
+ the organization security planning procedures facilitate implementation of the security planning policy and associated security planning controls
+
+
+ the organization disseminates formal documented security planning procedures to elements within the organization having associated security planning roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of security planning policy reviews/updates
+
+
+ the organization reviews/updates security planning policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of security planning procedure reviews/updates
+
+
+ the organization reviews/updates security planning procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-100
+ NIST 800-12
+ NIST 800-18
+
+
+
+ Management
+ Planning
+ PL-2
+ System Security Plan
+ P1
+
+
+ The organization:
+
+ Develops a security plan for the information system that: - Is consistent with the organizations enterprise architecture; - Explicitly defines the authorization boundary for the system; - Describes the operational context of the information system in terms of missions and business processes; - Provides the security categorization of the information system including supporting rationale; - Describes the operational environment for the information system; - Describes relationships with or connections to other information systems; - Provides an overview of the security requirements for the system; - Describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring and supplementation decisions; and - Is reviewed and approved by the authorizing official or designated representative prior to plan implementation;
+ Reviews the security plan for the information system [Assignment: organization-defined frequency]; and
+ Updates the plan to address changes to the information system/environment of operation or problems identified during plan implementation or security control assessments.
+
+
+
+
+
+ The security plan contains sufficient information (including specification of parameters for assignment and selection statements in security controls either explicitly or by reference) to enable an implementation that is unambiguously compliant with the intent of the plan and a subsequent determination of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented as intended. Related controls: PM-1, PM-7, PM-8, PM-9, PM-11.
+
+
+
+
+
+
+ The organization:
+
+ Develops a security Concept of Operations (CONOPS) for the information system containing, at a minimum: (i) the purpose of the system; (ii) a description of the system architecture; (iii) the security authorization schedule; and (iv) the security categorization and associated factors considered in determining the categorization; and
+ Reviews and updates the CONOPS [Assignment: organization-defined frequency].
+
+
+
+
+
+ The security CONOPS may be included in the security plan for the information system.
+
+
+
+
+
+
+the organization develops a security Concept of Operations (CONOPS) for the information system containing, at a minimum:
+-the purpose of the system;
+-a description of the system architecture;
+-the security authorization schedule; and
+-the security categorization and associated factors considered in determining the categorization
+
+
+the organization defines the frequency of reviews and updates to the CONOPS
+
+
+the organization reviews and updates the CONOPS in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization develops a functional architecture for the information system that identifies and maintains:
+
+ External interfaces, the information being exchanged across the interfaces, and the protection mechanisms associated with each interface;
+ User roles and the access privileges assigned to each role;
+ Unique security requirements;
+ Types of information processed, stored, or transmitted by the information system and any specific protection needs in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance; and
+ Restoration priority of information or information system services.
+
+
+
+
+
+ Unique security requirements for the information system include, for example, encryption of key data elements at rest. Specific protection needs for the information system include, for example, the Privacy Act and Health Insurance Portability and Accountability Act.
+
+
+
+
+
+
+the organization develops a functional architecture for the information system that identifies and maintains:
+-external interfaces, the information being exchanged across the interfaces, and the protection mechanisms associated with each interface;
+-user roles and the access privileges assigned to each role;
+-unique security requirements;
+-types of information processed, stored, or transmitted by the information system and any specific protection needs in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance; and
+-restoration priority of information or information system services
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization develops a security plan for the information system that:
+-is consistent with the organization's enterprise architecture;
+-explicitly defines the authorization boundary for the system;
+-describes the operational context of the information system in terms of mission and business processes;
+-provides the security categorization of the information system including supporting rationale;
+-describes the operational environment for the information system;
+-describes relationships with or connections to other information systems;
+-provides an overview of the security requirements for the system;
+-describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring and supplemental decisions; and
+-is reviewed and approved by the authorizing official or designated representative prior to plan implementation
+
+
+ the organization defines the frequency of security plan reviews
+
+
+ the organization reviews the security plan in accordance with the organization-defined frequency
+
+
+ the organization updates the plan to address changes to the information system/environment of operation or problems identified during plan implementation or security control assessments
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-18
+
+
+
+ Management
+ Planning
+ PL-3
+ System Security Plan Update
+
+
+ [Withdrawn: Incorporated into PL-2].
+
+
+
+
+ Management
+ Planning
+ PL-4
+ Rules of Behavior
+ P1
+
+
+ The organization:
+
+ Establishes and makes readily available to all information system users, the rules that describe their responsibilities and expected behavior with regard to information and information system usage; and
+ Receives signed acknowledgment from users indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system.
+
+
+
+
+
+ The organization considers different sets of rules based on user roles and responsibilities, for example, differentiating between the rules that apply to privileged users and rules that apply to general users. Electronic signatures are acceptable for use in acknowledging rules of behavior. Related control: PS-6.
+
+
+
+
+
+
+ The organization includes in the rules of behavior, explicit restrictions on the use of social networking sites, posting information on commercial websites, and sharing information system account information.
+
+
+
+
+
+
+the organization includes in the rules of behavior:
+-explicit restrictions on the use of social networking sites;
+-posting information on commercial Web sites; and
+-sharing information system account information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization establishes the rules that describe information system user responsibilities and expected behavior with regard to information and information system usage
+
+
+ the organization makes the rules available to all information system users
+
+
+ the organization receives a signed acknowledgement from users indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-18
+
+
+
+ Management
+ Planning
+ PL-5
+ Privacy Impact Assessment
+ P1
+
+
+ The organization conducts a privacy impact assessment on the information system in accordance with OMB policy.
+
+
+
+
+ None.
+
+
+
+
+
+
+ the organization conducts a privacy impact assessment on the information system
+
+
+ the privacy impact assessment is in accordance with OMB policy
+
+
+
+
+
+
+
+
+
+
+
+
+
+ OMB Memorandum 03-22
+
+
+
+ Management
+ Planning
+ PL-6
+ Security-related Activity Planning
+ P3
+
+
+ The organization plans and coordinates security-related activities affecting the information system before conducting such activities in order to reduce the impact on organizational operations (i.e., mission, functions, image, and reputation), organizational assets, and individuals.
+
+
+
+
+ Security-related activities include, for example, security assessments, audits, system hardware and software maintenance, and contingency plan testing/exercises. Organizational advance planning and coordination includes both emergency and nonemergency (i.e., planned or nonurgent unplanned) situations.
+
+
+
+
+
+
+ the organization plans and coordinates security-related activities affecting the information system before conducting such activities in order to reduce the impact on organizational operations (i.e., mission, functions, image, and reputation), organizational assets, and individuals
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Management
+ Program Management
+ PM-1
+ Information Security Program Plan
+ P1
+
+
+ The organization:
+
+ Develops and disseminates an organization-wide information security program plan that: - Provides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements; - Provides sufficient information about the program management controls and common controls (including specification of parameters for any assignment and selection operations either explicitly or by reference) to enable an implementation that is unambiguously compliant with the intent of the plan and a determination of the risk to be incurred if the plan is implemented as intended; - Includes roles, responsibilities, management commitment, coordination among organizational entities, and compliance; - Is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;
+ Reviews the organization-wide information security program plan [Assignment: organization-defined frequency]; and
+ Revises the plan to address organizational changes and problems identified during plan implementation or security control assessments.
+
+
+
+
+
+ The information security program plan can be represented in a single document or compilation of documents at the discretion of the organization. The plan documents the organization-wide program management controls and organization-defined common controls. The security plans for individual information systems and the organization-wide information security program plan together, provide complete coverage for all security controls employed within the organization. Common controls are documented in an appendix to the organizations information security program plan unless the controls are included in a separate security plan for an information system (e.g., security controls employed as part of an intrusion detection system providing organization-wide boundary protection inherited by one or more organizational information systems). The organization-wide information security program plan will indicate which separate security plans contain descriptions of common controls.
+ Organizations have the flexibility to describe common controls in a single document or in multiple documents. In the case of multiple documents, the documents describing common controls are included as attachments to the information security program plan. If the information security program plan contains multiple documents, the organization specifies in each document the organizational official or officials responsible for the development, implementation, assessment, authorization, and monitoring of the respective common controls. For example, the organization may require that the Facilities Management Office develop, implement, assess, authorize, and continuously monitor common physical and environmental protection controls from the PE family when such controls are not associated with a particular information system but instead, support multiple information systems. Related control: PM-8.
+
+
+
+
+
+
+ the organization develops an information security program plan for the organization that:
+-provides an overview of the requirements for the security program;
+-provides a description of the security program management controls and common controls in place or planned for meeting security program requirements;
+-provides sufficient information about the program management controls and common controls (including specification of parameters for any assignment and selection operations either explicitly or by reference) to enable an implementation that is unambiguously compliant with the intent of the plan and a determination of the risk to be incurred if the plan is implemented as intended;
+-includes roles, responsibilities, management commitment, coordination among organizational entities, and compliance;
+-is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations and the Nation
+
+
+ the organization defines the frequency of information security program plan reviews
+
+
+ the organization reviews the organization-wide information security program plan in accordance with the organization-defined frequency
+
+
+ the organization revises the plan to address organizational changes and problems identified during plan implementation or security control assessments
+
+
+ the organization disseminates the most recent information security program plan to appropriate entities in the organization
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Management
+ Program Management
+ PM-2
+ Senior Information Security Officer
+ P1
+
+
+ The organization appoints a senior information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program.
+
+
+
+
+ The security officer described in this control is an organizational official. For a federal agency (as defined in applicable federal laws, Executive Orders, directives, policies, or regulations) this official is the Senior Agency Information Security Officer. Organizations may also refer to this organizational official as the Senior Information Security Officer or Chief Information Security Officer.
+
+
+
+
+
+
+ organization appoints a senior information security officer to coordinate, develop, implement, and maintain an organization-wide information security program
+
+
+ the organization empowers the senior information security officer with the mission and resources required to coordinate, develop, implement, and maintain an organization-wide information security program
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Management
+ Program Management
+ PM-3
+ Information Security Resources
+ P1
+
+
+ The organization:
+
+ Ensures that all capital planning and investment requests include the resources needed to implement the information security program and documents all exceptions to this requirement;
+ Employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and
+ Ensures that information security resources are available for expenditure as planned.
+
+
+
+
+
+ Organizations may designate and empower an Investment Review Board (or similar group) to manage and provide oversight for the information security-related aspects of the capital planning and investment control process. Related controls: PM-4, SA-2.
+
+
+
+
+
+
+ the organization includes in its capital planning and investment requests the resources needed to implement the information security program
+
+
+ the organization documents all exceptions to the requirement that all capital planning and investment requests include the resources needed to implement the information security program
+
+
+ the organization employs a business case/Exhibit 300/Exhibit 53 to record the resources required
+
+
+ the organization makes the required information security resources available for expenditure as planned
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Management
+ Program Management
+ PM-4
+ Plan of Action and Milestones Process
+ P1
+
+
+ The organization implements a process for ensuring that plans of action and milestones for the security program and the associated organizational information systems are maintained and document the remedial information security actions to mitigate risk to organizational operations and assets, individuals, other organizations, and the Nation.
+
+
+
+
+ The plan of action and milestones is a key document in the information security program and is subject to federal reporting requirements established by OMB. The plan of action and milestones updates are based on the findings from security control assessments, security impact analyses, and continuous monitoring activities. OMB FISMA reporting guidance contains instructions regarding organizational plans of action and milestones. Related control: CA-5.
+
+
+
+
+
+
+ the organization implements a process to maintain plans of action and milestones for the security program and the associated organizational information systems
+
+
+ the organization implements a process to document the remedial information security actions that mitigate risk to organizational operations and assets, individuals, other organizations, and the Nation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-37
+ OMB Memorandum 02-01
+
+
+
+ Management
+ Program Management
+ PM-5
+ Information System Inventory
+ P1
+
+
+ The organization develops and maintains an inventory of its information systems.
+
+
+
+
+ This control addresses the inventory requirements in FISMA. OMB provides guidance on developing information systems inventories and associated reporting requirements.
+
+
+
+
+
+
+ the organization develops an inventory of its information systems
+
+
+ the organization maintains an inventory of its information systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Management
+ Program Management
+ PM-6
+ Information Security Measures of Performance
+ P1
+
+
+ The organization develops, monitors, and reports on the results of information security measures of performance.
+
+
+
+
+ Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security program and the security controls employed in support of the program.
+
+
+
+
+
+
+ the organization develops information security measures of performance
+
+
+ the organization monitors information security measures of performance
+
+
+ the organization reports on the results of information security measures of performance
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-55
+
+
+
+ Management
+ Program Management
+ PM-7
+ Enterprise Architecture
+ P1
+
+
+ The organization develops an enterprise architecture with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation.
+
+
+
+
+ The enterprise architecture developed by the organization is aligned with the Federal Enterprise Architecture. The integration of information security requirements and associated security controls into the organizations enterprise architecture helps to ensure that security considerations are addressed by organizations early in the system development life cycle and are directly and explicitly related to the organizations mission/business processes. This also embeds into the enterprise architecture, an integral security architecture consistent with organizational risk management and information security strategies. Security requirements and control integration are most effectively accomplished through the application of the Risk Management Framework and supporting security standards and guidelines. The Federal Segment Architecture Methodology provides guidance on integrating information security requirements and security controls into enterprise architectures. Related controls: PL-2, PM-11, RA-2.
+
+
+
+
+
+
+ the organization develops an enterprise architecture with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-39
+ Web Resource WWW.FSAM.GOV
+
+
+
+ Management
+ Program Management
+ PM-8
+ Critical Infrastructure Plan
+ P1
+
+
+ The organization addresses information security issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan.
+
+
+
+
+ The requirement and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Related controls: PM-1, PM-9, PM-11, RA-3.
+
+
+
+
+
+
+ the organization develops and documents a critical infrastructure and key resource protection plan
+
+
+ the organization updates the critical infrastructure and key resource protection plan
+
+
+ the organization addresses information security issues in the critical infrastructure and key resource protection plan
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HSPD 7
+
+
+
+ Management
+ Program Management
+ PM-9
+ Risk Management Strategy
+ P1
+
+
+ The organization:
+
+ Develops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information systems; and
+ Implements that strategy consistently across the organization.
+
+
+
+
+
+ An organization-wide risk management strategy includes, for example, an unambiguous expression of the risk tolerance for the organization, acceptable risk assessment methodologies, risk mitigation strategies, a process for consistently evaluating risk across the organization with respect to the organizations risk tolerance, and approaches for monitoring risk over time. The use of a risk executive function can facilitate consistent, organization-wide application of the risk management strategy. The organization-wide risk management strategy can be informed by risk-related inputs from other sources both internal and external to the organization to ensure the strategy is both broad-based and comprehensive. Related control: RA-3.
+
+
+
+
+
+
+ the organization develops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information syatems
+
+
+ the organization implements that strategy consistently across the organization
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-30
+ NIST 800-39
+
+
+
+ Management
+ Program Management
+ PM-10
+ Security Authorization Process
+ P1
+
+
+ The organization:
+
+ Manages (i.e., documents, tracks, and reports) the security state of organizational information systems through security authorization processes;
+ Designates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and
+ Fully integrates the security authorization processes into an organization-wide risk management program.
+
+
+
+
+
+ The security authorization process for information systems requires the implementation of the Risk Management Framework and the employment of associated security standards and guidelines. Specific roles within the risk management process include a designated authorizing official for each organizational information system. Related control: CA-6.
+
+
+
+
+
+
+ the organization manages (i.e., documents, tracks, and reports) the security state of organizational information systems through security authorization processes
+
+
+ the organization designates individuals to fulfill specific roles and responsibilities within the organizational risk management process
+
+
+ the organization fully integrates the security authorization processes into an organization-wide risk management program
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-37
+ NIST 800-39
+
+
+
+ Management
+ Program Management
+ PM-11
+ Mission/business Process Definition
+ P1
+
+
+ The organization:
+
+ Defines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and
+ Determines information protection needs arising from the defined mission/business processes and revises the processes as necessary, until an achievable set of protection needs is obtained.
+
+
+
+
+
+ Information protection needs are technology-independent, required capabilities to counter threats to organizations, individuals, or the Nation through the compromise of information (i.e., loss of confidentiality, integrity, or availability). Information protection needs are derived from the mission/business needs defined by the organization, the mission/business processes selected to meet the stated needs, and the organizational risk management strategy. Information protection needs determine the required security controls for the organization and the associated information systems supporting the mission/business processes. Inherent in defining an organizations information protection needs is an understanding of the level of adverse impact that could result if a compromise of information occurs. The security categorization process is used to make such potential impact determinations. Mission/business process definitions and associated information protection requirements are documented by the organization in accordance with organizational policy and procedure. Related controls: PM-7, PM-8, RA-2.
+
+
+
+
+
+
+ the organization defines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation
+
+
+ the organization determines information protection needs arising from the defined mission/business processes and revises the processes as necessary, until an achievable set of protection needs is obtained
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS Publication 199
+ NIST 800-60
+
+
+
+ Operational
+ Personnel Security
+ PS-1
+ Personnel Security Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented personnel security policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the personnel security policy and associated personnel security controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the personnel security family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The personnel security policy can be included as part of the general information security policy for the organization. Personnel security procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the personnel security policy. Related control: PM-9.
+
+
+
+
+
+
+ the organization develops and formally documents personnel security policy
+
+
+ the organization personnel security policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented personnel security policy to elements within the organization having associated personnel security roles and responsibilities
+
+
+ the organization develops and formally documents personnel security procedures
+
+
+ the organization personnel security procedures facilitate implementation of the personnel security policy and associated personnel security controls
+
+
+ the organization disseminates formal documented personnel security procedures to elements within the organization having associated personnel security roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of personnel security policy reviews/updates
+
+
+ the organization reviews/updates personnel security policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of personnel security procedure reviews/updates
+
+
+ the organization reviews/updates personnel security procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Operational
+ Personnel Security
+ PS-2
+ Position Categorization
+ P1
+
+
+ The organization:
+
+ Assigns a risk designation to all positions;
+ Establishes screening criteria for individuals filling those positions; and
+ Reviews and revises position risk designations [Assignment: organization-defined frequency].
+
+
+
+
+
+ Position risk designations are consistent with Office of Personnel Management policy and guidance. The screening criteria include explicit information security role appointment requirements (e.g., training, security clearance).
+
+
+
+
+
+
+ the organization assigns a risk designation to all positions within the organization
+
+
+ the organization establishes a screening criteria for individuals filling organizational positions
+
+
+ the organization defines the frequency of risk designation reviews and updates for organizational positions
+
+
+ the organization reviews and revises position risk designations in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ 5 C.F.R. 731.106
+
+
+
+ Operational
+ Personnel Security
+ PS-3
+ Personnel Screening
+ P1
+
+
+ The organization:
+
+ Screens individuals prior to authorizing access to the information system; and
+ Rescreens individuals according to [Assignment: organization-defined list of conditions requiring rescreening and, where re-screening is so indicated, the frequency of such rescreening].
+
+
+
+
+
+ Screening and rescreening are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidance, and the criteria established for the risk designation of the assigned position. The organization may define different rescreening conditions and frequencies for personnel accessing the information system based on the type of information processed, stored, or transmitted by the system.
+
+
+
+
+
+
+ The organization ensures that every user accessing an information system processing, storing, or transmitting classified information is cleared and indoctrinated to the highest classification level of the information on the system.
+
+
+
+
+
+
+the organization ensures that every user accessing an information system processing, storing, or transmitting classified information is cleared to the highest classification level of the information on the system
+
+
+the organization ensures that every user accessing an information system processing, storing, or transmitting classified information is indoctrinated to the highest classification level of the information on the system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that every user accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, is formally indoctrinated for all of the relevant types of information on the system.
+
+
+
+
+ Types of information requiring formal indoctrination include, for example, Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information (SCI).
+
+
+
+
+
+
+the organization formally indoctrinates every user accessing an information system that processes, stores, or transmits types of classified information requiring formal indoctrination for all of the relevant types of information on the system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization screens individuals prior to authorizing access to the information system
+
+
+ the organization defines conditions requiring re-screening and, where re-screening is so indicated, the frequency of such re-screening
+
+
+ the organization re-screens individuals according to organization-defined conditions requiring re-screening and, where re-screening is so indicated, the organization-defined frequency of such re-screening
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ 5 C.F.R. 731.106
+ FIPS 201
+ FIPS Publication 199
+ ICD 704
+ NIST 800-73
+ NIST 800-76
+ NIST 800-78
+
+
+
+ Operational
+ Personnel Security
+ PS-4
+ Personnel Termination
+ P2
+
+
+ The organization, upon termination of individual employment:
+
+ Terminates information system access;
+ Conducts exit interviews;
+ Retrieves all security-related organizational information system-related property; and
+ Retains access to organizational information and information systems formerly controlled by terminated individual.
+
+
+
+
+
+ Information system-related property includes, for example, hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that individuals understand any security constraints imposed by being former employees and that proper accountability is achieved for all information system-related property. Exit interviews may not be possible for some employees (e.g., in the case of job abandonment, some illnesses, and nonavailability of supervisors). Exit interviews are important for individuals with security clearances. Timely execution of this control is particularly essential for employees or contractors terminated for cause.
+
+
+
+
+
+
+ the organization terminates information system access upon termination of individual employment
+
+
+ the organization conducts exit interviews of terminated personnel
+
+
+ the organization retrieves all security-related organizational information system-related property from terminated personnel
+
+
+ the organization retains access to organizational information and information systems formerly controlled by terminated personnel
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Personnel Security
+ PS-5
+ Personnel Transfer
+ P2
+
+
+ The organization reviews logical and physical access authorizations to information systems/facilities when personnel are reassigned or transferred to other positions within the organization and initiates [Assignment: organization-defined transfer or reassignment actions] within [Assignment: organization-defined time period following the formal transfer action].
+
+
+
+
+ This control applies when the reassignment or transfer of an employee is permanent or of such an extended duration as to make the actions warranted. In addition the organization defines the actions appropriate for the type of reassignment or transfer; whether permanent or temporary. Actions that may be required when personnel are transferred or reassigned to other positions within the organization include, for example: (i) returning old and issuing new keys, identification cards, and building passes; (ii) closing previous information system accounts and establishing new accounts; (iii) changing information system access authorizations; and (iv) providing for access to official records to which the employee had access at the previous work location and in the previous information system accounts.
+
+
+
+
+
+
+ the organization reviews logical and physical access authorizations to information systems/facilities when personnel are reassigned or transferred to other positions within the organization
+
+
+ the organization defines the transfer or reassignment actions and the time period within which the actions must occur following formal transfer or reassignment
+
+
+ the organization initiates the organization-defined transfer or reassignment actions within an organization-defined time period following formal transfer or reassignment
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Personnel Security
+ PS-6
+ Access Agreements
+ P3
+
+
+ The organization:
+
+ Ensures that individuals requiring access to organizational information and information systems sign appropriate access agreements prior to being granted access; and
+ Reviews/updates the access agreements [Assignment: organization-defined frequency].
+
+
+
+
+
+ Access agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with the information system to which access is authorized. Electronic signatures are acceptable for use in acknowledging access agreements unless specifically prohibited by organizational policy. Related control: PL-4.
+
+
+
+
+
+
+ The organization ensures that access to information with special protection measures is granted only to individuals who:
+
+ Have a valid access authorization that is demonstrated by assigned official government duties; and
+ Satisfy associated personnel security criteria.
+
+
+
+
+
+ Information with special protection measures includes, for example, privacy information, proprietary information, and Sources and Methods Information (SAMI). Personnel security criteria include, for example, position sensitivity background screening requirements.
+
+
+
+
+
+
+the organization grants access to information with special protection measures only to individuals who:
+-have a valid access authorization that is demonstrated by assigned official government duties; and
+-satisfy associated personnel security criteria
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that access to classified information with special protection measures is granted only to individuals who:
+
+ Have a valid access authorization that is demonstrated by assigned official government duties;
+ Satisfy associated personnel security criteria; and
+ Have read, understand, and signed a nondisclosure agreement.
+
+
+
+
+
+ Examples of special protection measures include, for example, collateral, Special Access Program (SAP) and Sensitive Compartmented Information (SCI). Personnel security criteria are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+
+
+
+
+
+
+the organization grants access to classified information with special protection measures only to individuals who:
+-have a valid access authorization that is demonstrated by assigned official government duties;
+-satisfy associated personnel security criteria; and
+-have read, understood, and signed a nondisclosure agreement
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization identifies appropriate access agreements for individuals requiring access to organizational information and information systems
+
+
+ individuals requiring access to organizational information and information systems sign appropriate access agreements prior to being granted access
+
+
+ the organization defines the frequency of reviews/updates for access agreements
+
+
+ the organization reviews/updates the access agreements in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ Personnel Security
+ PS-7
+ Third-party Personnel Security
+ P1
+
+
+ The organization:
+
+ Establishes personnel security requirements including security roles and responsibilities for third-party providers;
+ Documents personnel security requirements; and
+ Monitors provider compliance.
+
+
+
+
+
+ Third-party providers include, for example, service bureaus, contractors, and other organizations providing information system development, information technology services, outsourced applications, and network and security management. The organization explicitly includes personnel security requirements in acquisition-related documents.
+
+
+
+
+
+
+ the organization establishes personnel security requirements, including security roles and responsibilities, for third-party providers
+
+
+ the organization documents personnel security requirements for third-party providers
+
+
+ the organization monitors third-party provider compliance with personnel security requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-35
+
+
+
+ Operational
+ Personnel Security
+ PS-8
+ Personnel Sanctions
+ P3
+
+
+ The organization employs a formal sanctions process for personnel failing to comply with established information security policies and procedures.
+
+
+
+
+ The sanctions process is consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The process is described in access agreements and can be included as part of the general personnel policies and procedures for the organization. Related controls: PL-4, PS-6.
+
+
+
+
+
+
+ the organization employs a formal sanctions process for personnel failing to comply with established information security policies and procedures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Management
+ Risk Assessment
+ RA-1
+ Risk Assessment Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented risk assessment policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the risk assessment family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The risk assessment policy can be included as part of the general information security policy for the organization. Risk assessment procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the risk assessment policy. Related control: PM-9.
+
+
+
+
+
+
+ the organization develops and formally documents risk assessment policy
+
+
+ the organization risk assessment policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented risk assessment policy to elements within the organization having associated risk assessment roles and responsibilities
+
+
+ the organization develops and formally documents risk assessment procedures
+
+
+ the organization risk assessment procedures facilitate implementation of the risk assessment policy and associated risk assessment controls
+
+
+ the organization disseminates formal documented risk assessment procedures to elements within the organization having associated risk assessment roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of risk assessment policy reviews/updates
+
+
+ the organization reviews/updates risk assessment policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of risk assessment procedure reviews/updates
+
+
+ the organization reviews/updates risk assessment procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-100
+ NIST 800-12
+ NIST 800-30
+
+
+
+ Management
+ Risk Assessment
+ RA-2
+ Security Categorization
+ P1
+
+
+ The organization:
+
+ Categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+ Documents the security categorization results (including supporting rationale) in the security plan for the information system; and
+ Ensures the security categorization decision is reviewed and approved by the authorizing official or authorizing official designated representative.
+
+
+
+
+
+ A clearly defined authorization boundary is a prerequisite for an effective security categorization. Security categorization describes the potential adverse impacts to organizational operations, organizational assets, and individuals should the information and information system be comprised through a loss of confidentiality, integrity, or availability. The organization conducts the security categorization process as an organization-wide activity with the involvement of the chief information officer, senior information security officer, information system owner, mission owners, and information owners/stewards. The organization also considers potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential national-level adverse impacts in categorizing the information system. The security categorization process facilitates the creation of an inventory of information assets, and in conjunction with CM-8, a mapping to the information system components where the information is processed, stored, and transmitted. Related controls: CM-8, MP-4, SC-7.
+
+
+
+
+
+
+ the organization categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance
+
+
+ the organization documents the security categorization results (including supporting rationale) in the security plan for the information system
+
+
+ the authorizing official or authorizing official designated representative reviews and approves the security categorization decision
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS Publication 199
+ NIST 800-30
+ NIST 800-39
+ NIST 800-60
+
+
+
+ Management
+ Risk Assessment
+ RA-3
+ Risk Assessment
+ P1
+
+
+ The organization:
+
+ Conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of the information system and the information it processes, stores, or transmits;
+ Documents risk assessment results in [Selection: security plan; risk assessment report; [Assignment: organization-defined document]];
+ Reviews risk assessment results [Assignment: organization-defined frequency]; and
+ Updates the risk assessment [Assignment: organization-defined frequency] or whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security state of the system.
+
+
+
+
+
+ A clearly defined authorization boundary is a prerequisite for an effective risk assessment. Risk assessments take into account vulnerabilities, threat sources, and security controls planned or in place to determine the level of residual risk posed to organizational operations and assets, individuals, other organizations, and the Nation based on the operation of the information system. Risk assessments also take into account risk posed to organizational operations, organizational assets, or individuals from external parties (e.g., service providers, contractors operating information systems on behalf of the organization, individuals accessing organizational information systems, outsourcing entities). In accordance with OMB policy and related E-authentication initiatives, authentication of public users accessing federal information systems may also be required to protect nonpublic or privacy-related information. As such, organizational assessments of risk also address public access to federal information systems. The General Services Administration provides tools supporting that portion of the risk assessment dealing with public access to federal information systems.
+ Risk assessments (either formal or informal) can be conducted by organizations at various steps in the Risk Management Framework including: information system categorization; security control selection; security control implementation; security control assessment; information system authorization; and security control monitoring. RA-3 is a noteworthy security control in that the control must be partially implemented prior to the implementation of other controls in order to complete the first two steps in the Risk Management Framework. Risk assessments can play an important role in the security control selection process during the application of tailoring guidance for security control baselines and when considering supplementing the tailored baselines with additional security controls or control enhancements.
+
+
+
+
+
+
+ the organization conducts an assessment of risk of the information system and the information it processes, stores, or transmits that includes the likelihood and magnitude of harm, from the unauthorized:
+-access;
+-use;
+-disclosure;
+-disruption;
+-modification; or
+-destruction
+
+
+ the organization defines the document in which risk assessment results are documented, selecting from the security plan, risk assessment report, or other organization-defined document
+
+
+ the organization documents risk assessment results in the organization-defined document
+
+
+ the organization defines the frequency for review of the risk assessment results
+
+
+ the organization reviews risk assessment results in accordance with the organization-defined frequency
+
+
+ the organization defines the frequency that risk assessments are updated
+
+
+ the organization updates the risk assessment in accordance with the organization-defined frequency or whenever there are significant changes to the information system or environment of operation, or other conditions that may impact the security state of the system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-30
+
+
+
+ Management
+ Risk Assessment
+ RA-4
+ Risk Assessment Update
+
+
+ [Withdrawn: Incorporated into RA-3].
+
+
+
+
+ Management
+ Risk Assessment
+ RA-5
+ Vulnerability Scanning
+ P1
+
+
+ The organization:
+
+ Scans for vulnerabilities in the information system and hosted applications [Assignment: organization-defined frequency and/or randomly in accordance with organization-defined process] and when new vulnerabilities potentially affecting the system/applications are identified and reported;
+ Employs vulnerability scanning tools and techniques that promote interoperability among tools and automate parts of the vulnerability management process by using standards for:
+ Enumerating platforms, software flaws, and improper configurations;
+ Formatting and making transparent, checklists and test procedures; and
+ Measuring vulnerability impact;
+
+
+ Analyzes vulnerability scan reports and results from security control assessments;
+ Remediates legitimate vulnerabilities [Assignment: organization-defined response times] in accordance with an organizational assessment of risk; and
+ Shares information obtained from the vulnerability scanning process and security control assessments with designated personnel throughout the organization to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).
+
+
+
+
+
+ The security categorization of the information system guides the frequency and comprehensiveness of the vulnerability scans. Vulnerability analysis for custom software and applications may require additional, more specialized techniques and approaches (e.g., web-based application scanners, source code reviews, source code analyzers). Vulnerability scanning includes scanning for specific functions, ports, protocols, and services that should not be accessible to users or devices and for improperly configured or incorrectly operating information flow mechanisms. The organization considers using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to test for the presence of vulnerabilities. The Common Weakness Enumeration (CWE) and the National Vulnerability Database (NVD) are also excellent sources for vulnerability information. In addition, security control assessments such as red team exercises are another source of potential vulnerabilities for which to scan. Related controls: CA-2, CM-6, RA-3, SI-2.
+
+
+
+
+
+
+ The organization employs vulnerability scanning tools that include the capability to readily update the list of information system vulnerabilities scanned.
+
+
+
+
+
+
+the organization uses vulnerability scanning tools that have the capability to readily update the list of information system vulnerabilities scanned
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization updates the list of information system vulnerabilities scanned [Assignment: organization-defined frequency] or when new vulnerabilities are identified and reported.
+
+
+
+
+
+
+the organization defines the frequency of updates for information system vulnerabilities scanned
+
+
+the organization updates the list of information system vulnerabilities scanned in accordance with the organization-defined frequency or when new vulnerabilities are identified and reported
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization employs vulnerability scanning procedures that can demonstrate the breadth and depth of coverage (i.e., information system components scanned and vulnerabilities checked).
+
+
+
+
+
+
+the organization employs vulnerability scanning procedures that can demonstrate the breadth of coverage (i.e., information system components scanned)
+
+
+the organization employs vulnerability scanning procedures that can demonstrate the depth of coverage (i.e., vulnerabilities checked)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization attempts to discern what information about the information system is discoverable by adversaries.
+
+
+
+
+
+
+the organization attempts to discern what information about the information system is discoverable by adversaries
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization includes privileged access authorization to [Assignment: organization-identified information system components] for selected vulnerability scanning activities to facilitate more thorough scanning.
+
+
+
+
+
+
+the organization defines the list of information system components to which privileged access is authorized for selected vulnerability scanning activities
+
+
+the organization includes privileged access authorization to organization-defined information system components identified for selected vulnerability scanning activities to facilitate more thorough scanning
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.
+
+
+
+
+
+
+the organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms [Assignment: organization-defined frequency] to detect the presence of unauthorized software on organizational information systems and notify designated organizational officials.
+
+
+
+
+
+
+the organization defines the frequency for employing automated mechanisms to detect the presence of unauthorized software on organizational information systems and notify designated organizational officials
+
+
+the organization employs automated mechanisms to detect the presence of unauthorized software on organizational information systems and notify designated officials in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.
+
+
+
+
+
+
+the organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs an independent penetration agent or penetration team to:
+
+ Conduct a vulnerability analysis on the information system; and
+ Perform penetration testing on the information system based on the vulnerability analysis to determine the exploitability of identified vulnerabilities.
+
+
+
+
+
+ A standard method for penetration testing includes: (i) pre-test analysis based on full knowledge of the target information system; (ii) pre-test identification of potential vulnerabilities based on pre-test analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. Detailed rules of engagement are agreed upon by all parties before the commencement of any penetration testing scenario.
+
+
+
+
+
+
+the organization employs an independent penetration agent or penetration team to:
+-conduct a vulnerability analysis on the information system; and
+-perform penetration testing on the information system based on the vulnerability analysis to determine the exploitability of identified vulnerabilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines:
+-the frequency for conducting vulnerability scans on the information system and hosted applications and/or;
+-the organization-defined process for conducting random vulnerability scans on the information system and hosted applications
+
+
+ the organization scans for vulnerabilities in the information system and hosted applications in accordance with the organization-defined frequency and/or the organization-defined process for random scans
+
+
+ the organization scans for vulnerabilities in the information system and hosted applications when new vulnerabilities potentially affecting the system/applications are identified and reported
+
+
+ the organization employs vulnerability scanning tools and techniques that use standards to promote interoperability among tools and automate parts of the vulnerability management process that focus on:
+-enumerating platforms, software flaws, and improper configurations;
+-formatting/and making transparent checklists and test procedures; and
+-measuring vulnerability impact
+
+
+ the organization analyzes vulnerability scan reports and results from security control assessments
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the response times for remediating legitimate vulnerabilities in accordance with an organizational assessment of risk
+
+
+ the organization remediates legitimate vulnerabilities in accordance with organization-defined response times
+
+
+ the organization shares information obtained from the vulnerability scanning process and security control assessments with designated personnel throughout the organization to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-115
+ NIST 800-40
+ NIST 800-70
+ Web Resource CWE.MITRE.ORG
+ Web Resource NVD.NIST.GOV
+
+
+
+ Management
+ System and Services Acquisition
+ SA-1
+ System and Services Acquisition Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented system and services acquisition policy that includes information security considerations and that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the system and services acquisition family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The system and services acquisition policy can be included as part of the general information security policy for the organization. System and services acquisition procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the system and services acquisition policy. Related control: PM-9.
+
+
+
+
+
+
+ the organization develops and formally documents system services and acquisition policy
+
+
+ the organization system services and acquisition policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented system services and acquisition policy to elements within the organization having associated system services and acquisition roles and responsibilities
+
+
+ the organization develops and formally documents system services and acquisition procedures
+
+
+ the organization system services and acquisition procedures facilitate implementation of the system and services acquisition policy and associated system services and acquisition controls
+
+
+ the organization disseminates formal documented system services and acquisition procedures to elements within the organization having associated system services and acquisition roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of system services and acquisition policy reviews/updates
+
+
+ the organization reviews/updates system services and acquisition policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of system services and acquisition procedure reviews/updates
+
+
+ the organization reviews/updates system services and acquisition procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Management
+ System and Services Acquisition
+ SA-2
+ Allocation of Resources
+ P1
+
+
+ The organization:
+
+ Includes a determination of information security requirements for the information system in mission/business process planning;
+ Determines, documents, and allocates the resources required to protect the information system as part of its capital planning and investment control process; and
+ Establishes a discrete line item for information security in organizational programming and budgeting documentation.
+
+
+
+
+
+ Related controls: PM-3, PM-11.
+
+
+
+
+
+
+ the organization includes a determination of the information security requirements for the information system in mission/business process planning
+
+
+ the organization determines, documents, and allocates the resources required to protect the information system as part of its capital planning and investment control process
+
+
+ the organization establishes a discrete line item for information security in organizational programming and budgeting documentation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-65
+
+
+
+ Management
+ System and Services Acquisition
+ SA-3
+ Life Cycle Support
+ P1
+
+
+ The organization:
+
+ Manages the information system using a system development life cycle methodology that includes information security considerations;
+ Defines and documents information system security roles and responsibilities throughout the system development life cycle; and
+ Identifies individuals having information system security roles and responsibilities.
+
+
+
+
+
+ Related control: PM-7.
+
+
+
+
+
+
+ the organization manages the information system using a system development life cycle methodology that includes information security considerations
+
+
+ the organization defines and documents information system security roles and responsibilities throughout the system development life cycle
+
+
+ the organization identifies individuals having information system security roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-64
+
+
+
+ Management
+ System and Services Acquisition
+ SA-4
+ Acquisitions
+ P1
+
+
+ The organization includes the following requirements and/or specifications, explicitly or by reference, in information system acquisition contracts based on an assessment of risk and in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards:
+
+ Security functional requirements/specifications;
+ Security-related documentation requirements; and
+ Developmental and evaluation-related assurance requirements.
+
+
+
+
+
+ The acquisition documents for information systems, information system components, and information system services include, either explicitly or by reference, security requirements that describe: (i) required security capabilities (i.e., security needs and, as necessary, specific security controls and other specific FISMA requirements); (ii) required design and development processes; (iii) required test and evaluation procedures; and (iv) required documentation. The requirements in the acquisition documents permit updating security controls as new threats/vulnerabilities are identified and as new technologies are implemented. Acquisition documents also include requirements for appropriate information system documentation. The documentation addresses user and system administrator guidance and information regarding the implementation of the security controls in the information system. The level of detail required in the documentation is based on the security categorization for the information system. In addition, the required documentation includes security configuration settings and security implementation guidance. FISMA reporting instructions provide guidance on configuration requirements for federal information systems.
+
+
+
+
+
+
+ The organization requires in acquisition documents that vendors/contractors provide information describing the functional properties of the security controls to be employed within the information system, information system components, or information system services in sufficient detail to permit analysis and testing of the controls.
+
+
+
+
+
+
+the organization requires in acquisition documents that vendors/contractors provide information describing in the functional properties of the security controls to be employed within the information system, information system components, or information system services in sufficient detail to permit analysis and testing of the controls
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization requires in acquisition documents that vendors/contractors provide information describing the design and implementation details of the security controls to be employed within the information system, information system components, or information system services (including functional interfaces among control components) in sufficient detail to permit analysis and testing of the controls.
+
+
+
+
+
+
+the organization requires in acquisition documents that vendors/contractors provide information describing the design and implementation details of the security controls to be employed within the information system, information system components, or information system services (including functional interfaces among control components) in sufficient detail to permit analysis and testing of the controls
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires software vendors/manufacturers to demonstrate that their software development processes employ state-of-the-practice software and security engineering methods, quality control processes, and validation techniques to minimize flawed or malformed software.
+
+
+
+
+
+
+the organization requires software vendors/manufacturers to minimize flawed or malformed software by demonstrating that their software development processes employ:
+-state-of-the-practice software and security engineering methods;
+-quality control processes; and
+-validation techniques
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that each information system component acquired is explicitly assigned to an information system, and that the owner of the system acknowledges this assignment.
+
+
+
+
+
+
+the organization explicitly assigns each acquired information system component to an information system
+
+
+the owner of the system acknowledges each assignment of information system components to the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires in acquisition documents, that information system components are delivered in a secure, documented configuration, and that the secure configuration is the default configuration for any software reinstalls or upgrades.
+
+
+
+
+
+
+the organization requires in acquisition documents that information system components are delivered in a secure, documented configuration
+
+
+the organization requires in acquisition documents that the secure configuration is the default configuration for any software reinstalls or upgrades
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that composes an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and
+ Ensures that these products have been evaluated and/or validated by the NSA or in accordance with NSA-approved procedures.
+
+
+
+
+
+ COTS IA or IA-enabled information technology products used to protect classified information by cryptographic means, may be required to use NSA-approved key management.
+
+
+
+
+
+
+the organization employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted
+
+
+the organization ensures that these products have been evaluated and/or validated by the NSA or in accordance with NSA-approved procedures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Limits the use of commercially provided information technology products to those products that have been successfully evaluated against a validated U.S. Government Protection Profile for a specific technology type, if such a profile exists; and
+ Requires, if no U.S. Government Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, then the cryptographic module is FIPS-validated.
+
+
+
+
+
+
+
+the organization limits the use of commercially-provided information technology products to those products that have been successfully evaluated against a validated U.S. Government Protection Profile for a specific technology type, if such a profile exists
+
+
+the organization requires a commercially-provided information technology product to rely on cryptographic functionality to enforce its security policy when no U.S. Government Protection Profile exists for such a specific technology type
+
+
+the organization requires the use of a FIPS-validated, cryptographic module for a technology product that relies on cryptographic functionality to enforce its security policy when no U.S. Government Protection Profile exists for such a specific technology type
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization includes the following requirements and/or specifications, explicitly or by reference, in information system acquisition contracts based on an assessment of risk and in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards:
+-security functional requirements/specifications;
+-security-related documentation requirements; and
+-developmental and evaluation-related assurance requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS 140-2
+ ISO/IEC 15408
+ NIST 800-23
+ NIST 800-35
+ NIST 800-36
+ NIST 800-64
+ NIST 800-70
+ Web Resource WWW.NIAP-CCEVS.ORG
+
+
+
+ Management
+ System and Services Acquisition
+ SA-5
+ Information System Documentation
+ P2
+
+
+ The organization:
+
+ Obtains, protects as required, and makes available to authorized personnel, administrator documentation for the information system that describes:
+ Secure configuration, installation, and operation of the information system;
+ Effective use and maintenance of security features/functions; and
+ Known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions; and
+
+
+ Obtains, protects as required, and makes available to authorized personnel, user documentation for the information system that describes:
+ User-accessible security features/functions and how to effectively use those security features/functions;
+ Methods for user interaction with the information system, which enables individuals to use the system in a more secure manner; and
+ User responsibilities in maintaining the security of the information and information system; and
+
+
+ Documents attempts to obtain information system documentation when such documentation is either unavailable or nonexistent.
+
+
+
+
+
+ The inability of the organization to obtain necessary information system documentation may occur, for example, due to the age of the system and/or lack of support from the vendor/contractor. In those situations, organizations may need to recreate selected information system documentation if such documentation is essential to the effective implementation and/or operation of security controls.
+
+
+
+
+
+
+ The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the functional properties of the security controls employed within the information system with sufficient detail to permit analysis and testing.
+
+
+
+
+
+
+the organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the functional properties of the security controls employed within the information system with sufficient detail to permit analysis and testing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the security-relevant external interfaces to the information system with sufficient detail to permit analysis and testing.
+
+
+
+
+
+
+the organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the security-relevant external interfaces to the information system with sufficient detail to permit analysis and testing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the high-level design of the information system in terms of subsystems and implementation details of the security controls employed within the system with sufficient detail to permit analysis and testing.
+
+
+
+
+ An information system can be partitioned into multiple subsystems.
+
+
+
+
+
+
+the organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the high-level design of the information system in terms of subsystems and implementation details of the security controls employed within the system with sufficient detail to permit analysis and testing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the low-level design of the information system in terms of modules and implementation details of the security controls employed within the system with sufficient detail to permit analysis and testing.
+
+
+
+
+ Each subsystem within an information system can contain one or more modules.
+
+
+
+
+
+
+the organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the low-level design of the information system in terms of modules and implementation details of the security controls employed within the system with sufficient detail to permit analysis and testing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization obtains, protects as required, and makes available to authorized personnel, the source code for the information system to permit analysis and testing.
+
+
+
+
+
+
+the organization obtains, protects as required, and makes available to authorized personnel, the source code for the information system to permit analysis and testing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization obtains, protects as required, and makes available to authorized personnel, administrator documentation for the information system that describes:
+-secure configuration, installation, and operation of the information system;
+-effective use and maintenance of the security features/functions; and
+-known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions
+
+
+ the organization obtains, protects as required, and makes available to authorized personnel, user documentation for the information system that describes:
+-user-accessible security features/functions and how to effectively use those security features/functions;
+-methods for user interaction with the information system, which enables individuals to use the system in a more secure manner; and
+-user responsibilities in maintaining the security of the information and information system
+
+
+ the organization documents attempts to obtain information system documentation when such documentation is either unavailable or nonexistent
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Management
+ System and Services Acquisition
+ SA-6
+ Software Usage Restrictions
+ P1
+
+
+ The organization:
+
+ Uses software and associated documentation in accordance with contract agreements and copyright laws;
+ Employs tracking systems for software and associated documentation protected by quantity licenses to control copying and distribution; and
+ Controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.
+
+
+
+
+
+ Tracking systems can include, for example, simple spreadsheets or fully automated, specialized applications depending on the needs of the organization.
+
+
+
+
+
+
+ The organization:
+
+ Prohibits the use of binary or machine executable code from sources with limited or no warranty without accompanying source code; and
+ Provides exceptions to the source code requirement only for compelling mission/operational requirements when no alternative solutions are available and with the express written consent of the authorizing official.
+
+
+
+
+
+ Software products without accompanying source code from sources with limited or no warranty are assessed for potential security impacts. The assessment addresses the fact that these types of software products are difficult or impossible to review, repair, or extend, given that the organization does not have access to the original source code and there is no owner who could make such repairs on behalf of the organization.
+
+
+
+
+
+
+the organization prohibits the use of binary or machine executable code from sources with limited or no warranty without accompanying source code
+
+
+the organization provides exceptions to the source code requirement only when no alternative solutions are available to support compelling mission/operational requirements
+
+
+the organization obtains express written consent of the authorizing official for exceptions to the source code requirement
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization uses software and associated documentation in accordance with contract agreements and copyright laws
+
+
+ the organization employs tracking systems for software and associated documentation protected by quantity licenses to control copying and distribution
+
+
+ the organization controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Management
+ System and Services Acquisition
+ SA-7
+ User-installed Software
+ P1
+
+
+ The organization enforces explicit rules governing the installation of software by users.
+
+
+
+
+ If provided the necessary privileges, users have the ability to install software. The organization identifies what types of software installations are permitted (e.g., updates and security patches to existing software) and what types of installations are prohibited (e.g., software whose pedigree with regard to being potentially malicious is unknown or suspect). Related control: CM-2.
+
+
+
+
+
+
+ the organization identifies and documents (as appropriate) explicit rules to be enforced when governing the installation of software by users
+
+
+ the organization (or information system) enforces explicit rules governing the installation of software by users
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Management
+ System and Services Acquisition
+ SA-8
+ Security Engineering Principles
+ P1
+
+
+ The organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system.
+
+
+
+
+ The application of security engineering principles is primarily targeted at new development information systems or systems undergoing major upgrades and is integrated into the system development life cycle. For legacy information systems, the organization applies security engineering principles to system upgrades and modifications to the extent feasible, given the current state of the hardware, software, and firmware within the system. Examples of security engineering principles include, for example: (i) developing layered protections; (ii) establishing sound security policy, architecture, and controls as the foundation for design; (iii) incorporating security into the system development life cycle; (iv) delineating physical and logical security boundaries; (v) ensuring system developers and integrators are trained on how to develop secure software; (vi) tailoring security controls to meet organizational and operational needs; and (vii) reducing risk to acceptable levels, thus enabling informed risk management decisions.
+
+
+
+
+
+
+ the organization applies information system security engineering principles in the specification of the information system
+
+
+ the organization applies information system security engineering principles in the design of the information system
+
+
+ the organization applies information system security engineering principles in the development of the information system
+
+
+ the organization applies information system security engineering principles in the implementation of the information system
+
+
+ the organization applies information system security engineering principles in the modification of the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-27
+
+
+
+ Management
+ System and Services Acquisition
+ SA-9
+ External Information System Services
+ P1
+
+
+ The organization:
+
+ Requires that providers of external information system services comply with organizational information security requirements and employ appropriate security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+ Defines and documents government oversight and user roles and responsibilities with regard to external information system services; and
+ Monitors security control compliance by external service providers.
+
+
+
+
+
+ An external information system service is a service that is implemented outside of the authorization boundary of the organizational information system (i.e., a service that is used by, but not a part of, the organizational information system). Relationships with external service providers are established in a variety of ways, for example, through joint ventures, business partnerships, outsourcing arrangements (i.e., contracts, interagency agreements, lines of business arrangements), licensing agreements, and/or supply chain exchanges. The responsibility for adequately mitigating risks arising from the use of external information system services remains with the authorizing official. Authorizing officials require that an appropriate chain of trust be established with external service providers when dealing with the many issues associated with information security. For services external to the organization, a chain of trust requires that the organization establish and retain a level of confidence that each participating provider in the potentially complex consumer-provider relationship provides adequate protection for the services rendered to the organization. The extent and nature of this chain of trust varies based on the relationship between the organization and the external provider. Where a sufficient level of trust cannot be established in the external services and/or service providers, the organization employs compensating security controls or accepts the greater degree of risk. The external information system services documentation includes government, service provider, and end user security roles and responsibilities, and any service-level agreements. Service-level agreements define the expectations of performance for each required security control, describe measurable outcomes, and identify remedies and response requirements for any identified instance of noncompliance.
+
+
+
+
+
+
+ The organization:
+
+ Conducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services; and
+ Ensures that the acquisition or outsourcing of dedicated information security services is approved by [Assignment: organization-defined senior organizational official].
+
+
+
+
+
+ Dedicated information security services include, for example, incident monitoring, analysis and response, operation of information security-related devices such as firewalls, or key management services.
+
+
+
+
+
+
+the organization conducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services
+
+
+the organization defines the senior organizational official designated to approve the acquisition or outsourcing of dedicated information security services
+
+
+the designated senior organizational official approves the acquisition or outsourcing of dedicated information security services
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization requires that providers of external information system services comply with organizational information security requirements and employ appropriate security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance
+
+
+ the organization defines and documents government oversight, and user roles and responsibilities with regard to external information system services
+
+
+ the organization monitors security control compliance by external service providers
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-35
+
+
+
+ Management
+ System and Services Acquisition
+ SA-10
+ Developer Configuration Management
+ P1
+
+
+ The organization requires that information system developers/integrators:
+
+ Perform configuration management during information system design, development, implementation, and operation;
+ Manage and control changes to the information system;
+ Implement only organization-approved changes;
+ Document approved changes to the information system; and
+ Track security flaws and flaw resolution.
+
+
+
+
+
+ Related controls: CM-3, CM-4, CM-9.
+
+
+
+
+
+
+ The organization requires that information system developers/integrators provide an integrity check of software to facilitate organizational verification of software integrity after delivery.
+
+
+
+
+
+
+the organization requires that information system developers/integrators provide an integrity check of software to facilitate organizational verification of software integrity after delivery
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization provides an alternative configuration management process with organizational personnel in the absence of dedicated developer/integrator configuration management team.
+
+
+
+
+ The configuration management process includes key organizational personnel that are responsible for reviewing and approving proposed changes to the information system, and security personnel that conduct impact analyses prior to the implementation of any changes to the system.
+
+
+
+
+
+
+the organization provides an alternative configuration management process with organizational personnel in the absence of a dedicated developer/integrator configuration management team
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization requires that information system developers/integrators perform configuration management during information system:
+-design;
+-development;
+-implementation; and
+-operation
+
+
+ manage and control changes to the information system during:
+- design
+- development
+- implementation; and
+- modification
+
+
+ implement only organization-approved changes
+
+
+ document approved changes to the information system; and
+
+
+ track security flaws and flaw resolution
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Management
+ System and Services Acquisition
+ SA-11
+ Developer Security Testing
+ P2
+
+
+ The organization requires that information system developers/integrators, in consultation with associated security personnel (including security engineers):
+
+ Create and implement a security test and evaluation plan;
+ Implement a verifiable flaw remediation process to correct weaknesses and deficiencies identified during the security testing and evaluation process; and
+ Document the results of the security testing/evaluation and flaw remediation processes.
+
+
+
+
+
+ Developmental security test results are used to the greatest extent feasible after verification of the results and recognizing that these results are impacted whenever there have been security-relevant modifications to the information system subsequent to developer testing. Test results may be used in support of the security authorization process for the delivered information system. Related control: CA-2, SI-2.
+
+
+
+
+
+
+ The organization requires that information system developers/integrators employ code analysis tools to examine software for common flaws and document the results of the analysis.
+
+
+
+
+
+
+the organization requires that information system developers/integrators employ code analysis tools to examine software for common flaws
+
+
+the organization requires that information system developers/integrators document the results of the analysis
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires that information system developers/integrators perform a vulnerability analysis to document vulnerabilities, exploitation potential, and risk mitigations.
+
+
+
+
+
+
+the organization requires that information system developers/integrators perform a vulnerability analysis to document vulnerabilities, exploitation potential, and risk mitigations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires that information system developers/integrators create a security test and evaluation plan and implement the plan under the witness of an independent verification and validation agent.
+
+
+
+
+
+
+the organization requires that information system developers/integrators create a security test and evaluation plan
+
+
+the organization requires that information system developers/integrators implement the plan under the witness of an independent verification and validation agent
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization requires that information system developers/integrators, in consultation with associated security personnel (including security engineers):
+-create and implement a security test and evaluation plan;
+-implement a verifiable flaw remediation process to correct weaknesses and deficiencies identified during the security testing and evaluation process; and
+-document the results of the security testing/evaluation and flaw remediation processes
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Management
+ System and Services Acquisition
+ SA-12
+ Supply Chain Protection
+ P1
+ HIGH
+
+
+ The organization protects against supply chain threats by employing: [Assignment: organization-defined list of measures to protect against supply chain threats] as part of a comprehensive, defense-in-breadth information security strategy.
+
+
+
+
+ A defense-in-breadth approach helps to protect information systems (including the information technology products that compose those systems) throughout the system development life cycle (i.e., during design and development, manufacturing, packaging, assembly, distribution, system integration, operations, maintenance, and retirement). This is accomplished by the identification, management, and elimination of vulnerabilities at each phase of the life cycle and the use of complementary, mutually reinforcing strategies to mitigate risk.
+
+
+
+
+
+
+ The organization purchases all anticipated information system components and spares in the initial acquisition.
+
+
+
+
+ Stockpiling information system components and spares avoids the need to use less trustworthy secondary or resale markets in future years.
+
+
+
+
+
+
+the organization purchases all anticipated information system components and spares in the initial acquisition
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization conducts a due diligence review of suppliers prior to entering into contractual agreements to acquire information system hardware, software, firmware, or services.
+
+
+
+
+ The organization reviews supplier claims with regard to the use of appropriate security processes in the development and manufacture of information system components or products.
+
+
+
+
+
+
+the organization conducts a due diligence review of suppliers prior to entering into contractual agreements to acquire information system hardware, software, firmware, or services
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization uses trusted shipping and warehousing for information systems, information system components, and information technology products.
+
+
+
+
+ Trusted shipping and warehousing reduces opportunities for subversive activities or interception during transit. Examples of supporting techniques include the use of a geographically aware beacon to detect shipment diversions or delays. Related control: PE-16.
+
+
+
+
+
+
+the organization uses trusted shipping and warehousing for:
+- information systems;
+- information system components; and
+- information technology products
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs a diverse set of suppliers for information systems, information system components, information technology products, and information system services.
+
+
+
+
+ Diversification of suppliers is intended to limit the potential harm from a given supplier in a supply chain, increasing the work factor for an adversary.
+
+
+
+
+
+
+the organization employs a diverse set of suppliers for:
+-information systems;
+-information system components;
+-information technology products; and
+- information system services
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs standard configurations for information systems, information system components, and information technology products.
+
+
+
+
+ By avoiding the purchase of custom configurations for information systems, information system components, and information technology products, the organization limits the possibility of acquiring systems and products that have been corrupted via the supply chain actions targeted at the organization.
+
+
+
+
+
+
+the organization employs standard configurations for:
+-information systems;
+-information system components; and
+-information technology products;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization minimizes the time between purchase decisions and delivery of information systems, information system components, and information technology products.
+
+
+
+
+ By minimizing the time between purchase decisions and required delivery of information systems, information system components, and information technology products, the organization limits the opportunity for an adversary to corrupt the purchased system, component, or product.
+
+
+
+
+
+
+the organization minimizes the time between purchase decisions and delivery of:
+-information systems;
+-information system components; and
+-information technology products
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs independent analysis and penetration testing against delivered information systems, information system components, and information technology products.
+
+
+
+
+
+
+the organization employs independent analysis and penetration testing against delivered:
+-information systems;
+-information system components; and
+-information technology products
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the measures to be employed to protect against supply chain threats
+
+
+ the organization protects against supply chain threats by employing organizationdefined measures as part of a comprehensive, defense-in-breadth information security strategy
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Management
+ System and Services Acquisition
+ SA-13
+ Trustworthiness
+ P1
+ HIGH
+
+
+ The organization requires that the information system meets [Assignment: organization-defined level of trustworthiness].
+
+
+
+
+ The intent of this control is to ensure that organizations recognize the importance of trustworthiness and making explicit trustworthiness decisions when designing, developing, and implementing organizational information systems. Trustworthiness is a characteristic or property of an information system that expresses the degree to which the system can be expected to preserve the confidentiality, integrity, and availability of the information being processed, stored, or transmitted by the system. Trustworthy information systems are systems that are capable of being trusted to operate within defined levels of risk despite the environmental disruptions, human errors, and purposeful attacks that are expected to occur in the specified environments of operation. Two factors affecting the trustworthiness of an information system include: (i) security functionality (i.e., the security features or functions employed within the system); and (ii) security assurance (i.e., the grounds for confidence that the security functionality is effective in its application).
+ Appropriate security functionality for the information system can be obtained by using the Risk Management Framework (Steps 1, 2, and 3) to select and implement the necessary management, operational, and technical security controls necessary to mitigate risk to organizational operations and assets, individuals, other organizations, and the Nation. Appropriate security assurance can be obtained by: (i) the actions taken by developers and implementers of security controls with regard to the design, development, implementation, and operation of those controls; and (ii) the actions taken by assessors to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements for the information system.
+ Developers and implementers can increase the assurance in security controls by employing well-defined security policy models, structured, disciplined, and rigorous hardware and software development techniques, and sound system/security engineering principles. Assurance is also based on the assessment of evidence produced during the initiation, acquisition/development, implementation, and operations/maintenance phases of the system development life cycle. For example, developmental evidence may include the techniques and methods used to design and develop security functionality. Operational evidence may include flaw reporting and remediation, the results of security incident reporting, and the results of the ongoing monitoring of security controls. Independent assessments by qualified assessors may include analyses of the evidence as well as testing, inspections, and audits. Minimum assurance requirements are described in Appendix E.
+ Explicit trustworthiness decisions highlight situations where achieving the information system resilience and security capability necessary to withstand cyber attacks from adversaries with certain threat capabilities may require adjusting the risk management strategy, the design of mission/business processes with regard to automation, the selection and implementation rigor of management and operational protections, or the selection of information technology components with higher levels of trustworthiness. Trustworthiness may be defined on a component-by-component, subsystem-by-subsystem, or function-by-function basis. It is noted, however, that typically functions, subsystems, and components are highly interrelated, making separation by trustworthiness perhaps problematic and at a minimum, something that likely requires careful attention in order to achieve practically useful results. Related controls: RA-2, SA-4, SA-8, SC-3.
+
+
+
+
+
+
+ the organization defines the organization's level of trustworthiness
+
+
+ the organization requires that the information system meet the organization-defined level of trustworthiness
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS 200
+ FIPS Publication 199
+ NIST 800-53
+ NIST 800-53A
+ NIST 800-60
+ NIST 800-64
+
+
+
+ Management
+ System and Services Acquisition
+ SA-14
+ Critical Information System Components
+ P0
+
+
+ The organization:
+
+ Determines [Assignment: organization-defined list of critical information system components that require re-implementation]; and
+ Re-implements or custom develops such information system components.
+
+
+
+
+
+ The underlying assumption is that the list of information technology products defined by the organization cannot be trusted due to threats from the supply chain that the organization finds unacceptable. The organization re-implements or custom develops such components to satisfy requirements for high assurance. Related controls: SA-12, SA-13.
+
+
+
+
+
+
+ The organization:
+
+ Identifies information system components for which alternative sourcing is not viable; and
+ Employs [Assignment: organization-defined measures] to ensure that critical security controls for the information system components are not compromised.
+
+
+
+
+
+ Measures that the organization considers implementing include, for example, enhanced auditing, restrictions on source code and system utility access, and protection from deletion of system and application files.
+
+
+
+
+
+
+the organization identifies information system components for which alternative sourcing is not viable
+
+
+the organization defines the measures to be employed to prevent critical security controls for information system components from being compromised
+
+
+the organization employs organization-defined measures to ensure that critical security controls for information system components are not compromised
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the critical information system components that require reimplementation
+
+
+ the organization re-implements organization-defined critical information system components
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-1
+ System and Communications Protection Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented system and communications protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the system and communications protection family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The system and communications protection policy can be included as part of the general information security policy for the organization. System and communications protection procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the system and communications protection policy. Related control: PM-9.
+
+
+
+
+
+
+ the organization develops and formally documents system and communications protection policy
+
+
+ the organization system and communications protection policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented system and communications protection policy to elements within the organization having associated system and communications protection roles and responsibilities
+
+
+ the organization develops and formally documents system and communications protection procedures
+
+
+ the organization system and communications protection procedures facilitate implementation of the system and communications protection policy and associated system and communications protection controls
+
+
+ the organization disseminates formal documented system and communications protection procedures to elements within the organization having associated system and communications protection roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of system and communications protection policy reviews/updates
+
+
+ the organization reviews/updates system and communications protection policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of system and communications protection procedure reviews/updates
+
+
+ the organization reviews/updates system and communications protection procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Technical
+ System and Communications Protection
+ SC-2
+ Application Partitioning
+ P1
+
+
+ The information system separates user functionality (including user interface services) from information system management functionality.
+
+
+
+
+ Information system management functionality includes, for example, functions necessary to administer databases, network components, workstations, or servers, and typically requires privileged user access. The separation of user functionality from information system management functionality is either physical or logical and is accomplished by using different computers, different central processing units, different instances of the operating system, different network addresses, combinations of these methods, or other methods as appropriate. An example of this type of separation is observed in web administrative interfaces that use separate authentication methods for users of any other information system resources. This may include isolating the administrative interface on a different domain and with additional access controls.
+
+
+
+
+
+
+ The information system prevents the presentation of information system management-related functionality at an interface for general (i.e., non-privileged) users.
+
+
+
+
+ The intent of this control enhancement is to ensure that administration options are not available to general users (including prohibiting the use of the grey-out option commonly used to eliminate accessibility to such information). For example, administration options are not presented until the user has appropriately established a session with administrator privileges.
+
+
+
+
+
+
+the information system prevents the presentation of information system management-related functionality at an interface for general (i.e., non-privileged) users
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system separates user functionality (including user interface services) from information system management functionality
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-3
+ Security Function Isolation
+ P1
+ HIGH
+
+
+ The information system isolates security functions from nonsecurity functions.
+
+
+
+
+ The information system isolates security functions from nonsecurity functions by means of an isolation boundary (implemented via partitions and domains) that controls access to and protects the integrity of, the hardware, software, and firmware that perform those security functions. The information system maintains a separate execution domain (e.g., address space) for each executing process. Related control: SA-13.
+
+
+
+
+
+
+ The information system implements underlying hardware separation mechanisms to facilitate security function isolation.
+
+
+
+
+
+
+the information system implements underlying hardware separation mechanisms to facilitate security function isolation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system isolates security functions enforcing access and information flow control from both nonsecurity functions and from other security functions.
+
+
+
+
+
+
+the information system isolates security functions enforcing access and information flow control from both nonsecurity functions and other security functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization implements an information system isolation boundary to minimize the number of nonsecurity functions included within the boundary containing security functions.
+
+
+
+
+ Nonsecurity functions contained within the isolation boundary are considered security-relevant.
+
+
+
+
+
+
+the organization implements an information system isolation boundary to minimize the number of nonsecurity functions included within the boundary containing security functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization implements security functions as largely independent modules that avoid unnecessary interactions between modules.
+
+
+
+
+
+
+the organization implements security functions as largely independent modules that avoid unnecessary interactions between modules
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization implements security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers.
+
+
+
+
+
+
+the organization implements security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the security functions of the information system to be isolated from nonsecurity functions
+
+
+ the information system isolates security functions from nonsecurity functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-4
+ Information In Shared Resources
+ P1
+
+
+ The information system prevents unauthorized and unintended information transfer via shared system resources.
+
+
+
+
+ The purpose of this control is to prevent information, including encrypted representations of information, produced by the actions of a prior user/role (or the actions of a process acting on behalf of a prior user/role) from being available to any current user/role (or current process) that obtains access to a shared system resource (e.g., registers, main memory, secondary storage) after that resource has been released back to the information system. Control of information in shared resources is also referred to as object reuse. This control does not address: (i) information remanence which refers to residual representation of data that has been in some way nominally erased or removed; (ii) covert channels where shared resources are manipulated to achieve a violation of information flow restrictions; or (iii) components in the information system for which there is only a single user/role.
+
+
+
+
+
+
+ The information system does not share resources that are used to interface with systems operating at different security levels.
+
+
+
+
+ Shared resources include, for example, memory, input/output queues, and network interface cards.
+
+
+
+
+
+
+the information system does not share resources that are used to interface with systems operating at different security levels
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system prevents unauthorized and unintended information transfer via shared system resources
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-5
+ Denial of Service Protection
+ P1
+
+
+ The information system protects against or limits the effects of the following types of denial of service attacks: [Assignment: organization-defined list of types of denial of service attacks or reference to source for current list].
+
+
+
+
+ A variety of technologies exist to limit, or in some cases, eliminate the effects of denial of service attacks. For example, boundary protection devices can filter certain types of packets to protect devices on an organizations internal network from being directly affected by denial of service attacks. Employing increased capacity and bandwidth combined with service redundancy may reduce the susceptibility to some denial of service attacks. Related control: SC-7.
+
+
+
+
+
+
+ The information system restricts the ability of users to launch denial of service attacks against other information systems or networks.
+
+
+
+
+
+
+the information system restricts the ability of users to launch denial of service attacks against other information systems or networks
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system manages excess capacity, bandwidth, or other redundancy to limit the effects of information flooding types of denial of service attacks.
+
+
+
+
+
+
+the information system manages excess capacity, bandwidth, or other redundancy to limit the effects of information flooding types of denial of service attacks
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the types of denial of service attacks (or provides references to sources of current denial of service attacks) that can be addressed by the information system
+
+
+ the information system protects against or limits the effects of the organization-defined or referenced types of denial of service attacks
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-6
+ Resource Priority
+ P0
+
+
+ The information system limits the use of resources by priority.
+
+
+
+
+ Priority protection helps prevent a lower-priority process from delaying or interfering with the information system servicing any higher-priority process. This control does not apply to components in the information system for which there is only a single user/role.
+
+
+
+
+
+
+ the information system limits the use of resources by priority
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-7
+ Boundary Protection
+ P1
+
+
+ The information system:
+
+ Monitors and controls communications at the external boundary of the system and at key internal boundaries within the system; and
+ Connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.
+
+
+
+
+
+ Restricting external web traffic only to organizational web servers within managed interfaces and prohibiting external traffic that appears to be spoofing an internal address as the source are examples of restricting and prohibiting communications. Managed interfaces employing boundary protection devices include, for example, proxies, gateways, routers, firewalls, guards, or encrypted tunnels arranged in an effective security architecture (e.g., routers protecting firewalls and application gateways residing on a protected subnetwork commonly referred to as a demilitarized zone or DMZ).
+ The organization considers the intrinsically shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers, and may include third-party provided access lines and other service elements. Consequently, such interconnecting transmission services may represent sources of increased risk despite contract security provisions. Therefore, when this situation occurs, the organization either implements appropriate compensating security controls or explicitly accepts the additional risk. Related controls: AC-4, IR-4, SC-5.
+
+
+
+
+
+
+ The organization physically allocates publicly accessible information system components to separate subnetworks with separate physical network interfaces.
+
+
+
+
+ Publicly accessible information system components include, for example, public web servers.
+
+
+
+
+
+
+the organization physically allocates publicly accessible information system components to separate subnetworks with separate, physical network interfaces
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system prevents public access into the organizations internal networks except as appropriately mediated by managed interfaces employing boundary protection devices.
+
+
+
+
+
+
+the organization defines the mediation necessary for public access to the organization's internal networks
+
+
+the information system prevents public access into the organization's internal networks except as appropriately mediated by managed interfaces employing boundary protection devices
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization limits the number of access points to the information system to allow for more comprehensive monitoring of inbound and outbound communications and network traffic.
+
+
+
+
+ The Trusted Internet Connection (TIC) initiative is an example of limiting the number of managed network access points.
+
+
+
+
+
+
+the organization limits the number of access points to the information system to allow for more comprehensive monitoring of inbound and outbound communications and network traffic
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Implements a managed interface for each external telecommunication service;
+ Establishes a traffic flow policy for each managed interface;
+ Employs security controls as needed to protect the confidentiality and integrity of the information being transmitted;
+ Documents each exception to the traffic flow policy with a supporting mission/business need and duration of that need;
+ Reviews exceptions to the traffic flow policy [Assignment: organization-defined frequency]; and
+ Removes traffic flow policy exceptions that are no longer supported by an explicit mission/business need.
+
+
+
+
+
+
+
+the organization defines the frequency for reviewing exceptions to traffic flow policy
+
+
+the organization implements a managed interface for each external telecommunication service
+
+
+the organization establishes a traffic flow policy for each managed interface
+
+
+the organization employs security controls as needed to protect the confidentiality and integrity of the information being transmitted
+
+
+the organization documents each exception to the traffic flow policy with a supporting mission/business need and duration of that need
+
+
+the organization reviews exceptions to the traffic flow policy in accordance with the organization-defined frequency
+
+
+the organization removes traffic flow policy exceptions that are no longer supported by an explicit mission/business need
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system at managed interfaces, denies network traffic by default and allows network traffic by exception (i.e., deny all, permit by exception).
+
+
+
+
+
+
+the information system, at managed interfaces, denies network traffic by default
+
+
+the information system, at managed interfaces, allows network traffic by exception
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization prevents the unauthorized release of information outside of the information system boundary or any unauthorized communication through the information system boundary when there is an operational failure of the boundary protection mechanisms.
+
+
+
+
+
+
+the organization prevents the unauthorized release of information outside of the information system boundary
+
+
+the organization prevents any unauthorized communication through the information system boundary when there is an operational failure of the boundary protection mechanisms
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system prevents remote devices that have established a non-remote connection with the system from communicating outside of that communications path with resources in external networks.
+
+
+
+
+ This control enhancement is implemented within the remote device (e.g., notebook/laptop computer) via configuration settings that are not configurable by the user of that device. An example of a non-remote communications path from a remote device is a virtual private network. When a non-remote connection is established using a virtual private network, the configuration settings prevent split-tunneling. Split tunneling might otherwise be used by remote users to communicate with the information system as an extension of that system and to communicate with local resources such as a printer or file server. Since the remote device, when connected by a non-remote connection, becomes an extension of the information system, allowing dual communications paths such as split-tunneling would be, in effect, allowing unauthorized external connections into the system.
+
+
+
+
+
+
+the information system prevents remote devices that have established a non-remote connection with the system from communicating outside of that communications path with resources in external networks
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The information system routes [Assignment: organization-defined internal communications traffic] to [Assignment: organization-defined external networks] through authenticated proxy servers within the managed interfaces of boundary protection devices.
+
+
+
+
+ External networks are networks outside the control of the organization. Proxy servers support logging individual Transmission Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators (URLs), domain names, and Internet Protocol (IP) addresses. Proxy servers are also configurable with organization-defined lists of authorized and unauthorized websites.
+
+
+
+
+
+
+the organization defines the internal communications traffic to be routed to external networks
+
+
+the organization defines the external networks to which the organization-defined internal communications traffic should be routed
+
+
+the information system routes organization-defined internal communications traffic to organization-defined external networks through authenticated proxy servers within the managed interfaces of boundary protection devices
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system, at managed interfaces, denies network traffic and audits internal users (or malicious code) posing a threat to external information systems.
+
+
+
+
+ Detecting internal actions that may pose a security threat to external information systems is sometimes termed extrusion detection. Extrusion detection at the information system boundary includes the analysis of network traffic (incoming as well as outgoing) looking for indications of an internal threat to the security of external systems.
+
+
+
+
+
+
+the information system, at managed interfaces, denies network traffic
+
+
+the information system audits internal users (or malicious code) posing a threat to external information systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization prevents the unauthorized exfiltration of information across managed interfaces.
+
+
+
+
+ Measures to prevent unauthorized exfiltration of information from the information system include, for example: (i) strict adherence to protocol formats; (ii) monitoring for indications of beaconing from the information system; (iii) monitoring for use of steganography; (iv) disconnecting external network interfaces except when explicitly needed; (v) disassembling and reassembling packet headers; and (vi) employing traffic profile analysis to detect deviations from the volume or types of traffic expected within the organization. Examples of devices enforcing strict adherence to protocol formats include, for example, deep packet inspection firewalls and XML gateways. These devices verify adherence to the protocol specification at the application layer and serve to identify vulnerabilities that cannot be detected by devices operating at the network or transport layer.
+
+
+
+
+
+
+the organization prevents the unauthorized exfiltration of information across managed interfaces
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system checks incoming communications to ensure that the communications are coming from an authorized source and routed to an authorized destination.
+
+
+
+
+
+
+the information system checks incoming communications to ensure:
+- the communications are coming from an authorized source; and
+-the communications are routed to an authorized destination
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system implements host-based boundary protection mechanisms for servers, workstations, and mobile devices.
+
+
+
+
+ A host-based boundary protection mechanism is, for example, a host-based firewall. Host-based boundary protection mechanisms are employed on mobile devices, such as notebook/laptop computers, and other types of mobile devices where such boundary protection mechanisms are available.
+
+
+
+
+
+
+the information system implements host-based boundary protection mechanisms for:
+-servers;
+-workstations; and
+-mobile devices
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization isolates [Assignment: organization defined key information security tools, mechanisms, and support components] from other internal information system components via physically separate subnets with managed interfaces to other portions of the system.
+
+
+
+
+
+
+the organization defines the key information security tools, mechanisms, and support components to be isolated from other internal information system components
+
+
+the organization isolates organization-defined key information security tools, mechanisms, and support components from other internal information system components via physically separate subnets with managed interfaces to other portions of the system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization protects against unauthorized physical connections across the boundary protections implemented at [Assignment: organization-defined list of managed interfaces].
+
+
+
+
+ Information systems operating at different security categories may routinely share common physical and environmental controls, since the systems may share space within organizational facilities. In practice, it is possible that these separate information systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved, for example, by employing clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls enforcing limited authorized access to these items. Related control: PE-4.
+
+
+
+
+
+
+the organization defines the managed interfaces where boundary protections are to be implemented
+
+
+the organization defines the measures to protect against unauthorized physical connections across boundary protections implemented at organization-defined managed interfaces
+
+
+the organization protects against unauthorized physical connections across the boundary protections implemented at organization-defined managed interfaces
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system routes all networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.
+
+
+
+
+ Related controls: AC-2, AC-3, AC-4, AU-2.
+
+
+
+
+
+
+the information system routes all networked, privileged accesses through a dedicated, managed interface for purpose of access control
+
+
+the information system routes all networked, privileged accesses through a dedicated, managed interface for purpose of auditing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system prevents discovery of specific system components (or devices) composing a managed interface.
+
+
+
+
+ This control enhancement is intended to protect the network addresses of information system components that are part of the managed interface from discovery through common tools and techniques used to identify devices on a network. The network addresses are not available for discovery (e.g., not published or entered in the domain name system), requiring prior knowledge for access. Another obfuscation technique is to periodically change network addresses.
+
+
+
+
+
+
+the information system prevents discovery of specific system components (or devices) composing a managed interface
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to enforce strict adherence to protocol format.
+
+
+
+
+ Automated mechanisms used to enforce protocol formats include, for example, deep packet inspection firewalls and XML gateways. These devices verify adherence to the protocol specification (e.g., IEEE) at the application layer and serve to identify significant vulnerabilities that cannot be detected by devices operating at the network or transport layer.
+
+
+
+
+
+
+the organization employs automated mechanisms to enforce strict adherence to protocol format
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system fails securely in the event of an operational failure of a boundary protection device.
+
+
+
+
+ Fail secure is a condition achieved by the application of a set of information system mechanisms to ensure that in the event of an operational failure of a boundary protection device at a managed interface (e.g., router, firewall, guard, application gateway residing on a protected subnetwork commonly referred to as a demilitarized zone), the system does not enter into an unsecure state where intended security properties no longer hold. A failure of a boundary protection device cannot lead to, or cause information external to the boundary protection device to enter the device, nor can a failure permit unauthorized information release.
+
+
+
+
+
+
+the information system fails securely in the event of an operational failure of a boundary protection device
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the external boundary of the information system
+
+
+ the organization defines key internal boundaries of the information system
+
+
+ the information system monitors and controls communications at the external boundary of the information system and at key internal boundaries within the system
+
+
+ the information system connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS Publication 199
+ NIST 800-41
+ NIST 800-77
+
+
+
+ Technical
+ System and Communications Protection
+ SC-8
+ Transmission Integrity
+ P1
+
+
+ The information system protects the integrity of transmitted information.
+
+
+
+
+ This control applies to communications across internal and external networks. If the organization is relying on a commercial service provider for transmission services as a commodity item rather than a fully dedicated service, it may be more difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission integrity. When it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, the organization either implements appropriate compensating security controls or explicitly accepts the additional risk. Related controls: AC-17, PE-4.
+
+
+
+
+
+
+ The organization employs cryptographic mechanisms to recognize changes to information during transmission unless otherwise protected by alternative physical measures.
+
+
+
+
+ Alternative physical protection measures include, for example, protected distribution systems. Related control: SC-13.
+
+
+
+
+
+
+the organization employs cryptographic mechanisms to recognize changes to information during transmission unless otherwise protected by alternative physical measures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system maintains the integrity of information during aggregation, packaging, and transformation in preparation for transmission.
+
+
+
+
+ Information can be intentionally and/or maliciously modified at data aggregation or protocol transformation points, compromising the integrity of the information.
+
+
+
+
+
+
+the information system in preparation for transmission maintains the integrity of information during:
+-aggregation;
+-packaging; and
+-transformation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system protects the integrity of transmitted information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS 140-2
+ FIPS 197
+ NIST 800-113
+ NIST 800-52
+ NIST 800-77
+ NIST 800-81
+ NSTISSI 7003
+
+
+
+ Technical
+ System and Communications Protection
+ SC-9
+ Transmission Confidentiality
+ P1
+
+
+ The information system protects the confidentiality of transmitted information.
+
+
+
+
+ This control applies to communications across internal and external networks. If the organization is relying on a commercial service provider for transmission services as a commodity item rather than a fully dedicated service, it may be more difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission confidentiality. When it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, the organization either implements appropriate compensating security controls or explicitly accepts the additional risk. Related controls: AC-17, PE-4.
+
+
+
+
+
+
+ The organization employs cryptographic mechanisms to prevent unauthorized disclosure of information during transmission unless otherwise protected by [Assignment: organization-defined alternative physical measures].
+
+
+
+
+ Alternative physical protection measures include, for example, protected distribution systems. Related control: SC-13.
+
+
+
+
+
+
+the organization optionally defines alternative physical measures to prevent unauthorized disclosure of information during transmission
+
+
+the organization employs cryptographic mechanisms to prevent unauthorized disclosure of information during transmission unless otherwise protected by organization-defined alternative physical measures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system maintains the confidentiality of information during aggregation, packaging, and transformation in preparation for transmission.
+
+
+
+
+ Information can be intentionally and/or maliciously disclosed at data aggregation or protocol transformation points, compromising the confidentiality of the information.
+
+
+
+
+
+
+the information system in preparation for transmission maintains the confidentiality of information during:
+-aggregation;
+-packaging; and
+-transformation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system protects the confidentiality of transmitted information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CNSS 15
+ FIPS 140-2
+ FIPS 197
+ NIST 800-113
+ NIST 800-52
+ NIST 800-77
+ NSTISSI 7003
+
+
+
+ Technical
+ System and Communications Protection
+ SC-10
+ Network Disconnect
+ P2
+
+
+ The information system terminates the network connection associated with a communications session at the end of the session or after [Assignment: organization-defined time period] of inactivity.
+
+
+
+
+ This control applies to both internal and external networks. Terminating network connections associated with communications sessions include, for example, de-allocating associated TCP/IP address/port pairs at the operating-system level, or de-allocating networking assignments at the application level if multiple application sessions are using a single, operating system-level network connection. The time period of inactivity may, as the organization deems necessary, be a set of time periods by type of network access or for specific accesses.
+
+
+
+
+
+
+ the organization defines the time period of inactivity before the information system terminates a network connection associated with a communications session
+
+
+ the information system terminates a network connection associated with a communication session at the end of the session or after the organization-defined time period of inactivity
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-11
+ Trusted Path
+ P0
+
+
+ The information system establishes a trusted communications path between the user and the following security functions of the system: [Assignment: organization-defined security functions to include at a minimum, information system authentication and reauthentication].
+
+
+
+
+ A trusted path is employed for high-confidence connections between the security functions of the information system and the user (e.g., for login).
+
+
+
+
+
+
+ the organization defines the security functions within the information system to be included in a trusted communications path
+
+
+ the organization-defined security functions include information system authentication and reauthentication
+
+
+ the information system establishes a trusted communications path between the user and the organization-defined security functions within the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-12
+ Cryptographic Key Establishment and Management
+ P1
+
+
+ The organization establishes and manages cryptographic keys for required cryptography employed within the information system.
+
+
+
+
+ Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. In addition to being required for the effective operation of a cryptographic mechanism, effective cryptographic key management provides protections to maintain the availability of the information in the event of the loss of cryptographic keys by users.
+
+
+
+
+ HIGH
+
+
+ The organization maintains availability of information in the event of the loss of cryptographic keys by users.
+
+
+
+
+
+
+the organization maintains availability of information in the event of the loss of cryptographic keys by users
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization produces, controls, and distributes symmetric cryptographic keys using [Selection: NIST-approved, NSA-approved] key management technology and processes.
+
+
+
+
+
+
+the organization defines whether it will use NIST-approved or NSA-approved key management technology and processes
+
+
+the organization produces, controls, and distributes symmetric cryptographic keys using the organization-defined key management technology and processes
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization produces, controls, and distributes symmetric and asymmetric cryptographic keys using NSA-approved key management technology and processes.
+
+
+
+
+
+
+the organization produces, controls, and distributes symmetric and asymmetric cryptographic keys using NSA-approved key management technology and processes
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization produces, controls, and distributes asymmetric cryptographic keys using approved PKI Class 3 certificates or prepositioned keying material.
+
+
+
+
+
+
+the organization produces, controls, and distributes asymmetric cryptographic keys using approved PKI Class 3 certificates or prepositioned keying material
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization produces, controls, and distributes asymmetric cryptographic keys using approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user's private key.
+
+
+
+
+
+
+the organization produces, controls, and distributes asymmetric cryptographic keys using approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user's private key
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization establishes and manages cryptographic keys for required cryptography employed within the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-56
+ NIST 800-57
+
+
+
+ Technical
+ System and Communications Protection
+ SC-13
+ Use of Cryptography
+ P1
+
+
+ The information system implements required cryptographic protections using cryptographic modules that comply with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+
+
+
+
+ None.
+
+
+
+
+
+
+ The organization employs, at a minimum, FIPS-validated cryptography to protect unclassified information.
+
+
+
+
+
+
+the organization employs, at a minimum, FIPS-validated cryptography to protect unclassified information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs NSA-approved cryptography to protect classified information.
+
+
+
+
+
+
+the organization employs NSA-approved cryptography to protect classified information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs, at a minimum, FIPS-validated cryptography to protect information when such information must be separated from individuals who have the necessary clearances yet lack the necessary access approvals.
+
+
+
+
+
+
+the organization employs, at a minimum, FIPS-validated cryptography to protect information when such information must be separated from individuals who have the necessary clearances yet lack the necessary access approvals
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs [Selection: FIPS-validated; NSA-approved] cryptography to implement digital signatures.
+
+
+
+
+
+
+the organization defines whether it will use NIST-approved or NSA-approved cryptography to implement digital signatures
+
+
+the organization employs the organization-defined cryptography to implement digital signatures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system implements cryptographic protections using cryptographic modules that comply with applicable laws, Executive Orders, directives, policies, regulations, standards, and guidance
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS 140-2
+ Web Resource CSRC.NIST.GOV/CRYPTVAL
+ Web Resource WWW.CNSS.GOV
+
+
+
+ Technical
+ System and Communications Protection
+ SC-14
+ Public Access Protections
+ P1
+
+
+ The information system protects the integrity and availability of publicly available information and applications.
+
+
+
+
+ The purpose of this control is to ensure that organizations explicitly address the protection needs for public information and applications with such protection likely being implemented as part of other security controls.
+
+
+
+
+
+
+ the information system protects the integrity and availability of publicly available information and applications
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-15
+ Collaborative Computing Devices
+ P1
+
+
+ The information system:
+
+ Prohibits remote activation of collaborative computing devices with the following exceptions: [Assignment: organization-defined exceptions where remote activation is to be allowed]; and
+ Provides an explicit indication of use to users physically present at the devices.
+
+
+
+
+
+ Collaborative computing devices include, for example, networked white boards, cameras, and microphones. Explicit indication of use includes, for example, signals to users when collaborative computing devices are activated
+
+
+
+
+
+
+ The information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.
+
+
+
+
+
+
+the information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system or supporting environment blocks both inbound and outbound traffic between instant messaging clients that are independently configured by end users and external service providers.
+
+
+
+
+ Blocking restrictions do not include instant messaging services that are configured by an organization to perform an authorized function.
+
+
+
+
+
+
+the information system or supporting environment blocks both inbound and outbound traffic between instant messaging clients that are independently configured by end users and external service providers
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization disables or removes collaborative computing devices from information systems in [Assignment: organization-defined secure work areas].
+
+
+
+
+
+
+the organization defines the secure work areas where collaborative computing devices are prohibited
+
+
+the organization disables or removes collaborative computing devices from information systems in organization-defined secure work areas
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines exceptions to the prohibiting of collaborative computing devices where remote activation is to be allowed
+
+
+ the organization prohibits remote activation of collaborative computing devices, excluding the organization-defined exceptions where remote activation is to be allowed
+
+
+ the organization provides an explicit indication of use to users physically present at the devices
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-16
+ Transmission of Security Attributes
+ P0
+
+
+ The information system associates security attributes with information exchanged between information systems.
+
+
+
+
+ Security attributes may be explicitly or implicitly associated with the information contained within the information system. Related control: AC-16.
+
+
+
+
+
+
+ The information system validates the integrity of security attributes exchanged between systems.
+
+
+
+
+
+
+the information system validates the integrity of security attributes exchanged between systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system associates security attributes with information exchanged between information systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-17
+ Public Key Infrastructure Certificates
+ P1
+
+
+ The organization issues public key certificates under an [Assignment: organization-defined certificate policy] or obtains public key certificates under an appropriate certificate policy from an approved service provider.
+
+
+
+
+ For user certificates, each organization attains certificates from an approved, shared service provider, as required by OMB policy. For federal agencies operating a legacy public key infrastructure cross-certified with the Federal Bridge Certification Authority at medium assurance or higher, this Certification Authority will suffice. This control focuses on certificates with a visibility external to the information system and does not include certificates related to internal system operations, for example, application-specific time services.
+
+
+
+
+
+
+ the organization defines a certificate policy for issuing public key certificates
+
+
+ the organization issues public key certificates under the organization-defined certificate policy or obtains public key certificates under a certificate policy from an approved service provider
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-32
+ NIST 800-63
+ OMB Memorandum 05-24
+
+
+
+ Technical
+ System and Communications Protection
+ SC-18
+ Mobile Code
+ P1
+
+
+ The organization:
+
+ Defines acceptable and unacceptable mobile code and mobile code technologies;
+ Establishes usage restrictions and implementation guidance for acceptable mobile code and mobile code technologies; and
+ Authorizes, monitors, and controls the use of mobile code within the information system.
+
+
+
+
+
+ Decisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the system if used maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX, PDF, Postscript, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed on organizational servers and mobile code downloaded and executed on individual workstations. Policy and procedures related to mobile code, address preventing the development, acquisition, or introduction of unacceptable mobile code within the information system.
+
+
+
+
+
+
+ The information system implements detection and inspection mechanisms to identify unauthorized mobile code and takes corrective actions, when necessary.
+
+
+
+
+ Corrective actions when unauthorized mobile code is detected include, for example, blocking, quarantine, or alerting administrator. Disallowed transfers include, for example, sending word processing files with embedded macros.
+
+
+
+
+
+
+the information system implements detection and inspection mechanisms to identify unauthorized mobile code
+
+
+the information system takes corrective action when unauthorized mobile code is identified
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures the acquisition, development, and/or use of mobile code to be deployed in information systems meets [Assignment: organization-defined mobile code requirements].
+
+
+
+
+
+
+the organization defines requirements for the acquisition, development and/or use of mobile code
+
+
+the organization ensures the acquisition, development, and/or use of mobile code to be deployed in information systems meets the organization-defined mobile code requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system prevents the download and execution of prohibited mobile code.
+
+
+
+
+
+
+the information system prevents the download and execution of prohibited mobile code
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system prevents the automatic execution of mobile code in [Assignment: organization-defined software applications] and requires [Assignment: organization-defined actions] prior to executing the code.
+
+
+
+
+ Actions required before executing mobile code, include, for example, prompting users prior to opening electronic mail attachments.
+
+
+
+
+
+
+the organization defines software applications for which automatic mobile code execution is to be prohibited
+
+
+the organization defines actions required by the information system before executing mobile code
+
+
+the information system prevents the automatic execution of mobile code in the organization-defined software applications
+
+
+the information system requires organization-defined actions before executing mobile code
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines acceptable and unacceptable mobile code and mobile code technologies
+
+
+ the organization establishes usage restrictions and implementation guidance for acceptable mobile code and mobile code technologies
+
+
+ the organization authorizes, monitors, and controls the use of mobile code within the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ DOD Instruction 8552.01
+ NIST 800-28
+
+
+
+ Technical
+ System and Communications Protection
+ SC-19
+ Voice Over Internet Protocol
+ P1
+
+
+ The organization:
+
+ Establishes usage restrictions and implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously; and
+ Authorizes, monitors, and controls the use of VoIP within the information system.
+
+
+
+
+
+ None.
+
+
+
+
+
+
+ the organization establishes usage restrictions and implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously
+
+
+ the organization authorizes, monitors, and controls the use of VoIP within the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-58
+
+
+
+ Technical
+ System and Communications Protection
+ SC-20
+ Secure Name / Address Resolution Service (Authoritative Source)
+ P1
+
+
+ The information system provides additional data origin and integrity artifacts along with the authoritative data the system returns in response to name/address resolution queries.
+
+
+
+
+ This control enables remote clients to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. A domain name system (DNS) server is an example of an information system that provides name/address resolution service. Digital signatures and cryptographic keys are examples of additional artifacts. DNS resource records are examples of authoritative data. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to assure the authenticity and integrity of response data. The DNS security controls are consistent with, and referenced from, OMB Memorandum 08-23.
+
+
+
+
+
+
+ The information system, when operating as part of a distributed, hierarchical namespace, provides the means to indicate the security status of child subspaces and (if the child supports secure resolution services) enable verification of a chain of trust among parent and child domains.
+
+
+
+
+ An example means to indicate the security status of child subspaces is through the use of delegation signer (DS) resource records in the DNS.
+
+
+
+
+
+
+the information system, when operating as part of a distributed, hierarchical namespace, provides the means to indicate the security status of child subspaces
+
+
+the information system, when operating as part of a distributed, hierarchical namespace, enable verification of a chain of trust among parent and child domains (if the child supports secure resolution services)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system provides additional data origin and integrity artifacts along with the authoritative data the system returns in response to name/address resolution queries
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-81
+ OMB Memorandum 08-23
+
+
+
+ Technical
+ System and Communications Protection
+ SC-21
+ Secure Name / Address Resolution Service (Recursive Or Caching Resolver)
+ P1
+ HIGH
+
+
+ The information system performs data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources when requested by client systems.
+
+
+
+
+ A recursive resolving or caching domain name system (DNS) server is an example of an information system that provides name/address resolution service for local clients. Authoritative DNS servers are examples of authoritative sources. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to enable clients to verify the authenticity and integrity of response data.
+
+
+
+
+
+
+ The information system performs data origin authentication and data integrity verification on all resolution responses whether or not local clients explicitly request this service.
+
+
+
+
+ Local clients include, for example, DNS stub resolvers.
+
+
+
+
+
+
+the information system performs data origin authentication and data integrity verification on all resolution responses received whether or not client systems explicitly request this service
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system performs data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources when requested by client systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-81
+
+
+
+ Technical
+ System and Communications Protection
+ SC-22
+ Architecture and Provisioning for Name / Address Resolution Service
+ P1
+
+
+ The information systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal/external role separation.
+
+
+
+
+ A domain name system (DNS) server is an example of an information system that provides name/address resolution service. To eliminate single points of failure and to enhance redundancy, there are typically at least two authoritative domain name system (DNS) servers, one configured as primary and the other as secondary. Additionally, the two servers are commonly located in two different network subnets and geographically separated (i.e., not located in the same physical facility). With regard to role separation, DNS servers with an internal role, only process name/address resolution requests from within the organization (i.e., internal clients). DNS servers with an external role only process name/address resolution information requests from clients external to the organization (i.e., on the external networks including the Internet). The set of clients that can access an authoritative DNS server in a particular role is specified by the organization (e.g., by address ranges, explicit lists).
+
+
+
+
+
+
+ the information systems that collectively provide name/address resolution service for an organization are fault tolerant
+
+
+ the information systems that collectively provide name/address resolution service for an organization implement internal/external role separation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-81
+
+
+
+ Technical
+ System and Communications Protection
+ SC-23
+ Session Authenticity
+ P1
+
+
+ The information system provides mechanisms to protect the authenticity of communications sessions.
+
+
+
+
+ This control focuses on communications protection at the session, versus packet, level. The intent of this control is to establish grounds for confidence at each end of a communications session in the ongoing identity of the other party and in the validity of the information being transmitted. For example, this control addresses man-in-the-middle attacks including session hijacking or insertion of false information into a session. This control is only implemented where deemed necessary by the organization (e.g., sessions in service-oriented architectures providing web-based services).
+
+
+
+
+
+
+ The information system invalidates session identifiers upon user logout or other session termination.
+
+
+
+
+
+
+the information system invalidates session identifiers upon user logout or other session termination
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system provides a readily observable logout capability whenever authentication is used to gain access to web pages.
+
+
+
+
+
+
+the information system provides a readily observable logout capability whenever authentication is used to gain access to Web pages
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system generates a unique session identifier for each session and recognizes only session identifiers that are system-generated.
+
+
+
+
+
+
+the information system generates a unique session identifier for each session
+
+
+the information system recognizes only session identifiers that are system-generated
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system generates unique session identifiers with [Assignment: organization-defined randomness requirements].
+
+
+
+
+ Employing the concept of randomness in the generation of unique session identifiers helps to protect against brute-force attacks to determine future session identifiers.
+
+
+
+
+
+
+the organization defines requirements for randomly generating unique session identifiers
+
+
+the information system generates unique session identifiers in accordance with organization-defined randomness requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system provides mechanisms to protect the authenticity of communications sessions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-52
+ NIST 800-77
+ NIST 800-95
+
+
+
+ Technical
+ System and Communications Protection
+ SC-24
+ Fail In Known State
+ P1
+ HIGH
+
+
+ The information system fails to a [Assignment: organization-defined known-state] for [Assignment: organization-defined types of failures] preserving [Assignment: organization-defined system state information] in failure.
+
+
+
+
+ Failure in a known state can address safety or security in accordance with the mission/business needs of the organization. Failure in a known secure state helps prevent a loss of confidentiality, integrity, or availability in the event of a failure of the information system or a component of the system. Failure in a known safe state helps prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving information system state information facilitates system restart and return to the operational mode of the organization with less disruption of mission/business processes.
+
+
+
+
+
+
+ the organization defines the known-states the information system should fail to in the event of a system failure
+
+
+ the organization defines types of failures for which the information system should fail to an organization-defined known-state
+
+
+ the organization defines the system state information that should be preserved in the event of a system failure
+
+
+ the information system fails to an organization-defined known-state for an organization-defined type of failure
+
+
+ the information system preserves organization-defined system state information in the event of a system failure
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-25
+ Thin Nodes
+ P0
+
+
+ The information system employs processing components that have minimal functionality and information storage.
+
+
+
+
+ The deployment of information system components with minimal functionality (e.g., diskless nodes and thin client technologies) reduces the need to secure every user endpoint, and may reduce the exposure of information, information systems, and services to a successful attack. Related control: SC-30.
+
+
+
+
+
+
+ the information system employs processing components that have minimal functionality and information storage
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-26
+ Honeypots
+ P0
+
+
+ The information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.
+
+
+
+
+ None.
+
+
+
+
+
+
+ The information system includes components that proactively seek to identify web-based malicious code.
+
+
+
+
+ Devices that actively seek out web-based malicious code by posing as clients are referred to as client honeypots or honey clients.
+
+
+
+
+
+
+the information system includes components that proactively seek to identify Web-based malicious code
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-27
+ Operating System-independent Applications
+ P0
+
+
+ The information system includes: [Assignment: organization-defined operating system-independent applications].
+
+
+
+
+ Operating system-independent applications are applications that can run on multiple operating systems. Such applications promote portability and reconstitution on different platform architectures, increasing the availability for critical functionality within an organization while information systems with a given operating system are under attack.
+
+
+
+
+
+
+ the organization defines applications that are operating system-independent
+
+
+ the information system includes organization-defined operating system-independent applications
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-28
+ Protection of Information At Rest
+ P1
+
+
+ The information system protects the confidentiality and integrity of information at rest.
+
+
+
+
+ This control is intended to address the confidentiality and integrity of information at rest in nonmobile devices and covers user information and system information. Information at rest refers to the state of information when it is located on a secondary storage device (e.g., disk drive, tape drive) within an organizational information system. Configurations and/or rule sets for firewalls, gateways, intrusion detection/prevention systems, and filtering routers and authenticator content are examples of system information likely requiring protection. Organizations may choose to employ different mechanisms to achieve confidentiality and integrity protections, as appropriate.
+
+
+
+
+
+
+ The organization employs cryptographic mechanisms to prevent unauthorized disclosure and modification of information at rest unless otherwise protected by alternative physical measures.
+
+
+
+
+
+
+the organization employs cryptographic mechanisms to prevent unauthorized disclosure of information at rest unless otherwise protected by alternative physical measures
+
+
+the organization employs cryptographic mechanisms to prevent unauthorized modification of information at rest unless otherwise protected by alternative physical measures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system protects the confidentiality and integrity of information at rest
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-111
+ NIST 800-56
+ NIST 800-57
+
+
+
+ Technical
+ System and Communications Protection
+ SC-29
+ Heterogeneity
+ P0
+
+
+ The organization employs diverse information technologies in the implementation of the information system.
+
+
+
+
+ Increasing the diversity of information technologies within the information system reduces the impact of the exploitation of a specific technology. Organizations that select this control should consider that an increase in diversity may add complexity and management overhead, both of which have the potential to lead to mistakes and misconfigurations which could increase overall risk.
+
+
+
+
+
+
+ the organization employs diverse information technologies in the implementation of the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-30
+ Virtualization Techniques
+ P0
+
+
+ The organization employs virtualization techniques to present information system components as other types of components, or components with differing configurations.
+
+
+
+
+ Virtualization techniques provide organizations with the ability to disguise information systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms.
+
+
+
+
+
+
+ The organization employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed [Assignment: organization-defined frequency].
+
+
+
+
+ While frequent changes to operating systems and applications pose configuration management challenges, the changes result in an increased work factor for adversaries in order to carry out successful attacks. Changing the apparent operating system or application, as opposed to the actual operating system or application, results in virtual changes that still impede attacker success while helping to reduce the configuration management effort.
+
+
+
+
+
+
+the organization defines the frequency of changes to operating systems and applications through the use of virtualization techniques
+
+
+the organization employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs randomness in the implementation of the virtualization techniques.
+
+
+
+
+
+
+the organization employs randomness in the implementation of the virtualization techniques
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization employs virtualization techniques to present information system components as other types of components, or components with differing configurations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-31
+ Covert Channel Analysis
+ P0
+
+
+ The organization requires that information system developers/integrators perform a covert channel analysis to identify those aspects of system communication that are potential avenues for covert storage and timing channels.
+
+
+
+
+ Information system developers/integrators are in the best position to identify potential avenues within the system that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across security domains, for example, in the case of information systems containing export-controlled information and having connections to external networks (i.e., networks not controlled by the organization). Covert channel analysis is also meaningful in the case of multilevel secure (MLS) systems, multiple security level (MSL) systems, and cross domain systems.
+
+
+
+
+
+
+ The organization tests a subset of the vendor-identified covert channel avenues to determine if they are exploitable.
+
+
+
+
+
+
+the organization tests a subset of the vendor-identified covert channel avenues to determine if such channels are exploitable
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization requires that information system developers/integrators perform a covert channel analysis to identify those aspects of system communication that are potential avenues for covert storage and timing channels
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-32
+ Information System Partitioning
+ P1
+
+
+ The organization partitions the information system into components residing in separate physical domains (or environments) as deemed necessary.
+
+
+
+
+ Information system partitioning is a part of a defense-in-depth protection strategy. An organizational assessment of risk guides the partitioning of information system components into separate physical domains (or environments). The security categorization also guides the selection of appropriate candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned information system components. Related controls: AC-4, SC-7.
+
+
+
+
+
+
+ the organization partitions the information system into components residing in separate physical domains (or environments) as deemed necessary
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ FIPS Publication 199
+
+
+
+ Technical
+ System and Communications Protection
+ SC-33
+ Transmission Preparation Integrity
+ P0
+
+
+ The information system protects the integrity of information during the processes of data aggregation, packaging, and transformation in preparation for transmission.
+
+
+
+
+ Information can be subjected to unauthorized changes (e.g., malicious and/or unintentional modification) at information aggregation or protocol transformation points.
+
+
+
+
+
+
+ the information system in preparation for transmission protects the integrity of information during the processes of:
+-data aggregation;
+-packaging; and
+-transformation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-34
+ Non-modifiable Executable Programs
+ P0
+
+
+ The information system at [Assignment: organization-defined information system components]:
+
+ Loads and executes the operating environment from hardware-enforced, read-only media; and
+ Loads and executes [Assignment: organization-defined applications] from hardware-enforced, read-only media.
+
+
+
+
+
+ In this control, the term operating environment is defined as the code upon which applications are hosted, for example, a monitor, executive, operating system, or application running directly on the hardware platform. Hardware-enforced, read-only media include, for example, CD-R/DVD-R disk drives. Use of non-modifiable storage ensures the integrity of the software program from the point of creation of the read-only image.
+
+
+
+
+
+
+ The organization employs [Assignment: organization-defined information system components] with no writeable storage that is persistent across component restart or power on/off.
+
+
+
+
+ This control enhancement: (i) eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated information system component; and (ii) requires no such removable storage be employed, a requirement that may be applied directly or as a specific restriction imposed through AC-19.
+
+
+
+
+
+
+the organization defines the information system components to be employed with no writeable storage
+
+
+the organization employs organization-defined information system components with no writeable storage that are persistent across component restart or power on/off
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization protects the integrity of the information on read-only media.
+
+
+
+
+ This control enhancement covers protecting the integrity of information to be placed onto read-only media and controlling the media after information has been recorded onto the media. Protection measures may include, as deemed necessary by the organization, a combination of prevention and detection/response. This enhancement may be satisfied by requirements imposed by other controls such as AC-3, AC-5, CM-3, CM-5, CM-9, MP-2, MP-4, MP-5, SA-12, SC-28, SI-3, and SI-7.
+
+
+
+
+
+
+the organization protects the integrity of the information on read-only media
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the applications that are to be loaded and executed from hardware-enforced, read-only media
+
+
+ the organization defines the information system components for which the operating environment and organization-defined applications are loaded and executed from hardware-enforced, read-only media
+
+
+ the information system, at organization-defined information system components, loads and executes:
+-the operating environment from hardware-enforced, read-only media; and
+-organization-defined applications from hardware-enforced, read-only media
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ System and Information Integrity
+ SI-1
+ System and Information Integrity Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented system and information integrity policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the system and information integrity family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The system and information integrity policy can be included as part of the general information security policy for the organization. System and information integrity procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the system and information integrity policy. Related control: PM-9.
+
+
+
+
+
+
+ the organization develops and formally documents system and information integrity policy
+
+
+ the organization system and information integrity policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented system and information integrity policy to elements within the organization having associated system and information integrity roles and responsibilities
+
+
+ the organization develops and formally documents system and information integrity procedures
+
+
+ the organization system and information integrity procedures facilitate implementation of the system and information integrity policy and associated system and information integrity controls
+
+
+ the organization disseminates formal documented system and information integrity procedures to elements within the organization having associated system and information integrity roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of system and information integrity policy reviews/updates
+
+
+ the organization reviews/updates system and information integrity policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of system and information integrity procedure reviews/updates
+
+
+ the organization reviews/updates system and information integrity procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Operational
+ System and Information Integrity
+ SI-2
+ Flaw Remediation
+ P1
+
+
+ The organization:
+
+ Identifies, reports, and corrects information system flaws;
+ Tests software updates related to flaw remediation for effectiveness and potential side effects on organizational information systems before installation; and
+ Incorporates flaw remediation into the organizational configuration management process.
+
+
+
+
+
+ The organization identifies information systems containing software affected by recently announced software flaws (and potential vulnerabilities resulting from those flaws) and reports this information to designated organizational officials with information security responsibilities (e.g., senior information security officers, information system security managers, information systems security officers). The organization (including any contractor to the organization) promptly installs security-relevant software updates (e.g., patches, service packs, and hot fixes). Flaws discovered during security assessments, continuous monitoring, incident response activities, or information system error handling, are also addressed expeditiously. Organizations are encouraged to use resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By requiring that flaw remediation be incorporated into the organizational configuration management process, it is the intent of this control that required/anticipated remediation actions are tracked and verified. An example of expected flaw remediation that would be so verified is whether the procedures contained in US-CERT guidance and Information Assurance Vulnerability Alerts have been accomplished. Related controls: CA-2, CA-7, CM-3, MA-2, IR-4, RA-5, SA-11, SI-11.
+
+
+
+
+ HIGH
+
+
+ The organization centrally manages the flaw remediation process and installs software updates automatically.
+
+
+
+
+ Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates.
+
+
+
+
+
+
+the organization centrally manages the flaw remediation process
+
+
+the organization installs software updates automatically
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms [Assignment: organization-defined frequency] to determine the state of information system components with regard to flaw remediation.
+
+
+
+
+
+
+the organization defines the frequency of employing automated mechanisms to determine the state of information system components with regard to flaw remediation
+
+
+the organization employs automated mechanisms in accordance with the organization-defined frequency to determine the state of information system components with regard to flaw remediation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization measures the time between flaw identification and flaw remediation, comparing with [Assignment: organization-defined benchmarks].
+
+
+
+
+
+
+the organization defines the benchmarks to which the organizationâ??s measurement of time elapsed between flaw identification and flaw remediation should be compared
+
+
+the organization measures the time between flaw identification and flaw remediation
+
+
+the organization compares the time measured between flaw identification and flaw remediation with organization-defined benchmarks
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated patch management tools to facilitate flaw remediation to [Assignment: organization-defined information system components].
+
+
+
+
+
+
+the organization defines information system components for which automated patch management tools are to be employed to facilitate flaw remediation
+
+
+the organization employs automated patch management tools to facilitate flaw remediation to organization-defined information system components
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization identifies, reports, and corrects information system flaws
+
+
+ the organization tests software updates related to flaw remediation for effectiveness before installation
+
+
+ the organization tests software updates related to flaw remediation for potential side effects on organizational information systems before installation
+
+
+ the organization incorporates flaw remediation into the organizational configuration management process
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-40
+
+
+
+ Operational
+ System and Information Integrity
+ SI-3
+ Malicious Code Protection
+ P1
+
+
+ The organization:
+
+ Employs malicious code protection mechanisms at information system entry and exit points and at workstations, servers, or mobile computing devices on the network to detect and eradicate malicious code: - Transported by electronic mail, electronic mail attachments, web accesses, removable media, or other common means; or - Inserted through the exploitation of information system vulnerabilities;
+ Updates malicious code protection mechanisms (including signature definitions) whenever new releases are available in accordance with organizational configuration management policy and procedures;
+ Configures malicious code protection mechanisms to: - Perform periodic scans of the information system [Assignment: organization-defined frequency] and real-time scans of files from external sources as the files are downloaded, opened, or executed in accordance with organizational security policy; and - [Selection (one or more): block malicious code; quarantine malicious code; send alert to administrator; [Assignment: organization-defined action]] in response to malicious code detection; and
+ Addresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system.
+
+
+
+
+
+ Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, and remote-access servers. Malicious code includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats (e.g., UUENCODE, Unicode) or contained within a compressed file. Removable media includes, for example, USB devices, diskettes, or compact disks. A variety of technologies and methods exist to limit or eliminate the effects of malicious code attacks. Pervasive configuration management and strong software integrity controls may be effective in preventing execution of unauthorized code. In addition to commercial off-the-shelf software, malicious code may also be present in custom-built software. This could include, for example, logic bombs, back doors, and other types of cyber attacks that could affect organizational missions and business functions. Traditional malicious code protection mechanisms are not built to detect such code. In these situations, organizations must rely instead on other risk mitigation measures to include, for example, secure coding practices, trusted procurement processes, configuration management and control, and monitoring practices to help ensure that software does not perform functions other than those intended. Related controls: SA-4, SA-8, SA-12, SA-13, SI-4, SI-7.
+
+
+
+
+
+
+ The organization centrally manages malicious code protection mechanisms.
+
+
+
+
+
+
+the organization centrally manages malicious code protection mechanisms
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system automatically updates malicious code protection mechanisms (including signature definitions).
+
+
+
+
+
+
+the information system automatically updates malicious code protection mechanisms, including signature definitions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system prevents non-privileged users from circumventing malicious code protection capabilities.
+
+
+
+
+
+
+the information system prevents non-privileged users from circumventing malicious code protection capabilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system updates malicious code protection mechanisms only when directed by a privileged user.
+
+
+
+
+
+
+the information system updates malicious code protection mechanisms only when directed by a privileged user
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization does not allow users to introduce removable media into the information system.
+
+
+
+
+
+
+the organization does not allow users to introduce removable media into the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization tests malicious code protection mechanisms [Assignment: organization-defined frequency] by introducing a known benign, non-spreading test case into the information system and subsequently verifying that both detection of the test case and associated incident reporting occur, as required.
+
+
+
+
+
+
+the organization defines the frequency of testing malicious code protection mechanisms
+
+
+the organization tests malicious code protection mechanisms, in accordance with organization-defined frequency, by introducing a known benign, non-spreading test case into the information system and subsequently verifying that both detection of the test case and associated incident reporting occur, as required
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization employs malicious code protection mechanisms at information system entry and exit points to detect and eradicate malicious code:
+-transported by electronic mail, electronic mail attachments, Web accesses, removable media, or other common means; or
+-inserted through the exploitation of information system vulnerabilities
+
+
+ the organization employs malicious code protection mechanisms at workstations, servers, or mobile computing devices on the network to detect and eradicate malicious code:
+-transported by electronic mail, electronic mail attachments, Web accesses, removable media, or other common means; or
+-inserted through the exploitation of information system vulnerabilities
+
+
+ the organization updates malicious code protection mechanisms (including signature definitions) whenever new releases are available in accordance with configuration management policy and procedures defined in CM-1
+
+
+ the organization defines the frequency of periodic scans of the information system by malicious code protection mechanisms
+
+
+ the organization defines one or more of the following actions to be taken in response to malicious code detection:
+-block malicious code;
+-quarantine malicious code; and/or
+-send alert to administrator
+
+
+ the organization configures malicious code protection mechanisms to:
+-perform periodic scans of the information system in accordance with organization-defined frequency;
+-perform real-time scans of files from external sources as the files are downloaded, opened, or executed in accordance with organizational security policy; and
+-take organization-defined action(s) in response to malicious code detection
+
+
+ the organization addresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-83
+
+
+
+ Operational
+ System and Information Integrity
+ SI-4
+ Information System Monitoring
+ P1
+
+
+ The organization:
+
+ Monitors events on the information system in accordance with [Assignment: organization-defined monitoring objectives] and detects information system attacks;
+ Identifies unauthorized use of the information system;
+ Deploys monitoring devices: (i) strategically within the information system to collect organization-determined essential information; and (ii) at ad hoc locations within the system to track specific types of transactions of interest to the organization;
+ Heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information; and
+ Obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations.
+
+
+
+
+
+ Information system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the system (e.g., within internal organizational networks and system components). Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, at selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. The Einstein network monitoring device from the Department of Homeland Security is an example of a system monitoring device. The granularity of the information collected is determined by the organization based on its monitoring objectives and the capability of the information system to support such activities. An example of a specific type of transaction of interest to the organization with regard to monitoring is Hyper Text Transfer Protocol (HTTP) traffic that bypasses organizational HTTP proxies, when use of such proxies is required. Related controls: AC-4, AC-8, AC-17, AU-2, AU-6, SI-3, SI-7.
+
+
+
+
+
+
+ The organization interconnects and configures individual intrusion detection tools into a systemwide intrusion detection system using common protocols.
+
+
+
+
+
+
+the organization interconnects and configures individual intrusion detection tools into a system-wide intrusion detection system using common protocols
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated tools to support near real-time analysis of events.
+
+
+
+
+
+
+the organization employs automated tools to support near real-time analysis of events
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated tools to integrate intrusion detection tools into access control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination.
+
+
+
+
+
+
+the organization employs automated tools to integrate intrusion detection tools into access control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system monitors inbound and outbound communications for unusual or unauthorized activities or conditions.
+
+
+
+
+ Unusual/unauthorized activities or conditions include, for example, internal traffic that indicates the presence of malicious code within an information system or propagating among system components, the unauthorized export of information, or signaling to an external information system. Evidence of malicious code is used to identify potentially compromised information systems or information system components.
+
+
+
+
+
+
+the information system monitors inbound and outbound communications for unusual or unauthorized activities or conditions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system provides near real-time alerts when the following indications of compromise or potential compromise occur: [Assignment: organization-defined list of compromise indicators].
+
+
+
+
+ Alerts may be generated, depending on the organization-defined list of indicators, from a variety of sources, for example, audit records or input from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers.
+
+
+
+
+
+
+the organization defines indicators of compromise or potential compromise to the security of the information system
+
+
+the information system provides near real-time alerts when any of the organization-defined list of compromise or potential compromise indicators occurs
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system prevents non-privileged users from circumventing intrusion detection and prevention capabilities.
+
+
+
+
+
+
+the information system prevents non-privileged users from circumventing intrusion detection and prevention capabilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system notifies [Assignment: organization-defined list of incident response personnel (identified by name and/or by role)] of suspicious events and takes [Assignment: organization-defined list of least-disruptive actions to terminate suspicious events].
+
+
+
+
+ The least-disruptive actions may include initiating a request for human response.
+
+
+
+
+
+
+the organization defines incident response personnel (identified by name and/or by role) to be notified of suspicious events
+
+
+the organization defines least-disruptive actions to be taken by the information system to terminate suspicious events
+
+
+the information system notifies organization-defined incident response personnel of suspicious events
+
+
+the information system takes organization-defined least-disruptive actions to terminate suspicious events
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization protects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion.
+
+
+
+
+
+
+the organization protects information obtained from intrusion-monitoring tools from:
+-unauthorized access;
+-modification; and
+-deletion
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization tests/exercises intrusion-monitoring tools [Assignment: organization-defined time-period].
+
+
+
+
+ The frequency of testing/exercises is dependent upon the type and method of deployment of the intrusion-monitoring tools.
+
+
+
+
+
+
+the organization defines the time period for testing/exercising intrusion-monitoring tools
+
+
+the organization tests/exercises intrusion-monitoring tools in accordance with organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization makes provisions so that encrypted traffic is visible to information system monitoring tools.
+
+
+
+
+ The enhancement recognizes the need to balance encrypting traffic versus the need to have insight into that traffic from a monitoring perspective. For some organizations, the need to ensure the confidentiality of traffic is paramount; for others, the mission-assurance concerns are greater.
+
+
+
+
+
+
+the organization makes provisions so that encrypted traffic is visible to information system monitoring tools
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization analyzes outbound communications traffic at the external boundary of the system (i.e., system perimeter) and, as deemed necessary, at selected interior points within the system (e.g., subnets, subsystems) to discover anomalies.
+
+
+
+
+ Anomalies within the information system include, for example, large file transfers, long-time persistent connections, unusual protocols and ports in use, and attempted communications with suspected malicious external addresses.
+
+
+
+
+
+
+the organization to discover anomalies analyzes outbound communications traffic at:
+-the external boundary of the system (i.e., system perimeter); and
+-as deemed necessary, at selected interior points within the system (e.g., subnets, subsystems)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to alert security personnel of the following inappropriate or unusual activities with security implications: [Assignment: organization-defined list of inappropriate or unusual activities that trigger alerts].
+
+
+
+
+
+
+the organization defines inappropriate or unusual activities with security implications that should trigger alerts to security personnel
+
+
+the organization employs automated mechanisms to alert security personnel of the organization-defined inappropriate or unusual activities with security implications
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Analyzes communications traffic/event patterns for the information system;
+ Develops profiles representing common traffic patterns and/or events; and
+ Uses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives to [Assignment: organization-defined measure of false positives] and the number of false negatives to [Assignment: organization-defined measure of false negatives].
+
+
+
+
+
+
+
+the organization analyzes communications traffic/event patterns for the information system
+
+
+the organization develops profiles representing common traffic patterns and/or events
+
+
+the organization defines the respective measurements to which the organization must tune system monitoring devices to reduce the number of false positives and false negatives
+
+
+the organization uses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives and false negatives to their respective organization-defined measures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises/breaches to the information system.
+
+
+
+
+
+
+the organization employs a wireless intrusion detection system to:
+-identify rogue wireless devices to the information system;
+-detect attack attempts to the information system; and
+-detect potential compromises/breaches to the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.
+
+
+
+
+
+
+the organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization correlates information from monitoring tools employed throughout the information system to achieve organization-wide situational awareness.
+
+
+
+
+
+
+the organization correlates information from monitoring tools employed throughout the information system to achieve organization-wide situational awareness
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization correlates results from monitoring physical, cyber, and supply chain activities to achieve integrated situational awareness.
+
+
+
+
+ Integrated situational awareness enhances the capability of the organization to more quickly detect sophisticated attacks and investigate the methods and techniques employed to carry out the attacks.
+
+
+
+
+
+
+the organization correlates results from monitoring physical, cyber, and supply chain activities to achieve integrated situational awareness
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines objectives for monitoring events on the information system
+
+
+ the organization monitors events on the information system in accordance with organization-defined objectives and detects information system attacks
+
+
+ the organization identifies unauthorized use of the information system
+
+
+ the organization deploys monitoring devices:
+-strategically within the information system to collect organization-determined essential information; and
+-at ad hoc locations within the system to track specific types of transactions of interest to the organization
+
+
+ the organization heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information
+
+
+ the organization obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-61
+ NIST 800-83
+ NIST 800-92
+ NIST 800-94
+
+
+
+ Operational
+ System and Information Integrity
+ SI-5
+ Security Alerts, Advisories, and Directives
+ P1
+
+
+ The organization:
+
+ Receives information system security alerts, advisories, and directives from designated external organizations on an ongoing basis;
+ Generates internal security alerts, advisories, and directives as deemed necessary;
+ Disseminates security alerts, advisories, and directives to [Assignment: organization-defined list of personnel (identified by name and/or by role)]; and
+ Implements security directives in accordance with established time frames, or notifies the issuing organization of the degree of noncompliance.
+
+
+
+
+
+ Security alerts and advisories are generated by the United States Computer Emergency Readiness Team (US-CERT) to maintain situational awareness across the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance to security directives is essential due to the critical nature of many of these directives and the potential immediate adverse affects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to make security alert and advisory information available throughout the organization as needed.
+
+
+
+
+
+
+the organization employs automated mechanisms to make security alert and advisory information available throughout the organization
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization receives information system security alerts, advisories, and directives from designated external organizations on an ongoing basis
+
+
+ the organization generates internal security alerts, advisories, and directives
+
+
+ the organization defines personnel (identified by name and/or by role) who should receive security alerts, advisories, and directives
+
+
+ the organization disseminates security alerts, advisories, and directives to organization-identified personnel
+
+
+ the organization implements security directives in accordance with established time frames, or notifies the issuing organization of the degree of noncompliance
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-40
+
+
+
+ Operational
+ System and Information Integrity
+ SI-6
+ Security Functionality Verification
+ P1
+ HIGH
+
+
+ The information system verifies the correct operation of security functions [Selection (one or more): [Assignment: organization-defined system transitional states]; upon command by user with appropriate privilege; periodically every [Assignment: organization-defined time-period]] and [Selection (one or more): notifies system administrator; shuts the system down; restarts the system; [Assignment: organization-defined alternative action(s)]] when anomalies are discovered.
+
+
+
+
+ The need to verify security functionality applies to all security functions. For those security functions that are not able to execute automated self-tests, the organization either implements compensating security controls or explicitly accepts the risk of not performing the verification as required. Information system transitional states include, for example, startup, restart, shutdown, and abort.
+
+
+
+
+
+
+ The information system provides notification of failed automated security tests.
+
+
+
+
+
+
+the information system provides notification of failed automated security tests
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system provides automated support for the management of distributed security testing.
+
+
+
+
+
+
+the information system provides automated support for the management of distributed security testing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization reports the result of security function verification to designated organizational officials with information security responsibilities.
+
+
+
+
+ Organizational officials with information security responsibilities include, for example, senior information security officers, information system security managers, and information systems security officers.
+
+
+
+
+
+
+the organization identifies organizational officials with information security responsibilities designated to receive the results of security function verification
+
+
+the organization reports the results of security function verification to designated organizational officials with information security responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the appropriate conditions, including the system transitional states if applicable, for verifying the correct operation of security functions
+
+
+ the organization defines for periodic security function verification, the frequency of the verifications
+
+
+ the organization defines information system responses and alternative action(s) to anomalies discovered during security function verification
+
+
+ the information system verifies the correct operation of security functions in accordance with organization-defined conditions and in accordance with organization-defined frequency (if periodic verification)
+
+
+ the information system responds to security function anomalies in accordance with organization-defined responses and alternative action(s)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ System and Information Integrity
+ SI-7
+ Software and Information Integrity
+ P1
+
+
+ The information system detects unauthorized changes to software and information.
+
+
+
+
+ The organization employs integrity verification applications on the information system to look for evidence of information tampering, errors, and omissions. The organization employs good software engineering practices with regard to commercial off-the-shelf integrity mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and uses tools to automatically monitor the integrity of the information system and the applications it hosts.
+
+
+
+
+
+
+ The organization reassesses the integrity of software and information by performing [Assignment: organization-defined frequency] integrity scans of the information system.
+
+
+
+
+
+
+the organization defines the frequency of integrity scans to be performed on the information system
+
+
+the organization reassesses the integrity of software and information by performing integrity scans of the information system in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ HIGH
+
+
+ The organization employs automated tools that provide notification to designated individuals upon discovering discrepancies during integrity verification.
+
+
+
+
+
+
+the organization employs automated tools that provide notification to designated individuals upon discovering discrepancies during integrity verification
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs centrally managed integrity verification tools.
+
+
+
+
+
+
+the organization employs centrally managed integrity verification tools
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires use of tamper-evident packaging for [Assignment: organization-defined information system components] during [Selection: transportation from vendor to operational site; during operation; both].
+
+
+
+
+
+
+the organization defines information system components that require use of tamper-evident packaging
+
+
+the organization defines the conditions (i.e., transportation from vendor to operational site, during operation, both) under which tamper-evident packaging must be used for organization-defined information system components
+
+
+the organization requires use of tamper-evident packaging for organization-defined information system components during organization-defined conditions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system detects unauthorized changes to software and information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ System and Information Integrity
+ SI-8
+ Spam Protection
+ P1
+
+
+ The organization:
+
+ Employs spam protection mechanisms at information system entry and exit points and at workstations, servers, or mobile computing devices on the network to detect and take action on unsolicited messages transported by electronic mail, electronic mail attachments, web accesses, or other common means; and
+ Updates spam protection mechanisms (including signature definitions) when new releases are available in accordance with organizational configuration management policy and procedures.
+
+
+
+
+
+ Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, and remote-access servers. Related controls: SC-5, SI-3.
+
+
+
+
+ HIGH
+
+
+ The organization centrally manages spam protection mechanisms.
+
+
+
+
+
+
+the organization centrally manages spam protection mechanisms
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system automatically updates spam protection mechanisms (including signature definitions).
+
+
+
+
+
+
+the information system automatically updates spam protection mechanisms (including signature definitions)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization employs spam protection mechanisms at information system entry and exit points to detect and take action on unsolicited messages transported by electronic mail, electronic mail attachments, Web accesses, removable media, or other common means
+
+
+ the organization employs spam protection mechanisms at workstations, servers, or mobile computing devices on the network to detect and take action on unsolicited messages transported by electronic mail, electronic mail attachments, Web accesses, removable media, or other common means
+
+
+ the organization updates spam protection mechanisms (including signature definitions) when new releases are available in accordance with organizational configuration management policy and procedures defined in CM-1
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST 800-45
+
+
+
+ Operational
+ System and Information Integrity
+ SI-9
+ Information Input Restrictions
+ P2
+
+
+ The organization restricts the capability to input information to the information system to authorized personnel.
+
+
+
+
+ Restrictions on organizational personnel authorized to input information to the information system may extend beyond the typical access controls employed by the system and include limitations based on specific operational/project responsibilities. Related controls: AC-5, AC-6.
+
+
+
+
+
+
+ the organization restricts the capability to input information to the information system to authorized personnel
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ System and Information Integrity
+ SI-10
+ Information Input Validation
+ P1
+
+
+ The information system checks the validity of information inputs.
+
+
+
+
+ Rules for checking the valid syntax and semantics of information system inputs (e.g., character set, length, numerical range, acceptable values) are in place to verify that inputs match specified definitions for format and content. Inputs passed to interpreters are prescreened to prevent the content from being unintentionally interpreted as commands.
+
+
+
+
+
+
+ the information system checks the validity of information inputs
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ System and Information Integrity
+ SI-11
+ Error Handling
+ P2
+
+
+ The information system:
+
+ Identifies potentially security-relevant error conditions;
+ Generates error messages that provide information necessary for corrective actions without revealing [Assignment: organization-defined sensitive or potentially harmful information] in error logs and administrative messages that could be exploited by adversaries; and
+ Reveals error messages only to authorized personnel.
+
+
+
+
+
+ The structure and content of error messages are carefully considered by the organization. The extent to which the information system is able to identify and handle error conditions is guided by organizational policy and operational requirements. Sensitive information includes, for example, account numbers, social security numbers, and credit card numbers.
+
+
+
+
+
+
+ the information system identifies potentially security-relevant error conditions
+
+
+ the organization defines sensitive or potentially harmful information that should not be contained in error logs and administrative messages
+
+
+ the information system generates error messages that provide information necessary for corrective actions without revealing organization-defined sensitive or potentially harmful information in error logs and administrative messages that could be exploited by adversaries
+
+
+ the information system reveals error messages only to authorized personnel
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ System and Information Integrity
+ SI-12
+ Information Output Handling and Retention
+ P2
+
+
+ The organization handles and retains both information within and output from the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements.
+
+
+
+
+ The output handling and retention requirements cover the full life cycle of the information, in some cases extending beyond the disposal of the information system. The National Archives and Records Administration provides guidance on records retention. Related controls: MP-2, MP-4.
+
+
+
+
+
+
+ the organization handles both information within and output from the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements
+
+
+ the organization retains both information within and output from the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Operational
+ System and Information Integrity
+ SI-13
+ Predictable Failure Prevention
+ P0
+
+
+ The organization:
+
+ Protects the information system from harm by considering mean time to failure for [Assignment: organization-defined list of information system components] in specific environments of operation; and
+ Provides substitute information system components, when needed, and a mechanism to exchange active and standby roles of the components.
+
+
+
+
+
+ While mean time to failure is primarily a reliability issue, this control focuses on the potential failure of specific components of the information system that provide security capability. Mean time to failure rates are defendable and based on considerations that are installation-specific, not industry-average. The transfer of responsibilities between active and standby information system components does not compromise safety, operational readiness, or security (e.g., state variables are preserved). The standby component is available at all times except where a failure recovery is in progress or for maintenance reasons. Related control: CP-2.
+
+
+
+
+
+
+ The organization takes the information system component out of service by transferring component responsibilities to a substitute component no later than [Assignment: organization-defined fraction or percentage] of mean time to failure.
+
+
+
+
+
+
+the organization defines the maximum fraction or percentage of mean time to failure in order to transfer the responsibilities of an information system component that is out of service to a substitute component
+
+
+the organization takes the information system component out of service by transferring component responsibilities to a substitute component no later than the organization-defined fraction or percentage of mean time to failure
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization does not allow a process to execute without supervision for more than [Assignment: organization-defined time period].
+
+
+
+
+
+
+the organization defines the time period that a process is allowed to execute without supervision
+
+
+the organization does not allow a process to execute without supervision for more than the organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization manually initiates a transfer between active and standby information system components at least once per [Assignment: organization-defined frequency] if the mean time to failure exceeds [Assignment: organization-defined time period].
+
+
+
+
+
+
+the organization defines the minimum frequency with which the organization manually initiates a transfer between active and standby information system components if the mean time to failure exceeds the organization-defined time period
+
+
+the organization defines the time period that the mean time to failure must exceed before the organization manually initiates a transfer between active and standby information system components
+
+
+the organization manually initiates a transfer between active and standby information system components at least once per the organization-defined frequency if the mean time to failure exceeds the organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization, if an information system component failure is detected:
+
+ Ensures that the standby information system component successfully and transparently assumes its role within [Assignment: organization-defined time period]; and
+ [Selection (one or more): activates [Assignment: organization-defined alarm]; automatically shuts down the information system].
+
+
+
+
+
+ Automatic or manual transfer of roles to a standby unit may occur upon detection of a component failure.
+
+
+
+
+
+
+the organization defines the time period for a standby information system component to successfully and transparently assume the role of an information system component that has failed
+
+
+the organization defines the organization-defined alarm when an information system component failure is detected
+
+
+the organization, if an information system component failure is detected:
+-ensures that the standby information system component successfully and transparently assumes its role within the organization-defined time period; and
+-activates the organization-defined alarm and/or automatically shuts down the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines information system components for which mean time to failure rates should be considered to protect the information system from harm
+
+
+ the organization protects the information system from harm by considering mean time to failure rates for organization-defined information system components in specific environments of operation
+
+
+ the organization provides substitute information system components, when needed
+
+
+ the organization provides a mechanism to exchange active and standby roles of the components
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
diff --git a/sources/800-53/old/800-53-controls.csv b/sources/800-53/old/800-53-controls.csv
new file mode 100644
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+Class,Family,Number,Withdrawn?,Title,Impact,Priority,Description,Supplemental-Guidance,Enhancement 1 Impact,Enhancement 1 Description,Enhancement 1 Supplemental Guidance,Enhancement 2 Impact,Enhancement 2 Description,Enhancement 2 Supplemental Guidance,Enhancement 3 Impact,Enhancement 3 Description,Enhancement 3 Supplemental Guidance,Enhancement 4 Impact,Enhancement 4 Description,Enhancement 4 Supplemental Guidance,Enhancement 5 Impact,Enhancement 5 Description,Enhancement 5 Supplemental Guidance,Enhancement 6 Impact,Enhancement 6 Description,Enhancement 6 Supplemental Guidance,Enhancement 7 Impact,Enhancement 7 Description,Enhancement 7 Supplemental Guidance,Enhancement 8 Impact,Enhancement 8 Description,Enhancement 8 Supplemental Guidance,Enhancement 9 Impact,Enhancement 9 Description,Enhancement 9 Supplemental Guidance,Enhancement 10 Impact,Enhancement 10 Description,Enhancement 10 Supplemental Guidance,Enhancement 11 Impact,Enhancement 11 Description,Enhancement 11 Supplemental Guidance,Enhancement 12 Impact,Enhancement 12 Description,Enhancement 12 Supplemental Guidance,Enhancement 13 Impact,Enhancement 13 Description,Enhancement 13 Supplemental Guidance,Enhancement 14 Impact,Enhancement 14 Description,Enhancement 14 Supplemental Guidance,Enhancement 15 Impact,Enhancement 15 Description,Enhancement 15 Supplemental Guidance,Enhancement 16 Impact,Enhancement 16 Description,Enhancement 16 Supplemental Guidance,Enhancement 17 Impact,Enhancement 17 Description,Enhancement 17 Supplemental Guidance,Enhancement 18 Impact,Enhancement 18 Description,Enhancement 18 Supplemental Guidance
+Technical,Access Control,AC-1,,Access Control Policy and Procedures,LOW_MODERATE_HIGH,P1,"The organization develops, disseminates, and reviews/updates [ Assignment: organization-defined frequency ]: A formal, documented access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and Formal, documented procedures to facilitate the implementation of the access control policy and associated access controls. ","This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the access control family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The access control policy can be included as part of the general information security policy for the organization. Access control procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the access control policy. Related control: PM-9. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-2,,Account Management,LOW_MODERATE_HIGH,P1,"The organization manages information system accounts, including: Identifying account types (i.e., individual, group, system, application, guest/anonymous, and temporary); Establishing conditions for group membership; Identifying authorized users of the information system and specifying access privileges; Requiring appropriate approvals for requests to establish accounts; Establishing, activating, modifying, disabling, and removing accounts; Specifically authorizing and monitoring the use of guest/anonymous and temporary accounts; Notifying account managers when temporary accounts are no longer required and when information system users are terminated, transferred, or information system usage or need-to-know/need-to-share changes; Deactivating: (i) temporary accounts that are no longer required; and (ii) accounts of terminated or transferred users; Granting access to the system based on: (i) a valid access authorization; (ii) intended system usage; and (iii) other attributes as required by the organization or associated missions/business functions; and Reviewing accounts [ Assignment: organization-defined frequency ]. ","The identification of authorized users of the information system and the specification of access privileges is consistent with the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by organizational officials responsible for approving such accounts and privileged access. Related controls: AC-3, AC-4, AC-5, AC-6, AC-10, AC-17, AC-19, AC-20, AU-9, IA-4, IA-5, CM-5, CM-6, MA-3, MA-4, MA-5, SA-7, SC-13, SI-9. ",MODERATE_HIGH,The organization employs automated mechanisms to support the management of information system accounts. ,,MODERATE_HIGH,The information system automatically terminates temporary and emergency accounts after [ Assignment: organization-defined time period for each type of account ]. ,,MODERATE_HIGH,The information system automatically disables inactive accounts after [ Assignment: organization-defined time period ]. ,,MODERATE_HIGH,"The information system automatically audits account creation, modification, disabling, and termination actions and notifies, as required, appropriate individuals. ",,NONE,The organization: Requires that users log out when [ Assignment: organization defined time-period of expected inactivity and/or description of when to log out ]; Determines normal time-of-day and duration usage for information system accounts; Monitors for atypical usage of information system accounts; and Reports atypical usage to designated organizational officials. ,,NONE,The information system dynamically manages user privileges and associated access authorizations. ,"In contrast to conventional access control approaches which employ static information system accounts and predefined sets of user privileges, many service-oriented architecture implementations rely on run time access control decisions facilitated by dynamic privilege management. While user identities remain relatively constant over time, user privileges may change more frequently based on the ongoing mission/business requirements and operational needs of the organization. ",NONE,The organization: Establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes information system and network privileges into roles; and Tracks and monitors privileged role assignments. ,"Privileged roles include, for example, key management, network and system administration, database administration, web administration. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-3,,Access Enforcement,LOW_MODERATE_HIGH,P1,The information system enforces approved authorizations for logical access to the system in accordance with applicable policy. ,"Access control policies (e.g., identity-based policies, role-based policies, attribute-based policies) and access enforcement mechanisms (e.g., access control lists, access control matrices, cryptography) are employed by organizations to control access between users (or processes acting on behalf of users) and objects (e.g., devices, files, records, processes, programs, domains) in the information system. In addition to enforcing authorized access at the information-system level, access enforcement mechanisms are employed at the application level, when necessary, to provide increased information security for the organization. Consideration is given to the implementation of an audited, explicit override of automated mechanisms in the event of emergencies or other serious events. If encryption of stored information is employed as an access enforcement mechanism, the cryptography used is FIPS 140-2 (as amended) compliant. For classified information, the cryptography used is largely dependent on the classification level of the information and the clearances of the individuals having access to the information. Mechanisms implemented by AC-3 are configured to enforce authorizations determined by other security controls. Related controls: AC-2, AC-4, AC-5, AC-6, AC-16, AC-17, AC-18, AC-19, AC-20, AC-21, AC-22, AU-9, CM-5, CM-6, MA-3, MA-4, MA-5, SA-7, SC-13, SI-9. ",NONE,[ Withdrawn: Incorporated into AC-6 ]. ,,NONE,"The information system enforces dual authorization, based on organizational policies and procedures for [ Assignment: organization-defined privileged commands ]. ",Dual authorization mechanisms require two forms of approval to execute. The organization does not employ dual authorization mechanisms when an immediate response is necessary to ensure public and environmental safety. ,NONE,"The information system enforces [ Assignment: organization-defined nondiscretionary access control policies ] over [ Assignment: organization-defined set of users and resources ] where the policy rule set for each policy specifies: Access control information (i.e., attributes) employed by the policy rule set (e.g., position, nationality, age, project, time of day); and Required relationships among the access control information to permit access. ","Nondiscretionary access control policies that may be implemented by organizations include, for example, Attribute-Based Access Control, Mandatory Access Control, and Originator Controlled Access Control. Nondiscretionary access control policies may be employed by organizations in addition to the employment of discretionary access control policies. For Mandatory Access Control (MAC): Policy establishes coverage over all subjects and objects under its control to ensure that each user receives only that information to which the user is authorized access based on classification of the information, and on user clearance and formal access authorization. The information system assigns appropriate security attributes (e.g., labels/security domains/types) to subjects and objects, and uses these attributes as the basis for MAC decisions. The Bell-LaPadula security model defines allowed access with regard to an organization-defined set of strictly hierarchical security levels as follows: A subject can read an object only if the security level of the subject dominates the security level of the object and a subject can write to an object only if two conditions are met: the security level of the object dominates the security level of the subject, and the security level of the users clearance dominates the security level of the object (no read up, no write down). For Role-Based Access Control (RBAC): Policy establishes coverage over all users and resources to ensure that access rights are grouped by role name, and access to resources is restricted to users who have been authorized to assume the associated role. ",NONE,"The information system enforces a Discretionary Access Control (DAC) policy that: Allows users to specify and control sharing by named individuals or groups of individuals, or by both; Limits propagation of access rights; and Includes or excludes access to the granularity of a single user. ",,NONE,"The information system prevents access to [ Assignment: organization-defined security-relevant information ] except during secure, nonoperable system states. ","Security-relevant information is any information within the information system that can potentially impact the operation of security functions in a manner that could result in failure to enforce the system security policy or maintain isolation of code and data. Filtering rules for routers and firewalls, cryptographic key management information, key configuration parameters for security services, and access control lists are examples of security-relevant information. Secure, nonoperable system states are states in which the information system is not performing mission/business-related processing (e.g., the system is off-line for maintenance, troubleshooting, boot-up, shutdown). ",NONE,The organization encrypts or stores off-line in a secure location [ Assignment: organization-defined user and/or system information ]. ,The use of encryption by the organization reduces the probability of unauthorized disclosure of information and can also detect unauthorized changes to information. Removing information from online storage to offline storage eliminates the possibility of individuals gaining unauthorized access via a network. Related control: MP-4. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-4,,Information Flow Enforcement,MODERATE_HIGH,P1,The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems in accordance with applicable policy. ,"Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. A few examples of flow control restrictions include: keeping export controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, and not passing any web requests to the Internet that are not from the internal web proxy. Information flow control policies and enforcement mechanisms are commonly employed by organizations to control the flow of information between designated sources and destinations (e.g., networks, individuals, devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Specific examples of flow control enforcement can be found in boundary protection devices (e.g., proxies, gateways, guards, encrypted tunnels, firewalls, and routers) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on content (e.g., using key word searches or document characteristics). Mechanisms implemented by AC-4 are configured to enforce authorizations determined by other security controls. Related controls: AC-17, AC-19, AC-21, CM-7, SA-8, SC-2, SC-5, SC-7, SC-18. ",NONE,"The information system enforces information flow control using explicit security attributes on information, source, and destination objects as a basis for flow control decisions. ","Information flow enforcement mechanisms compare security attributes on all information (data content and data structure), source and destination objects, and respond appropriately (e.g., block, quarantine, alert administrator) when the mechanisms encounter information flows not explicitly allowed by the information flow policy. Information flow enforcement using explicit security attributes can be used, for example, to control the release of certain types of information. ",NONE,"The information system enforces information flow control using protected processing domains (e.g., domain type-enforcement) as a basis for flow control decisions. ",,NONE,The information system enforces dynamic information flow control based on policy that allows or disallows information flows based on changing conditions or operational considerations. ,,NONE,The information system prevents encrypted data from bypassing content-checking mechanisms. ,,NONE,The information system enforces [ Assignment: organization-defined limitations on the embedding of data types within other data types ]. ,,NONE,The information system enforces information flow control on metadata. ,,NONE,The information system enforces [ Assignment: organization-defined one-way flows ] using hardware mechanisms. ,,NONE,The information system enforces information flow control using [ Assignment: organization-defined security policy filters ] as a basis for flow control decisions. ,"Organization-defined security policy filters include, for example, dirty word filters, file type checking filters, structured data filters, unstructured data filters, metadata content filters, and hidden content filters. Structured data permits the interpretation of its content by virtue of atomic elements that are understandable by an application and indivisible. Unstructured data refers to masses of (usually) digital information that does not have a data structure or has a data structure that is not easily readable by a machine. Unstructured data consists of two basic categories: (i) bitmap objects that are inherently non language-based (i.e., image, video, or audio files); and (ii) textual objects that are based on a written or printed language (i.e., commercial off-the-shelf word processing documents, spreadsheets, or emails). ",NONE,The information system enforces the use of human review for [ Assignment: organization-defined security policy filters ] when the system is not capable of making an information flow control decision. ,,NONE,The information system provides the capability for a privileged administrator to enable/disable [ Assignment: organization-defined security policy filters ]. ,,NONE,The information system provides the capability for a privileged administrator to configure [ Assignment: organization-defined security policy filters ] to support different security policies. ,"For example, to reflect changes in the security policy, an administrator can change the list of ""dirty words"" that the security policy mechanism checks in accordance with the definitions provided by the organization. ",NONE,"The information system, when transferring information between different security domains, identifies information flows by data type specification and usage. ","Data type specification and usage include, for example, using file naming to reflect type of data and limiting data transfer based on file type. ",NONE,"The information system, when transferring information between different security domains, decomposes information into policy-relevant subcomponents for submission to policy enforcement mechanisms. ","Policy enforcement mechanisms include the filtering and/or sanitization rules that are applied to information prior to transfer to a different security domain. Parsing transfer files facilitates policy decisions on source, destination, certificates, classification, subject, attachments, and other information security-related component differentiators. Policy rules for cross domain transfers include, for example, limitations on embedding components/information types within other components/information types, prohibiting more than two-levels of embedding, and prohibiting the transfer of archived information types. ",NONE,"The information system, when transferring information between different security domains, implements policy filters that constrain data structure and content to [ Assignment: organization-defined information security policy requirements ]. ","Constraining file lengths, allowed enumerations, character sets, schemas, and other data object attributes reduces the range of potential malicious and/or unsanctioned content. Examples of constraints include ensuring that: (i) character data fields only contain printable ASCII; (ii) character data fields only contain alpha-numeric characters; (iii) character data fields do not contain special characters; or (iv) maximum field sizes and file lengths are enforced based upon organization-defined security policy ",NONE,"The information system, when transferring information between different security domains, detects unsanctioned information and prohibits the transfer of such information in accordance with the security policy. ","Actions to support this enhancement include: checking all transferred information for malware, implementing dirty word list searches on transferred information, and applying the same protection measures to metadata (e.g., security attributes) that is applied to the information payload. ",NONE,The information system enforces security policies regarding information on interconnected systems. ,"Transferring information between interconnected information systems of differing security policies introduces risk that such transfers violate one or more policies. While security policy violations may not be absolutely prohibited, policy guidance from information owners/stewards is implemented at the policy enforcement point between the interconnected systems. Specific architectural solutions are mandated, when required, to reduce the potential for undiscovered vulnerabilities. Architectural solutions include, for example: (i) prohibiting information transfers between interconnected systems (i.e. implementing access only, one way transfer mechanisms); (ii) employing hardware mechanisms to enforce unitary information flow directions; and (iii) implementing fully tested, re-grading mechanisms to reassign security attributes and associated security labels. ",NONE,The information system: Uniquely identifies and authenticates source and destination domains for information transfer; Binds security attributes to information to facilitate information flow policy enforcement; and Tracks problems associated with the security attribute binding and information transfer. ,"Attribution is a critical component of a security concept of operations. The ability to identify source and destination points for information flowing in an information system, allows forensic reconstruction of events when required, and increases policy compliance by attributing policy violations to specific organizations/individuals. Means to enforce this enhancement include ensuring that the information system resolution labels distinguish between information systems and organizations, and between specific system components or individuals involved in preparing, sending, receiving, or disseminating information. ",,,
+Technical,Access Control,AC-5,,Separation of Duties,MODERATE_HIGH,P1,"The organization: Separates duties of individuals as necessary, to prevent malevolent activity without collusion; Documents separation of duties; and Implements separation of duties through assigned information system access authorizations. ","Examples of separation of duties include: (i) mission functions and distinct information system support functions are divided among different individuals/roles; (ii) different individuals perform information system support functions (e.g., system management, systems programming, configuration management, quality assurance and testing, network security); (iii) security personnel who administer access control functions do not administer audit functions; and (iv) different administrator accounts for different roles. Access authorizations defined in this control are implemented by control AC-3. Related controls: AC-3. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-6,,Least Privilege,MODERATE_HIGH,P1,"The organization employs the concept of least privilege, allowing only authorized accesses for users (and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions. ","The access authorizations defined in this control are largely implemented by control AC-3. The organization employs the concept of least privilege for specific duties and information systems (including specific ports, protocols, and services) in accordance with risk assessments as necessary to adequately mitigate risk to organizational operations and assets, individuals, other organizations, and the Nation. Related controls: AC-2, AC-3, CM-7. ",MODERATE_HIGH,"The organization explicitly authorizes access to [ Assignment: organization-defined list of security functions (deployed in hardware, software, and firmware) and security-relevant information ]. ","Establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters are examples of security functions. Explicitly authorized personnel include, for example, security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users. Related control: AC-17. ",MODERATE_HIGH,"The organization requires that users of information system accounts, or roles, with access to [ Assignment: organization-defined list of security functions or security-relevant information ], use non-privileged accounts, or roles, when accessing other system functions, and if feasible, audits any use of privileged accounts, or roles, for such functions. ",This control enhancement is intended to limit exposure due to operating from within a privileged account or role. The inclusion of role is intended to address those situations where an access control policy such as Role Based Access Control (RBAC) is being implemented and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account. Audit of privileged activity may require physical separation employing information systems on which the user does not have privileged access. ,NONE,The organization authorizes network access to [ Assignment: organization-defined privileged commands ] only for compelling operational needs and documents the rationale for such access in the security plan for the information system. ,,NONE,The information system provides separate processing domains to enable finer-grained allocation of user privileges. ,Employing virtualization techniques to allow greater privilege within a virtual machine while restricting privilege to the underlying actual machine is an example of providing separate processing domains for finer-grained allocation of user privileges. ,NONE,The organization limits authorization to super user accounts on the information system to designated system administration personnel. ,"Super user accounts are typically described as ""root"" or ""administrator"" for various types of commercial off-the-shelf operating systems. Configuring organizational information systems (e.g., notebook/laptop computers, servers, workstations) such that day-to-day users are not authorized access to super user accounts is an example of limiting system authorization. The organization may differentiate in the application of this control enhancement between allowed privileges for local information system accounts and for domain accounts provided the organization retains the ability to control the configuration of the system with regard to key security parameters and as otherwise necessary to sufficiently mitigate risk. ",NONE,The organization prohibits privileged access to the information system by non-organizational users. ,"A qualified organizational user may be advised by a non-organizational user, if necessary. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-7,,Unsuccessful Login Attempts,LOW_MODERATE_HIGH,P2,The information system: Enforces a limit of [ Assignment: organization-defined number ] consecutive invalid login attempts by a user during a [ Assignment: organization-defined time period ]; and Automatically [ Selection: locks the account/node for an [ Assignment: organization-defined time period ] ; locks the account/node until released by an administrator; delays next login prompt according to [ Assignment: organization-defined delay algorithm ]] when the maximum number of unsuccessful attempts is exceeded. The control applies regardless of whether the login occurs via a local or network connection. ,"Due to the potential for denial of service, automatic lockouts initiated by the information system are usually temporary and automatically release after a predetermined time period established by the organization. If a delay algorithm is selected, the organization may chose to employ different algorithms for different information system components based on the capabilities of those components. Response to unsuccessful login attempts may be implemented at both the operating system and the application levels. This control applies to all accesses other than those accesses explicitly identified and documented by the organization in AC-14. ",NONE,The information system automatically locks the account/node until released by an administrator when the maximum number of unsuccessful attempts is exceeded ,,NONE,"The information system provides additional protection for mobile devices accessed via login by purging information from the device after [ Assignment: organization-defined number ] consecutive, unsuccessful login attempts to the device. ","This enhancement applies only to mobile devices for which a login occurs (e.g., personal digital assistants) and not to mobile devices accessed without a login such as removable media. In certain situations, this enhancement may not apply to mobile devices if the information on the device is encrypted with sufficiently strong encryption mechanisms, making purging unnecessary. The login is to the mobile device, not to any one account on the device. Therefore, a successful login to any account on the mobile device resets the unsuccessful login count to zero. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-8,,System Use Notification,LOW_MODERATE_HIGH,P1,"The information system: Displays an approved system use notification message or banner before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance and states that: (i) users are accessing a U.S. Government information system; (ii) system usage may be monitored, recorded, and subject to audit; (iii) unauthorized use of the system is prohibited and subject to criminal and civil penalties; and (iv) use of the system indicates consent to monitoring and recording; Retains the notification message or banner on the screen until users take explicit actions to log on to or further access the information system; and For publicly accessible systems: (i) displays the system use information when appropriate, before granting further access; (ii) displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and (iii) includes in the notice given to public users of the information system, a description of the authorized uses of the system. ",System use notification messages can be implemented in the form of warning banners displayed when individuals log in to the information system. System use notification is intended only for information system access that includes an interactive login interface with a human user and is not intended to require notification when an interactive interface does not exist. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-9,,Previous Logon (Access) Notification,NONE,P0,"The information system notifies the user, upon successful logon (access), of the date and time of the last logon (access). ","This control is intended to cover both traditional logons to information systems and general accesses to information systems that occur in other types of architectural configurations (e.g., service oriented architectures). ",NONE,"The information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access. ",,NONE,The information system notifies the user of the number of [ Selection: successful logins/accesses; unsuccessful login/access attempts; both ] during [ Assignment: organization-defined time period ]. ,,NONE,The information system notifies the user of [ Assignment: organization-defined set of security-related changes to the users account ] during [ Assignment: organization-defined time period ]. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-10,,Concurrent Session Control,HIGH,P2,The information system limits the number of concurrent sessions for each system account to [ Assignment: organization-defined number ]. ,"The organization may define the maximum number of concurrent sessions for an information system account globally, by account type, by account, or a combination. This control addresses concurrent sessions for a given information system account and does not address concurrent sessions by a single user via multiple system accounts. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-11,,Session Lock,MODERATE_HIGH,P3,The information system: Prevents further access to the system by initiating a session lock after [ Assignment: organization-defined time period ] of inactivity or upon receiving a request from a user; and Retains the session lock until the user reestablishes access using established identification and authentication procedures. ,"A session lock is a temporary action taken when a user stops work and moves away from the immediate physical vicinity of the information system but does not want to log out because of the temporary nature of the absence. The session lock is implemented at the point where session activity can be determined. This is typically at the operating system-level, but may be at the application-level. A session lock is not a substitute for logging out of the information system, for example, if the organization requires users to log out at the end of the workday. ",NONE,"The information system session lock mechanism, when activated on a device with a display screen, places a publicly viewable pattern onto the associated display, hiding what was previously visible on the screen. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-12,,Session Termination,NONE,,[ Withdrawn: Incorporated into SC-10 ]. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-13,,Supervision and Review Access Control,NONE,,[ Withdrawn: Incorporated into AC-2 and AU-6 ]. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-14,,Permitted Actions Without Identification Or Authentication,LOW_MODERATE_HIGH,P1,"The organization: Identifies specific user actions that can be performed on the information system without identification or authentication; and Documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification and authentication. ","This control is intended for those specific instances where an organization determines that no identification and authentication is required; it is not, however, mandating that such instances exist in given information system. The organization may allow a limited number of user actions without identification and authentication (e.g., when individuals access public websites or other publicly accessible federal information systems such as http://www.usa.gov). Organizations also identify any actions that normally require identification or authentication but may under certain circumstances (e.g., emergencies), allow identification or authentication mechanisms to be bypassed. Such bypass may be, for example, via a software-readable physical switch that commands bypass of the login functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not being repeated, but rather to situations where identification and/or authentication have not yet occurred. Related control: CP-2, IA-2. ",MODERATE_HIGH,The organization permits actions to be performed without identification and authentication only to the extent necessary to accomplish mission/business objectives. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-15,,Automated Marking,NONE,,[ Withdrawn: Incorporated into MP-3 ]. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-16,,Security Attributes,NONE,P0,"The information system supports and maintains the binding of [ Assignment: organization-defined security attributes ] to information in storage, in process, and in transmission. ","Security attributes are abstractions representing the basic properties or characteristics of an entity (e.g., subjects and objects) with respect to safeguarding information. These attributes are typically associated with internal data structures (e.g., records, buffers, files) within the information system and are used to enable the implementation of access control and flow control policies, reflect special dissemination, handling or distribution instructions, or support other aspects of the information security policy. The term security label is often used to associate a set of security attributes with a specific information object as part of the data structure for that object (e.g., user access privileges, nationality, affiliation as contractor). Related controls: AC-3, AC-4, SC-16, MP-3. ",NONE,The information system dynamically reconfigures security attributes in accordance with an identified security policy as information is created and combined. ,,NONE,The information system allows authorized entities to change security attributes. ,,NONE,The information system maintains the binding of security attributes to information with sufficient assurance that the information--attribute association can be used as the basis for automated policy actions. ,"Examples of automated policy actions include automated access control decisions (e.g., Mandatory Access Control decisions), or decisions to release (or not release) information (e.g., information flows via cross domain systems). ",NONE,The information system allows authorized users to associate security attributes with information. ,"The support provided by the information system can vary from prompting users to select security attributes to be associated with specific information objects, to ensuring that the combination of attributes selected is valid. ",NONE,"The information system displays security attributes in human-readable form on each object output from the system to system output devices to identify [ Assignment: organization-identified set of special dissemination, handling, or distribution instructions ] using [ Assignment: organization-identified human readable, standard naming conventions ]. ","Objects output from the information system include, for example, pages, screens, or equivalent. Output devices include, for example, printers and video displays on computer terminals, monitors, screens on notebook/laptop computers and personal digital assistants. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-17,,Remote Access,LOW_MODERATE_HIGH,P1,The organization: Documents allowed methods of remote access to the information system; Establishes usage restrictions and implementation guidance for each allowed remote access method; Monitors for unauthorized remote access to the information system; Authorizes remote access to the information system prior to connection; and Enforces requirements for remote connections to the information system. ,"This control requires explicit authorization prior to allowing remote access to an information system without specifying a specific format for that authorization. For example, while the organization may deem it appropriate to use a system interconnection agreement to authorize a given remote access, such agreements are not required by this control. Remote access is any access to an organizational information system by a user (or process acting on behalf of a user) communicating through an external network (e.g., the Internet). Examples of remote access methods include dial-up, broadband, and wireless (see AC-18 for wireless access). A virtual private network when adequately provisioned with appropriate security controls, is considered an internal network (i.e., the organization establishes a network connection between organization-controlled endpoints in a manner that does not require the organization to depend on external networks to protect the confidentiality or integrity of information transmitted across the network). Remote access controls are applicable to information systems other than public web servers or systems specifically designed for public access. Enforcing access restrictions associated with remote connections is accomplished by control AC-3. Related controls: AC-3, AC-18, AC-20, IA-2, IA-3, IA-8, MA-4. ",MODERATE_HIGH,The organization employs automated mechanisms to facilitate the monitoring and control of remote access methods. ,"Automated monitoring of remote access sessions allows organizations to audit user activities on a variety of information system components (e.g., servers, workstations, notebook/laptop computers) and to ensure compliance with remote access policy. ",MODERATE_HIGH,The organization uses cryptography to protect the confidentiality and integrity of remote access sessions. ,"The encryption strength of mechanism is selected based on the security categorization of the information. Related controls: SC-8, SC-9, SC-13. ",MODERATE_HIGH,The information system routes all remote accesses through a limited number of managed access control points. ,Related control: SC-7. ,MODERATE_HIGH,The organization authorizes the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs and documents the rationale for such access in the security plan for the information system. ,Related control: AC-6. ,MODERATE_HIGH,"The organization monitors for unauthorized remote connections to the information system [ Assignment: organization-defined frequency ], and takes appropriate action if an unauthorized connection is discovered. ",,NONE,The organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure. ,,MODERATE_HIGH,The organization ensures that remote sessions for accessing [ Assignment: organization-defined list of security functions and security-relevant information ] employ [ Assignment: organization-defined additional security measures ] and are audited. ,"Additional security measures are typically above and beyond standard bulk or session layer encryption (e.g., Secure Shell [SSH], Virtual Private Networking [VPN] with blocking mode enabled). Related controls: SC-8, SC-9. ",MODERATE_HIGH,The organization disables [ Assignment: organization-defined networking protocols within the information system deemed to be nonsecure ] except for explicitly identified components in support of specific operational requirements. ,The organization can either make a determination of the relative security of the networking protocol or base the security decision on the assessment of other entities. Bluetooth and peer-to-peer networking are examples of less than secure networking protocols. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-18,,Wireless Access,LOW_MODERATE_HIGH,P1,The organization: Establishes usage restrictions and implementation guidance for wireless access; Monitors for unauthorized wireless access to the information system; Authorizes wireless access to the information system prior to connection; and Enforces requirements for wireless connections to the information system. ,"Wireless technologies include, but are not limited to, microwave, satellite, packet radio (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., EAP/TLS, PEAP), which provide credential protection and mutual authentication. In certain situations, wireless signals may radiate beyond the confines and control of organization-controlled facilities. Related controls: AC-3, IA-2, IA-3, IA-8. ",MODERATE_HIGH,The information system protects wireless access to the system using authentication and encryption. ,"Authentication applies to user, device, or both as necessary. Related control: SC-13. ",HIGH,"The organization monitors for unauthorized wireless connections to the information system, including scanning for unauthorized wireless access points [ Assignment: organization-defined frequency ], and takes appropriate action if an unauthorized connection is discovered. ","Organizations proactively search for unauthorized wireless connections including the conduct of thorough scans for unauthorized wireless access points. The scan is not necessarily limited to only those areas within the facility containing the information systems, yet is conducted outside of those areas only as needed to verify that unauthorized wireless access points are not connected to the system. ",NONE,"The organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment. ",,HIGH,The organization does not allow users to independently configure wireless networking capabilities. ,,HIGH,The organization confines wireless communications to organization-controlled boundaries. ,Actions that may be taken by the organization to confine wireless communications to organization-controlled boundaries include: (i) reducing the power of the wireless transmission such that it cannot transit the physical perimeter of the organization; (ii) employing measures such as TEMPEST to control wireless emanations; and (iii) configuring the wireless access such that it is point to point in nature. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-19,,Access Control for Mobile Devices,LOW_MODERATE_HIGH,P1,The organization: Establishes usage restrictions and implementation guidance for organization-controlled mobile devices; Authorizes connection of mobile devices meeting organizational usage restrictions and implementation guidance to organizational information systems; Monitors for unauthorized connections of mobile devices to organizational information systems; Enforces requirements for the connection of mobile devices to organizational information systems; Disables information system functionality that provides the capability for automatic execution of code on mobile devices without user direction; Issues specially configured mobile devices to individuals traveling to locations that the organization deems to be of significant risk in accordance with organizational policies and procedures; and Applies [ Assignment: organization-defined inspection and preventative measures ] to mobile devices returning from locations that the organization deems to be of significant risk in accordance with organizational policies and procedures. ,"Mobile devices include portable storage media (e.g., USB memory sticks, external hard disk drives) and portable computing and communications devices with information storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones, digital cameras, and audio recording devices). Organization-controlled mobile devices include those devices for which the organization has the authority to specify and the ability to enforce specific security requirements. Usage restrictions and implementation guidance related to mobile devices include, for example, configuration management, device identification and authentication, implementation of mandatory protective software (e.g., malicious code detection, firewall), scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). Examples of information system functionality that provide the capability for automatic execution of code are AutoRun and AutoPlay. Organizational policies and procedures for mobile devices used by individuals departing on and returning from travel include, for example, determining which locations are of concern, defining required configurations for the devices, ensuring that the devices are configured as intended before travel is initiated, and applying specific measures to the device after travel is completed. Specially configured mobile devices include, for example, computers with sanitized hard drives, limited applications, and additional hardening (e.g., more stringent configuration settings). Specified measures applied to mobile devices upon return from travel include, for example, examining the device for signs of physical tampering and purging/reimaging the hard disk drive. Protecting information residing on mobile devices is covered in the media protection family. Related controls: MP-4, MP-5. ",MODERATE_HIGH,"The organization restricts the use of writable, removable media in organizational information systems. ",,MODERATE_HIGH,"The organization prohibits the use of personally owned, removable media in organizational information systems. ",,MODERATE_HIGH,The organization prohibits the use of removable media in organizational information systems when the media has no identifiable owner. ,"An identifiable owner (e.g., individual, organization, or project) for removable media helps to reduce the risk of using such technology by assigning responsibility and accountability for addressing known vulnerabilities in the media (e.g., malicious code insertion). ",NONE,"The organization: Prohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the appropriate authorizing official(s); and Enforces the following restrictions on individuals permitted to use mobile devices in facilities containing information systems processing, storing, or transmitting classified information: \ - Connection of unclassified mobile devices to classified information systems is prohibited; - Connection of unclassified mobile devices to unclassified information systems requires approval from the appropriate authorizing official(s); - Use of internal or external modems or wireless interfaces within the mobile devices is prohibited; and - Mobile devices and the information stored on those devices are subject to random reviews/inspections by [ Assignment: organization-defined security officials ], and if classified information is found, the incident handling policy is followed. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-20,,Use of External Information Systems,LOW_MODERATE_HIGH,P1,"The organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to: Access the information system from the external information systems; and Process, store, and/or transmit organization-controlled information using the external information systems. ","External information systems are information systems or components of information systems that are outside of the authorization boundary established by the organization and for which the organization typically has no direct supervision and authority over the application of required security controls or the assessment of security control effectiveness. External information systems include, but are not limited to: (i) personally owned information systems (e.g., computers, cellular telephones, or personal digital assistants); (ii) privately owned computing and communications devices resident in commercial or public facilities (e.g., hotels, convention centers, or airports); (iii) information systems owned or controlled by nonfederal governmental organizations; and (iv) federal information systems that are not owned by, operated by, or under the direct supervision and authority of the organization. For some external systems, in particular those systems operated by other federal agencies, including organizations subordinate to those agencies, the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. In effect, the information systems of these organizations would not be considered external. These situations typically occur when, for example, there is some pre-existing sharing or trust agreement (either implicit or explicit) established between federal agencies and/or organizations subordinate to those agencies, or such trust agreements are specified by applicable laws, Executive Orders, directives, or policies. Authorized individuals include organizational personnel, contractors, or any other individuals with authorized access to the organizational information system and over which the organization has the authority to impose rules of behavior with regard to system access. The restrictions that an organization imposes on authorized individuals need not be uniform, as those restrictions are likely to vary depending upon the trust relationships between organizations. Thus, an organization might impose more stringent security restrictions on a contractor than on a state, local, or tribal government. This control does not apply to the use of external information systems to access public interfaces to organizational information systems and information (e.g., individuals accessing federal information through www.usa.gov). The organization establishes terms and conditions for the use of external information systems in accordance with organizational security policies and procedures. The terms and conditions address as a minimum; (i) the types of applications that can be accessed on the organizational information system from the external information system; and (ii) the maximum security categorization of information that can be processed, stored, and transmitted on the external information system. This control defines access authorizations enforced by AC-3, rules of behavior requirements enforced by PL-4, and session establishment rules enforced by AC-17. Related controls: AC-3, AC-17, PL-4. ",MODERATE_HIGH,"The organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization: Can verify the implementation of required security controls on the external system as specified in the organizations information security policy and security plan; or Has approved information system connection or processing agreements with the organizational entity hosting the external information system. ",,MODERATE_HIGH,The organization limits the use of organization-controlled portable storage media by authorized individuals on external information systems. ,"Limits on the use of organization-controlled portable storage media in external information systems can include, for example, complete prohibition of the use of such devices or restrictions on how the devices may be used and under what conditions the devices may be used. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-21,,User-based Collaboration and Information Sharing,NONE,P0,The organization: Facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for [ Assignment: organization-defined information sharing circumstances where user discretion is required ]; and Employs [ Assignment: list of organization-defined information sharing circumstances and automated mechanisms or manual processes required ] to assist users in making information sharing/collaboration decisions. ,"The control applies to information that may be restricted in some manner (e.g., privileged medical, contract-sensitive, proprietary, personally identifiable information, special access programs/compartments) based on some formal or administrative determination. Depending on the information-sharing circumstance, the sharing partner may be defined at the individual, group, or organization level and information may be defined by specific content, type, or security categorization. Related control: AC-3. ",NONE,The information system employs automated mechanisms to enable authorized users to make information-sharing decisions based on access authorizations of sharing partners and access restrictions on information to be shared. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Access Control,AC-22,,Publicly Accessible Content,LOW_MODERATE_HIGH,P2,"The organization: Designates individuals authorized to post information onto an organizational information system that is publicly accessible; Trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information; Reviews the proposed content of publicly accessible information for nonpublic information prior to posting onto the organizational information system; Reviews the content on the publicly accessible organizational information system for nonpublic information [ Assignment: organization-defined frequency ]; and Removes nonpublic information from the publicly accessible organizational information system, if discovered. ","Nonpublic information is any information for which the general public is not authorized access in accordance with federal laws, Executive Orders, directives, policies, regulations, standards, or guidance. Information protected under the Privacy Act and vendor proprietary information are examples of nonpublic information. This control addresses posting information on an organizational information system that is accessible to the general public, typically without identification or authentication. The posting of information on non-organization information systems is covered by appropriate organizational policy. Related controls: AC-3, AU-13. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Awareness and Training,AT-1,,Security Awareness and Training Policy and Procedures,LOW_MODERATE_HIGH,P1,"The organization develops, disseminates, and reviews/updates [ Assignment: organization-defined frequency ]: A formal, documented security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and Formal, documented procedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls. ","This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the security awareness and training family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The security awareness and training policy can be included as part of the general information security policy for the organization. Security awareness and training procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the security awareness and training policy. Related control: PM-9. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Awareness and Training,AT-2,,Security Awareness,LOW_MODERATE_HIGH,P1,"The organization provides basic security awareness training to all information system users (including managers, senior executives, and contractors) as part of initial training for new users, when required by system changes, and [ Assignment: organization-defined frequency ] thereafter. ","The organization determines the appropriate content of security awareness training and security awareness techniques based on the specific requirements of the organization and the information systems to which personnel have authorized access. The content includes a basic understanding of the need for information security and user actions to maintain security and to respond to suspected security incidents. The content also addresses awareness of the need for operations security as it relates to the organizations information security program. Security awareness techniques can include, for example, displaying posters, offering supplies inscribed with security reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security awareness events. ",NONE,The organization includes practical exercises in security awareness training that simulate actual cyber attacks. ,"Practical exercises may include, for example, no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments or invoking malicious web links. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Awareness and Training,AT-3,,Security Training,LOW_MODERATE_HIGH,P1,The organization provides role-based security-related training: (i) before authorizing access to the system or performing assigned duties; (ii) when required by system changes; and (iii) [ Assignment: organization-defined frequency ] thereafter. ,"The organization determines the appropriate content of security training based on assigned roles and responsibilities and the specific requirements of the organization and the information systems to which personnel have authorized access. In addition, the organization provides information system managers, system and network administrators, personnel performing independent verification and validation activities, security control assessors, and other personnel having access to system-level software, adequate security-related technical training to perform their assigned duties. Organizational security training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. The organization also provides the training necessary for these individuals to carry out their responsibilities related to operations security within the context of the organizations information security program. Related controls: AT-2, SA-3. ",NONE,The organization provides employees with initial and [ Assignment: organization-defined frequency ] training in the employment and operation of environmental controls. ,"Environmental controls include, for example, fire suppression and detection devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature/humidity, HVAC, and power within the facility. ",NONE,The organization provides employees with initial and [ Assignment: organization-defined frequency ] training in the employment and operation of physical security controls. ,"Physical security controls include, for example, physical access control devices, physical intrusion alarms, monitoring and surveillance equipment, and security guards (deployment and operating procedures). ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Awareness and Training,AT-4,,Security Training Records,LOW_MODERATE_HIGH,P3,The organization: Documents and monitors individual information system security training activities including basic security awareness training and specific information system security training; and Retains individual training records for [ Assignment: organization-defined time period ]. ,"While an organization may deem that organizationally mandated individual training programs and the development of individual training plans are necessary, this control does not mandate either. Documentation for specialized training may be maintained by individual supervisors at the option of the organization. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Awareness and Training,AT-5,,Contacts With Security Groups and Associations,NONE,P0,"The organization establishes and institutionalizes contact with selected groups and associations within the security community: - To facilitate ongoing security education and training for organizational personnel; - To stay up to date with the latest recommended security practices, techniques, and technologies; and - To share current security-related information including threats, vulnerabilities, and incidents. ","Ongoing contact with security groups and associations is of paramount importance in an environment of rapid technology changes and dynamic threats. Security groups and associations can include, for example, special interest groups, specialized forums, professional associations, news groups, and/or peer groups of security professionals in similar organizations. The groups and associations selected are consistent with the organizations mission/business requirements. Information-sharing activities regarding threats, vulnerabilities, and incidents related to information systems are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Audit and Accountability,AU-1,,Audit and Accountability Policy and Procedures,LOW_MODERATE_HIGH,P1,"The organization develops, disseminates, and reviews/updates [ Assignment: organization-defined frequency ]: A formal, documented audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and Formal, documented procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls. ","This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the audit and accountability family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The audit and accountability policy can be included as part of the general information security policy for the organization. Audit and accountability procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the audit and accountability policy. Related control: PM-9. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Audit and Accountability,AU-2,,Auditable Events,LOW_MODERATE_HIGH,P1,"The organization: Determines, based on a risk assessment and mission/business needs, that the information system must be capable of auditing the following events: [ Assignment: organization-defined list of auditable events ]; Coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events; Provides a rationale for why the list of auditable events are deemed to be adequate to support after-the-fact investigations of security incidents; and Determines, based on current threat information and ongoing assessment of risk, that the following events are to be audited within the information system: [ Assignment: organization-defined subset of the auditable events defined in AU-2 a. to be audited along with the frequency of (or situation requiring) auditing for each identified event ]. ","The purpose of this control is for the organization to identify events which need to be auditable as significant and relevant to the security of the information system; giving an overall system requirement in order to meet ongoing and specific audit needs. To balance auditing requirements with other information system needs, this control also requires identifying that subset of auditable events that are to be audited at a given point in time. For example, the organization may determine that the information system must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the extreme burden on system performance. In addition, audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the right level of abstraction for audit record generation is a critical aspect of an audit capability and can facilitate the identification of root causes to problems. Related control: AU-3. ",NONE,[ Withdrawn: Incorporated into AU-12 ]. ,,NONE,[ Withdrawn: Incorporated into AU-12 ]. ,,MODERATE_HIGH,The organization reviews and updates the list of auditable events [ Assignment: organization-defined frequency ]. ,The list of auditable events is defined in AU-2. ,MODERATE_HIGH,The organization includes execution of privileged functions in the list of events to be audited by the information system. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Audit and Accountability,AU-3,,Content of Audit Records,LOW_MODERATE_HIGH,P1,"The information system produces audit records that contain sufficient information to, at a minimum, establish what type of event occurred, when (date and time) the event occurred, where the event occurred, the source of the event, the outcome (success or failure) of the event, and the identity of any user/subject associated with the event. ","Audit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Related controls: AU-2, AU-8. ",MODERATE_HIGH,"The information system includes [ Assignment: organization-defined additional, more detailed information ] in the audit records for audit events identified by type, location, or subject. ",An example of detailed information that the organization may require in audit records is full-text recording of privileged commands or the individual identities of group account users. ,HIGH,The organization centrally manages the content of audit records generated by [ Assignment: organization-defined information system components ]. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Audit and Accountability,AU-4,,Audit Storage Capacity,LOW_MODERATE_HIGH,P1,The organization allocates audit record storage capacity and configures auditing to reduce the likelihood of such capacity being exceeded. ,"The organization considers the types of auditing to be performed and the audit processing requirements when allocating audit storage capacity. Related controls: AU-2, AU-5, AU-6, AU-7, SI-4. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Audit and Accountability,AU-5,,Response To Audit Processing Failures,LOW_MODERATE_HIGH,P1,"The information system: Alerts designated organizational officials in the event of an audit processing failure; and Takes the following additional actions: [ Assignment: organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records) ]. ","Audit processing failures include, for example, software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. Related control: AU-4. ",HIGH,The information system provides a warning when allocated audit record storage volume reaches [ Assignment: organization-defined percentage ] of maximum audit record storage capacity. ,,HIGH,The information system provides a real-time alert when the following audit failure events occur: [ Assignment: organization-defined audit failure events requiring real-time alerts ]. ,,NONE,The information system enforces configurable traffic volume thresholds representing auditing capacity for network traffic and [ Selection: rejects or delays ] network traffic above those thresholds. ,,NONE,"The information system invokes a system shutdown in the event of an audit failure, unless an alternative audit capability exists. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Audit and Accountability,AU-6,,"Audit Review, Analysis, and Reporting",LOW_MODERATE_HIGH,P1,"The organization: Reviews and analyzes information system audit records [ Assignment: organization-defined frequency ] for indications of inappropriate or unusual activity, and reports findings to designated organizational officials; and Adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk to organizational operations, organizational assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information. ",Related control: AU-7. ,HIGH,"The information system integrates audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities. ",,NONE,[ Withdrawn: Incorporated into SI-4 ]. ,,NONE,The organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness. ,,NONE,The information system centralizes the review and analysis of audit records from multiple components within the system. ,An example of an automated mechanism for centralized review and analysis is a Security Information Management (SIM) product. Related control: AU-2. ,NONE,"The organization integrates analysis of audit records with analysis of vulnerability scanning information, performance data, and network monitoring information to further enhance the ability to identify inappropriate or unusual activity. ","A Security Event/Information Management system tool can facilitate audit record aggregation and consolidation from multiple information system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by the organization (with localized script adjustments, as necessary), provides a more cost-effective approach for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of the vulnerability scans and correlating attack detection events with scanning results. Related control: AU-7, RA-5, SI-4. ",NONE,"The organization correlates information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity. ",Related control: PE-6. ,NONE,"The organization specifies the permitted actions for each authorized information system process, role, and/or user in the audit and accountability policy. ","Permitted actions for information system processes, roles, and/or users associated with the review, analysis, and reporting of audit records include, for example, read, write, append, and delete. ",NONE,[ Withdrawn: Incorporated into SI-4 ]. ,,NONE,"The organization performs, in a physically dedicated information system, full-text analysis of privileged functions executed. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Audit and Accountability,AU-7,,Audit Reduction and Report Generation,MODERATE_HIGH,P2,The information system provides an audit reduction and report generation capability. ,"An audit reduction and report generation capability provides support for near real-time audit review, analysis, and reporting requirements described in AU-6 and after-the-fact investigations of security incidents. Audit reduction and reporting tools do not alter original audit records. Related control: AU-6. ",MODERATE_HIGH,The information system provides the capability to automatically process audit records for events of interest based on selectable event criteria. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Audit and Accountability,AU-8,,Time Stamps,LOW_MODERATE_HIGH,P1,The information system uses internal system clocks to generate time stamps for audit records. ,"Time stamps generated by the information system include both date and time. The time may be expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Related control: AU-3. ",MODERATE_HIGH,The information system synchronizes internal information system clocks [ Assignment: organization-defined frequency ] with [ Assignment: organization-defined authoritative time source ]. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Audit and Accountability,AU-9,,Protection of Audit Information,LOW_MODERATE_HIGH,P1,"The information system protects audit information and audit tools from unauthorized access, modification, and deletion. ","Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. Related controls: AC-3, AC-6. ",NONE,"The information system produces audit records on hardware-enforced, write-once media. ",,NONE,The information system backs up audit records [ Assignment: organization-defined frequency ] onto a different system or media than the system being audited. ,,NONE,The information system uses cryptographic mechanisms to protect the integrity of audit information and audit tools. ,"An example of a cryptographic mechanism for the protection of integrity is the computation and application of a cryptographic-signed hash using asymmetric cryptography, protecting the confidentiality of the key used to generate the hash, and using the public key to verify the hash information. ",NONE,The organization: Authorizes access to management of audit functionality to only a limited subset of privileged users; and Protects the audit records of non-local accesses to privileged accounts and the execution of privileged functions. ,"Auditing may not be reliable when performed by the information system to which the user being audited has privileged access. The privileged user may inhibit auditing or modify audit records. This control enhancement helps mitigate this risk by requiring that privileged access be further defined between audit-related privileges and other privileges, thus, limiting the users with audit-related privileges. Reducing the risk of audit compromises by privileged users can also be achieved, for example, by performing audit activity on a separate information system or by using storage media that cannot be modified (e.g., write-once recording devices). ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Audit and Accountability,AU-10,,Non-repudiation,HIGH,P1,The information system protects against an individual falsely denying having performed a particular action. ,"Examples of particular actions taken by individuals include creating information, sending a message, approving information (e.g., indicating concurrence or signing a contract), and receiving a message. Non-repudiation protects individuals against later claims by an author of not having authored a particular document, a sender of not having transmitted a message, a receiver of not having received a message, or a signatory of not having signed a document. Non-repudiation services can be used to determine if information originated from an individual, or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request) or received specific information. Non-repudiation services are obtained by employing various techniques or mechanisms (e.g., digital signatures, digital message receipts). ",NONE,The information system associates the identity of the information producer with the information. ,This control enhancement supports audit requirements that provide appropriate organizational officials the means to identify who produced specific information in the event of an information transfer. The nature and strength of the binding between the information producer and the information are determined and approved by the appropriate organizational officials based on the security categorization of the information and relevant risk factors. ,NONE,The information system validates the binding of the information producers identity to the information. ,"This control enhancement is intended to mitigate the risk that information is modified between production and review. The validation of bindings can be achieved, for example, by the use of cryptographic checksums. ",NONE,The information system maintains reviewer/releaser identity and credentials within the established chain of custody for all information reviewed or released. ,"If the reviewer is a human or if the review function is automated but separate from the release/transfer function, the information system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, this control enhancement provides appropriate organizational officials the means to identify who reviewed and released the information. In the case of automated reviews, this control enhancement helps ensure that only approved review functions are employed. ",NONE,The information system validates the binding of the reviewers identity to the information at the transfer/release point prior to release/transfer from one security domain to another security domain. ,This control enhancement is intended to mitigate the risk that information is modified between review and transfer/release. ,NONE,The organization employs [ Selection: FIPS-validated; NSA-approved ] cryptography to implement digital signatures. ,Related control: SC-13. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Audit and Accountability,AU-11,,Audit Record Retention,LOW_MODERATE_HIGH,P3,The organization retains audit records for [ Assignment: organization-defined time period consistent with records retention policy ] to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements. ,"The organization retains audit records until it is determined that they are no longer needed for administrative, legal, audit, or other operational purposes. This includes, for example, retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoena, and law enforcement actions. Standard categorizations of audit records relative to such types of actions and standard response processes for each type of action are developed and disseminated. The National Archives and Records Administration (NARA) General Records Schedules (GRS) provide federal policy on record retention. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Audit and Accountability,AU-12,,Audit Generation,LOW_MODERATE_HIGH,P1,The information system: Provides audit record generation capability for the list of auditable events defined in AU-2 at [ Assignment: organization-defined information system components ]; Allows designated organizational personnel to select which auditable events are to be audited by specific components of the system; and Generates audit records for the list of audited events defined in AU-2 with the content as defined in AU-3. ,"Audits records can be generated from various components within the information system. The list of audited events is the set of events for which audits are to be generated. This set of events is typically a subset of the list of all events for which the system is capable of generating audit records (i.e., auditable events). Related controls: AU-2, AU-3. ",HIGH,The information system compiles audit records from [ Assignment: organization-defined information system components ] into a system-wide (logical or physical) audit trail that is time-correlated to within [ Assignment: organization-defined level of tolerance for relationship between time stamps of individual records in the audit trail ]. ,The audit trail is time-correlated if the time stamp in the individual audit records can be reliably related to the time stamp in other audit records to achieve a time ordering of the records within the organization-defined tolerance. ,NONE,The information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format. ,"Audit information normalized to a common standard promotes interoperability and exchange of such information between dissimilar devices and information systems. This facilitates an audit system that produces event information that can be more readily analyzed and correlated. System log records and audit records compliant with the Common Event Expression (CEE) are examples of standard formats for audit records. If individual logging mechanisms within the information system do not conform to a standardized format, the system may convert individual audit records into a standardized format when compiling the system-wide audit trail. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Audit and Accountability,AU-13,,Monitoring for Information Disclosure,NONE,P0,The organization monitors open source information for evidence of unauthorized exfiltration or disclosure of organizational information [ Assignment: organization-defined frequency ]. ,None. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Audit and Accountability,AU-14,,Session Audit,NONE,P0,The information system provides the capability to: Capture/record and log all content related to a user session; and Remotely view/hear all content related to an established user session in real time. ,"Session auditing activities are developed, integrated, and used in consultation with legal counsel in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations. ",NONE,The information system initiates session audits at system start-up. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Security Assessment and Authorization,CA-1,,Security Assessment and Authorization Policies and Procedures,LOW_MODERATE_HIGH,P1,"The organization develops, disseminates, and reviews/updates [ Assignment: organization-defined frequency ]: Formal, documented security assessment and authorization policies that address purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and Formal, documented procedures to facilitate the implementation of the security assessment and authorization policies and associated security assessment and authorization controls. ","This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the security assessment and authorization family. The policies and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The security assessment/authorization policies can be included as part of the general information security policy for the organization. Security assessment/authorization procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the security assessment and authorization policy. Related control: PM-9. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Security Assessment and Authorization,CA-2,,Security Assessments,LOW_MODERATE_HIGH,P2,"The organization: Develops a security assessment plan that describes the scope of the assessment including: Security controls and control enhancements under assessment; Assessment procedures to be used to determine security control effectiveness; and Assessment environment, assessment team, and assessment roles and responsibilities; Assesses the security controls in the information system [ Assignment: organization-defined frequency ] to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements for the system; Produces a security assessment report that documents the results of the assessment; and Provides the results of the security control assessment, in writing, to the authorizing official or authorizing official designated representative. ","The organization assesses the security controls in an information system as part of: (i) security authorization or reauthorization; (ii) meeting the FISMA requirement for annual assessments; (iii) continuous monitoring; and (iv) testing/evaluation of the information system as part of the system development life cycle process. The assessment report documents the assessment results in sufficient detail as deemed necessary by the organization, to determine the accuracy and completeness of the report and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements of the information system. The FISMA requirement for (at least) annual security control assessments should not be interpreted by organizations as adding additional assessment requirements to those requirements already in place in the security authorization process. To satisfy the FISMA annual assessment requirement, organizations can draw upon the security control assessment results from any of the following sources, including but not limited to: (i) assessments conducted as part of an information system authorization or reauthorization process; (ii) continuous monitoring (see CA-7); or (iii) testing and evaluation of an information system as part of the ongoing system development life cycle (provided that the testing and evaluation results are current and relevant to the determination of security control effectiveness). Existing security control assessment results are reused to the extent that they are still valid and are supplemented with additional assessments as needed. Subsequent to the initial authorization of the information system and in accordance with OMB policy, the organization assesses a subset of the security controls annually during continuous monitoring. The organization establishes the security control selection criteria and subsequently selects a subset of the security controls within the information system and its environment of operation for assessment. Those security controls that are the most volatile (i.e., controls most affected by ongoing changes to the information system or its environment of operation) or deemed critical by the organization to protecting organizational operations and assets, individuals, other organizations, and the Nation are assessed more frequently in accordance with an organizational assessment of risk. All other controls are assessed at least once during the information systems three-year authorization cycle. The organization can use the current years assessment results from any of the above sources to meet the FISMA annual assessment requirement provided that the results are current, valid, and relevant to determining security control effectiveness. External audits (e.g., audits conducted by external entities such as regulatory agencies) are outside the scope of this control. Related controls: CA-6, CA-7, PM-9, SA-11. ",MODERATE_HIGH,The organization employs an independent assessor or assessment team to conduct an assessment of the security controls in the information system. ,"An independent assessor or assessment team is any individual or group capable of conducting an impartial assessment of an organizational information system. Impartiality implies that the assessors are free from any perceived or actual conflicts of interest with respect to the developmental, operational, and/or management chain associated with the information system or to the determination of security control effectiveness. Independent security assessment services can be obtained from other elements within the organization or can be contracted to a public or private sector entity outside of the organization. Contracted assessment services are considered independent if the information system owner is not directly involved in the contracting process or cannot unduly influence the impartiality of the assessor or assessment team conducting the assessment of the security controls in the information system. The authorizing official determines the required level of assessor independence based on the security categorization of the information system and/or the ultimate risk to organizational operations and assets, and to individuals. The authorizing official determines if the level of assessor independence is sufficient to provide confidence that the assessment results produced are sound and can be used to make a credible, risk-based decision. In special situations, for example when the organization that owns the information system is small or the organizational structure requires that the assessment be accomplished by individuals that are in the developmental, operational, and/or management chain of the system owner, independence in the assessment process can be achieved by ensuring that the assessment results are carefully reviewed and analyzed by an independent team of experts to validate the completeness, accuracy, integrity, and reliability of the results. ",HIGH,"The organization includes as part of security control assessments, [ Assignment: organization-defined frequency ], [ Selection: announced; unannounced ], [ Selection: in-depth monitoring; malicious user testing; penetration testing; red team exercises; [ Assignment: organization-defined other forms of security testing ]]. ","Penetration testing exercises both physical and technical security controls. A standard method for penetration testing consists of: (i) pretest analysis based on full knowledge of the target system; (ii) pretest identification of potential vulnerabilities based on pretest analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. Detailed rules of engagement are agreed upon by all parties before the commencement of any penetration testing scenario. These rules of engagement are correlated with the tools, techniques, and procedures that are anticipated to be employed by threat-sources in carrying out attacks. An organizational assessment of risk guides the decision on the level of independence required for penetration agents or penetration teams conducting penetration testing. Red team exercises are conducted as a simulated adversarial attempt to compromise organizational missions and/or business processes to provide a comprehensive assessment of the security capability of the information system and organization. While penetration testing may be laboratory-based testing, red team exercises are intended to be more comprehensive in nature and reflect real-world conditions. Information system monitoring, malicious user testing, penetration testing, red-team exercises, and other forms of security testing (e.g., independent verification and validation) are conducted to improve the readiness of the organization by exercising organizational capabilities and indicating current performance levels as a means of focusing organizational actions to improve the security state of the system and organization. Testing is conducted in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Testing methods are approved by authorizing officials in coordination with the organizations Risk Executive Function. Vulnerabilities uncovered during red team exercises are incorporated into the vulnerability remediation process. Related controls: RA-5, SI-2. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Security Assessment and Authorization,CA-3,,Information System Connections,LOW_MODERATE_HIGH,P1,"The organization: Authorizes connections from the information system to other information systems outside of the authorization boundary through the use of Interconnection Security Agreements; Documents, for each connection, the interface characteristics, security requirements, and the nature of the information communicated; and Monitors the information system connections on an ongoing basis verifying enforcement of security requirements. ","This control applies to dedicated connections between information systems and does not apply to transitory, user-controlled connections such as email and website browsing. The organization carefully considers the risks that may be introduced when information systems are connected to other systems with different security requirements and security controls, both within the organization and external to the organization. Authorizing officials determine the risk associated with each connection and the appropriate controls employed. If the interconnecting systems have the same authorizing official, an Interconnection Security Agreement is not required. Rather, the interface characteristics between the interconnecting information systems are described in the security plans for the respective systems. If the interconnecting systems have different authorizing officials but the authorizing officials are in the same organization, the organization determines whether an Interconnection Security Agreement is required, or alternatively, the interface characteristics between systems are described in the security plans of the respective systems. Instead of developing an Interconnection Security Agreement, organizations may choose to incorporate this information into a formal contract, especially if the interconnection is to be established between a federal agency and a nonfederal (private sector) organization. In every case, documenting the interface characteristics is required, yet the formality and approval process vary considerably even though all accomplish the same fundamental objective of managing the risk being incurred by the interconnection of the information systems. Risk considerations also include information systems sharing the same networks. Information systems may be identified and authenticated as devices in accordance with IA-3. Related controls: AC-4, IA-3, SC-7, SA-9. ",NONE,"The organization prohibits the direct connection of an unclassified, national security system to an external network. ","An external network is a network that is not controlled by the organization (e.g., the Internet). No direct connection means that an information system cannot connect to an external network without the use of an approved boundary protection device (e.g., firewall) that mediates the communication between the system and the network ",NONE,"The organization prohibits the direct connection of a classified, national security system to an external network. ","An external network is a network that is not controlled by the organization (e.g., the Internet). No direct connection means that an information system cannot connect to an external network without the use of an approved boundary protection device (e.g., firewall) that mediates the communication between the system and the network. In addition, the approved boundary protection device (typically a managed interface/cross-domain system), provides information flow enforcement from the information system to the external network consistent with AC-4. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Security Assessment and Authorization,CA-4,,Security Certification,NONE,,[ Withdrawn: Incorporated into CA-2 ]. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Security Assessment and Authorization,CA-5,,Plan of Action and Milestones,LOW_MODERATE_HIGH,P3,"The organization: Develops a plan of action and milestones for the information system to document the organizations planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system; and Updates existing plan of action and milestones [ Assignment: organization-defined frequency ] based on the findings from security controls assessments, security impact analyses, and continuous monitoring activities. ",The plan of action and milestones is a key document in the security authorization package and is subject to federal reporting requirements established by OMB. Related control: PM-4. ,NONE,"The organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is accurate, up to date, and readily available. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Security Assessment and Authorization,CA-6,,Security Authorization,LOW_MODERATE_HIGH,P3,The organization: Assigns a senior-level executive or manager to the role of authorizing official for the information system; Ensures that the authorizing official authorizes the information system for processing before commencing operations; and Updates the security authorization [ Assignment: organization-defined frequency ]. ,"Security authorization is the official management decision, conveyed through the authorization decision document, given by a senior organizational official or executive (i.e., authorizing official) to authorize operation of an information system and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of an agreed-upon set of security controls. Authorizing officials typically have budgetary oversight for information systems or are responsible for the mission or business operations supported by the systems. Security authorization is an inherently federal responsibility and therefore, authorizing officials must be federal employees. Through the security authorization process, authorizing officials are accountable for the security risks associated with information system operations. Accordingly, authorizing officials are in management positions with a level of authority commensurate with understanding and accepting such information system-related security risks. Through the employment of a comprehensive continuous monitoring process, the critical information contained in the authorization package (i.e., the security plan (including risk assessment), the security assessment report, and the plan of action and milestones) is updated on an ongoing basis, providing the authorizing official and the information system owner with an up-to-date status of the security state of the information system. To reduce the administrative cost of security reauthorization, the authorizing official uses the results of the continuous monitoring process to the maximum extent possible as the basis for rendering a reauthorization decision. OMB policy requires that federal information systems are reauthorized at least every three years or when there is a significant change to the system. The organization defines what constitutes a significant change to the information system. Related controls: CA-2, CA-7, PM-9, PM-10. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Security Assessment and Authorization,CA-7,,Continuous Monitoring,LOW_MODERATE_HIGH,P3,The organization establishes a continuous monitoring strategy and implements a continuous monitoring program that includes: A configuration management process for the information system and its constituent components; A determination of the security impact of changes to the information system and environment of operation; Ongoing security control assessments in accordance with the organizational continuous monitoring strategy; and Reporting the security state of the information system to appropriate organizational officials [ Assignment: organization-defined frequency ]. ,"A continuous monitoring program allows an organization to maintain the security authorization of an information system over time in a highly dynamic environment of operation with changing threats, vulnerabilities, technologies, and missions/business processes. Continuous monitoring of security controls using automated support tools facilitates near real-time risk management and promotes organizational situational awareness with regard to the security state of the information system. The implementation of a continuous monitoring program results in ongoing updates to the security plan, the security assessment report, and the plan of action and milestones, the three principal documents in the security authorization package. A rigorous and well executed continuous monitoring program significantly reduces the level of effort required for the reauthorization of the information system. Continuous monitoring activities are scaled in accordance with the security categorization of the information system. Related controls: CA-2, CA-5, CA-6, CM-3, CM-4. ",NONE,The organization employs an independent assessor or assessment team to monitor the security controls in the information system on an ongoing basis. ,"The organization can extend and maximize the value of the ongoing assessment of security controls during the continuous monitoring process by requiring an independent assessor or team to assess all of the security controls during the information systems three-year authorization cycle. See supplemental guidance for CA-2, enhancement (1), for further information on assessor independence. Related controls: CA-2, CA-5, CA-6, CM-4. ",NONE,"The organization plans, schedules, and conducts assessments [ Assignment: organization-defined frequency ], [ Selection: announced; unannounced ], [ Selection: in-depth monitoring; malicious user testing; penetration testing; red team exercises; [ Assignment: organization-defined other forms of security assessment ]] to ensure compliance with all vulnerability mitigation procedures. ","Examples of vulnerability mitigation procedures are contained in Information Assurance Vulnerability Alerts. Testing is intended to ensure that the information system continues to provide adequate security against constantly evolving threats and vulnerabilities. Conformance testing also provides independent validation. See supplemental guidance for CA-2, enhancement (2) for further information on malicious user testing, penetration testing, red-team exercises, and other forms of security testing. Related control: CA-2. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Configuration Management,CM-1,,Configuration Management Policy and Procedures,LOW_MODERATE_HIGH,P1,"The organization develops, disseminates, and reviews/updates [ Assignment: organization-defined frequency ]: A formal, documented configuration management policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and Formal, documented procedures to facilitate the implementation of the configuration management policy and associated configuration management controls. ","This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the configuration management family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The configuration management policy can be included as part of the general information security policy for the organization. Configuration management procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the configuration management policy. Related control: PM-9. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Configuration Management,CM-2,,Baseline Configuration,LOW_MODERATE_HIGH,P1,"The organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system. ","This control establishes a baseline configuration for the information system and its constituent components including communications and connectivity-related aspects of the system. The baseline configuration provides information about the components of an information system (e.g., the standard software load for a workstation, server, network component, or mobile device including operating system/installed applications with current version numbers and patch information), network topology, and the logical placement of the component within the system architecture. The baseline configuration is a documented, up-to-date specification to which the information system is built. Maintaining the baseline configuration involves creating new baselines as the information system changes over time. The baseline configuration of the information system is consistent with the organizations enterprise architecture. Related controls: CM-3, CM-6, CM-8, CM-9. ",MODERATE_HIGH,The organization reviews and updates the baseline configuration of the information system: [ Assignment: organization-defined frequency ]; When required due to [ Assignment organization-defined circumstances ]; and As an integral part of information system component installations and upgrades. ,,HIGH,"The organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the information system. ","Software inventory tools are examples of automated mechanisms that help organizations maintain consistent baseline configurations for information systems. Software inventory tools can be deployed for each operating system in use within the organization (e.g., on workstations, servers, network components, mobile devices) and used to track operating system version numbers, applications and types of software installed on the operating systems, and current patch levels. Software inventory tools can also scan information systems for unauthorized software to validate organization-defined lists of authorized and unauthorized software programs. ",MODERATE_HIGH,The organization retains older versions of baseline configurations as deemed necessary to support rollback. ,,MODERATE,"The organization: Develops and maintains [ Assignment: organization-defined list of software programs not authorized to execute on the information system ]; and Employs an allow-all, deny-by-exception authorization policy to identify software allowed to execute on the information system. ",,HIGH,"The organization: Develops and maintains [ Assignment: organization-defined list of software programs authorized to execute on the information system ]; and Employs a deny-all, permit-by-exception authorization policy to identify software allowed to execute on the information system. ",,HIGH,The organization maintains a baseline configuration for development and test environments that is managed separately from the operational baseline configuration. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Configuration Management,CM-3,,Configuration Change Control,MODERATE_HIGH,P1,"The organization: Determines the types of changes to the information system that are configuration controlled; Approves configuration-controlled changes to the system with explicit consideration for security impact analyses; Documents approved configuration-controlled changes to the system; Retains and reviews records of configuration-controlled changes to the system; Audits activities associated with configuration-controlled changes to the system; and Coordinates and provides oversight for configuration change control activities through [ Assignment: organization-defined configuration change control element (e.g., committee, board ] that convenes [ Selection: (one or more): [ Assignment: organization-defined frequency ] ; [ Assignment: organization-defined configuration change conditions ]]. ","The organization determines the types of changes to the information system that are configuration controlled. Configuration change control for the information system involves the systematic proposal, justification, implementation, test/evaluation, review, and disposition of changes to the system, including upgrades and modifications. Configuration change control includes changes to components of the information system, changes to the configuration settings for information technology products (e.g., operating systems, applications, firewalls, routers), emergency changes, and changes to remediate flaws. A typical organizational process for managing configuration changes to the information system includes, for example, a chartered Configuration Control Board that approves proposed changes to the system. Auditing of changes refers to changes in activity before and after a change is made to the information system and the auditing activities required to implement the change. Related controls: CM-4, CM-5, CM-6, SI-2. ",HIGH,The organization employs automated mechanisms to: Document proposed changes to the information system; Notify designated approval authorities; Highlight approvals that have not been received by [ Assignment: organization-defined time period ]; Inhibit change until designated approvals are received; and Document completed changes to the information system. ,,MODERATE_HIGH,"The organization tests, validates, and documents changes to the information system before implementing the changes on the operational system. ","The organization ensures that testing does not interfere with information system operations. The individual/group conducting the tests understands the organizational information security policies and procedures, the information system security policies and procedures, and the specific health, safety, and environmental risks associated with a particular facility and/or process. An operational system may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If an information system must be taken off-line for testing, the tests are scheduled to occur during planned system outages whenever possible. In situations where the organization cannot conduct testing of an operational system, the organization employs compensating controls (e.g., providing a replicated system to conduct testing) in accordance with the general tailoring guidance. ",NONE,The organization employs automated mechanisms to implement changes to the current information system baseline and deploys the updated baseline across the installed base. ,"Related controls: CM-2, CM-6. ",NONE,"The organization requires an information security representative to be a member of the [ Assignment: organization-defined configuration change control element (e.g., committee, board) ]. ","Information security representatives can include, for example, information system security officers or information system security managers. The configuration change control element in this control enhancement is consistent with the change control element defined by the organization in CM-3. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Configuration Management,CM-4,,Security Impact Analysis,LOW_MODERATE_HIGH,P2,The organization analyzes changes to the information system to determine potential security impacts prior to change implementation. ,"Security impact analyses are conducted by organizational personnel with information security responsibilities, including for example, Information System Administrators, Information System Security Officers, Information System Security Managers, and Information System Security Engineers. Individuals conducting security impact analyses have the appropriate skills and technical expertise to analyze the changes to information systems and the associated security ramifications. Security impact analysis may include, for example, reviewing information system documentation such as the security plan to understand how specific security controls are implemented within the system and how the changes might affect the controls. Security impact analysis may also include an assessment of risk to understand the impact of the changes and to determine if additional security controls are required. Security impact analysis is scaled in accordance with the security categorization of the information system. Related controls: CA-2, CA-7, CM-3, CM-9, SI-2. ",HIGH,"The organization analyzes new software in a separate test environment before installation in an operational environment, looking for security impacts due to flaws, weaknesses, incompatibility, or intentional malice. ",,NONE,"The organization, after the information system is changed, checks the security functions to verify that the functions are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security requirements for the system. ",Changes include information system upgrades and modifications. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Configuration Management,CM-5,,Access Restrictions for Change,MODERATE_HIGH,P1,"The organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system. ","Any changes to the hardware, software, and/or firmware components of the information system can potentially have significant effects on the overall security of the system. Accordingly, only qualified and authorized individuals are allowed to obtain access to information system components for purposes of initiating changes, including upgrades and modifications. Additionally, maintaining records of access is essential for ensuring that configuration change control is being implemented as intended and for supporting after-the-fact actions should the organization become aware of an unauthorized change to the information system. Access restrictions for change also include software libraries. Examples of access restrictions include, for example, physical and logical access controls (see AC-3 and PE-3), workflow automation, media libraries, abstract layers (e.g., changes are implemented into a third-party interface rather than directly into the information system component), and change windows (e.g., changes occur only during specified times, making unauthorized changes outside the window easy to discover). Some or all of the enforcement mechanisms and processes necessary to implement this security control are included in other controls. For measures implemented in other controls, this control provides information to be used in the implementation of the other controls to cover specific needs related to enforcing authorizations to make changes to the information system, auditing changes, and retaining and review records of changes. Related controls: AC-3, AC-6, PE-3. ",HIGH,The organization employs automated mechanisms to enforce access restrictions and support auditing of the enforcement actions. ,,HIGH,The organization conducts audits of information system changes [ Assignment: organization-defined frequency ] and when indications so warrant to determine whether unauthorized changes have occurred. ,,HIGH,The information system prevents the installation of [ Assignment: organization-defined critical software programs ] that are not signed with a certificate that is recognized and approved by the organization. ,"Critical software programs and/or modules include, for example, patches, service packs, and where applicable, device drivers. ",NONE,The organization enforces a two-person rule for changes to [ Assignment: organization-defined information system components and system-level information ]. ,,NONE,"The organization: Limits information system developer/integrator privileges to change hardware, software, and firmware components and system information directly within a production environment; and Reviews and reevaluates information system developer/integrator privileges [ Assignment: organization-defined frequency ]. ",,NONE,The organization limits privileges to change software resident within software libraries (including privileged programs). ,,NONE,The information system automatically implements [ Assignment: organization-defined safeguards and countermeasures ] if security functions (or mechanisms) are changed inappropriately. ,"The information system reacts automatically when inappropriate and/or unauthorized modifications have occurred to security functions or mechanisms. Automatic implementation of safeguards and countermeasures includes, for example, reversing the change, halting the information system or triggering an audit alert when an unauthorized modification to a critical security file occurs. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Configuration Management,CM-6,,Configuration Settings,LOW_MODERATE_HIGH,P1,"The organization: Establishes and documents mandatory configuration settings for information technology products employed within the information system using [ Assignment: organization-defined security configuration checklists ] that reflect the most restrictive mode consistent with operational requirements; Implements the configuration settings; Identifies, documents, and approves exceptions from the mandatory configuration settings for individual components within the information system based on explicit operational requirements; and Monitors and controls changes to the configuration settings in accordance with organizational policies and procedures. ","Configuration settings are the configurable security-related parameters of information technology products that are part of the information system. Security-related parameters are those parameters impacting the security state of the system including parameters related to meeting other security control requirements. Security-related parameters include, for example, registry settings; account, file, and directory settings (i.e., permissions); and settings for services, ports, protocols, and remote connections. Organizations establish organization-wide mandatory configuration settings from which the settings for a given information system are derived. A security configuration checklist (sometimes referred to as a lockdown guide, hardening guide, security guide, security technical implementation guide [STIG], or benchmark) is a series of instructions or procedures for configuring an information system component to meet operational requirements. Checklists can be developed by information technology developers and vendors, consortia, academia, industry, federal agencies (and other government organizations), and others in the public and private sectors. An example of a security configuration checklist is the Federal Desktop Core Configuration (FDCC) which potentially affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and defined standards within the protocol (e.g., Common Configuration Enumeration) provide an effective method to uniquely identify, track, and control configuration settings. OMB establishes federal policy on configuration requirements for federal information systems. Related controls: CM-2, CM-3, SI-4. ",HIGH,"The organization employs automated mechanisms to centrally manage, apply, and verify configuration settings. ",,HIGH,The organization employs automated mechanisms to respond to unauthorized changes to [ Assignment: organization-defined configuration settings ]. ,"Responses to unauthorized changes to configuration settings can include, for example, alerting designated organizational personnel, restoring mandatory/organization-defined configuration settings, or in the extreme case, halting affected information system processing. ",MODERATE_HIGH,"The organization incorporates detection of unauthorized, security-relevant configuration changes into the organizations incident response capability to ensure that such detected events are tracked, monitored, corrected, and available for historical purposes. ","Related controls: IR-4, IR-5. ",NONE,"The information system (including modifications to the baseline configuration) demonstrates conformance to security configuration guidance (i.e., security checklists), prior to being introduced into a production environment. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Configuration Management,CM-7,,Least Functionality,LOW_MODERATE_HIGH,P1,"The organization configures the information system to provide only essential capabilities and specifically prohibits or restricts the use of the following functions, ports, protocols, and/or services: [ Assignment: organization-defined list of prohibited or restricted functions, ports, protocols, and/or services ]. ","Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions). Additionally, it is sometimes convenient to provide multiple services from a single component of an information system, but doing so increases risk over limiting the services provided by any one component. Where feasible, organizations limit component functionality to a single function per device (e.g., email server or web server, not both). The functions and services provided by organizational information systems, or individual components of information systems, are carefully reviewed to determine which functions and services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant Messaging, auto-execute, file sharing). Organizations consider disabling unused or unnecessary physical and logical ports and protocols (e.g., Universal Serial Bus [USB], File Transfer Protocol [FTP], Internet Protocol Version 6 [IPv6], Hyper Text Transfer Protocol [HTTP]) on information system components to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize network scanning tools, intrusion detection and prevention systems, and end-point protections such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, ports, protocols, and services. Related control: RA-5. ",MODERATE_HIGH,"The organization reviews the information system [ Assignment: organization-defined frequency ] to identify and eliminate unnecessary functions, ports, protocols, and/or services. ",,HIGH,The organization employs automated mechanisms to prevent program execution in accordance with [ Selection (one or more): list of authorized software programs; list of unauthorized software programs; rules authorizing the terms and conditions of software program usage ]. ,Related control: CM-2. ,NONE,"The organization ensures compliance with [ Assignment: organization-defined registration requirements for ports, protocols, and services ]. ","Organizations use the registration process to manage, track, and provide oversight for information systems and implemented functionality. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Configuration Management,CM-8,,Information System Component Inventory,LOW_MODERATE_HIGH,P1,"The organization develops, documents, and maintains an inventory of information system components that: Accurately reflects the current information system; Is consistent with the authorization boundary of the information system; Is at the level of granularity deemed necessary for tracking and reporting; Includes [ Assignment: organization-defined information deemed necessary to achieve effective property accountability ]; and Is available for review and audit by designated organizational officials. ","Information deemed to be necessary by the organization to achieve effective property accountability can include, for example, hardware inventory specifications (manufacturer, type, model, serial number, physical location), software license information, information system/component owner, and for a networked component/device, the machine name and network address. Related controls: CM-2, CM-6. ",MODERATE_HIGH,"The organization updates the inventory of information system components as an integral part of component installations, removals, and information system updates. ",,HIGH,"The organization employs automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of information system components. ","Organizations maintain the information system inventory to the extent feasible. Virtual machines, for example, can be difficult to monitor because they are not visible to the network when not in use. In such cases, the intent of this control enhancement is to maintain as up-to-date, complete, and accurate an inventory as is reasonable. ",HIGH,The organization: Employs automated mechanisms [ Assignment: organization-defined frequency ] to detect the addition of unauthorized components/devices into the information system; and Disables network access by such components/devices or notifies designated organizational officials. ,"This control enhancement is applied in addition to the monitoring for unauthorized remote connections in AC-17 and for unauthorized mobile devices in AC-19. The monitoring for unauthorized components/devices on information system networks may be accomplished on an ongoing basis or by the periodic scanning of organizational networks for that purpose. Automated mechanisms can be implemented within the information system and/or in another separate information system or device. Related controls: AC-17, AC-19. ",HIGH,"The organization includes in property accountability information for information system components, a means for identifying by [ Selection (one or more): name; position; role ] individuals responsible for administering those components. ",,MODERATE_HIGH,The organization verifies that all components within the authorization boundary of the information system are either inventoried as a part of the system or recognized by another system as a component within that system. ,,NONE,The organization includes assessed component configurations and any approved deviations to current deployed configurations in the information system component inventory. ,": This control enhancement focuses on the configuration settings established by the organization for its information system components, the specific information system components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings in the deployed information system components. Related controls: CM-2, CM-6. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Configuration Management,CM-9,,Configuration Management Plan,MODERATE_HIGH,P1,"The organization develops, documents, and implements a configuration management plan for the information system that: Addresses roles, responsibilities, and configuration management processes and procedures; Defines the configuration items for the information system and when in the system development life cycle the configuration items are placed under configuration management; and Establishes the means for identifying configuration items throughout the system development life cycle and a process for managing the configuration of the configuration items. ","Configuration items are the information system items (hardware, software, firmware, and documentation) to be configuration managed. The configuration management plan satisfies the requirements in the organizations configuration management policy while being tailored to the individual information system. The configuration management plan defines detailed processes and procedures for how configuration management is used to support system development life cycle activities at the information system level. The plan describes how to move a change through the change management process, how configuration settings and configuration baselines are updated, how the information system component inventory is maintained, how development, test, and operational environments are controlled, and finally, how documents are developed, released, and updated. The configuration management approval process includes designation of key management stakeholders that are responsible for reviewing and approving proposed changes to the information system, and security personnel that would conduct an impact analysis prior to the implementation of any changes to the system. Related control: SA-10. ",NONE,The organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in system development. ,"In the absence of a dedicated configuration management team, the system integrator may be tasked with developing the configuration management process. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Contingency Planning,CP-1,,Contingency Planning Policy and Procedures,LOW_MODERATE_HIGH,P1,"The organization develops, disseminates, and reviews/updates [ Assignment: organization-defined frequency ]: A formal, documented contingency planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and Formal, documented procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls. ","This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the contingency planning family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The contingency planning policy can be included as part of the general information security policy for the organization. Contingency planning procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the contingency planning policy. Related control: PM-9. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Contingency Planning,CP-2,,Contingency Plan,LOW_MODERATE_HIGH,P1,"The organization: Develops a contingency plan for the information system that: Identifies essential missions and business functions and associated contingency requirements; Provides recovery objectives, restoration priorities, and metrics; Addresses contingency roles, responsibilities, assigned individuals with contact information; Addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure; Addresses eventual, full information system restoration without deterioration of the security measures originally planned and implemented; and Is reviewed and approved by designated officials within the organization; Distributes copies of the contingency plan to [ Assignment: organization-defined list of key contingency personnel (identified by name and/or by role) and organizational elements ]; Coordinates contingency planning activities with incident handling activities; Reviews the contingency plan for the information system [ Assignment: organization-defined frequency ]; Revises the contingency plan to address changes to the organization, information system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing; and Communicates contingency plan changes to [ Assignment: organization-defined list of key contingency personnel (identified by name and/or by role) and organizational elements ]. ","Contingency planning for information systems is part of an overall organizational program for achieving continuity of operations for mission/business operations. Contingency planning addresses both information system restoration and implementation of alternative mission/business processes when systems are compromised. Information system recovery objectives are consistent with applicable laws, Executive Orders, directives, policies, standards, or regulations. In addition to information system availability, contingency plans also address other security-related events resulting in a reduction in mission/business effectiveness, such as malicious attacks compromising the confidentiality or integrity of the information system. Examples of actions to call out in contingency plans include, for example, graceful degradation, information system shutdown, fall back to a manual mode, alternate information flows, or operating in a mode that is reserved solely for when the system is under attack. Related controls: AC-14, CP-6, CP-7, CP-8, IR-4, PM-8, PM-11. ",MODERATE_HIGH,The organization coordinates contingency plan development with organizational elements responsible for related plans. ,"Examples of related plans include Business Continuity Plan, Disaster Recovery Plan, Continuity of Operations Plan, Crisis Communications Plan, Critical Infrastructure Plan, Cyber Incident Response Plan, and Occupant Emergency Plan. ",HIGH,"The organization conducts capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations. ",,HIGH,The organization plans for the resumption of essential missions and business functions within [ Assignment: organization-defined time period ] of contingency plan activation. ,,NONE,The organization plans for the full resumption of missions and business functions within [ Assignment: organization-defined time period ] of contingency plan activation. ,,NONE,The organization plans for the continuance of essential missions and business functions with little or no loss of operational continuity and sustains that continuity until full information system restoration at primary processing and/or storage sites. ,,NONE,The organization provides for the transfer of all essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity and sustains that continuity through restoration to primary processing and/or storage sites. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Contingency Planning,CP-3,,Contingency Training,LOW_MODERATE_HIGH,P2,The organization trains personnel in their contingency roles and responsibilities with respect to the information system and provides refresher training [ Assignment: organization-defined frequency ]. ,None. ,HIGH,The organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations. ,,NONE,The organization employs automated mechanisms to provide a more thorough and realistic training environment. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Contingency Planning,CP-4,,Contingency Plan Testing and Exercises,LOW_MODERATE_HIGH,P2,The organization: Tests and/or exercises the contingency plan for the information system [ Assignment: organization-defined frequency ] using [ Assignment: organization-defined tests and/or exercises ] to determine the plans effectiveness and the organizations readiness to execute the plan; and Reviews the contingency plan test/exercise results and initiates corrective actions. ,"There are several methods for testing and/or exercising contingency plans to identify potential weaknesses (e.g., checklist, walk-through/tabletop, simulation: parallel, full interrupt). Contingency plan testing and/or exercises include a determination of the effects on organizational operations and assets (e.g., reduction in mission capability) and individuals arising due to contingency operations in accordance with the plan. ",MODERATE_HIGH,The organization coordinates contingency plan testing and/or exercises with organizational elements responsible for related plans. ,"Examples of related plans include Business Continuity Plan, Disaster Recovery Plan, Continuity of Operations Plan, Crisis Communications Plan, Critical Infrastructure Plan, Cyber Incident Response Plan, and Occupant Emergency Plan. ",HIGH,The organization tests/exercises the contingency plan at the alternate processing site to familiarize contingency personnel with the facility and available resources and to evaluate the sites capabilities to support contingency operations. ,,NONE,"The organization employs automated mechanisms to more thoroughly and effectively test/exercise the contingency plan by providing more complete coverage of contingency issues, selecting more realistic test/exercise scenarios and environments, and more effectively stressing the information system and supported missions. ",,HIGH,The organization includes a full recovery and reconstitution of the information system to a known state as part of contingency plan testing. ,"Related controls: CP-10, SC-24. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Contingency Planning,CP-5,,Contingency Plan Update,NONE,,[ Withdrawn: Incorporated into CP-2 ]. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Contingency Planning,CP-6,,Alternate Storage Site,MODERATE_HIGH,P1,The organization establishes an alternate storage site including necessary agreements to permit the storage and recovery of information system backup information. ,"Related controls: CP-2, CP-9, MP-4. ",MODERATE_HIGH,The organization identifies an alternate storage site that is separated from the primary storage site so as not to be susceptible to the same hazards. ,Hazards of concern to the organization are typically defined in an organizational assessment of risk. ,HIGH,The organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives. ,,MODERATE_HIGH,The organization identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions. ,"Explicit mitigation actions include, for example, duplicating backup information at another alternate storage site if access to the first alternate site is hindered; or, if electronic accessibility to the alternate site is disrupted, planning for physical access to retrieve backup information. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Contingency Planning,CP-7,,Alternate Processing Site,MODERATE_HIGH,P1,The organization: Establishes an alternate processing site including necessary agreements to permit the resumption of information system operations for essential missions and business functions within [ Assignment: organization-defined time period consistent with recovery time objectives ] when the primary processing capabilities are unavailable; and Ensures that equipment and supplies required to resume operations are available at the alternate site or contracts are in place to support delivery to the site in time to support the organization-defined time period for resumption. ,Related control: CP-2. ,MODERATE_HIGH,The organization identifies an alternate processing site that is separated from the primary processing site so as not to be susceptible to the same hazards. ,Hazards that might affect the information system are typically defined in the risk assessment. ,MODERATE_HIGH,The organization identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions. ,,MODERATE_HIGH,The organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with the organizations availability requirements. ,,HIGH,The organization configures the alternate processing site so that it is ready to be used as the operational site supporting essential missions and business functions. ,,MODERATE_HIGH,The organization ensures that the alternate processing site provides information security measures equivalent to that of the primary site ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Contingency Planning,CP-8,,Telecommunications Services,MODERATE_HIGH,P1,The organization establishes alternate telecommunications services including necessary agreements to permit the resumption of information system operations for essential missions and business functions within [ Assignment: organization-defined time period ] when the primary telecommunications capabilities are unavailable. ,Related control: CP-2. ,MODERATE_HIGH,The organization: Develops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with the organizations availability requirements; and Requests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier. ,,MODERATE_HIGH,The organization obtains alternate telecommunications services with consideration for reducing the likelihood of sharing a single point of failure with primary telecommunications services. ,,HIGH,The organization obtains alternate telecommunications service providers that are separated from primary service providers so as not to be susceptible to the same hazards. ,,HIGH,The organization requires primary and alternate telecommunications service providers to have contingency plans. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Contingency Planning,CP-9,,Information System Backup,LOW_MODERATE_HIGH,P1,The organization: Conducts backups of user-level information contained in the information system [ Assignment: organization-defined frequency consistent with recovery time and recovery point objectives ]; Conducts backups of system-level information contained in the information system [ Assignment: organization-defined frequency consistent with recovery time and recovery point objectives ]; Conducts backups of information system documentation including security-related documentation [ Assignment: organization-defined frequency consistent with recovery time and recovery point objectives ]; and Protects the confidentiality and integrity of backup information at the storage location. ,"System-level information includes, for example, system-state information, operating system and application software, and licenses. Digital signatures and cryptographic hashes are examples of mechanisms that can be employed by organizations to protect the integrity of information system backups. An organizational assessment of risk guides the use of encryption for protecting backup information. The protection of system backup information while in transit is beyond the scope of this control. Related controls: CP-6, MP-4. ",MODERATE_HIGH,The organization tests backup information [ Assignment: organization-defined frequency ] to verify media reliability and information integrity. ,,HIGH,The organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing. ,,HIGH,"The organization stores backup copies of the operating system and other critical information system software, as well as copies of the information system inventory (including hardware, software, and firmware components) in a separate facility or in a fire-rated container that is not colocated with the operational system. ",,NONE,[ Withdrawn: Incorporated into CP-9 ]. ,,NONE,The organization transfers information system backup information to the alternate storage site [ Assignment: organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives ]. ,,NONE,"The organization accomplishes information system backup by maintaining a redundant secondary system, not collocated, that can be activated without loss of information or disruption to the operation. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Contingency Planning,CP-10,,Information System Recovery and Reconstitution,LOW_MODERATE_HIGH,P1,"The organization provides for the recovery and reconstitution of the information system to a known state after a disruption, compromise, or failure. ","Recovery is executing information system contingency plan activities to restore essential missions and business functions. Reconstitution takes place following recovery and includes activities for returning the information system to its original functional state before contingency plan activation. Recovery and reconstitution procedures are based on organizational priorities, established recovery point/time and reconstitution objectives, and appropriate metrics. Reconstitution includes the deactivation of any interim information system capability that may have been needed during recovery operations. Reconstitution also includes an assessment of the fully restored information system capability, a potential system reauthorization and the necessary activities to prepare the system against another disruption, compromise, or failure. Recovery and reconstitution capabilities employed by the organization can be a combination of automated mechanisms and manual procedures. Related controls: CA-2, CA-6, CA-7, SC-24. ",NONE,[ Withdrawn: Incorporated into CP-4 ]. ,,MODERATE_HIGH,The information system implements transaction recovery for systems that are transaction-based. ,Database management systems and transaction processing systems are examples of information systems that are transaction-based. Transaction rollback and transaction journaling are examples of mechanisms supporting transaction recovery. ,MODERATE_HIGH,The organization provides compensating security controls for [ Assignment: organization-defined circumstances that can inhibit recovery and reconstitution to a known state ]. ,,HIGH,"The organization provides the capability to reimage information system components within [ Assignment: organization-defined restoration time-periods ] from configuration-controlled and integrity-protected disk images representing a secure, operational state for the components. ",,NONE,The organization provides [ Selection: real-time; near-real-time ] [ Assignment: organization-defined failover capability for the information system ]. ,Examples of failover capability are incorporating mirrored information system operations at an alternate processing site or periodic data mirroring at regular intervals during a time period defined by the organization's recovery time period. ,NONE,"The organization protects backup and restoration hardware, firmware, and software. ","Protection of backup and restoration hardware, firmware, and software includes both physical and technical measures. Router tables, compilers, and other security-relevant system software are examples of backup and restoration software. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Identification and Authentication,IA-1,,Identification and Authentication Policy and Procedures,LOW_MODERATE_HIGH,P1,"The organization develops, disseminates, and reviews/updates [ Assignment: organization-defined frequency ]: A formal, documented identification and authentication policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and Formal, documented procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls. ","This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the identification and authentication family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The identification and authentication policy can be included as part of the general information security policy for the organization. Identification and authentication procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the identification and authentication policy. Related control: PM-9. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Identification and Authentication,IA-2,,Identification and Authentication (Organizational Users),LOW_MODERATE_HIGH,P1,The information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users). ,"Organizational users include organizational employees or individuals the organization deems to have equivalent status of employees (e.g., contractors, guest researchers, individuals from allied nations). Users are uniquely identified and authenticated for all accesses other than those accesses explicitly identified and documented by the organization in AC-14. Unique identification of individuals in group accounts (e.g., shared privilege accounts) may need to be considered for detailed accountability of activity. Authentication of user identities is accomplished through the use of passwords, tokens, biometrics, or in the case of multifactor authentication, some combination thereof. Access to organizational information systems is defined as either local or network. Local access is any access to an organizational information system by a user (or process acting on behalf of a user) where such access is obtained by direct connection without the use of a network. Network access is any access to an organizational information system by a user (or process acting on behalf of a user) where such access is obtained through a network connection. Remote access is a type of network access which involves communication through an external network (e.g., the Internet). Internal networks include local area networks, wide area networks, and virtual private networks that are under the control of the organization. For a virtual private network (VPN), the VPN is considered an internal network if the organization establishes the VPN connection between organization-controlled endpoints in a manner that does not require the organization to depend on any external networks across which the VPN transits to protect the confidentiality and integrity of information transmitted. Identification and authentication requirements for information system access by other than organizational users are described in IA-8. The identification and authentication requirements in this control are satisfied by complying with Homeland Security Presidential Directive 12 consistent with organization-specific implementation plans provided to OMB. In addition to identifying and authenticating users at the information-system level (i.e., at logon), identification and authentication mechanisms are employed at the application level, when necessary, to provide increased information security for the organization. Related controls: AC-14, AC-17, AC-18, IA-4, IA-5. ",LOW_MODERATE_HIGH,The information system uses multifactor authentication for network access to privileged accounts. ,,MODERATE_HIGH,The information system uses multifactor authentication for network access to non-privileged accounts. ,,MODERATE_HIGH,The information system uses multifactor authentication for local access to privileged accounts. ,,HIGH,The information system uses multifactor authentication for local access to non-privileged accounts. ,,NONE,The organization: Allows the use of group authenticators only when used in conjunction with an individual/unique authenticator; and Requires individuals to be authenticated with an individual authenticator prior to using a group authenticator ,,NONE,The information system uses multifactor authentication for network access to privileged accounts where one of the factors is provided by a device separate from the information system being accessed. ,,NONE,The information system uses multifactor authentication for network access to non-privileged accounts where one of the factors is provided by a device separate from the information system being accessed. ,,MODERATE_HIGH,The information system uses [ Assignment: organization-defined replay-resistant authentication mechanisms ] for network access to privileged accounts. ,"An authentication process resists replay attacks if it is impractical to achieve a successful authentication by recording and replaying a previous authentication message. Techniques used to address this include protocols that use nonces or challenges (e.g., TLS), and time synchronous or challenge-response one-time authenticators. ",HIGH,The information system uses [ Assignment: organization-defined replay-resistant authentication mechanisms ] for network access to non-privileged accounts. ,"An authentication process resists replay attacks if it is impractical to achieve a successful authentication by recording and replaying a previous authentication message. Techniques used to address this include protocols that use nonces or challenges (e.g., TLS), and time synchronous or challenge-response one-time authenticators. ",,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Identification and Authentication,IA-3,,Device Identification and Authentication,MODERATE_HIGH,P1,The information system uniquely identifies and authenticates [ Assignment: organization-defined list of specific and/or types of devices ] before establishing a connection. ,"The devices requiring unique identification and authentication may be defined by type, by specific device, or by a combination of type and device as deemed appropriate by the organization. The information system typically uses either shared known information (e.g., Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for identification or an organizational authentication solution (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify and authenticate devices on local and/or wide area networks. The required strength of the device authentication mechanism is determined by the security categorization of the information system. ",NONE,The information system authenticates devices before establishing remote and wireless network connections using bidirectional authentication between devices that is cryptographically based. ,"Remote network connection is any connection with a device communicating through an external network (e.g., the Internet). Related controls: AC-17, AC-18. ",NONE,The information system authenticates devices before establishing network connections using bidirectional authentication between devices that is cryptographically based. ,,NONE,"The organization standardizes, with regard to dynamic address allocation, Dynamic Host Control Protocol (DHCP) lease information and the time assigned to devices, and audits lease information when assigned to a device. ","With regard to dynamic address allocation for devices, DHCP-enabled clients typically obtain leases for IP addresses from DHCP servers. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Identification and Authentication,IA-4,,Identifier Management,LOW_MODERATE_HIGH,P1,The organization manages information system identifiers for users and devices by: Receiving authorization from a designated organizational official to assign a user or device identifier; Selecting an identifier that uniquely identifies an individual or device; Assigning the user identifier to the intended party or the device identifier to the intended device; Preventing reuse of user or device identifiers for [ Assignment: organization-defined time period ]; and Disabling the user identifier after [ Assignment: organization-defined time period of inactivity ]. ,"Common device identifiers include media access control (MAC) or Internet protocol (IP) addresses, or device-unique token identifiers. Management of user identifiers is not applicable to shared information system accounts (e.g., guest and anonymous accounts). It is commonly the case that a user identifier is the name of an information system account associated with an individual. In such instances, identifier management is largely addressed by the account management activities of AC-2. IA-4 also covers user identifiers not necessarily associated with an information system account (e.g., the identifier used in a physical security control database accessed by a badge reader system for access to the information system). Related control: AC-2, IA-2. ",NONE,"The organization prohibits the use of information system account identifiers as public identifiers for user electronic mail accounts (i.e., user identifier portion of the electronic mail address) ",The organization implements this control enhancement to the extent that the information system allows. ,NONE,"The organization requires that registration to receive a user ID and password include authorization by a supervisor, and be done in person before a designated registration authority. ",,NONE,The organization requires multiple forms of certification of individual identification such as documentary evidence or a combination of documents and biometrics be presented to the registration authority. ,,NONE,The organization manages user identifiers by uniquely identifying the user as [ Assignment: organization-defined characteristic identifying user status ]. ,"Characteristics identifying user status include, for example, contractors and foreign nationals. ",NONE,"The information system dynamically manages identifiers, attributes, and associated access authorizations. ",": In contrast to conventional approaches to identification and authentication which employ static information system accounts for preregistered users, many service-oriented architecture implementations rely on establishing identities at run time for entities that were previously unknown. Dynamic establishment of identities and association of attributes and privileges with these identities is anticipated and provisioned. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Identification and Authentication,IA-5,,Authenticator Management,LOW_MODERATE_HIGH,P1,"The organization manages information system authenticators for users and devices by: Verifying, as part of the initial authenticator distribution, the identity of the individual and/or device receiving the authenticator; Establishing initial authenticator content for authenticators defined by the organization; Ensuring that authenticators have sufficient strength of mechanism for their intended use; Establishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators; Changing default content of authenticators upon information system installation; Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators (if appropriate); Changing/refreshing authenticators [ Assignment: organization-defined time period by authenticator type ]; Protecting authenticator content from unauthorized disclosure and modification; and Requiring users to take, and having devices implement, specific measures to safeguard authenticators. ","User authenticators include, for example, passwords, tokens, biometrics, PKI certificates, and key cards. Initial authenticator content is the actual content (e.g., the initial password) as opposed to requirements about authenticator content (e.g., minimum password length). Many information system components are shipped with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, present a significant security risk, and therefore, are changed upon installation. The requirement to protect user authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of users and by controls AC-3, AC-6, and SC-28 for authenticators stored within the information system (e.g., passwords stored in a hashed or encrypted format, files containing encrypted or hashed passwords accessible only with super user privileges). The information system supports user authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, password composition, validation time window for time synchronous one time tokens, and number of allowed rejections during verification stage of biometric authentication. Measures to safeguard user authenticators include, for example, maintaining possession of individual authenticators, not loaning or sharing authenticators with others, and reporting lost or compromised authenticators immediately. Authenticator management includes issuing and revoking, when no longer needed, authenticators for temporary access such as that required for remote maintenance. Device authenticators include, for example, certificates and passwords. Related controls: AC-2, IA-2, PL-4, PS-6. ",LOW_MODERATE_HIGH,"The information system, for password-based authentication: Enforces minimum password complexity of [ Assignment: organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type ]; Enforces at least a [ Assignment: organization-defined number of changed characters ] when new passwords are created; Encrypts passwords in storage and in transmission; Enforces password minimum and maximum lifetime restrictions of [ Assignment: organization-defined numbers for lifetime minimum, lifetime maximum ]; and Prohibits password reuse for [ Assignment: organization-defined number ] generations. ","This control enhancement is intended primarily for environments where passwords are used as a single factor to authenticate users, or in a similar manner along with one or more additional authenticators. The enhancement generally does not apply to situations where passwords are used to unlock hardware authenticators. The implementation of such password mechanisms may not meet all of the requirements in the enhancement. ",MODERATE_HIGH,"The information system, for PKI-based authentication: Validates certificates by constructing a certification path with status information to an accepted trust anchor; Enforces authorized access to the corresponding private key; and Maps the authenticated identity to the user account. ","Status information for certification paths includes, for example, certificate revocation lists or online certificate status protocol responses. ",MODERATE_HIGH,"The organization requires that the registration process to receive [ Assignment: organization-defined types of and/or specific authenticators ] be carried out in person before a designated registration authority with authorization by a designated organizational official (e.g., a supervisor). ",,NONE,The organization employs automated tools to determine if authenticators are sufficiently strong to resist attacks intended to discover or otherwise compromise the authenticators. ,,NONE,The organization requires vendors and/or manufacturers of information system components to provide unique authenticators or change default authenticators prior to delivery. ,"This control enhancement extends the requirement for organizations to change default authenticators upon information system installation, by requiring vendors and/or manufacturers of information system components to provide unique authenticators or change default authenticators for those components prior to delivery to the organization. Unique authenticators are assigned by vendors and/or manufacturers to specific information system components (i.e., delivered information technology products) with distinct serial numbers. This requirement is included in acquisition documents prepared by the organization when procuring information systems and/or information system components. ",NONE,The organization protects authenticators commensurate with the classification or sensitivity of the information accessed. ,,NONE,The organization ensures that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys. ,"Organizations exercise caution in determining whether an embedded or stored authenticator is in encrypted or unencrypted form. If the authenticator in its stored representation, is used in the manner stored, then that representation is considered an unencrypted authenticator. This is irrespective of whether that representation is perhaps an encrypted version of something else (e.g., a password). ",NONE,The organization takes [ Assignment: organization-defined measures ] to manage the risk of compromise due to individuals having accounts on multiple information systems. ,"When an individual has accounts on multiple information systems, there is the risk that if one account is compromised and the individual is using the same user identifier and authenticator, other accounts will be compromised as well. Possible alternatives include, but are not limited to: (i) having the same user identifier but different authenticators on all systems; (ii) having different user identifiers and authenticators on each system; (iii) employing some form of single sign-on mechanism; or (iv) including some form of one-time passwords on all systems. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Identification and Authentication,IA-6,,Authenticator Feedback,LOW_MODERATE_HIGH,P1,The information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals ,"The feedback from the information system does not provide information that would allow an unauthorized user to compromise the authentication mechanism. Displaying asterisks when a user types in a password, is an example of obscuring feedback of authentication information. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Identification and Authentication,IA-7,,Cryptographic Module Authentication,LOW_MODERATE_HIGH,P1,"The information system uses mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication. ",None. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,Identification and Authentication,IA-8,,Identification and Authentication (Non-organizational Users),LOW_MODERATE_HIGH,P1,The information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users). ,"Non-organizational users include all information system users other than organizational users explicitly covered by IA-2. Users are uniquely identified and authenticated for all accesses other than those accesses explicitly identified and documented by the organization in accordance with AC-14. In accordance with the E-Authentication E-Government initiative, authentication of non-organizational users accessing federal information systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Accordingly, a risk assessment is used in determining the authentication needs of the organization. Scalability, practicality, and security are simultaneously considered in balancing the need to ensure ease of use for access to federal information and information systems with the need to protect and adequately mitigate risk to organizational operations, organizational assets, individuals, other organizations, and the Nation. Identification and authentication requirements for information system access by organizational users are described in IA-2. Related controls: AC-14, AC-17, AC-18, MA-4. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Incident Response,IR-1,,Incident Response Policy and Procedures,LOW_MODERATE_HIGH,P1,"The organization develops, disseminates, and reviews/updates [ Assignment: organization-defined frequency ]: A formal, documented incident response policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and Formal, documented procedures to facilitate the implementation of the incident response policy and associated incident response controls. ","This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the incident response family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The incident response policy can be included as part of the general information security policy for the organization. Incident response procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the incident response policy. Related control: PM-9. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Incident Response,IR-2,,Incident Response Training,LOW_MODERATE_HIGH,P2,The organization: Trains personnel in their incident response roles and responsibilities with respect to the information system; and Provides refresher training [ Assignment: organization-defined frequency ]. ,"Incident response training includes user training in the identification and reporting of suspicious activities, both from external and internal sources. Related control: AT-3. ",HIGH,The organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations. ,,HIGH,The organization employs automated mechanisms to provide a more thorough and realistic training environment. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Incident Response,IR-3,,Incident Response Testing and Exercises,MODERATE_HIGH,P2,The organization tests and/or exercises the incident response capability for the information system [ Assignment: organization-defined frequency ] using [ Assignment: organization-defined tests and/or exercises ] to determine the incident response effectiveness and documents the results. ,None. ,HIGH,The organization employs automated mechanisms to more thoroughly and effectively test/exercise the incident response capability. ,"Automated mechanisms can provide the ability to more thoroughly and effectively test or exercise the incident response capability by providing more complete coverage of incident response issues, selecting more realistic test/exercise scenarios and environments, and more effectively stressing the response capability. Related control: AT-2. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Incident Response,IR-4,,Incident Handling,LOW_MODERATE_HIGH,P1,"The organization: Implements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery; Coordinates incident handling activities with contingency planning activities; and Incorporates lessons learned from ongoing incident handling activities into incident response procedures, training, and testing/exercises, and implements the resulting changes accordingly. ","Incident-related information can be obtained from a variety of sources including, but not limited to, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports. Related controls: AU-6, CP-2, IR-2, IR-3, PE-6, SC-5, SC-7, SI-3, SI-4, SI-7. ",MODERATE_HIGH,The organization employs automated mechanisms to support the incident handling process. ,An online incident management system is an example of an automated mechanism. ,NONE,The organization includes dynamic reconfiguration of the information system as part of the incident response capability. ,"Dynamic reconfiguration includes, for example, changes to router rules, access control lists, intrusion detection/prevention system parameters, and filter rules for firewalls and gateways. ",NONE,The organization identifies classes of incidents and defines appropriate actions to take in response to ensure continuation of organizational missions and business functions. ,"Classes of incidents include, for example, malfunctions due to design/implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Incident response actions that may be appropriate include, for example, graceful degradation, information system shutdown, fall back to manual mode or alternative technology whereby the system operates differently, employing deceptive measures (e.g., false data flows, false status measures), alternate information flows, or operating in a mode that is reserved solely for when a system is under attack. ",NONE,The organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response. ,,NONE,The organization implements a configurable capability to automatically disable the information system if any of the following security violations are detected: [ Assignment: organization-defined list of security violations ]. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Incident Response,IR-5,,Incident Monitoring,LOW_MODERATE_HIGH,P1,The organization tracks and documents information system security incidents. ,"Documenting information system security incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics, evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources including, for example, incident reports, incident response teams, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports. ",HIGH,The organization employs automated mechanisms to assist in the tracking of security incidents and in the collection and analysis of incident information. ,"Automated mechanisms for tracking security incidents and collecting/analyzing incident information include, for example, the Einstein network monitoring device and monitoring online Computer Incident Response Centers (CIRCs) or other electronic databases of incidents. Related controls: AU-6, AU-7, SI-4. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Incident Response,IR-6,,Incident Reporting,LOW_MODERATE_HIGH,P1,The organization: Requires personnel to report suspected security incidents to the organizational incident response capability within [ Assignment: organization-defined time-period ]; and Reports security incident information to designated authorities. ,"The intent of this control is to address both specific incident reporting requirements within an organization and the formal incident reporting requirements for federal agencies and their subordinate organizations. The types of security incidents reported, the content and timeliness of the reports, and the list of designated reporting authorities are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Current federal policy requires that all federal agencies (unless specifically exempted from such requirements) report security incidents to the United States Computer Emergency Readiness Team (US-CERT) within specified time frames designated in the US-CERT Concept of Operations for Federal Cyber Security Incident Handling. Related controls: IR-4, IR-5. ",MODERATE_HIGH,The organization employs automated mechanisms to assist in the reporting of security incidents. ,,NONE,"The organization reports information system weaknesses, deficiencies, and/or vulnerabilities associated with reported security incidents to appropriate organizational officials. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Incident Response,IR-7,,Incident Response Assistance,LOW_MODERATE_HIGH,P3,"The organization provides an incident response support resource, integral to the organizational incident response capability, that offers advice and assistance to users of the information system for the handling and reporting of security incidents. ","Possible implementations of incident response support resources in an organization include a help desk or an assistance group and access to forensics services, when required. Related controls: IR-4, IR-6. ",MODERATE_HIGH,The organization employs automated mechanisms to increase the availability of incident response-related information and support. ,"Automated mechanisms can provide a push and/or pull capability for users to obtain incident response assistance. For example, individuals might have access to a website to query the assistance capability, or conversely, the assistance capability may have the ability to proactively send information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support. ",NONE,"The organization: Establishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and Identifies organizational incident response team members to the external providers. ","External providers of information system protection capability include, for example, the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Incident Response,IR-8,,Incident Response Plan,LOW_MODERATE_HIGH,P1,"The organization: Develops an incident response plan that: Provides the organization with a roadmap for implementing its incident response capability; Describes the structure and organization of the incident response capability; Provides a high-level approach for how the incident response capability fits into the overall organization; Meets the unique requirements of the organization, which relate to mission, size, structure, and functions; Defines reportable incidents; Provides metrics for measuring the incident response capability within the organization. Defines the resources and management support needed to effectively maintain and mature an incident response capability; and Is reviewed and approved by designated officials within the organization; Distributes copies of the incident response plan to [ Assignment: organization-defined list of incident response personnel (identified by name and/or by role) and organizational elements ]; Reviews the incident response plan [ Assignment: organization-defined frequency ]; Revises the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing; and Communicates incident response plan changes to [ Assignment: organization-defined list of incident response personnel (identified by name and/or by role) and organizational elements ]. ","It is important that organizations have a formal, focused, and coordinated approach to responding to incidents. The organizations mission, strategies, and goals for incident response help determine the structure of its incident response capability. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Maintenance,MA-1,,System Maintenance Policy and Procedures,LOW_MODERATE_HIGH,P1,"The organization develops, disseminates, and reviews/updates [ Assignment: organization-defined frequency ]: A formal, documented information system maintenance policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and Formal, documented procedures to facilitate the implementation of the information system maintenance policy and associated system maintenance controls. ","This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the system maintenance family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The information system maintenance policy can be included as part of the general information security policy for the organization. System maintenance procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the system maintenance policy. Related control: PM-9. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Maintenance,MA-2,,Controlled Maintenance,LOW_MODERATE_HIGH,P2,"The organization: Schedules, performs, documents, and reviews records of maintenance and repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements; Controls all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location; Requires that a designated official explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs; Sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs; and Checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions. ","The control is intended to address the information security aspects of the organizations information system maintenance program. Related controls: MP-6, SI-2. ",MODERATE_HIGH,"The organization maintains maintenance records for the information system that include: Date and time of maintenance; Name of the individual performing the maintenance; Name of escort, if necessary; A description of the maintenance performed; and A list of equipment removed or replaced (including identification numbers, if applicable). ",,HIGH,"The organization employs automated mechanisms to schedule, conduct, and document maintenance and repairs as required, producing up-to date, accurate, complete, and available records of all maintenance and repair actions, needed, in process, and completed. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Maintenance,MA-3,,Maintenance Tools,MODERATE_HIGH,P2,"The organization approves, controls, monitors the use of, and maintains on an ongoing basis, information system maintenance tools. ","The intent of this control is to address the security-related issues arising from the hardware and software brought into the information system specifically for diagnostic and repair actions (e.g., a hardware or software packet sniffer that is introduced for the purpose of a particular maintenance activity). Hardware and/or software components that may support information system maintenance, yet are a part of the system (e.g., the software implementing ping, ls, ipconfig, or the hardware and software implementing the monitoring port of an Ethernet switch) are not covered by this control. Related control: MP-6. ",MODERATE_HIGH,The organization inspects all maintenance tools carried into a facility by maintenance personnel for obvious improper modifications. ,"Maintenance tools include, for example, diagnostic and test equipment used to conduct maintenance on the information system. ",MODERATE_HIGH,The organization checks all media containing diagnostic and test programs for malicious code before the media are used in the information system. ,,HIGH,The organization prevents the unauthorized removal of maintenance equipment by one of the following: verifying that there is no organizational information contained on the equipment; (ii) sanitizing or destroying the equipment; (iii) retaining the equipment within the facility; or (iv) obtaining an exemption from a designated organization official explicitly authorizing removal of the equipment from the facility. ,,NONE,The organization employs automated mechanisms to restrict the use of maintenance tools to authorized personnel only. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Maintenance,MA-4,,Non-local Maintenance,LOW_MODERATE_HIGH,P1,"The organization: Authorizes, monitors, and controls non-local maintenance and diagnostic activities; Allows the use of non-local maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the information system; Employs strong identification and authentication techniques in the establishment of non-local maintenance and diagnostic sessions; Maintains records for non-local maintenance and diagnostic activities; and Terminates all sessions and network connections when non-local maintenance is completed. ","Non-local maintenance and diagnostic activities are those activities conducted by individuals communicating through a network; either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. Identification and authentication techniques used in the establishment of non-local maintenance and diagnostic sessions are consistent with the network access requirements in IA-2. Strong authenticators include, for example, PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part, by other controls. Related controls: AC-2, AC-3, AC-6, AC-17, AU-2, AU-3, IA-2, IA-8, MA-5, MP-6, SC-7. ",MODERATE_HIGH,The organization audits non-local maintenance and diagnostic sessions and designated organizational personnel review the maintenance records of the sessions. ,,MODERATE_HIGH,"The organization documents, in the security plan for the information system, the installation and use of non-local maintenance and diagnostic connections. ",,HIGH,"The organization: Requires that non-local maintenance and diagnostic services be performed from an information system that implements a level of security at least as high as that implemented on the system being serviced; or Removes the component to be serviced from the information system and prior to non-local maintenance or diagnostic services, sanitizes the component (with regard to organizational information) before removal from organizational facilities, and after the service is performed, inspects and sanitizes the component (with regard to potentially malicious software and surreptitious implants) before reconnecting the component to the information system. ",,NONE,The organization protects non-local maintenance sessions through the use of a strong authenticator tightly bound to the user and by separating the maintenance session from other network sessions with the information system by either: Physically separated communications paths; or Logically separated communications paths based upon encryption. ,Related control: SC-13. ,NONE,"The organization requires that: Maintenance personnel notify [ Assignment: organization-defined personnel ] when non-local maintenance is planned (i.e., date/time); and A designated organizational official with specific information security/information system knowledge approves the non-local maintenance. ",,NONE,The organization employs cryptographic mechanisms to protect the integrity and confidentiality of non-local maintenance and diagnostic communications. ,,NONE,The organization employs remote disconnect verification at the termination of non-local maintenance and diagnostic sessions. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Maintenance,MA-5,,Maintenance Personnel,LOW_MODERATE_HIGH,P1,The organization: Establishes a process for maintenance personnel authorization and maintains a current list of authorized maintenance organizations or personnel; and Ensures that personnel performing maintenance on the information system have required access authorizations or designates organizational personnel with required access authorizations and technical competence deemed necessary to supervise information system maintenance when maintenance personnel do not possess the required access authorizations. ,"Individuals not previously identified in the information system, such as vendor personnel and consultants, may legitimately require privileged access to the system, for example, when required to conduct maintenance or diagnostic activities with little or no notice. Based on a prior assessment of risk, the organization may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for a very limited time period. Related controls: IA-8, MA-5. ",NONE,"The organization maintains procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements: Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified; Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the information system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and In the event an information system component cannot be sanitized, the procedures contained in the security plan for the system are enforced. ","The intent of this control enhancement is to deny individuals who lack appropriate security clearances (i.e., individuals who do not possess security clearances or possess security clearances at a lower level than required) or who are not U.S. citizens, visual and electronic access to any classified information, Controlled Unclassified Information (CUI), or any other sensitive information contained on the information system. Procedures for the use of maintenance personnel can be documented in the security plan for the information system. ",NONE,"The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are cleared (i.e., possess appropriate security clearances) for the highest level of information on the system. ",,NONE,"The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens. ",,NONE,"The organization ensures that: Cleared foreign nationals (i.e., foreign nationals with appropriate security clearances), are used to conduct maintenance and diagnostic activities on an information system only when the system is jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and Approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on an information system are fully documented within a Memorandum of Agreement. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Maintenance,MA-6,,Timely Maintenance,MODERATE_HIGH,P1,The organization obtains maintenance support and/or spare parts for [ Assignment: organization-defined list of security-critical information system components and/or key information technology components ] within [ Assignment: organization-defined time period ] of failure. ,"The organization specifies those information system components that, when not operational, result in increased risk to organizations, individuals, or the Nation because the security functionality intended by that component is not being provided. Security-critical components include, for example, firewalls, guards, gateways, intrusion detection systems, audit repositories, authentication servers, and intrusion prevention systems. Related control: CP-2. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Media Protection,MP-1,,Media Protection Policy and Procedures,LOW_MODERATE_HIGH,P1,"The organization develops, disseminates, and reviews/updates [ Assignment: organization-defined frequency ]: A formal, documented media protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and Formal, documented procedures to facilitate the implementation of the media protection policy and associated media protection controls. ","This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the media protection family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The media protection policy can be included as part of the general information security policy for the organization. Media protection procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the media protection policy. Related control: PM-9. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Media Protection,MP-2,,Media Access,LOW_MODERATE_HIGH,P1,The organization restricts access to [ Assignment: organization-defined types of digital and non-digital media ] to [ Assignment: organization-defined list of authorized individuals ] using [ Assignment: organization-defined security measures ]. ,"Information system media includes both digital media (e.g., diskettes, magnetic tapes, external/removable hard drives, flash/thumb drives, compact disks, digital video disks) and non-digital media (e.g., paper, microfilm). This control also applies to mobile computing and communications devices with information storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones, digital cameras, and audio recording devices). An organizational assessment of risk guides the selection of media and associated information contained on that media requiring restricted access. Organizations document in policy and procedures, the media requiring restricted access, individuals authorized to access the media, and the specific measures taken to restrict access. Fewer protection measures are needed for media containing information determined by the organization to be in the public domain, to be publicly releasable, or to have limited or no adverse impact if accessed by other than authorized personnel. In these situations, it is assumed that the physical access controls where the media resides provide adequate protection. Related controls: MP-4, PE-3. ",MODERATE_HIGH,The organization employs automated mechanisms to restrict access to media storage areas and to audit access attempts and access granted. ,"This control enhancement is primarily applicable to media storage areas within an organization where a significant volume of media is stored and is not applicable to every location where some media is stored (e.g., in individual offices). ",NONE,The information system uses cryptographic mechanisms to protect and restrict access to information on portable digital media. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Media Protection,MP-3,,Media Marking,MODERATE_HIGH,P1,"The organization: Marks, in accordance with organizational policies and procedures, removable information system media and information system output indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and Exempts [ Assignment: organization-defined list of removable media types ] from marking as long as the exempted items remain within [ Assignment: organization-defined controlled areas ]. ","The term marking is used when referring to the application or use of human-readable security attributes. The term labeling is used when referring to the application or use of security attributes with regard to internal data structures within the information system (see AC-16, Security Attributes). Removable information system media includes both digital media (e.g., diskettes, magnetic tapes, external/removable hard drives, flash/thumb drives, compact disks, digital video disks) and non-digital media (e.g., paper, microfilm). An organizational assessment of risk guides the selection of media requiring marking. Marking is generally not required for media containing information determined by the organization to be in the public domain or to be publicly releasable. Some organizations, however, may require markings for public information indicating that the information is publicly releasable. Organizations may extend the scope of this control to include information system output devices containing organizational information, including, for example, monitors and printers. Marking of removable media and information system output is consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Media Protection,MP-4,,Media Storage,MODERATE_HIGH,P1,"The organization: Physically controls and securely stores [ Assignment: organization-defined types of digital and non-digital media ] within [ Assignment: organization-defined controlled areas ] using [ Assignment: organization-defined security measures ]; Protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures ","Information system media includes both digital media (e.g., diskettes, magnetic tapes, external/removable hard drives, flash/thumb drives, compact disks, digital video disks) and non-digital media (e.g., paper, microfilm). This control also applies to mobile computing and communications devices with information storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones, digital cameras, and audio recording devices). Telephone systems are also considered information systems and may have the capability to store information on internal media (e.g., on voicemail systems). Since telephone systems do not have, in most cases, the identification, authentication, and access control mechanisms typically employed in other information systems, organizational personnel use extreme caution in the types of information stored on telephone voicemail systems. A controlled area is any area or space for which the organization has confidence that the physical and procedural protections are sufficient to meet the requirements established for protecting the information and/or information system. An organizational assessment of risk guides the selection of media and associated information contained on that media requiring physical protection. Fewer protection measures are needed for media containing information determined by the organization to be in the public domain, to be publicly releasable, or to have limited or no adverse impact on the organization or individuals if accessed by other than authorized personnel. In these situations, it is assumed that the physical access controls to the facility where the media resides provide adequate protection. As part of a defense-in-depth strategy, the organization considers routinely encrypting information at rest on selected secondary storage devices. The employment of cryptography is at the discretion of the information owner/steward. The selection of the cryptographic mechanisms used is based upon maintaining the confidentiality and integrity of the information. The strength of mechanisms is commensurate with the classification and sensitivity of the information. Related controls: AC-3, AC-19, CP-6, CP-9, MP-2, PE-3. ",NONE,The organization employs cryptographic mechanisms to protect information in storage. ,Related control: SC-13. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Media Protection,MP-5,,Media Transport,MODERATE_HIGH,P1,The organization: Protects and controls [ Assignment: organization-defined types of digital and non-digital media ] during transport outside of controlled areas using [ Assignment: organization-defined security measures ]; Maintains accountability for information system media during transport outside of controlled areas; and Restricts the activities associated with transport of such media to authorized personnel. ,"Information system media includes both digital media (e.g., diskettes, magnetic tapes, removable hard drives, flash/thumb drives, compact disks, digital video disks) and non-digital media (e.g., paper, microfilm). This control also applies to mobile computing and communications devices with information storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones, digital cameras, and audio recording devices) that are transported outside of controlled areas. Telephone systems are also considered information systems and may have the capability to store information on internal media (e.g., on voicemail systems). Since telephone systems do not have, in most cases, the identification, authentication, and access control mechanisms typically employed in other information systems, organizational personnel use caution in the types of information stored on telephone voicemail systems that are transported outside of controlled areas. A controlled area is any area or space for which the organization has confidence that the physical and procedural protections provided are sufficient to meet the requirements established for protecting the information and/or information system. Physical and technical security measures for the protection of digital and non-digital media are commensurate with the classification or sensitivity of the information residing on the media, and consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Locked containers and cryptography are examples of security measures available to protect digital and non-digital media during transport. Cryptographic mechanisms can provide confidentiality and/or integrity protections depending upon the mechanisms used. An organizational assessment of risk guides: (i) the selection of media and associated information contained on that media requiring protection during transport; and (ii) the selection and use of storage containers for transporting non-digital media. Authorized transport and courier personnel may include individuals from outside the organization (e.g., U.S. Postal Service or a commercial transport or delivery service). Related controls: AC-19, CP-9. ",NONE,[ Withdrawn: Incorporated into MP-5 ]. ,,MODERATE_HIGH,The organization documents activities associated with the transport of information system media. ,Organizations establish documentation requirements for activities associated with the transport of information system media in accordance with the organizational assessment of risk to include the flexibility to define different record-keeping methods for different types of media transport as part of an overall system of transport-related records. ,HIGH,The organization employs an identified custodian throughout the transport of information system media. ,Custodial responsibilities can be transferred from one individual to another as long as an unambiguous custodian is identified at all times. ,MODERATE_HIGH,The organization employs cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas. ,"This control enhancement also applies to mobile devices. Mobile devices include portable storage media (e.g., USB memory sticks, external hard disk drives) and portable computing and communications devices with storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones). Related control: MP-4. Related controls: MP-2; SC-13. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Media Protection,MP-6,,Media Sanitization,LOW_MODERATE_HIGH,P1,"The organization: Sanitizes information system media, both digital and non-digital, prior to disposal, release out of organizational control, or release for reuse; and Employs sanitization mechanisms with strength and integrity commensurate with the classification or sensitivity of the information. ","This control applies to all media subject to disposal or reuse, whether or not considered removable. Sanitization is the process used to remove information from information system media such that there is reasonable assurance that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, and destroying media information, prevent the disclosure of organizational information to unauthorized individuals when such media is reused or released for disposal. The organization uses its discretion on the employment of sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable, or deemed to have no adverse impact on the organization or individuals if released for reuse or disposal. ",HIGH,"The organization tracks, documents, and verifies media sanitization and disposal actions. ",,HIGH,The organization tests sanitization equipment and procedures to verify correct performance [ Assignment: organization-defined frequency ]. ,,HIGH,"The organization sanitizes portable, removable storage devices prior to connecting such devices to the information system under the following circumstances: [ Assignment: organization-defined list of circumstances requiring sanitization of portable, removable storage devices ]. ","Portable, removable storage devices (e.g., thumb drives, flash drives, external storage devices) can be the source of malicious code insertions into organizational information systems. Many of these devices are obtained from unknown sources and may contain various types of malicious code that can be readily transferred to the information system through USB ports or other entry portals. While scanning such devices is always recommended, sanitization provides additional assurance that the device is free of all malicious code to include code capable of initiating zero-day attacks. Organizations consider sanitization of portable, removable storage devices, for example, when such devices are first purchased from the manufacturer or vendor prior to initial use or when the organization loses a positive chain of custody for the device. An organizational assessment of risk guides the specific circumstances for employing the sanitization process. Related control: SI-3. ",NONE,The organization sanitizes information system media containing Controlled Unclassified Information (CUI) or other sensitive information in accordance with applicable organizational and/or federal standards and policies. ,,NONE,The organization sanitizes information system media containing classified information in accordance with NSA standards and policies. ,,NONE,The organization destroys information system media that cannot be sanitized. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Physical and Environmental Protection,PE-1,,Physical and Environmental Protection Policy and Procedures,LOW_MODERATE_HIGH,P1,"The organization develops, disseminates, and reviews/updates [ Assignment: organization-defined frequency ]: A formal, documented physical and environmental protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and Formal, documented procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls. ","This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the physical and environmental protection family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The physical and environmental protection policy can be included as part of the general information security policy for the organization. Physical and environmental protection procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the physical and environmental protection policy. Related control: PM-9. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Physical and Environmental Protection,PE-2,,Physical Access Authorizations,LOW_MODERATE_HIGH,P1,"The organization: Develops and keeps current a list of personnel with authorized access to the facility where the information system resides (except for those areas within the facility officially designated as publicly accessible); Issues authorization credentials; Reviews and approves the access list and authorization credentials [ Assignment: organization-defined frequency ], removing from the access list personnel no longer requiring access. ","Authorization credentials include, for example, badges, identification cards, and smart cards. Related control: PE-3, PE-4. ",NONE,The organization authorizes physical access to the facility where the information system resides based on position or role. ,,NONE,The organization requires two forms of identification to gain access to the facility where the information system resides. ,"Examples of forms of identification are identification badge, key card, cipher PIN, and biometrics. ",NONE,The organization restricts physical access to the facility containing an information system that processes classified information to authorized personnel with appropriate clearances and access authorizations. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Physical and Environmental Protection,PE-3,,Physical Access Control,LOW_MODERATE_HIGH,P1,"The organization: Enforces physical access authorizations for all physical access points (including designated entry/exit points) to the facility where the information system resides (excluding those areas within the facility officially designated as publicly accessible); Verifies individual access authorizations before granting access to the facility; Controls entry to the facility containing the information system using physical access devices and/or guards; Controls access to areas officially designated as publicly accessible in accordance with the organizations assessment of risk; Secures keys, combinations, and other physical access devices; Inventories physical access devices [ Assignment: organization-defined frequency ]; and Changes combinations and keys [ Assignment: organization-defined frequency ] and when keys are lost, combinations are compromised, or individuals are transferred or terminated. ","The organization determines the types of guards needed, for example, professional physical security staff or other personnel such as administrative staff or information system users, as deemed appropriate. Physical access devices include, for example, keys, locks, combinations, and card readers. Workstations and associated peripherals connected to (and part of) an organizational information system may be located in areas designated as publicly accessible with access to such devices being safeguarded. Related controls: MP-2, MP-4, PE-2 ",HIGH,The organization enforces physical access authorizations to the information system independent of the physical access controls for the facility ,"This control enhancement applies to server rooms, media storage areas, communications centers, or any other areas within an organizational facility containing large concentrations of information system components. The intent is to provide additional physical security for those areas where the organization may be more vulnerable due to the concentration of information system components. Security requirements for facilities containing organizational information systems that process, store, or transmit Sensitive Compartmented Information (SCI) are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. See also PS-3, security requirements for personnel access to SCI. ",NONE,The organization performs security checks at the physical boundary of the facility or information system for unauthorized exfiltration of information or information system components. ,The extent/frequency or randomness of the checks is as deemed necessary by the organization to adequately mitigate risk associated with exfiltration. ,NONE,"The organization guards, alarms, and monitors every physical access point to the facility where the information system resides 24 hours per day, 7 days per week. ",,NONE,The organization uses lockable physical casings to protect [ Assignment: organization-defined information system components ] from unauthorized physical access. ,,NONE,The information system detects/prevents physical tampering or alteration of hardware components within the system. ,,NONE,"The organization employs a penetration testing process that includes [ Assignment: organization-defined frequency ], unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility. ",Related control: CA-2. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Physical and Environmental Protection,PE-4,,Access Control for Transmission Medium,MODERATE_HIGH,P1,The organization controls physical access to information system distribution and transmission lines within organizational facilities. ,"Physical protections applied to information system distribution and transmission lines help prevent accidental damage, disruption, and physical tampering. Additionally, physical protections are necessary to help prevent eavesdropping or in transit modification of unencrypted transmissions. Protective measures to control physical access to information system distribution and transmission lines include: (i) locked wiring closets; (ii) disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable trays. Related control: PE-2. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Physical and Environmental Protection,PE-5,,Access Control for Output Devices,MODERATE_HIGH,P1,The organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output. ,"Monitors, printers, and audio devices are examples of information system output devices. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Physical and Environmental Protection,PE-6,,Monitoring Physical Access,LOW_MODERATE_HIGH,P1,The organization: Monitors physical access to the information system to detect and respond to physical security incidents; Reviews physical access logs [ Assignment: organization-defined frequency ]; and Coordinates results of reviews and investigations with the organizations incident response capability. ,"Investigation of and response to detected physical security incidents, including apparent security violations or suspicious physical access activities, are part of the organizations incident response capability. ",MODERATE_HIGH,The organization monitors real-time physical intrusion alarms and surveillance equipment. ,,HIGH,The organization employs automated mechanisms to recognize potential intrusions and initiate designated response actions. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Physical and Environmental Protection,PE-7,,Visitor Control,LOW_MODERATE_HIGH,P1,The organization controls physical access to the information system by authenticating visitors before authorizing access to the facility where the information system resides other than areas designated as publicly accessible. ,"Individuals (to include organizational employees, contract personnel, and others) with permanent authorization credentials for the facility are not considered visitors. ",MODERATE_HIGH,"The organization escorts visitors and monitors visitor activity, when required. ",,NONE,The organization requires two forms of identification for visitor access to the facility. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Physical and Environmental Protection,PE-8,,Access Records,LOW_MODERATE_HIGH,P3,The organization: Maintains visitor access records to the facility where the information system resides (except for those areas within the facility officially designated as publicly accessible); and Reviews visitor access records [ Assignment: organization-defined frequency ]. ,"Visitor access records include, for example, name/organization of the person visiting, signature of the visitor, form(s) of identification, date of access, time of entry and departure, purpose of visit, and name/organization of person visited. ",HIGH,The organization employs automated mechanisms to facilitate the maintenance and review of access records. ,,HIGH,"The organization maintains a record of all physical access, both visitor and authorized individuals. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Physical and Environmental Protection,PE-9,,Power Equipment and Power Cabling,MODERATE_HIGH,P1,The organization protects power equipment and power cabling for the information system from damage and destruction. ,"This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered. ",NONE,The organization employs redundant and parallel power cabling paths. ,,NONE,The organization employs automatic voltage controls for [ Assignment: organization-defined list of critical information system components ]. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Physical and Environmental Protection,PE-10,,Emergency Shutoff,MODERATE_HIGH,P1,The organization: Provides the capability of shutting off power to the information system or individual system components in emergency situations; Places emergency shutoff switches or devices in [ Assignment: organization-defined location by information system or system component ] to facilitate safe and easy access for personnel; and Protects emergency power shutoff capability from unauthorized activation. ,"This control applies to facilities containing concentrations of information system resources, for example, data centers, server rooms, and mainframe computer rooms. ",NONE,[ Withdrawn: Incorporated into PE-10 ]. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Physical and Environmental Protection,PE-11,,Emergency Power,MODERATE_HIGH,P1,The organization provides a short-term uninterruptible power supply to facilitate an orderly shutdown of the information system in the event of a primary power source loss. ,"This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered. ",HIGH,The organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source. ,,NONE,The organization provides a long-term alternate power supply for the information system that is self-contained and not reliant on external power generation. ,Long-term alternate power supplies for the information system are either manually or automatically activated. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Physical and Environmental Protection,PE-12,,Emergency Lighting,LOW_MODERATE_HIGH,P1,The organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility. ,"This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered. ",NONE,The organization provides emergency lighting for all areas within the facility supporting essential missions and business functions. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Physical and Environmental Protection,PE-13,,Fire Protection,LOW_MODERATE_HIGH,P1,The organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source. ,"Fire suppression and detection devices/systems include, for example, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors. This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered. ",MODERATE_HIGH,The organization employs fire detection devices/systems for the information system that activate automatically and notify the organization and emergency responders in the event of a fire. ,,MODERATE_HIGH,The organization employs fire suppression devices/systems for the information system that provide automatic notification of any activation to the organization and emergency responders. ,,MODERATE_HIGH,The organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis. ,,NONE,The organization ensures that the facility undergoes [ Assignment: organization-defined frequency ] fire marshal inspections and promptly resolves identified deficiencies. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Physical and Environmental Protection,PE-14,,Temperature and Humidity Controls,LOW_MODERATE_HIGH,P1,The organization: Maintains temperature and humidity levels within the facility where the information system resides at [ Assignment: organization-defined acceptable levels ]; and Monitors temperature and humidity levels [ Assignment: organization-defined frequency ]. ,"This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered. ",NONE,The organization employs automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the information system. ,,NONE,The organization employs temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Physical and Environmental Protection,PE-15,,Water Damage Protection,LOW_MODERATE_HIGH,P1,"The organization protects the information system from damage resulting from water leakage by providing master shutoff valves that are accessible, working properly, and known to key personnel. ","This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered. ",HIGH,"The organization employs mechanisms that, without the need for manual intervention, protect the information system from water damage in the event of a water leak. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Physical and Environmental Protection,PE-16,,Delivery and Removal,LOW_MODERATE_HIGH,P1,"The organization authorizes, monitors, and controls [ Assignment: organization-defined types of information system components ] entering and exiting the facility and maintains records of those items. ",Effectively enforcing authorizations for entry and exit of information system components may require restricting access to delivery areas and possibly isolating the areas from the information system and media libraries. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Physical and Environmental Protection,PE-17,,Alternate Work Site,MODERATE_HIGH,P1,"The organization: Employs [ Assignment: organization-defined management, operational, and technical information system security controls ] at alternate work sites; Assesses as feasible, the effectiveness of security controls at alternate work sites; and Provides a means for employees to communicate with information security personnel in case of security incidents or problems. ","Alternate work sites may include, for example, government facilities or private residences of employees. The organization may define different sets of security controls for specific alternate work sites or types of sites. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Physical and Environmental Protection,PE-18,,Location of Information System Components,MODERATE_HIGH,P2,The organization positions information system components within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access. ,"Physical and environmental hazards include, for example, flooding, fire, tornados, earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, electrical interference, and electromagnetic radiation. Whenever possible, the organization also considers the location or site of the facility with regard to physical and environmental hazards. In addition, the organization considers the location of physical entry points where unauthorized individuals, while not being granted access, might nonetheless be in close proximity to the information system and therefore, increase the potential for unauthorized access to organizational communications (e.g., through the use of wireless sniffers or microphones). This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered. ",HIGH,"The organization plans the location or site of the facility where the information system resides with regard to physical and environmental hazards and for existing facilities, considers the physical and environmental hazards in its risk mitigation strategy. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Physical and Environmental Protection,PE-19,,Information Leakage,NONE,P0,The organization protects the information system from information leakage due to electromagnetic signals emanations. ,The security categorization of the information system (with respect to confidentiality) and organizational security policy guides the application of safeguards and countermeasures employed to protect the information system against information leakage due to electromagnetic signals emanations. ,NONE,"The organization ensures that information system components, associated data communications, and networks are protected in accordance with: national emissions and TEMPEST policies and procedures; and (ii) the sensitivity of the information being transmitted. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Planning,PL-1,,Security Planning Policy and Procedures,LOW_MODERATE_HIGH,P1,"The organization develops, disseminates, and reviews/updates [ Assignment: organization-defined frequency ]: A formal, documented security planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and Formal, documented procedures to facilitate the implementation of the security planning policy and associated security planning controls. ","This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the security planning family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The security planning policy addresses the overall policy requirements for confidentiality, integrity, and availability and can be included as part of the general information security policy for the organization. Security planning procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the security planning policy. Related control: PM-9. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Planning,PL-2,,System Security Plan,LOW_MODERATE_HIGH,P1,The organization: Develops a security plan for the information system that: - Is consistent with the organizations enterprise architecture; - Explicitly defines the authorization boundary for the system; - Describes the operational context of the information system in terms of missions and business processes; - Provides the security categorization of the information system including supporting rationale; - Describes the operational environment for the information system; - Describes relationships with or connections to other information systems; - Provides an overview of the security requirements for the system; - Describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring and supplementation decisions; and - Is reviewed and approved by the authorizing official or designated representative prior to plan implementation; Reviews the security plan for the information system [ Assignment: organization-defined frequency ]; and Updates the plan to address changes to the information system/environment of operation or problems identified during plan implementation or security control assessments. ,"The security plan contains sufficient information (including specification of parameters for assignment and selection statements in security controls either explicitly or by reference) to enable an implementation that is unambiguously compliant with the intent of the plan and a subsequent determination of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented as intended. Related controls: PM-1, PM-7, PM-8, PM-9, PM-11. ",NONE,"The organization: Develops a security Concept of Operations (CONOPS) for the information system containing, at a minimum: (i) the purpose of the system; (ii) a description of the system architecture; (iii) the security authorization schedule; and (iv) the security categorization and associated factors considered in determining the categorization; and Reviews and updates the CONOPS [ Assignment: organization-defined frequency ]. ",The security CONOPS may be included in the security plan for the information system. ,NONE,"The organization develops a functional architecture for the information system that identifies and maintains: External interfaces, the information being exchanged across the interfaces, and the protection mechanisms associated with each interface; User roles and the access privileges assigned to each role; Unique security requirements; Types of information processed, stored, or transmitted by the information system and any specific protection needs in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance; and Restoration priority of information or information system services. ","Unique security requirements for the information system include, for example, encryption of key data elements at rest. Specific protection needs for the information system include, for example, the Privacy Act and Health Insurance Portability and Accountability Act. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Planning,PL-3,,System Security Plan Update,NONE,,[ Withdrawn: Incorporated into PL-2 ]. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Planning,PL-4,,Rules of Behavior,LOW_MODERATE_HIGH,P1,"The organization: Establishes and makes readily available to all information system users, the rules that describe their responsibilities and expected behavior with regard to information and information system usage; and Receives signed acknowledgment from users indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system. ","The organization considers different sets of rules based on user roles and responsibilities, for example, differentiating between the rules that apply to privileged users and rules that apply to general users. Electronic signatures are acceptable for use in acknowledging rules of behavior. Related control: PS-6. ",NONE,"The organization includes in the rules of behavior, explicit restrictions on the use of social networking sites, posting information on commercial websites, and sharing information system account information. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Planning,PL-5,,Privacy Impact Assessment,LOW_MODERATE_HIGH,P1,The organization conducts a privacy impact assessment on the information system in accordance with OMB policy. ,None. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Planning,PL-6,,Security-related Activity Planning,MODERATE_HIGH,P3,"The organization plans and coordinates security-related activities affecting the information system before conducting such activities in order to reduce the impact on organizational operations (i.e., mission, functions, image, and reputation), organizational assets, and individuals. ","Security-related activities include, for example, security assessments, audits, system hardware and software maintenance, and contingency plan testing/exercises. Organizational advance planning and coordination includes both emergency and nonemergency (i.e., planned or nonurgent unplanned) situations. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Program Management,PM-1,,Information Security Program Plan,LOW_MODERATE_HIGH,P1,"The organization: Develops and disseminates an organization-wide information security program plan that: - Provides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements; - Provides sufficient information about the program management controls and common controls (including specification of parameters for any assignment and selection operations either explicitly or by reference) to enable an implementation that is unambiguously compliant with the intent of the plan and a determination of the risk to be incurred if the plan is implemented as intended; - Includes roles, responsibilities, management commitment, coordination among organizational entities, and compliance; - Is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation; Reviews the organization-wide information security program plan [ Assignment: organization-defined frequency ]; and Revises the plan to address organizational changes and problems identified during plan implementation or security control assessments. ","The information security program plan can be represented in a single document or compilation of documents at the discretion of the organization. The plan documents the organization-wide program management controls and organization-defined common controls. The security plans for individual information systems and the organization-wide information security program plan together, provide complete coverage for all security controls employed within the organization. Common controls are documented in an appendix to the organizations information security program plan unless the controls are included in a separate security plan for an information system (e.g., security controls employed as part of an intrusion detection system providing organization-wide boundary protection inherited by one or more organizational information systems). The organization-wide information security program plan will indicate which separate security plans contain descriptions of common controls. Organizations have the flexibility to describe common controls in a single document or in multiple documents. In the case of multiple documents, the documents describing common controls are included as attachments to the information security program plan. If the information security program plan contains multiple documents, the organization specifies in each document the organizational official or officials responsible for the development, implementation, assessment, authorization, and monitoring of the respective common controls. For example, the organization may require that the Facilities Management Office develop, implement, assess, authorize, and continuously monitor common physical and environmental protection controls from the PE family when such controls are not associated with a particular information system but instead, support multiple information systems. Related control: PM-8. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Program Management,PM-2,,Senior Information Security Officer,LOW_MODERATE_HIGH,P1,"The organization appoints a senior information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program. ","The security officer described in this control is an organizational official. For a federal agency (as defined in applicable federal laws, Executive Orders, directives, policies, or regulations) this official is the Senior Agency Information Security Officer. Organizations may also refer to this organizational official as the Senior Information Security Officer or Chief Information Security Officer. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Program Management,PM-3,,Information Security Resources,LOW_MODERATE_HIGH,P1,The organization: Ensures that all capital planning and investment requests include the resources needed to implement the information security program and documents all exceptions to this requirement; Employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and Ensures that information security resources are available for expenditure as planned. ,"Organizations may designate and empower an Investment Review Board (or similar group) to manage and provide oversight for the information security-related aspects of the capital planning and investment control process. Related controls: PM-4, SA-2. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Program Management,PM-4,,Plan of Action and Milestones Process,LOW_MODERATE_HIGH,P1,"The organization implements a process for ensuring that plans of action and milestones for the security program and the associated organizational information systems are maintained and document the remedial information security actions to mitigate risk to organizational operations and assets, individuals, other organizations, and the Nation. ","The plan of action and milestones is a key document in the information security program and is subject to federal reporting requirements established by OMB. The plan of action and milestones updates are based on the findings from security control assessments, security impact analyses, and continuous monitoring activities. OMB FISMA reporting guidance contains instructions regarding organizational plans of action and milestones. Related control: CA-5. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Program Management,PM-5,,Information System Inventory,LOW_MODERATE_HIGH,P1,The organization develops and maintains an inventory of its information systems. ,This control addresses the inventory requirements in FISMA. OMB provides guidance on developing information systems inventories and associated reporting requirements. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Program Management,PM-6,,Information Security Measures of Performance,LOW_MODERATE_HIGH,P1,"The organization develops, monitors, and reports on the results of information security measures of performance. ",Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security program and the security controls employed in support of the program. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Program Management,PM-7,,Enterprise Architecture,LOW_MODERATE_HIGH,P1,"The organization develops an enterprise architecture with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation. ","The enterprise architecture developed by the organization is aligned with the Federal Enterprise Architecture. The integration of information security requirements and associated security controls into the organizations enterprise architecture helps to ensure that security considerations are addressed by organizations early in the system development life cycle and are directly and explicitly related to the organizations mission/business processes. This also embeds into the enterprise architecture, an integral security architecture consistent with organizational risk management and information security strategies. Security requirements and control integration are most effectively accomplished through the application of the Risk Management Framework and supporting security standards and guidelines. The Federal Segment Architecture Methodology provides guidance on integrating information security requirements and security controls into enterprise architectures. Related controls: PL-2, PM-11, RA-2. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Program Management,PM-8,,Critical Infrastructure Plan,LOW_MODERATE_HIGH,P1,"The organization addresses information security issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan. ","The requirement and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Related controls: PM-1, PM-9, PM-11, RA-3. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Program Management,PM-9,,Risk Management Strategy,LOW_MODERATE_HIGH,P1,"The organization: Develops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information systems; and Implements that strategy consistently across the organization. ","An organization-wide risk management strategy includes, for example, an unambiguous expression of the risk tolerance for the organization, acceptable risk assessment methodologies, risk mitigation strategies, a process for consistently evaluating risk across the organization with respect to the organizations risk tolerance, and approaches for monitoring risk over time. The use of a risk executive function can facilitate consistent, organization-wide application of the risk management strategy. The organization-wide risk management strategy can be informed by risk-related inputs from other sources both internal and external to the organization to ensure the strategy is both broad-based and comprehensive. Related control: RA-3. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Program Management,PM-10,,Security Authorization Process,LOW_MODERATE_HIGH,P1,"The organization: Manages (i.e., documents, tracks, and reports) the security state of organizational information systems through security authorization processes; Designates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and Fully integrates the security authorization processes into an organization-wide risk management program. ",The security authorization process for information systems requires the implementation of the Risk Management Framework and the employment of associated security standards and guidelines. Specific roles within the risk management process include a designated authorizing official for each organizational information system. Related control: CA-6. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Program Management,PM-11,,Mission/business Process Definition,LOW_MODERATE_HIGH,P1,"The organization: Defines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and Determines information protection needs arising from the defined mission/business processes and revises the processes as necessary, until an achievable set of protection needs is obtained. ","Information protection needs are technology-independent, required capabilities to counter threats to organizations, individuals, or the Nation through the compromise of information (i.e., loss of confidentiality, integrity, or availability). Information protection needs are derived from the mission/business needs defined by the organization, the mission/business processes selected to meet the stated needs, and the organizational risk management strategy. Information protection needs determine the required security controls for the organization and the associated information systems supporting the mission/business processes. Inherent in defining an organizations information protection needs is an understanding of the level of adverse impact that could result if a compromise of information occurs. The security categorization process is used to make such potential impact determinations. Mission/business process definitions and associated information protection requirements are documented by the organization in accordance with organizational policy and procedure. Related controls: PM-7, PM-8, RA-2. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Personnel Security,PS-1,,Personnel Security Policy and Procedures,LOW_MODERATE_HIGH,P1,"The organization develops, disseminates, and reviews/updates [ Assignment: organization-defined frequency ]: A formal, documented personnel security policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and Formal, documented procedures to facilitate the implementation of the personnel security policy and associated personnel security controls. ","This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the personnel security family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The personnel security policy can be included as part of the general information security policy for the organization. Personnel security procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the personnel security policy. Related control: PM-9. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Personnel Security,PS-2,,Position Categorization,LOW_MODERATE_HIGH,P1,The organization: Assigns a risk designation to all positions; Establishes screening criteria for individuals filling those positions; and Reviews and revises position risk designations [ Assignment: organization-defined frequency ]. ,"Position risk designations are consistent with Office of Personnel Management policy and guidance. The screening criteria include explicit information security role appointment requirements (e.g., training, security clearance). ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Personnel Security,PS-3,,Personnel Screening,LOW_MODERATE_HIGH,P1,"The organization: Screens individuals prior to authorizing access to the information system; and Rescreens individuals according to [ Assignment: organization-defined list of conditions requiring rescreening and, where re-screening is so indicated, the frequency of such rescreening ]. ","Screening and rescreening are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidance, and the criteria established for the risk designation of the assigned position. The organization may define different rescreening conditions and frequencies for personnel accessing the information system based on the type of information processed, stored, or transmitted by the system. ",NONE,"The organization ensures that every user accessing an information system processing, storing, or transmitting classified information is cleared and indoctrinated to the highest classification level of the information on the system. ",,NONE,"The organization ensures that every user accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, is formally indoctrinated for all of the relevant types of information on the system. ","Types of information requiring formal indoctrination include, for example, Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information (SCI). ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Personnel Security,PS-4,,Personnel Termination,LOW_MODERATE_HIGH,P2,"The organization, upon termination of individual employment: Terminates information system access; Conducts exit interviews; Retrieves all security-related organizational information system-related property; and Retains access to organizational information and information systems formerly controlled by terminated individual. ","Information system-related property includes, for example, hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that individuals understand any security constraints imposed by being former employees and that proper accountability is achieved for all information system-related property. Exit interviews may not be possible for some employees (e.g., in the case of job abandonment, some illnesses, and nonavailability of supervisors). Exit interviews are important for individuals with security clearances. Timely execution of this control is particularly essential for employees or contractors terminated for cause. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Personnel Security,PS-5,,Personnel Transfer,LOW_MODERATE_HIGH,P2,The organization reviews logical and physical access authorizations to information systems/facilities when personnel are reassigned or transferred to other positions within the organization and initiates [ Assignment: organization-defined transfer or reassignment actions ] within [ Assignment: organization-defined time period following the formal transfer action ]. ,"This control applies when the reassignment or transfer of an employee is permanent or of such an extended duration as to make the actions warranted. In addition the organization defines the actions appropriate for the type of reassignment or transfer; whether permanent or temporary. Actions that may be required when personnel are transferred or reassigned to other positions within the organization include, for example: (i) returning old and issuing new keys, identification cards, and building passes; (ii) closing previous information system accounts and establishing new accounts; (iii) changing information system access authorizations; and (iv) providing for access to official records to which the employee had access at the previous work location and in the previous information system accounts. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Personnel Security,PS-6,,Access Agreements,LOW_MODERATE_HIGH,P3,The organization: Ensures that individuals requiring access to organizational information and information systems sign appropriate access agreements prior to being granted access; and Reviews/updates the access agreements [ Assignment: organization-defined frequency ]. ,"Access agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with the information system to which access is authorized. Electronic signatures are acceptable for use in acknowledging access agreements unless specifically prohibited by organizational policy. Related control: PL-4. ",NONE,The organization ensures that access to information with special protection measures is granted only to individuals who: Have a valid access authorization that is demonstrated by assigned official government duties; and Satisfy associated personnel security criteria. ,"Information with special protection measures includes, for example, privacy information, proprietary information, and Sources and Methods Information (SAMI). Personnel security criteria include, for example, position sensitivity background screening requirements. ",NONE,"The organization ensures that access to classified information with special protection measures is granted only to individuals who: Have a valid access authorization that is demonstrated by assigned official government duties; Satisfy associated personnel security criteria; and Have read, understand, and signed a nondisclosure agreement. ","Examples of special protection measures include, for example, collateral, Special Access Program (SAP) and Sensitive Compartmented Information (SCI). Personnel security criteria are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Personnel Security,PS-7,,Third-party Personnel Security,LOW_MODERATE_HIGH,P1,The organization: Establishes personnel security requirements including security roles and responsibilities for third-party providers; Documents personnel security requirements; and Monitors provider compliance. ,"Third-party providers include, for example, service bureaus, contractors, and other organizations providing information system development, information technology services, outsourced applications, and network and security management. The organization explicitly includes personnel security requirements in acquisition-related documents. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,Personnel Security,PS-8,,Personnel Sanctions,LOW_MODERATE_HIGH,P3,The organization employs a formal sanctions process for personnel failing to comply with established information security policies and procedures. ,"The sanctions process is consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The process is described in access agreements and can be included as part of the general personnel policies and procedures for the organization. Related controls: PL-4, PS-6. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Risk Assessment,RA-1,,Risk Assessment Policy and Procedures,LOW_MODERATE_HIGH,P1,"The organization develops, disseminates, and reviews/updates [ Assignment: organization-defined frequency ]: A formal, documented risk assessment policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and Formal, documented procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls. ","This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the risk assessment family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The risk assessment policy can be included as part of the general information security policy for the organization. Risk assessment procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the risk assessment policy. Related control: PM-9. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Risk Assessment,RA-2,,Security Categorization,LOW_MODERATE_HIGH,P1,"The organization: Categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance; Documents the security categorization results (including supporting rationale) in the security plan for the information system; and Ensures the security categorization decision is reviewed and approved by the authorizing official or authorizing official designated representative. ","A clearly defined authorization boundary is a prerequisite for an effective security categorization. Security categorization describes the potential adverse impacts to organizational operations, organizational assets, and individuals should the information and information system be comprised through a loss of confidentiality, integrity, or availability. The organization conducts the security categorization process as an organization-wide activity with the involvement of the chief information officer, senior information security officer, information system owner, mission owners, and information owners/stewards. The organization also considers potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential national-level adverse impacts in categorizing the information system. The security categorization process facilitates the creation of an inventory of information assets, and in conjunction with CM-8, a mapping to the information system components where the information is processed, stored, and transmitted. Related controls: CM-8, MP-4, SC-7. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Risk Assessment,RA-3,,Risk Assessment,LOW_MODERATE_HIGH,P1,"The organization: Conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of the information system and the information it processes, stores, or transmits; Documents risk assessment results in [ Selection: security plan; risk assessment report; [ Assignment: organization-defined document ]]; Reviews risk assessment results [ Assignment: organization-defined frequency ]; and Updates the risk assessment [ Assignment: organization-defined frequency ] or whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security state of the system. ","A clearly defined authorization boundary is a prerequisite for an effective risk assessment. Risk assessments take into account vulnerabilities, threat sources, and security controls planned or in place to determine the level of residual risk posed to organizational operations and assets, individuals, other organizations, and the Nation based on the operation of the information system. Risk assessments also take into account risk posed to organizational operations, organizational assets, or individuals from external parties (e.g., service providers, contractors operating information systems on behalf of the organization, individuals accessing organizational information systems, outsourcing entities). In accordance with OMB policy and related E-authentication initiatives, authentication of public users accessing federal information systems may also be required to protect nonpublic or privacy-related information. As such, organizational assessments of risk also address public access to federal information systems. The General Services Administration provides tools supporting that portion of the risk assessment dealing with public access to federal information systems. Risk assessments (either formal or informal) can be conducted by organizations at various steps in the Risk Management Framework including: information system categorization; security control selection; security control implementation; security control assessment; information system authorization; and security control monitoring. RA-3 is a noteworthy security control in that the control must be partially implemented prior to the implementation of other controls in order to complete the first two steps in the Risk Management Framework. Risk assessments can play an important role in the security control selection process during the application of tailoring guidance for security control baselines and when considering supplementing the tailored baselines with additional security controls or control enhancements. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Risk Assessment,RA-4,,Risk Assessment Update,NONE,,[ Withdrawn: Incorporated into RA-3 ]. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,Risk Assessment,RA-5,,Vulnerability Scanning,LOW_MODERATE_HIGH,P1,"The organization: Scans for vulnerabilities in the information system and hosted applications [ Assignment: organization-defined frequency and/or randomly in accordance with organization-defined process ] and when new vulnerabilities potentially affecting the system/applications are identified and reported; Employs vulnerability scanning tools and techniques that promote interoperability among tools and automate parts of the vulnerability management process by using standards for: Enumerating platforms, software flaws, and improper configurations; Formatting and making transparent, checklists and test procedures; and Measuring vulnerability impact; Analyzes vulnerability scan reports and results from security control assessments; Remediates legitimate vulnerabilities [ Assignment: organization-defined response times ] in accordance with an organizational assessment of risk; and Shares information obtained from the vulnerability scanning process and security control assessments with designated personnel throughout the organization to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies). ","The security categorization of the information system guides the frequency and comprehensiveness of the vulnerability scans. Vulnerability analysis for custom software and applications may require additional, more specialized techniques and approaches (e.g., web-based application scanners, source code reviews, source code analyzers). Vulnerability scanning includes scanning for specific functions, ports, protocols, and services that should not be accessible to users or devices and for improperly configured or incorrectly operating information flow mechanisms. The organization considers using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to test for the presence of vulnerabilities. The Common Weakness Enumeration (CWE) and the National Vulnerability Database (NVD) are also excellent sources for vulnerability information. In addition, security control assessments such as red team exercises are another source of potential vulnerabilities for which to scan. Related controls: CA-2, CM-6, RA-3, SI-2. ",MODERATE_HIGH,The organization employs vulnerability scanning tools that include the capability to readily update the list of information system vulnerabilities scanned. ,,HIGH,The organization updates the list of information system vulnerabilities scanned [ Assignment: organization-defined frequency ] or when new vulnerabilities are identified and reported. ,,HIGH,"The organization employs vulnerability scanning procedures that can demonstrate the breadth and depth of coverage (i.e., information system components scanned and vulnerabilities checked). ",,HIGH,The organization attempts to discern what information about the information system is discoverable by adversaries. ,,HIGH,The organization includes privileged access authorization to [ Assignment: organization-identified information system components ] for selected vulnerability scanning activities to facilitate more thorough scanning. ,,NONE,The organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities. ,,HIGH,The organization employs automated mechanisms [ Assignment: organization-defined frequency ] to detect the presence of unauthorized software on organizational information systems and notify designated organizational officials. ,,NONE,The organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited. ,,NONE,The organization employs an independent penetration agent or penetration team to: Conduct a vulnerability analysis on the information system; and Perform penetration testing on the information system based on the vulnerability analysis to determine the exploitability of identified vulnerabilities. ,A standard method for penetration testing includes: (i) pre-test analysis based on full knowledge of the target information system; (ii) pre-test identification of potential vulnerabilities based on pre-test analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. Detailed rules of engagement are agreed upon by all parties before the commencement of any penetration testing scenario. ,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,System and Services Acquisition,SA-1,,System and Services Acquisition Policy and Procedures,LOW_MODERATE_HIGH,P1,"The organization develops, disseminates, and reviews/updates [ Assignment: organization-defined frequency ]: A formal, documented system and services acquisition policy that includes information security considerations and that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and Formal, documented procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls. ","This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the system and services acquisition family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The system and services acquisition policy can be included as part of the general information security policy for the organization. System and services acquisition procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the system and services acquisition policy. Related control: PM-9. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,System and Services Acquisition,SA-2,,Allocation of Resources,LOW_MODERATE_HIGH,P1,"The organization: Includes a determination of information security requirements for the information system in mission/business process planning; Determines, documents, and allocates the resources required to protect the information system as part of its capital planning and investment control process; and Establishes a discrete line item for information security in organizational programming and budgeting documentation. ","Related controls: PM-3, PM-11. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,System and Services Acquisition,SA-3,,Life Cycle Support,LOW_MODERATE_HIGH,P1,The organization: Manages the information system using a system development life cycle methodology that includes information security considerations; Defines and documents information system security roles and responsibilities throughout the system development life cycle; and Identifies individuals having information system security roles and responsibilities. ,Related control: PM-7. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,System and Services Acquisition,SA-4,,Acquisitions,LOW_MODERATE_HIGH,P1,"The organization includes the following requirements and/or specifications, explicitly or by reference, in information system acquisition contracts based on an assessment of risk and in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards: Security functional requirements/specifications; Security-related documentation requirements; and Developmental and evaluation-related assurance requirements. ","The acquisition documents for information systems, information system components, and information system services include, either explicitly or by reference, security requirements that describe: (i) required security capabilities (i.e., security needs and, as necessary, specific security controls and other specific FISMA requirements); (ii) required design and development processes; (iii) required test and evaluation procedures; and (iv) required documentation. The requirements in the acquisition documents permit updating security controls as new threats/vulnerabilities are identified and as new technologies are implemented. Acquisition documents also include requirements for appropriate information system documentation. The documentation addresses user and system administrator guidance and information regarding the implementation of the security controls in the information system. The level of detail required in the documentation is based on the security categorization for the information system. In addition, the required documentation includes security configuration settings and security implementation guidance. FISMA reporting instructions provide guidance on configuration requirements for federal information systems. ",MODERATE_HIGH,"The organization requires in acquisition documents that vendors/contractors provide information describing the functional properties of the security controls to be employed within the information system, information system components, or information system services in sufficient detail to permit analysis and testing of the controls. ",,HIGH,"The organization requires in acquisition documents that vendors/contractors provide information describing the design and implementation details of the security controls to be employed within the information system, information system components, or information system services (including functional interfaces among control components) in sufficient detail to permit analysis and testing of the controls. ",,NONE,"The organization requires software vendors/manufacturers to demonstrate that their software development processes employ state-of-the-practice software and security engineering methods, quality control processes, and validation techniques to minimize flawed or malformed software. ",,MODERATE_HIGH,"The organization ensures that each information system component acquired is explicitly assigned to an information system, and that the owner of the system acknowledges this assignment. ",,NONE,"The organization requires in acquisition documents, that information system components are delivered in a secure, documented configuration, and that the secure configuration is the default configuration for any software reinstalls or upgrades. ",,NONE,The organization: Employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that composes an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and Ensures that these products have been evaluated and/or validated by the NSA or in accordance with NSA-approved procedures. ,"COTS IA or IA-enabled information technology products used to protect classified information by cryptographic means, may be required to use NSA-approved key management. ",NONE,"The organization: Limits the use of commercially provided information technology products to those products that have been successfully evaluated against a validated U.S. Government Protection Profile for a specific technology type, if such a profile exists; and Requires, if no U.S. Government Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, then the cryptographic module is FIPS-validated. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,System and Services Acquisition,SA-5,,Information System Documentation,LOW_MODERATE_HIGH,P2,"The organization: Obtains, protects as required, and makes available to authorized personnel, administrator documentation for the information system that describes: Secure configuration, installation, and operation of the information system; Effective use and maintenance of security features/functions; and Known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions; and Obtains, protects as required, and makes available to authorized personnel, user documentation for the information system that describes: User-accessible security features/functions and how to effectively use those security features/functions; Methods for user interaction with the information system, which enables individuals to use the system in a more secure manner; and User responsibilities in maintaining the security of the information and information system; and Documents attempts to obtain information system documentation when such documentation is either unavailable or nonexistent. ","The inability of the organization to obtain necessary information system documentation may occur, for example, due to the age of the system and/or lack of support from the vendor/contractor. In those situations, organizations may need to recreate selected information system documentation if such documentation is essential to the effective implementation and/or operation of security controls. ",MODERATE_HIGH,"The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the functional properties of the security controls employed within the information system with sufficient detail to permit analysis and testing. ",,HIGH,"The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the security-relevant external interfaces to the information system with sufficient detail to permit analysis and testing. ",,MODERATE_HIGH,"The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the high-level design of the information system in terms of subsystems and implementation details of the security controls employed within the system with sufficient detail to permit analysis and testing. ",An information system can be partitioned into multiple subsystems. ,NONE,"The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the low-level design of the information system in terms of modules and implementation details of the security controls employed within the system with sufficient detail to permit analysis and testing. ",Each subsystem within an information system can contain one or more modules. ,NONE,"The organization obtains, protects as required, and makes available to authorized personnel, the source code for the information system to permit analysis and testing. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,System and Services Acquisition,SA-6,,Software Usage Restrictions,LOW_MODERATE_HIGH,P1,"The organization: Uses software and associated documentation in accordance with contract agreements and copyright laws; Employs tracking systems for software and associated documentation protected by quantity licenses to control copying and distribution; and Controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work. ","Tracking systems can include, for example, simple spreadsheets or fully automated, specialized applications depending on the needs of the organization. ",NONE,The organization: Prohibits the use of binary or machine executable code from sources with limited or no warranty without accompanying source code; and Provides exceptions to the source code requirement only for compelling mission/operational requirements when no alternative solutions are available and with the express written consent of the authorizing official. ,"Software products without accompanying source code from sources with limited or no warranty are assessed for potential security impacts. The assessment addresses the fact that these types of software products are difficult or impossible to review, repair, or extend, given that the organization does not have access to the original source code and there is no owner who could make such repairs on behalf of the organization. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,System and Services Acquisition,SA-7,,User-installed Software,LOW_MODERATE_HIGH,P1,The organization enforces explicit rules governing the installation of software by users. ,"If provided the necessary privileges, users have the ability to install software. The organization identifies what types of software installations are permitted (e.g., updates and security patches to existing software) and what types of installations are prohibited (e.g., software whose pedigree with regard to being potentially malicious is unknown or suspect). Related control: CM-2. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,System and Services Acquisition,SA-8,,Security Engineering Principles,MODERATE_HIGH,P1,"The organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system. ","The application of security engineering principles is primarily targeted at new development information systems or systems undergoing major upgrades and is integrated into the system development life cycle. For legacy information systems, the organization applies security engineering principles to system upgrades and modifications to the extent feasible, given the current state of the hardware, software, and firmware within the system. Examples of security engineering principles include, for example: (i) developing layered protections; (ii) establishing sound security policy, architecture, and controls as the foundation for design; (iii) incorporating security into the system development life cycle; (iv) delineating physical and logical security boundaries; (v) ensuring system developers and integrators are trained on how to develop secure software; (vi) tailoring security controls to meet organizational and operational needs; and (vii) reducing risk to acceptable levels, thus enabling informed risk management decisions. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,System and Services Acquisition,SA-9,,External Information System Services,LOW_MODERATE_HIGH,P1,"The organization: Requires that providers of external information system services comply with organizational information security requirements and employ appropriate security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance; Defines and documents government oversight and user roles and responsibilities with regard to external information system services; and Monitors security control compliance by external service providers. ","An external information system service is a service that is implemented outside of the authorization boundary of the organizational information system (i.e., a service that is used by, but not a part of, the organizational information system). Relationships with external service providers are established in a variety of ways, for example, through joint ventures, business partnerships, outsourcing arrangements (i.e., contracts, interagency agreements, lines of business arrangements), licensing agreements, and/or supply chain exchanges. The responsibility for adequately mitigating risks arising from the use of external information system services remains with the authorizing official. Authorizing officials require that an appropriate chain of trust be established with external service providers when dealing with the many issues associated with information security. For services external to the organization, a chain of trust requires that the organization establish and retain a level of confidence that each participating provider in the potentially complex consumer-provider relationship provides adequate protection for the services rendered to the organization. The extent and nature of this chain of trust varies based on the relationship between the organization and the external provider. Where a sufficient level of trust cannot be established in the external services and/or service providers, the organization employs compensating security controls or accepts the greater degree of risk. The external information system services documentation includes government, service provider, and end user security roles and responsibilities, and any service-level agreements. Service-level agreements define the expectations of performance for each required security control, describe measurable outcomes, and identify remedies and response requirements for any identified instance of noncompliance. ",NONE,The organization: Conducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services; and Ensures that the acquisition or outsourcing of dedicated information security services is approved by [ Assignment: organization-defined senior organizational official ]. ,"Dedicated information security services include, for example, incident monitoring, analysis and response, operation of information security-related devices such as firewalls, or key management services. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,System and Services Acquisition,SA-10,,Developer Configuration Management,MODERATE_HIGH,P1,"The organization requires that information system developers/integrators: Perform configuration management during information system design, development, implementation, and operation; Manage and control changes to the information system; Implement only organization-approved changes; Document approved changes to the information system; and Track security flaws and flaw resolution. ","Related controls: CM-3, CM-4, CM-9. ",NONE,The organization requires that information system developers/integrators provide an integrity check of software to facilitate organizational verification of software integrity after delivery. ,,NONE,The organization provides an alternative configuration management process with organizational personnel in the absence of dedicated developer/integrator configuration management team. ,"The configuration management process includes key organizational personnel that are responsible for reviewing and approving proposed changes to the information system, and security personnel that conduct impact analyses prior to the implementation of any changes to the system. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,System and Services Acquisition,SA-11,,Developer Security Testing,MODERATE_HIGH,P2,"The organization requires that information system developers/integrators, in consultation with associated security personnel (including security engineers): Create and implement a security test and evaluation plan; Implement a verifiable flaw remediation process to correct weaknesses and deficiencies identified during the security testing and evaluation process; and Document the results of the security testing/evaluation and flaw remediation processes. ","Developmental security test results are used to the greatest extent feasible after verification of the results and recognizing that these results are impacted whenever there have been security-relevant modifications to the information system subsequent to developer testing. Test results may be used in support of the security authorization process for the delivered information system. Related control: CA-2, SI-2. ",NONE,The organization requires that information system developers/integrators employ code analysis tools to examine software for common flaws and document the results of the analysis. ,,NONE,"The organization requires that information system developers/integrators perform a vulnerability analysis to document vulnerabilities, exploitation potential, and risk mitigations. ",,NONE,The organization requires that information system developers/integrators create a security test and evaluation plan and implement the plan under the witness of an independent verification and validation agent. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,System and Services Acquisition,SA-12,,Supply Chain Protection,HIGH,P1,"The organization protects against supply chain threats by employing: [ Assignment: organization-defined list of measures to protect against supply chain threats ] as part of a comprehensive, defense-in-breadth information security strategy. ","A defense-in-breadth approach helps to protect information systems (including the information technology products that compose those systems) throughout the system development life cycle (i.e., during design and development, manufacturing, packaging, assembly, distribution, system integration, operations, maintenance, and retirement). This is accomplished by the identification, management, and elimination of vulnerabilities at each phase of the life cycle and the use of complementary, mutually reinforcing strategies to mitigate risk. ",NONE,The organization purchases all anticipated information system components and spares in the initial acquisition. ,Stockpiling information system components and spares avoids the need to use less trustworthy secondary or resale markets in future years. ,NONE,"The organization conducts a due diligence review of suppliers prior to entering into contractual agreements to acquire information system hardware, software, firmware, or services. ",The organization reviews supplier claims with regard to the use of appropriate security processes in the development and manufacture of information system components or products. ,NONE,"The organization uses trusted shipping and warehousing for information systems, information system components, and information technology products. ",Trusted shipping and warehousing reduces opportunities for subversive activities or interception during transit. Examples of supporting techniques include the use of a geographically aware beacon to detect shipment diversions or delays. Related control: PE-16. ,NONE,"The organization employs a diverse set of suppliers for information systems, information system components, information technology products, and information system services. ","Diversification of suppliers is intended to limit the potential harm from a given supplier in a supply chain, increasing the work factor for an adversary. ",NONE,"The organization employs standard configurations for information systems, information system components, and information technology products. ","By avoiding the purchase of custom configurations for information systems, information system components, and information technology products, the organization limits the possibility of acquiring systems and products that have been corrupted via the supply chain actions targeted at the organization. ",NONE,"The organization minimizes the time between purchase decisions and delivery of information systems, information system components, and information technology products. ","By minimizing the time between purchase decisions and required delivery of information systems, information system components, and information technology products, the organization limits the opportunity for an adversary to corrupt the purchased system, component, or product. ",NONE,"The organization employs independent analysis and penetration testing against delivered information systems, information system components, and information technology products. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,System and Services Acquisition,SA-13,,Trustworthiness,HIGH,P1,The organization requires that the information system meets [ Assignment: organization-defined level of trustworthiness ]. ,"The intent of this control is to ensure that organizations recognize the importance of trustworthiness and making explicit trustworthiness decisions when designing, developing, and implementing organizational information systems. Trustworthiness is a characteristic or property of an information system that expresses the degree to which the system can be expected to preserve the confidentiality, integrity, and availability of the information being processed, stored, or transmitted by the system. Trustworthy information systems are systems that are capable of being trusted to operate within defined levels of risk despite the environmental disruptions, human errors, and purposeful attacks that are expected to occur in the specified environments of operation. Two factors affecting the trustworthiness of an information system include: (i) security functionality (i.e., the security features or functions employed within the system); and (ii) security assurance (i.e., the grounds for confidence that the security functionality is effective in its application). Appropriate security functionality for the information system can be obtained by using the Risk Management Framework (Steps 1, 2, and 3) to select and implement the necessary management, operational, and technical security controls necessary to mitigate risk to organizational operations and assets, individuals, other organizations, and the Nation. Appropriate security assurance can be obtained by: (i) the actions taken by developers and implementers of security controls with regard to the design, development, implementation, and operation of those controls; and (ii) the actions taken by assessors to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements for the information system. Developers and implementers can increase the assurance in security controls by employing well-defined security policy models, structured, disciplined, and rigorous hardware and software development techniques, and sound system/security engineering principles. Assurance is also based on the assessment of evidence produced during the initiation, acquisition/development, implementation, and operations/maintenance phases of the system development life cycle. For example, developmental evidence may include the techniques and methods used to design and develop security functionality. Operational evidence may include flaw reporting and remediation, the results of security incident reporting, and the results of the ongoing monitoring of security controls. Independent assessments by qualified assessors may include analyses of the evidence as well as testing, inspections, and audits. Minimum assurance requirements are described in Appendix E. Explicit trustworthiness decisions highlight situations where achieving the information system resilience and security capability necessary to withstand cyber attacks from adversaries with certain threat capabilities may require adjusting the risk management strategy, the design of mission/business processes with regard to automation, the selection and implementation rigor of management and operational protections, or the selection of information technology components with higher levels of trustworthiness. Trustworthiness may be defined on a component-by-component, subsystem-by-subsystem, or function-by-function basis. It is noted, however, that typically functions, subsystems, and components are highly interrelated, making separation by trustworthiness perhaps problematic and at a minimum, something that likely requires careful attention in order to achieve practically useful results. Related controls: RA-2, SA-4, SA-8, SC-3. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Management,System and Services Acquisition,SA-14,,Critical Information System Components,NONE,P0,The organization: Determines [ Assignment: organization-defined list of critical information system components that require re-implementation ]; and Re-implements or custom develops such information system components. ,"The underlying assumption is that the list of information technology products defined by the organization cannot be trusted due to threats from the supply chain that the organization finds unacceptable. The organization re-implements or custom develops such components to satisfy requirements for high assurance. Related controls: SA-12, SA-13. ",NONE,The organization: Identifies information system components for which alternative sourcing is not viable; and Employs [ Assignment: organization-defined measures ] to ensure that critical security controls for the information system components are not compromised. ,"Measures that the organization considers implementing include, for example, enhanced auditing, restrictions on source code and system utility access, and protection from deletion of system and application files. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-1,,System and Communications Protection Policy and Procedures,LOW_MODERATE_HIGH,P1,"The organization develops, disseminates, and reviews/updates [ Assignment: organization-defined frequency ]: A formal, documented system and communications protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and Formal, documented procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls. ","This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the system and communications protection family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The system and communications protection policy can be included as part of the general information security policy for the organization. System and communications protection procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the system and communications protection policy. Related control: PM-9. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-2,,Application Partitioning,MODERATE_HIGH,P1,The information system separates user functionality (including user interface services) from information system management functionality. ,"Information system management functionality includes, for example, functions necessary to administer databases, network components, workstations, or servers, and typically requires privileged user access. The separation of user functionality from information system management functionality is either physical or logical and is accomplished by using different computers, different central processing units, different instances of the operating system, different network addresses, combinations of these methods, or other methods as appropriate. An example of this type of separation is observed in web administrative interfaces that use separate authentication methods for users of any other information system resources. This may include isolating the administrative interface on a different domain and with additional access controls. ",NONE,"The information system prevents the presentation of information system management-related functionality at an interface for general (i.e., non-privileged) users. ","The intent of this control enhancement is to ensure that administration options are not available to general users (including prohibiting the use of the grey-out option commonly used to eliminate accessibility to such information). For example, administration options are not presented until the user has appropriately established a session with administrator privileges. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-3,,Security Function Isolation,HIGH,P1,The information system isolates security functions from nonsecurity functions. ,"The information system isolates security functions from nonsecurity functions by means of an isolation boundary (implemented via partitions and domains) that controls access to and protects the integrity of, the hardware, software, and firmware that perform those security functions. The information system maintains a separate execution domain (e.g., address space) for each executing process. Related control: SA-13. ",NONE,The information system implements underlying hardware separation mechanisms to facilitate security function isolation. ,,NONE,The information system isolates security functions enforcing access and information flow control from both nonsecurity functions and from other security functions. ,,NONE,The organization implements an information system isolation boundary to minimize the number of nonsecurity functions included within the boundary containing security functions. ,Nonsecurity functions contained within the isolation boundary are considered security-relevant. ,NONE,The organization implements security functions as largely independent modules that avoid unnecessary interactions between modules. ,,NONE,The organization implements security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-4,,Information In Shared Resources,MODERATE_HIGH,P1,The information system prevents unauthorized and unintended information transfer via shared system resources. ,"The purpose of this control is to prevent information, including encrypted representations of information, produced by the actions of a prior user/role (or the actions of a process acting on behalf of a prior user/role) from being available to any current user/role (or current process) that obtains access to a shared system resource (e.g., registers, main memory, secondary storage) after that resource has been released back to the information system. Control of information in shared resources is also referred to as object reuse. This control does not address: (i) information remanence which refers to residual representation of data that has been in some way nominally erased or removed; (ii) covert channels where shared resources are manipulated to achieve a violation of information flow restrictions; or (iii) components in the information system for which there is only a single user/role. ",NONE,The information system does not share resources that are used to interface with systems operating at different security levels. ,"Shared resources include, for example, memory, input/output queues, and network interface cards. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-5,,Denial of Service Protection,LOW_MODERATE_HIGH,P1,The information system protects against or limits the effects of the following types of denial of service attacks: [ Assignment: organization-defined list of types of denial of service attacks or reference to source for current list ]. ,"A variety of technologies exist to limit, or in some cases, eliminate the effects of denial of service attacks. For example, boundary protection devices can filter certain types of packets to protect devices on an organizations internal network from being directly affected by denial of service attacks. Employing increased capacity and bandwidth combined with service redundancy may reduce the susceptibility to some denial of service attacks. Related control: SC-7. ",NONE,The information system restricts the ability of users to launch denial of service attacks against other information systems or networks. ,,NONE,"The information system manages excess capacity, bandwidth, or other redundancy to limit the effects of information flooding types of denial of service attacks. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-6,,Resource Priority,NONE,P0,The information system limits the use of resources by priority. ,Priority protection helps prevent a lower-priority process from delaying or interfering with the information system servicing any higher-priority process. This control does not apply to components in the information system for which there is only a single user/role. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-7,,Boundary Protection,LOW_MODERATE_HIGH,P1,The information system: Monitors and controls communications at the external boundary of the system and at key internal boundaries within the system; and Connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture. ,"Restricting external web traffic only to organizational web servers within managed interfaces and prohibiting external traffic that appears to be spoofing an internal address as the source are examples of restricting and prohibiting communications. Managed interfaces employing boundary protection devices include, for example, proxies, gateways, routers, firewalls, guards, or encrypted tunnels arranged in an effective security architecture (e.g., routers protecting firewalls and application gateways residing on a protected subnetwork commonly referred to as a demilitarized zone or DMZ). The organization considers the intrinsically shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers, and may include third-party provided access lines and other service elements. Consequently, such interconnecting transmission services may represent sources of increased risk despite contract security provisions. Therefore, when this situation occurs, the organization either implements appropriate compensating security controls or explicitly accepts the additional risk. Related controls: AC-4, IR-4, SC-5. ",MODERATE_HIGH,The organization physically allocates publicly accessible information system components to separate subnetworks with separate physical network interfaces. ,"Publicly accessible information system components include, for example, public web servers. ",MODERATE_HIGH,The information system prevents public access into the organizations internal networks except as appropriately mediated by managed interfaces employing boundary protection devices. ,,MODERATE_HIGH,The organization limits the number of access points to the information system to allow for more comprehensive monitoring of inbound and outbound communications and network traffic. ,The Trusted Internet Connection (TIC) initiative is an example of limiting the number of managed network access points. ,MODERATE_HIGH,The organization: Implements a managed interface for each external telecommunication service; Establishes a traffic flow policy for each managed interface; Employs security controls as needed to protect the confidentiality and integrity of the information being transmitted; Documents each exception to the traffic flow policy with a supporting mission/business need and duration of that need; Reviews exceptions to the traffic flow policy [ Assignment: organization-defined frequency ]; and Removes traffic flow policy exceptions that are no longer supported by an explicit mission/business need. ,,MODERATE_HIGH,"The information system at managed interfaces, denies network traffic by default and allows network traffic by exception (i.e., deny all, permit by exception). ",,HIGH,The organization prevents the unauthorized release of information outside of the information system boundary or any unauthorized communication through the information system boundary when there is an operational failure of the boundary protection mechanisms. ,,MODERATE_HIGH,The information system prevents remote devices that have established a non-remote connection with the system from communicating outside of that communications path with resources in external networks. ,"This control enhancement is implemented within the remote device (e.g., notebook/laptop computer) via configuration settings that are not configurable by the user of that device. An example of a non-remote communications path from a remote device is a virtual private network. When a non-remote connection is established using a virtual private network, the configuration settings prevent split-tunneling. Split tunneling might otherwise be used by remote users to communicate with the information system as an extension of that system and to communicate with local resources such as a printer or file server. Since the remote device, when connected by a non-remote connection, becomes an extension of the information system, allowing dual communications paths such as split-tunneling would be, in effect, allowing unauthorized external connections into the system. ",HIGH,The information system routes [ Assignment: organization-defined internal communications traffic ] to [ Assignment: organization-defined external networks ] through authenticated proxy servers within the managed interfaces of boundary protection devices. ,"External networks are networks outside the control of the organization. Proxy servers support logging individual Transmission Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators (URLs), domain names, and Internet Protocol (IP) addresses. Proxy servers are also configurable with organization-defined lists of authorized and unauthorized websites. ",NONE,"The information system, at managed interfaces, denies network traffic and audits internal users (or malicious code) posing a threat to external information systems. ",Detecting internal actions that may pose a security threat to external information systems is sometimes termed extrusion detection. Extrusion detection at the information system boundary includes the analysis of network traffic (incoming as well as outgoing) looking for indications of an internal threat to the security of external systems. ,NONE,The organization prevents the unauthorized exfiltration of information across managed interfaces. ,"Measures to prevent unauthorized exfiltration of information from the information system include, for example: (i) strict adherence to protocol formats; (ii) monitoring for indications of beaconing from the information system; (iii) monitoring for use of steganography; (iv) disconnecting external network interfaces except when explicitly needed; (v) disassembling and reassembling packet headers; and (vi) employing traffic profile analysis to detect deviations from the volume or types of traffic expected within the organization. Examples of devices enforcing strict adherence to protocol formats include, for example, deep packet inspection firewalls and XML gateways. These devices verify adherence to the protocol specification at the application layer and serve to identify vulnerabilities that cannot be detected by devices operating at the network or transport layer. ",NONE,The information system checks incoming communications to ensure that the communications are coming from an authorized source and routed to an authorized destination. ,,NONE,"The information system implements host-based boundary protection mechanisms for servers, workstations, and mobile devices. ","A host-based boundary protection mechanism is, for example, a host-based firewall. Host-based boundary protection mechanisms are employed on mobile devices, such as notebook/laptop computers, and other types of mobile devices where such boundary protection mechanisms are available. ",NONE,"The organization isolates [ Assignment: organization defined key information security tools, mechanisms, and support components ] from other internal information system components via physically separate subnets with managed interfaces to other portions of the system. ",,NONE,The organization protects against unauthorized physical connections across the boundary protections implemented at [ Assignment: organization-defined list of managed interfaces ]. ,"Information systems operating at different security categories may routinely share common physical and environmental controls, since the systems may share space within organizational facilities. In practice, it is possible that these separate information systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved, for example, by employing clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls enforcing limited authorized access to these items. Related control: PE-4. ",NONE,"The information system routes all networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing. ","Related controls: AC-2, AC-3, AC-4, AU-2. ",NONE,The information system prevents discovery of specific system components (or devices) composing a managed interface. ,"This control enhancement is intended to protect the network addresses of information system components that are part of the managed interface from discovery through common tools and techniques used to identify devices on a network. The network addresses are not available for discovery (e.g., not published or entered in the domain name system), requiring prior knowledge for access. Another obfuscation technique is to periodically change network addresses. ",NONE,The organization employs automated mechanisms to enforce strict adherence to protocol format. ,"Automated mechanisms used to enforce protocol formats include, for example, deep packet inspection firewalls and XML gateways. These devices verify adherence to the protocol specification (e.g., IEEE) at the application layer and serve to identify significant vulnerabilities that cannot be detected by devices operating at the network or transport layer. ",NONE,The information system fails securely in the event of an operational failure of a boundary protection device. ,"Fail secure is a condition achieved by the application of a set of information system mechanisms to ensure that in the event of an operational failure of a boundary protection device at a managed interface (e.g., router, firewall, guard, application gateway residing on a protected subnetwork commonly referred to as a demilitarized zone), the system does not enter into an unsecure state where intended security properties no longer hold. A failure of a boundary protection device cannot lead to, or cause information external to the boundary protection device to enter the device, nor can a failure permit unauthorized information release. "
+Technical,System and Communications Protection,SC-8,,Transmission Integrity,MODERATE_HIGH,P1,The information system protects the integrity of transmitted information. ,"This control applies to communications across internal and external networks. If the organization is relying on a commercial service provider for transmission services as a commodity item rather than a fully dedicated service, it may be more difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission integrity. When it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, the organization either implements appropriate compensating security controls or explicitly accepts the additional risk. Related controls: AC-17, PE-4. ",MODERATE_HIGH,The organization employs cryptographic mechanisms to recognize changes to information during transmission unless otherwise protected by alternative physical measures. ,"Alternative physical protection measures include, for example, protected distribution systems. Related control: SC-13. ",NONE,"The information system maintains the integrity of information during aggregation, packaging, and transformation in preparation for transmission. ","Information can be intentionally and/or maliciously modified at data aggregation or protocol transformation points, compromising the integrity of the information. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-9,,Transmission Confidentiality,MODERATE_HIGH,P1,The information system protects the confidentiality of transmitted information. ,"This control applies to communications across internal and external networks. If the organization is relying on a commercial service provider for transmission services as a commodity item rather than a fully dedicated service, it may be more difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission confidentiality. When it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, the organization either implements appropriate compensating security controls or explicitly accepts the additional risk. Related controls: AC-17, PE-4. ",MODERATE_HIGH,The organization employs cryptographic mechanisms to prevent unauthorized disclosure of information during transmission unless otherwise protected by [ Assignment: organization-defined alternative physical measures ]. ,"Alternative physical protection measures include, for example, protected distribution systems. Related control: SC-13. ",NONE,"The information system maintains the confidentiality of information during aggregation, packaging, and transformation in preparation for transmission. ","Information can be intentionally and/or maliciously disclosed at data aggregation or protocol transformation points, compromising the confidentiality of the information. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-10,,Network Disconnect,MODERATE_HIGH,P2,The information system terminates the network connection associated with a communications session at the end of the session or after [ Assignment: organization-defined time period ] of inactivity. ,"This control applies to both internal and external networks. Terminating network connections associated with communications sessions include, for example, de-allocating associated TCP/IP address/port pairs at the operating-system level, or de-allocating networking assignments at the application level if multiple application sessions are using a single, operating system-level network connection. The time period of inactivity may, as the organization deems necessary, be a set of time periods by type of network access or for specific accesses. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-11,,Trusted Path,NONE,P0,"The information system establishes a trusted communications path between the user and the following security functions of the system: [ Assignment: organization-defined security functions to include at a minimum, information system authentication and reauthentication ]. ","A trusted path is employed for high-confidence connections between the security functions of the information system and the user (e.g., for login). ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-12,,Cryptographic Key Establishment and Management,LOW_MODERATE_HIGH,P1,The organization establishes and manages cryptographic keys for required cryptography employed within the information system. ,"Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. In addition to being required for the effective operation of a cryptographic mechanism, effective cryptographic key management provides protections to maintain the availability of the information in the event of the loss of cryptographic keys by users. ",HIGH,The organization maintains availability of information in the event of the loss of cryptographic keys by users. ,,NONE,"The organization produces, controls, and distributes symmetric cryptographic keys using [ Selection: NIST-approved, NSA-approved ] key management technology and processes. ",,NONE,"The organization produces, controls, and distributes symmetric and asymmetric cryptographic keys using NSA-approved key management technology and processes. ",,NONE,"The organization produces, controls, and distributes asymmetric cryptographic keys using approved PKI Class 3 certificates or prepositioned keying material. ",,NONE,"The organization produces, controls, and distributes asymmetric cryptographic keys using approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user's private key. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-13,,Use of Cryptography,LOW_MODERATE_HIGH,P1,"The information system implements required cryptographic protections using cryptographic modules that comply with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. ",None. ,NONE,"The organization employs, at a minimum, FIPS-validated cryptography to protect unclassified information. ",,NONE,The organization employs NSA-approved cryptography to protect classified information. ,,NONE,"The organization employs, at a minimum, FIPS-validated cryptography to protect information when such information must be separated from individuals who have the necessary clearances yet lack the necessary access approvals. ",,NONE,The organization employs [ Selection: FIPS-validated; NSA-approved ] cryptography to implement digital signatures. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-14,,Public Access Protections,LOW_MODERATE_HIGH,P1,The information system protects the integrity and availability of publicly available information and applications. ,The purpose of this control is to ensure that organizations explicitly address the protection needs for public information and applications with such protection likely being implemented as part of other security controls. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-15,,Collaborative Computing Devices,LOW_MODERATE_HIGH,P1,The information system: Prohibits remote activation of collaborative computing devices with the following exceptions: [ Assignment: organization-defined exceptions where remote activation is to be allowed ]; and Provides an explicit indication of use to users physically present at the devices. ,"Collaborative computing devices include, for example, networked white boards, cameras, and microphones. Explicit indication of use includes, for example, signals to users when collaborative computing devices are activated ",NONE,The information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use. ,,NONE,The information system or supporting environment blocks both inbound and outbound traffic between instant messaging clients that are independently configured by end users and external service providers. ,Blocking restrictions do not include instant messaging services that are configured by an organization to perform an authorized function. ,NONE,The organization disables or removes collaborative computing devices from information systems in [ Assignment: organization-defined secure work areas ]. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-16,,Transmission of Security Attributes,NONE,P0,The information system associates security attributes with information exchanged between information systems. ,Security attributes may be explicitly or implicitly associated with the information contained within the information system. Related control: AC-16. ,NONE,The information system validates the integrity of security attributes exchanged between systems. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-17,,Public Key Infrastructure Certificates,MODERATE_HIGH,P1,The organization issues public key certificates under an [ Assignment: organization-defined certificate policy ] or obtains public key certificates under an appropriate certificate policy from an approved service provider. ,"For user certificates, each organization attains certificates from an approved, shared service provider, as required by OMB policy. For federal agencies operating a legacy public key infrastructure cross-certified with the Federal Bridge Certification Authority at medium assurance or higher, this Certification Authority will suffice. This control focuses on certificates with a visibility external to the information system and does not include certificates related to internal system operations, for example, application-specific time services. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-18,,Mobile Code,MODERATE_HIGH,P1,"The organization: Defines acceptable and unacceptable mobile code and mobile code technologies; Establishes usage restrictions and implementation guidance for acceptable mobile code and mobile code technologies; and Authorizes, monitors, and controls the use of mobile code within the information system. ","Decisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the system if used maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX, PDF, Postscript, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed on organizational servers and mobile code downloaded and executed on individual workstations. Policy and procedures related to mobile code, address preventing the development, acquisition, or introduction of unacceptable mobile code within the information system. ",NONE,"The information system implements detection and inspection mechanisms to identify unauthorized mobile code and takes corrective actions, when necessary. ","Corrective actions when unauthorized mobile code is detected include, for example, blocking, quarantine, or alerting administrator. Disallowed transfers include, for example, sending word processing files with embedded macros. ",NONE,"The organization ensures the acquisition, development, and/or use of mobile code to be deployed in information systems meets [ Assignment: organization-defined mobile code requirements ]. ",,NONE,The information system prevents the download and execution of prohibited mobile code. ,,NONE,The information system prevents the automatic execution of mobile code in [ Assignment: organization-defined software applications ] and requires [ Assignment: organization-defined actions ] prior to executing the code. ,"Actions required before executing mobile code, include, for example, prompting users prior to opening electronic mail attachments. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-19,,Voice Over Internet Protocol,MODERATE_HIGH,P1,"The organization: Establishes usage restrictions and implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously; and Authorizes, monitors, and controls the use of VoIP within the information system. ",None. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-20,,Secure Name / Address Resolution Service (Authoritative Source),LOW_MODERATE_HIGH,P1,The information system provides additional data origin and integrity artifacts along with the authoritative data the system returns in response to name/address resolution queries. ,"This control enables remote clients to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. A domain name system (DNS) server is an example of an information system that provides name/address resolution service. Digital signatures and cryptographic keys are examples of additional artifacts. DNS resource records are examples of authoritative data. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to assure the authenticity and integrity of response data. The DNS security controls are consistent with, and referenced from, OMB Memorandum 08-23. ",LOW_MODERATE_HIGH,"The information system, when operating as part of a distributed, hierarchical namespace, provides the means to indicate the security status of child subspaces and (if the child supports secure resolution services) enable verification of a chain of trust among parent and child domains. ",An example means to indicate the security status of child subspaces is through the use of delegation signer (DS) resource records in the DNS. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-21,,Secure Name / Address Resolution Service (Recursive Or Caching Resolver),HIGH,P1,The information system performs data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources when requested by client systems. ,A recursive resolving or caching domain name system (DNS) server is an example of an information system that provides name/address resolution service for local clients. Authoritative DNS servers are examples of authoritative sources. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to enable clients to verify the authenticity and integrity of response data. ,NONE,The information system performs data origin authentication and data integrity verification on all resolution responses whether or not local clients explicitly request this service. ,"Local clients include, for example, DNS stub resolvers. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-22,,Architecture and Provisioning for Name / Address Resolution Service,MODERATE_HIGH,P1,The information systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal/external role separation. ,"A domain name system (DNS) server is an example of an information system that provides name/address resolution service. To eliminate single points of failure and to enhance redundancy, there are typically at least two authoritative domain name system (DNS) servers, one configured as primary and the other as secondary. Additionally, the two servers are commonly located in two different network subnets and geographically separated (i.e., not located in the same physical facility). With regard to role separation, DNS servers with an internal role, only process name/address resolution requests from within the organization (i.e., internal clients). DNS servers with an external role only process name/address resolution information requests from clients external to the organization (i.e., on the external networks including the Internet). The set of clients that can access an authoritative DNS server in a particular role is specified by the organization (e.g., by address ranges, explicit lists). ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-23,,Session Authenticity,MODERATE_HIGH,P1,The information system provides mechanisms to protect the authenticity of communications sessions. ,"This control focuses on communications protection at the session, versus packet, level. The intent of this control is to establish grounds for confidence at each end of a communications session in the ongoing identity of the other party and in the validity of the information being transmitted. For example, this control addresses man-in-the-middle attacks including session hijacking or insertion of false information into a session. This control is only implemented where deemed necessary by the organization (e.g., sessions in service-oriented architectures providing web-based services). ",NONE,The information system invalidates session identifiers upon user logout or other session termination. ,,NONE,The information system provides a readily observable logout capability whenever authentication is used to gain access to web pages. ,,NONE,The information system generates a unique session identifier for each session and recognizes only session identifiers that are system-generated. ,,NONE,The information system generates unique session identifiers with [ Assignment: organization-defined randomness requirements ]. ,Employing the concept of randomness in the generation of unique session identifiers helps to protect against brute-force attacks to determine future session identifiers. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-24,,Fail In Known State,HIGH,P1,The information system fails to a [ Assignment: organization-defined known-state ] for [ Assignment: organization-defined types of failures ] preserving [ Assignment: organization-defined system state information ] in failure. ,"Failure in a known state can address safety or security in accordance with the mission/business needs of the organization. Failure in a known secure state helps prevent a loss of confidentiality, integrity, or availability in the event of a failure of the information system or a component of the system. Failure in a known safe state helps prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving information system state information facilitates system restart and return to the operational mode of the organization with less disruption of mission/business processes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-25,,Thin Nodes,NONE,P0,The information system employs processing components that have minimal functionality and information storage. ,"The deployment of information system components with minimal functionality (e.g., diskless nodes and thin client technologies) reduces the need to secure every user endpoint, and may reduce the exposure of information, information systems, and services to a successful attack. Related control: SC-30. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-26,,Honeypots,NONE,P0,"The information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks. ",None. ,NONE,The information system includes components that proactively seek to identify web-based malicious code. ,Devices that actively seek out web-based malicious code by posing as clients are referred to as client honeypots or honey clients. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-27,,Operating System-independent Applications,NONE,P0,The information system includes: [ Assignment: organization-defined operating system-independent applications ]. ,"Operating system-independent applications are applications that can run on multiple operating systems. Such applications promote portability and reconstitution on different platform architectures, increasing the availability for critical functionality within an organization while information systems with a given operating system are under attack. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-28,,Protection of Information At Rest,MODERATE_HIGH,P1,The information system protects the confidentiality and integrity of information at rest. ,"This control is intended to address the confidentiality and integrity of information at rest in nonmobile devices and covers user information and system information. Information at rest refers to the state of information when it is located on a secondary storage device (e.g., disk drive, tape drive) within an organizational information system. Configurations and/or rule sets for firewalls, gateways, intrusion detection/prevention systems, and filtering routers and authenticator content are examples of system information likely requiring protection. Organizations may choose to employ different mechanisms to achieve confidentiality and integrity protections, as appropriate. ",NONE,The organization employs cryptographic mechanisms to prevent unauthorized disclosure and modification of information at rest unless otherwise protected by alternative physical measures. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-29,,Heterogeneity,NONE,P0,The organization employs diverse information technologies in the implementation of the information system. ,"Increasing the diversity of information technologies within the information system reduces the impact of the exploitation of a specific technology. Organizations that select this control should consider that an increase in diversity may add complexity and management overhead, both of which have the potential to lead to mistakes and misconfigurations which could increase overall risk. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-30,,Virtualization Techniques,NONE,P0,"The organization employs virtualization techniques to present information system components as other types of components, or components with differing configurations. ","Virtualization techniques provide organizations with the ability to disguise information systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms. ",NONE,The organization employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed [ Assignment: organization-defined frequency ]. ,"While frequent changes to operating systems and applications pose configuration management challenges, the changes result in an increased work factor for adversaries in order to carry out successful attacks. Changing the apparent operating system or application, as opposed to the actual operating system or application, results in virtual changes that still impede attacker success while helping to reduce the configuration management effort. ",NONE,The organization employs randomness in the implementation of the virtualization techniques. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-31,,Covert Channel Analysis,NONE,P0,The organization requires that information system developers/integrators perform a covert channel analysis to identify those aspects of system communication that are potential avenues for covert storage and timing channels. ,"Information system developers/integrators are in the best position to identify potential avenues within the system that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across security domains, for example, in the case of information systems containing export-controlled information and having connections to external networks (i.e., networks not controlled by the organization). Covert channel analysis is also meaningful in the case of multilevel secure (MLS) systems, multiple security level (MSL) systems, and cross domain systems. ",NONE,The organization tests a subset of the vendor-identified covert channel avenues to determine if they are exploitable. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-32,,Information System Partitioning,MODERATE_HIGH,P1,The organization partitions the information system into components residing in separate physical domains (or environments) as deemed necessary. ,"Information system partitioning is a part of a defense-in-depth protection strategy. An organizational assessment of risk guides the partitioning of information system components into separate physical domains (or environments). The security categorization also guides the selection of appropriate candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned information system components. Related controls: AC-4, SC-7. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-33,,Transmission Preparation Integrity,NONE,P0,"The information system protects the integrity of information during the processes of data aggregation, packaging, and transformation in preparation for transmission. ","Information can be subjected to unauthorized changes (e.g., malicious and/or unintentional modification) at information aggregation or protocol transformation points. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Technical,System and Communications Protection,SC-34,,Non-modifiable Executable Programs,NONE,P0,"The information system at [ Assignment: organization-defined information system components ]: Loads and executes the operating environment from hardware-enforced, read-only media; and Loads and executes [ Assignment: organization-defined applications ] from hardware-enforced, read-only media. ","In this control, the term operating environment is defined as the code upon which applications are hosted, for example, a monitor, executive, operating system, or application running directly on the hardware platform. Hardware-enforced, read-only media include, for example, CD-R/DVD-R disk drives. Use of non-modifiable storage ensures the integrity of the software program from the point of creation of the read-only image. ",NONE,The organization employs [ Assignment: organization-defined information system components ] with no writeable storage that is persistent across component restart or power on/off. ,"This control enhancement: (i) eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated information system component; and (ii) requires no such removable storage be employed, a requirement that may be applied directly or as a specific restriction imposed through AC-19. ",NONE,The organization protects the integrity of the information on read-only media. ,"This control enhancement covers protecting the integrity of information to be placed onto read-only media and controlling the media after information has been recorded onto the media. Protection measures may include, as deemed necessary by the organization, a combination of prevention and detection/response. This enhancement may be satisfied by requirements imposed by other controls such as AC-3, AC-5, CM-3, CM-5, CM-9, MP-2, MP-4, MP-5, SA-12, SC-28, SI-3, and SI-7. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,System and Information Integrity,SI-1,,System and Information Integrity Policy and Procedures,LOW_MODERATE_HIGH,P1,"The organization develops, disseminates, and reviews/updates [ Assignment: organization-defined frequency ]: A formal, documented system and information integrity policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and Formal, documented procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls. ","This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the system and information integrity family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The system and information integrity policy can be included as part of the general information security policy for the organization. System and information integrity procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the system and information integrity policy. Related control: PM-9. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,System and Information Integrity,SI-2,,Flaw Remediation,LOW_MODERATE_HIGH,P1,"The organization: Identifies, reports, and corrects information system flaws; Tests software updates related to flaw remediation for effectiveness and potential side effects on organizational information systems before installation; and Incorporates flaw remediation into the organizational configuration management process. ","The organization identifies information systems containing software affected by recently announced software flaws (and potential vulnerabilities resulting from those flaws) and reports this information to designated organizational officials with information security responsibilities (e.g., senior information security officers, information system security managers, information systems security officers). The organization (including any contractor to the organization) promptly installs security-relevant software updates (e.g., patches, service packs, and hot fixes). Flaws discovered during security assessments, continuous monitoring, incident response activities, or information system error handling, are also addressed expeditiously. Organizations are encouraged to use resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By requiring that flaw remediation be incorporated into the organizational configuration management process, it is the intent of this control that required/anticipated remediation actions are tracked and verified. An example of expected flaw remediation that would be so verified is whether the procedures contained in US-CERT guidance and Information Assurance Vulnerability Alerts have been accomplished. Related controls: CA-2, CA-7, CM-3, MA-2, IR-4, RA-5, SA-11, SI-11. ",HIGH,The organization centrally manages the flaw remediation process and installs software updates automatically. ,"Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates. ",MODERATE_HIGH,The organization employs automated mechanisms [ Assignment: organization-defined frequency ] to determine the state of information system components with regard to flaw remediation. ,,NONE,"The organization measures the time between flaw identification and flaw remediation, comparing with [ Assignment: organization-defined benchmarks ]. ",,NONE,The organization employs automated patch management tools to facilitate flaw remediation to [ Assignment: organization-defined information system components ]. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,System and Information Integrity,SI-3,,Malicious Code Protection,LOW_MODERATE_HIGH,P1,"The organization: Employs malicious code protection mechanisms at information system entry and exit points and at workstations, servers, or mobile computing devices on the network to detect and eradicate malicious code: - Transported by electronic mail, electronic mail attachments, web accesses, removable media, or other common means; or - Inserted through the exploitation of information system vulnerabilities; Updates malicious code protection mechanisms (including signature definitions) whenever new releases are available in accordance with organizational configuration management policy and procedures; Configures malicious code protection mechanisms to: - Perform periodic scans of the information system [ Assignment: organization-defined frequency ] and real-time scans of files from external sources as the files are downloaded, opened, or executed in accordance with organizational security policy; and - [ Selection (one or more): block malicious code; quarantine malicious code; send alert to administrator; [ Assignment: organization-defined action ]] in response to malicious code detection; and Addresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system. ","Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, and remote-access servers. Malicious code includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats (e.g., UUENCODE, Unicode) or contained within a compressed file. Removable media includes, for example, USB devices, diskettes, or compact disks. A variety of technologies and methods exist to limit or eliminate the effects of malicious code attacks. Pervasive configuration management and strong software integrity controls may be effective in preventing execution of unauthorized code. In addition to commercial off-the-shelf software, malicious code may also be present in custom-built software. This could include, for example, logic bombs, back doors, and other types of cyber attacks that could affect organizational missions and business functions. Traditional malicious code protection mechanisms are not built to detect such code. In these situations, organizations must rely instead on other risk mitigation measures to include, for example, secure coding practices, trusted procurement processes, configuration management and control, and monitoring practices to help ensure that software does not perform functions other than those intended. Related controls: SA-4, SA-8, SA-12, SA-13, SI-4, SI-7. ",MODERATE_HIGH,The organization centrally manages malicious code protection mechanisms. ,,MODERATE_HIGH,The information system automatically updates malicious code protection mechanisms (including signature definitions). ,,MODERATE_HIGH,The information system prevents non-privileged users from circumventing malicious code protection capabilities. ,,NONE,The information system updates malicious code protection mechanisms only when directed by a privileged user. ,,NONE,The organization does not allow users to introduce removable media into the information system. ,,NONE,"The organization tests malicious code protection mechanisms [ Assignment: organization-defined frequency ] by introducing a known benign, non-spreading test case into the information system and subsequently verifying that both detection of the test case and associated incident reporting occur, as required. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,System and Information Integrity,SI-4,,Information System Monitoring,MODERATE_HIGH,P1,"The organization: Monitors events on the information system in accordance with [ Assignment: organization-defined monitoring objectives ] and detects information system attacks; Identifies unauthorized use of the information system; Deploys monitoring devices: (i) strategically within the information system to collect organization-determined essential information; and (ii) at ad hoc locations within the system to track specific types of transactions of interest to the organization; Heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information; and Obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations. ","Information system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the system (e.g., within internal organizational networks and system components). Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, at selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. The Einstein network monitoring device from the Department of Homeland Security is an example of a system monitoring device. The granularity of the information collected is determined by the organization based on its monitoring objectives and the capability of the information system to support such activities. An example of a specific type of transaction of interest to the organization with regard to monitoring is Hyper Text Transfer Protocol (HTTP) traffic that bypasses organizational HTTP proxies, when use of such proxies is required. Related controls: AC-4, AC-8, AC-17, AU-2, AU-6, SI-3, SI-7. ",NONE,The organization interconnects and configures individual intrusion detection tools into a systemwide intrusion detection system using common protocols. ,,MODERATE_HIGH,The organization employs automated tools to support near real-time analysis of events. ,,NONE,The organization employs automated tools to integrate intrusion detection tools into access control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination. ,,MODERATE_HIGH,The information system monitors inbound and outbound communications for unusual or unauthorized activities or conditions. ,"Unusual/unauthorized activities or conditions include, for example, internal traffic that indicates the presence of malicious code within an information system or propagating among system components, the unauthorized export of information, or signaling to an external information system. Evidence of malicious code is used to identify potentially compromised information systems or information system components. ",MODERATE_HIGH,The information system provides near real-time alerts when the following indications of compromise or potential compromise occur: [ Assignment: organization-defined list of compromise indicators ]. ,"Alerts may be generated, depending on the organization-defined list of indicators, from a variety of sources, for example, audit records or input from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. ",MODERATE_HIGH,The information system prevents non-privileged users from circumventing intrusion detection and prevention capabilities. ,,NONE,The information system notifies [ Assignment: organization-defined list of incident response personnel (identified by name and/or by role) ] of suspicious events and takes [ Assignment: organization-defined list of least-disruptive actions to terminate suspicious events ]. ,The least-disruptive actions may include initiating a request for human response. ,NONE,"The organization protects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion. ",,NONE,The organization tests/exercises intrusion-monitoring tools [ Assignment: organization-defined time-period ]. ,The frequency of testing/exercises is dependent upon the type and method of deployment of the intrusion-monitoring tools. ,NONE,The organization makes provisions so that encrypted traffic is visible to information system monitoring tools. ,"The enhancement recognizes the need to balance encrypting traffic versus the need to have insight into that traffic from a monitoring perspective. For some organizations, the need to ensure the confidentiality of traffic is paramount; for others, the mission-assurance concerns are greater. ",NONE,"The organization analyzes outbound communications traffic at the external boundary of the system (i.e., system perimeter) and, as deemed necessary, at selected interior points within the system (e.g., subnets, subsystems) to discover anomalies. ","Anomalies within the information system include, for example, large file transfers, long-time persistent connections, unusual protocols and ports in use, and attempted communications with suspected malicious external addresses. ",NONE,The organization employs automated mechanisms to alert security personnel of the following inappropriate or unusual activities with security implications: [ Assignment: organization-defined list of inappropriate or unusual activities that trigger alerts ]. ,,NONE,The organization: Analyzes communications traffic/event patterns for the information system; Develops profiles representing common traffic patterns and/or events; and Uses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives to [ Assignment: organization-defined measure of false positives ] and the number of false negatives to [ Assignment: organization-defined measure of false negatives ]. ,,NONE,The organization employs a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises/breaches to the information system. ,,NONE,The organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks. ,,NONE,The organization correlates information from monitoring tools employed throughout the information system to achieve organization-wide situational awareness. ,,NONE,"The organization correlates results from monitoring physical, cyber, and supply chain activities to achieve integrated situational awareness. ",Integrated situational awareness enhances the capability of the organization to more quickly detect sophisticated attacks and investigate the methods and techniques employed to carry out the attacks. ,,,
+Operational,System and Information Integrity,SI-5,,"Security Alerts, Advisories, and Directives",LOW_MODERATE_HIGH,P1,"The organization: Receives information system security alerts, advisories, and directives from designated external organizations on an ongoing basis; Generates internal security alerts, advisories, and directives as deemed necessary; Disseminates security alerts, advisories, and directives to [ Assignment: organization-defined list of personnel (identified by name and/or by role) ]; and Implements security directives in accordance with established time frames, or notifies the issuing organization of the degree of noncompliance. ","Security alerts and advisories are generated by the United States Computer Emergency Readiness Team (US-CERT) to maintain situational awareness across the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance to security directives is essential due to the critical nature of many of these directives and the potential immediate adverse affects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. ",HIGH,The organization employs automated mechanisms to make security alert and advisory information available throughout the organization as needed. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,System and Information Integrity,SI-6,,Security Functionality Verification,HIGH,P1,The information system verifies the correct operation of security functions [ Selection (one or more): [ Assignment: organization-defined system transitional states ] ; upon command by user with appropriate privilege; periodically every [ Assignment: organization-defined time-period ]] and [ Selection (one or more): notifies system administrator; shuts the system down; restarts the system; [ Assignment: organization-defined alternative action(s) ]] when anomalies are discovered. ,"The need to verify security functionality applies to all security functions. For those security functions that are not able to execute automated self-tests, the organization either implements compensating security controls or explicitly accepts the risk of not performing the verification as required. Information system transitional states include, for example, startup, restart, shutdown, and abort. ",NONE,The information system provides notification of failed automated security tests. ,,NONE,The information system provides automated support for the management of distributed security testing. ,,NONE,The organization reports the result of security function verification to designated organizational officials with information security responsibilities. ,"Organizational officials with information security responsibilities include, for example, senior information security officers, information system security managers, and information systems security officers. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,System and Information Integrity,SI-7,,Software and Information Integrity,MODERATE_HIGH,P1,The information system detects unauthorized changes to software and information. ,"The organization employs integrity verification applications on the information system to look for evidence of information tampering, errors, and omissions. The organization employs good software engineering practices with regard to commercial off-the-shelf integrity mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and uses tools to automatically monitor the integrity of the information system and the applications it hosts. ",MODERATE_HIGH,The organization reassesses the integrity of software and information by performing [ Assignment: organization-defined frequency ] integrity scans of the information system. ,,HIGH,The organization employs automated tools that provide notification to designated individuals upon discovering discrepancies during integrity verification. ,,NONE,The organization employs centrally managed integrity verification tools. ,,NONE,The organization requires use of tamper-evident packaging for [ Assignment: organization-defined information system components ] during [ Selection: transportation from vendor to operational site; during operation; both ]. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,System and Information Integrity,SI-8,,Spam Protection,MODERATE_HIGH,P1,"The organization: Employs spam protection mechanisms at information system entry and exit points and at workstations, servers, or mobile computing devices on the network to detect and take action on unsolicited messages transported by electronic mail, electronic mail attachments, web accesses, or other common means; and Updates spam protection mechanisms (including signature definitions) when new releases are available in accordance with organizational configuration management policy and procedures. ","Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, and remote-access servers. Related controls: SC-5, SI-3. ",HIGH,The organization centrally manages spam protection mechanisms. ,,NONE,The information system automatically updates spam protection mechanisms (including signature definitions). ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,System and Information Integrity,SI-9,,Information Input Restrictions,MODERATE_HIGH,P2,The organization restricts the capability to input information to the information system to authorized personnel. ,"Restrictions on organizational personnel authorized to input information to the information system may extend beyond the typical access controls employed by the system and include limitations based on specific operational/project responsibilities. Related controls: AC-5, AC-6. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,System and Information Integrity,SI-10,,Information Input Validation,MODERATE_HIGH,P1,The information system checks the validity of information inputs. ,"Rules for checking the valid syntax and semantics of information system inputs (e.g., character set, length, numerical range, acceptable values) are in place to verify that inputs match specified definitions for format and content. Inputs passed to interpreters are prescreened to prevent the content from being unintentionally interpreted as commands. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,System and Information Integrity,SI-11,,Error Handling,MODERATE_HIGH,P2,The information system: Identifies potentially security-relevant error conditions; Generates error messages that provide information necessary for corrective actions without revealing [ Assignment: organization-defined sensitive or potentially harmful information ] in error logs and administrative messages that could be exploited by adversaries; and Reveals error messages only to authorized personnel. ,"The structure and content of error messages are carefully considered by the organization. The extent to which the information system is able to identify and handle error conditions is guided by organizational policy and operational requirements. Sensitive information includes, for example, account numbers, social security numbers, and credit card numbers. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,System and Information Integrity,SI-12,,Information Output Handling and Retention,LOW_MODERATE_HIGH,P2,"The organization handles and retains both information within and output from the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements. ","The output handling and retention requirements cover the full life cycle of the information, in some cases extending beyond the disposal of the information system. The National Archives and Records Administration provides guidance on records retention. Related controls: MP-2, MP-4. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
+Operational,System and Information Integrity,SI-13,,Predictable Failure Prevention,NONE,P0,"The organization: Protects the information system from harm by considering mean time to failure for [ Assignment: organization-defined list of information system components ] in specific environments of operation; and Provides substitute information system components, when needed, and a mechanism to exchange active and standby roles of the components. ","While mean time to failure is primarily a reliability issue, this control focuses on the potential failure of specific components of the information system that provide security capability. Mean time to failure rates are defendable and based on considerations that are installation-specific, not industry-average. The transfer of responsibilities between active and standby information system components does not compromise safety, operational readiness, or security (e.g., state variables are preserved). The standby component is available at all times except where a failure recovery is in progress or for maintenance reasons. Related control: CP-2. ",NONE,The organization takes the information system component out of service by transferring component responsibilities to a substitute component no later than [ Assignment: organization-defined fraction or percentage ] of mean time to failure. ,,NONE,The organization does not allow a process to execute without supervision for more than [ Assignment: organization-defined time period ]. ,,NONE,The organization manually initiates a transfer between active and standby information system components at least once per [ Assignment: organization-defined frequency ] if the mean time to failure exceeds [ Assignment: organization-defined time period ]. ,,NONE,"The organization, if an information system component failure is detected: Ensures that the standby information system component successfully and transparently assumes its role within [ Assignment: organization-defined time period ]; and [ Selection (one or more): activates [ Assignment: organization-defined alarm ] ; automatically shuts down the information system ]. ",Automatic or manual transfer of roles to a standby unit may occur upon detection of a component failure. ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
diff --git a/sources/800-53/old/800-53-controls.xml b/sources/800-53/old/800-53-controls.xml
new file mode 100644
index 0000000000..900e6b5738
--- /dev/null
+++ b/sources/800-53/old/800-53-controls.xml
@@ -0,0 +1,8848 @@
+
+
+
+ Technical
+ Access Control
+ AC-1
+ Access Control Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the access control policy and associated access controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the access control family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The access control policy can be included as part of the general information security policy for the organization. Access control procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the access control policy. Related control: PM-9.
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Technical
+ Access Control
+ AC-2
+ Account Management
+ P1
+
+
+ The organization manages information system accounts, including:
+
+ Identifying account types (i.e., individual, group, system, application, guest/anonymous, and temporary);
+ Establishing conditions for group membership;
+ Identifying authorized users of the information system and specifying access privileges;
+ Requiring appropriate approvals for requests to establish accounts;
+ Establishing, activating, modifying, disabling, and removing accounts;
+ Specifically authorizing and monitoring the use of guest/anonymous and temporary accounts;
+ Notifying account managers when temporary accounts are no longer required and when information system users are terminated, transferred, or information system usage or need-to-know/need-to-share changes;
+ Deactivating: (i) temporary accounts that are no longer required; and (ii) accounts of terminated or transferred users;
+ Granting access to the system based on: (i) a valid access authorization; (ii) intended system usage; and (iii) other attributes as required by the organization or associated missions/business functions; and
+ Reviewing accounts [Assignment: organization-defined frequency].
+
+
+
+
+
+ The identification of authorized users of the information system and the specification of access privileges is consistent with the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by organizational officials responsible for approving such accounts and privileged access. Related controls: AC-3, AC-4, AC-5, AC-6, AC-10, AC-17, AC-19, AC-20, AU-9, IA-4, IA-5, CM-5, CM-6, MA-3, MA-4, MA-5, SA-7, SC-13, SI-9.
+
+
+
+
+
+
+ The organization employs automated mechanisms to support the management of information system accounts.
+
+
+
+
+
+
+ The information system automatically terminates temporary and emergency accounts after [Assignment: organization-defined time period for each type of account].
+
+
+
+
+
+
+ The information system automatically disables inactive accounts after [Assignment: organization-defined time period].
+
+
+
+
+
+
+ The information system automatically audits account creation, modification, disabling, and termination actions and notifies, as required, appropriate individuals.
+
+
+
+
+
+
+ The organization:
+
+ Requires that users log out when [Assignment: organization defined time-period of expected inactivity and/or description of when to log out];
+ Determines normal time-of-day and duration usage for information system accounts;
+ Monitors for atypical usage of information system accounts; and
+ Reports atypical usage to designated organizational officials.
+
+
+
+
+
+
+
+ The information system dynamically manages user privileges and associated access authorizations.
+
+
+
+
+ In contrast to conventional access control approaches which employ static information system accounts and predefined sets of user privileges, many service-oriented architecture implementations rely on run time access control decisions facilitated by dynamic privilege management. While user identities remain relatively constant over time, user privileges may change more frequently based on the ongoing mission/business requirements and operational needs of the organization.
+
+
+
+
+
+
+ The organization:
+
+ Establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes information system and network privileges into roles; and
+ Tracks and monitors privileged role assignments.
+
+
+
+
+
+ Privileged roles include, for example, key management, network and system administration, database administration, web administration.
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-3
+ Access Enforcement
+ P1
+
+
+ The information system enforces approved authorizations for logical access to the system in accordance with applicable policy.
+
+
+
+
+ Access control policies (e.g., identity-based policies, role-based policies, attribute-based policies) and access enforcement mechanisms (e.g., access control lists, access control matrices, cryptography) are employed by organizations to control access between users (or processes acting on behalf of users) and objects (e.g., devices, files, records, processes, programs, domains) in the information system. In addition to enforcing authorized access at the information-system level, access enforcement mechanisms are employed at the application level, when necessary, to provide increased information security for the organization. Consideration is given to the implementation of an audited, explicit override of automated mechanisms in the event of emergencies or other serious events. If encryption of stored information is employed as an access enforcement mechanism, the cryptography used is FIPS 140-2 (as amended) compliant. For classified information, the cryptography used is largely dependent on the classification level of the information and the clearances of the individuals having access to the information. Mechanisms implemented by AC-3 are configured to enforce authorizations determined by other security controls. Related controls: AC-2, AC-4, AC-5, AC-6, AC-16, AC-17, AC-18, AC-19, AC-20, AC-21, AC-22, AU-9, CM-5, CM-6, MA-3, MA-4, MA-5, SA-7, SC-13, SI-9.
+
+
+
+
+
+
+ [Withdrawn: Incorporated into AC-6].
+
+
+
+
+
+
+ The information system enforces dual authorization, based on organizational policies and procedures for [Assignment: organization-defined privileged commands].
+
+
+
+
+ Dual authorization mechanisms require two forms of approval to execute. The organization does not employ dual authorization mechanisms when an immediate response is necessary to ensure public and environmental safety.
+
+
+
+
+
+
+ The information system enforces [Assignment: organization-defined nondiscretionary access control policies] over [Assignment: organization-defined set of users and resources] where the policy rule set for each policy specifies:
+
+ Access control information (i.e., attributes) employed by the policy rule set (e.g., position, nationality, age, project, time of day); and
+ Required relationships among the access control information to permit access.
+
+
+
+
+
+ Nondiscretionary access control policies that may be implemented by organizations include, for example, Attribute-Based Access Control, Mandatory Access Control, and Originator Controlled Access Control. Nondiscretionary access control policies may be employed by organizations in addition to the employment of discretionary access control policies.
+ For Mandatory Access Control (MAC): Policy establishes coverage over all subjects and objects under its control to ensure that each user receives only that information to which the user is authorized access based on classification of the information, and on user clearance and formal access authorization. The information system assigns appropriate security attributes (e.g., labels/security domains/types) to subjects and objects, and uses these attributes as the basis for MAC decisions. The Bell-LaPadula security model defines allowed access with regard to an organization-defined set of strictly hierarchical security levels as follows: A subject can read an object only if the security level of the subject dominates the security level of the object and a subject can write to an object only if two conditions are met: the security level of the object dominates the security level of the subject, and the security level of the users clearance dominates the security level of the object (no read up, no write down).
+ For Role-Based Access Control (RBAC): Policy establishes coverage over all users and resources to ensure that access rights are grouped by role name, and access to resources is restricted to users who have been authorized to assume the associated role.
+
+
+
+
+
+
+ The information system enforces a Discretionary Access Control (DAC) policy that:
+
+ Allows users to specify and control sharing by named individuals or groups of individuals, or by both;
+ Limits propagation of access rights; and
+ Includes or excludes access to the granularity of a single user.
+
+
+
+
+
+
+
+ The information system prevents access to [Assignment: organization-defined security-relevant information] except during secure, nonoperable system states.
+
+
+
+
+ Security-relevant information is any information within the information system that can potentially impact the operation of security functions in a manner that could result in failure to enforce the system security policy or maintain isolation of code and data. Filtering rules for routers and firewalls, cryptographic key management information, key configuration parameters for security services, and access control lists are examples of security-relevant information. Secure, nonoperable system states are states in which the information system is not performing mission/business-related processing (e.g., the system is off-line for maintenance, troubleshooting, boot-up, shutdown).
+
+
+
+
+
+
+ The organization encrypts or stores off-line in a secure location [Assignment: organization-defined user and/or system information].
+
+
+
+
+ The use of encryption by the organization reduces the probability of unauthorized disclosure of information and can also detect unauthorized changes to information. Removing information from online storage to offline storage eliminates the possibility of individuals gaining unauthorized access via a network. Related control: MP-4.
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-4
+ Information Flow Enforcement
+ P1
+
+
+ The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems in accordance with applicable policy.
+
+
+
+
+ Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. A few examples of flow control restrictions include: keeping export controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, and not passing any web requests to the Internet that are not from the internal web proxy. Information flow control policies and enforcement mechanisms are commonly employed by organizations to control the flow of information between designated sources and destinations (e.g., networks, individuals, devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Specific examples of flow control enforcement can be found in boundary protection devices (e.g., proxies, gateways, guards, encrypted tunnels, firewalls, and routers) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on content (e.g., using key word searches or document characteristics). Mechanisms implemented by AC-4 are configured to enforce authorizations determined by other security controls. Related controls: AC-17, AC-19, AC-21, CM-7, SA-8, SC-2, SC-5, SC-7, SC-18.
+
+
+
+
+
+
+ The information system enforces information flow control using explicit security attributes on information, source, and destination objects as a basis for flow control decisions.
+
+
+
+
+ Information flow enforcement mechanisms compare security attributes on all information (data content and data structure), source and destination objects, and respond appropriately (e.g., block, quarantine, alert administrator) when the mechanisms encounter information flows not explicitly allowed by the information flow policy. Information flow enforcement using explicit security attributes can be used, for example, to control the release of certain types of information.
+
+
+
+
+
+
+ The information system enforces information flow control using protected processing domains (e.g., domain type-enforcement) as a basis for flow control decisions.
+
+
+
+
+
+
+ The information system enforces dynamic information flow control based on policy that allows or disallows information flows based on changing conditions or operational considerations.
+
+
+
+
+
+
+ The information system prevents encrypted data from bypassing content-checking mechanisms.
+
+
+
+
+
+
+ The information system enforces [Assignment: organization-defined limitations on the embedding of data types within other data types].
+
+
+
+
+
+
+ The information system enforces information flow control on metadata.
+
+
+
+
+
+
+ The information system enforces [Assignment: organization-defined one-way flows] using hardware mechanisms.
+
+
+
+
+
+
+ The information system enforces information flow control using [Assignment: organization-defined security policy filters] as a basis for flow control decisions.
+
+
+
+
+ Organization-defined security policy filters include, for example, dirty word filters, file type checking filters, structured data filters, unstructured data filters, metadata content filters, and hidden content filters. Structured data permits the interpretation of its content by virtue of atomic elements that are understandable by an application and indivisible. Unstructured data refers to masses of (usually) digital information that does not have a data structure or has a data structure that is not easily readable by a machine. Unstructured data consists of two basic categories: (i) bitmap objects that are inherently non language-based (i.e., image, video, or audio files); and (ii) textual objects that are based on a written or printed language (i.e., commercial off-the-shelf word processing documents, spreadsheets, or emails).
+
+
+
+
+
+
+ The information system enforces the use of human review for [Assignment: organization-defined security policy filters] when the system is not capable of making an information flow control decision.
+
+
+
+
+
+
+ The information system provides the capability for a privileged administrator to enable/disable [Assignment: organization-defined security policy filters].
+
+
+
+
+
+
+ The information system provides the capability for a privileged administrator to configure [Assignment: organization-defined security policy filters] to support different security policies.
+
+
+
+
+ For example, to reflect changes in the security policy, an administrator can change the list of "dirty words" that the security policy mechanism checks in accordance with the definitions provided by the organization.
+
+
+
+
+
+
+ The information system, when transferring information between different security domains, identifies information flows by data type specification and usage.
+
+
+
+
+ Data type specification and usage include, for example, using file naming to reflect type of data and limiting data transfer based on file type.
+
+
+
+
+
+
+ The information system, when transferring information between different security domains, decomposes information into policy-relevant subcomponents for submission to policy enforcement mechanisms.
+
+
+
+
+ Policy enforcement mechanisms include the filtering and/or sanitization rules that are applied to information prior to transfer to a different security domain. Parsing transfer files facilitates policy decisions on source, destination, certificates, classification, subject, attachments, and other information security-related component differentiators. Policy rules for cross domain transfers include, for example, limitations on embedding components/information types within other components/information types, prohibiting more than two-levels of embedding, and prohibiting the transfer of archived information types.
+
+
+
+
+
+
+ The information system, when transferring information between different security domains, implements policy filters that constrain data structure and content to [Assignment: organization-defined information security policy requirements].
+
+
+
+
+ Constraining file lengths, allowed enumerations, character sets, schemas, and other data object attributes reduces the range of potential malicious and/or unsanctioned content. Examples of constraints include ensuring that: (i) character data fields only contain printable ASCII; (ii) character data fields only contain alpha-numeric characters; (iii) character data fields do not contain special characters; or (iv) maximum field sizes and file lengths are enforced based upon organization-defined security policy
+
+
+
+
+
+
+ The information system, when transferring information between different security domains, detects unsanctioned information and prohibits the transfer of such information in accordance with the security policy.
+
+
+
+
+ Actions to support this enhancement include: checking all transferred information for malware, implementing dirty word list searches on transferred information, and applying the same protection measures to metadata (e.g., security attributes) that is applied to the information payload.
+
+
+
+
+
+
+ The information system enforces security policies regarding information on interconnected systems.
+
+
+
+
+ Transferring information between interconnected information systems of differing security policies introduces risk that such transfers violate one or more policies. While security policy violations may not be absolutely prohibited, policy guidance from information owners/stewards is implemented at the policy enforcement point between the interconnected systems. Specific architectural solutions are mandated, when required, to reduce the potential for undiscovered vulnerabilities. Architectural solutions include, for example: (i) prohibiting information transfers between interconnected systems (i.e. implementing access only, one way transfer mechanisms); (ii) employing hardware mechanisms to enforce unitary information flow directions; and (iii) implementing fully tested, re-grading mechanisms to reassign security attributes and associated security labels.
+
+
+
+
+
+
+ The information system:
+
+ Uniquely identifies and authenticates source and destination domains for information transfer;
+ Binds security attributes to information to facilitate information flow policy enforcement; and
+ Tracks problems associated with the security attribute binding and information transfer.
+
+
+
+
+
+ Attribution is a critical component of a security concept of operations. The ability to identify source and destination points for information flowing in an information system, allows forensic reconstruction of events when required, and increases policy compliance by attributing policy violations to specific organizations/individuals. Means to enforce this enhancement include ensuring that the information system resolution labels distinguish between information systems and organizations, and between specific system components or individuals involved in preparing, sending, receiving, or disseminating information.
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-5
+ Separation of Duties
+ P1
+
+
+ The organization:
+
+ Separates duties of individuals as necessary, to prevent malevolent activity without collusion;
+ Documents separation of duties; and
+ Implements separation of duties through assigned information system access authorizations.
+
+
+
+
+
+ Examples of separation of duties include: (i) mission functions and distinct information system support functions are divided among different individuals/roles; (ii) different individuals perform information system support functions (e.g., system management, systems programming, configuration management, quality assurance and testing, network security); (iii) security personnel who administer access control functions do not administer audit functions; and (iv) different administrator accounts for different roles. Access authorizations defined in this control are implemented by control AC-3. Related controls: AC-3.
+
+
+
+
+ Technical
+ Access Control
+ AC-6
+ Least Privilege
+ P1
+
+
+ The organization employs the concept of least privilege, allowing only authorized accesses for users (and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.
+
+
+
+
+ The access authorizations defined in this control are largely implemented by control AC-3. The organization employs the concept of least privilege for specific duties and information systems (including specific ports, protocols, and services) in accordance with risk assessments as necessary to adequately mitigate risk to organizational operations and assets, individuals, other organizations, and the Nation. Related controls: AC-2, AC-3, CM-7.
+
+
+
+
+
+
+ The organization explicitly authorizes access to [Assignment: organization-defined list of security functions (deployed in hardware, software, and firmware) and security-relevant information].
+
+
+
+
+ Establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters are examples of security functions. Explicitly authorized personnel include, for example, security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users. Related control: AC-17.
+
+
+
+
+
+
+ The organization requires that users of information system accounts, or roles, with access to [Assignment: organization-defined list of security functions or security-relevant information], use non-privileged accounts, or roles, when accessing other system functions, and if feasible, audits any use of privileged accounts, or roles, for such functions.
+
+
+
+
+ This control enhancement is intended to limit exposure due to operating from within a privileged account or role. The inclusion of role is intended to address those situations where an access control policy such as Role Based Access Control (RBAC) is being implemented and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account. Audit of privileged activity may require physical separation employing information systems on which the user does not have privileged access.
+
+
+
+
+
+
+ The organization authorizes network access to [Assignment: organization-defined privileged commands] only for compelling operational needs and documents the rationale for such access in the security plan for the information system.
+
+
+
+
+
+
+ The information system provides separate processing domains to enable finer-grained allocation of user privileges.
+
+
+
+
+ Employing virtualization techniques to allow greater privilege within a virtual machine while restricting privilege to the underlying actual machine is an example of providing separate processing domains for finer-grained allocation of user privileges.
+
+
+
+
+
+
+ The organization limits authorization to super user accounts on the information system to designated system administration personnel.
+
+
+
+
+ Super user accounts are typically described as "root" or "administrator" for various types of commercial off-the-shelf operating systems. Configuring organizational information systems (e.g., notebook/laptop computers, servers, workstations) such that day-to-day users are not authorized access to super user accounts is an example of limiting system authorization. The organization may differentiate in the application of this control enhancement between allowed privileges for local information system accounts and for domain accounts provided the organization retains the ability to control the configuration of the system with regard to key security parameters and as otherwise necessary to sufficiently mitigate risk.
+
+
+
+
+
+
+ The organization prohibits privileged access to the information system by non-organizational users.
+
+
+
+
+ A qualified organizational user may be advised by a non-organizational user, if necessary.
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-7
+ Unsuccessful Login Attempts
+ P2
+
+
+ The information system:
+
+ Enforces a limit of [Assignment: organization-defined number] consecutive invalid login attempts by a user during a [Assignment: organization-defined time period]; and
+ Automatically [Selection: locks the account/node for an [Assignment: organization-defined time period]; locks the account/node until released by an administrator; delays next login prompt according to [Assignment: organization-defined delay algorithm]] when the maximum number of unsuccessful attempts is exceeded. The control applies regardless of whether the login occurs via a local or network connection.
+
+
+
+
+
+ Due to the potential for denial of service, automatic lockouts initiated by the information system are usually temporary and automatically release after a predetermined time period established by the organization. If a delay algorithm is selected, the organization may chose to employ different algorithms for different information system components based on the capabilities of those components. Response to unsuccessful login attempts may be implemented at both the operating system and the application levels. This control applies to all accesses other than those accesses explicitly identified and documented by the organization in AC-14.
+
+
+
+
+
+
+ The information system automatically locks the account/node until released by an administrator when the maximum number of unsuccessful attempts is exceeded
+
+
+
+
+
+
+ The information system provides additional protection for mobile devices accessed via login by purging information from the device after [Assignment: organization-defined number] consecutive, unsuccessful login attempts to the device.
+
+
+
+
+ This enhancement applies only to mobile devices for which a login occurs (e.g., personal digital assistants) and not to mobile devices accessed without a login such as removable media. In certain situations, this enhancement may not apply to mobile devices if the information on the device is encrypted with sufficiently strong encryption mechanisms, making purging unnecessary. The login is to the mobile device, not to any one account on the device. Therefore, a successful login to any account on the mobile device resets the unsuccessful login count to zero.
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-8
+ System Use Notification
+ P1
+
+
+ The information system:
+
+ Displays an approved system use notification message or banner before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance and states that: (i) users are accessing a U.S. Government information system; (ii) system usage may be monitored, recorded, and subject to audit; (iii) unauthorized use of the system is prohibited and subject to criminal and civil penalties; and (iv) use of the system indicates consent to monitoring and recording;
+ Retains the notification message or banner on the screen until users take explicit actions to log on to or further access the information system; and
+ For publicly accessible systems: (i) displays the system use information when appropriate, before granting further access; (ii) displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and (iii) includes in the notice given to public users of the information system, a description of the authorized uses of the system.
+
+
+
+
+
+ System use notification messages can be implemented in the form of warning banners displayed when individuals log in to the information system. System use notification is intended only for information system access that includes an interactive login interface with a human user and is not intended to require notification when an interactive interface does not exist.
+
+
+
+
+ Technical
+ Access Control
+ AC-9
+ Previous Logon (Access) Notification
+ P0
+
+
+ The information system notifies the user, upon successful logon (access), of the date and time of the last logon (access).
+
+
+
+
+ This control is intended to cover both traditional logons to information systems and general accesses to information systems that occur in other types of architectural configurations (e.g., service oriented architectures).
+
+
+
+
+
+
+ The information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.
+
+
+
+
+
+
+ The information system notifies the user of the number of [Selection: successful logins/accesses; unsuccessful login/access attempts; both] during [Assignment: organization-defined time period].
+
+
+
+
+
+
+ The information system notifies the user of [Assignment: organization-defined set of security-related changes to the users account] during [Assignment: organization-defined time period].
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-10
+ Concurrent Session Control
+ P2
+ HIGH
+
+
+ The information system limits the number of concurrent sessions for each system account to [Assignment: organization-defined number].
+
+
+
+
+ The organization may define the maximum number of concurrent sessions for an information system account globally, by account type, by account, or a combination. This control addresses concurrent sessions for a given information system account and does not address concurrent sessions by a single user via multiple system accounts.
+
+
+
+
+ Technical
+ Access Control
+ AC-11
+ Session Lock
+ P3
+
+
+ The information system:
+
+ Prevents further access to the system by initiating a session lock after [Assignment: organization-defined time period] of inactivity or upon receiving a request from a user; and
+ Retains the session lock until the user reestablishes access using established identification and authentication procedures.
+
+
+
+
+
+ A session lock is a temporary action taken when a user stops work and moves away from the immediate physical vicinity of the information system but does not want to log out because of the temporary nature of the absence. The session lock is implemented at the point where session activity can be determined. This is typically at the operating system-level, but may be at the application-level. A session lock is not a substitute for logging out of the information system, for example, if the organization requires users to log out at the end of the workday.
+
+
+
+
+
+
+ The information system session lock mechanism, when activated on a device with a display screen, places a publicly viewable pattern onto the associated display, hiding what was previously visible on the screen.
+
+
+
+
+
+ OMB Memorandum 06-16
+
+
+
+ Technical
+ Access Control
+ AC-12
+ Session Termination
+
+
+ [Withdrawn: Incorporated into SC-10].
+
+
+
+
+ Technical
+ Access Control
+ AC-13
+ Supervision and Review Access Control
+
+
+ [Withdrawn: Incorporated into AC-2 and AU-6].
+
+
+
+
+ Technical
+ Access Control
+ AC-14
+ Permitted Actions Without Identification Or Authentication
+ P1
+
+
+ The organization:
+
+ Identifies specific user actions that can be performed on the information system without identification or authentication; and
+ Documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification and authentication.
+
+
+
+
+
+ This control is intended for those specific instances where an organization determines that no identification and authentication is required; it is not, however, mandating that such instances exist in given information system. The organization may allow a limited number of user actions without identification and authentication (e.g., when individuals access public websites or other publicly accessible federal information systems such as http://www.usa.gov). Organizations also identify any actions that normally require identification or authentication but may under certain circumstances (e.g., emergencies), allow identification or authentication mechanisms to be bypassed. Such bypass may be, for example, via a software-readable physical switch that commands bypass of the login functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not being repeated, but rather to situations where identification and/or authentication have not yet occurred. Related control: CP-2, IA-2.
+
+
+
+
+
+
+ The organization permits actions to be performed without identification and authentication only to the extent necessary to accomplish mission/business objectives.
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-15
+ Automated Marking
+
+
+ [Withdrawn: Incorporated into MP-3].
+
+
+
+
+ Technical
+ Access Control
+ AC-16
+ Security Attributes
+ P0
+
+
+ The information system supports and maintains the binding of [Assignment: organization-defined security attributes] to information in storage, in process, and in transmission.
+
+
+
+
+ Security attributes are abstractions representing the basic properties or characteristics of an entity (e.g., subjects and objects) with respect to safeguarding information. These attributes are typically associated with internal data structures (e.g., records, buffers, files) within the information system and are used to enable the implementation of access control and flow control policies, reflect special dissemination, handling or distribution instructions, or support other aspects of the information security policy. The term security label is often used to associate a set of security attributes with a specific information object as part of the data structure for that object (e.g., user access privileges, nationality, affiliation as contractor). Related controls: AC-3, AC-4, SC-16, MP-3.
+
+
+
+
+
+
+ The information system dynamically reconfigures security attributes in accordance with an identified security policy as information is created and combined.
+
+
+
+
+
+
+ The information system allows authorized entities to change security attributes.
+
+
+
+
+
+
+ The information system maintains the binding of security attributes to information with sufficient assurance that the information--attribute association can be used as the basis for automated policy actions.
+
+
+
+
+ Examples of automated policy actions include automated access control decisions (e.g., Mandatory Access Control decisions), or decisions to release (or not release) information (e.g., information flows via cross domain systems).
+
+
+
+
+
+
+ The information system allows authorized users to associate security attributes with information.
+
+
+
+
+ The support provided by the information system can vary from prompting users to select security attributes to be associated with specific information objects, to ensuring that the combination of attributes selected is valid.
+
+
+
+
+
+
+ The information system displays security attributes in human-readable form on each object output from the system to system output devices to identify [Assignment: organization-identified set of special dissemination, handling, or distribution instructions] using [Assignment: organization-identified human readable, standard naming conventions].
+
+
+
+
+ Objects output from the information system include, for example, pages, screens, or equivalent. Output devices include, for example, printers and video displays on computer terminals, monitors, screens on notebook/laptop computers and personal digital assistants.
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-17
+ Remote Access
+ P1
+
+
+ The organization:
+
+ Documents allowed methods of remote access to the information system;
+ Establishes usage restrictions and implementation guidance for each allowed remote access method;
+ Monitors for unauthorized remote access to the information system;
+ Authorizes remote access to the information system prior to connection; and
+ Enforces requirements for remote connections to the information system.
+
+
+
+
+
+ This control requires explicit authorization prior to allowing remote access to an information system without specifying a specific format for that authorization. For example, while the organization may deem it appropriate to use a system interconnection agreement to authorize a given remote access, such agreements are not required by this control. Remote access is any access to an organizational information system by a user (or process acting on behalf of a user) communicating through an external network (e.g., the Internet). Examples of remote access methods include dial-up, broadband, and wireless (see AC-18 for wireless access). A virtual private network when adequately provisioned with appropriate security controls, is considered an internal network (i.e., the organization establishes a network connection between organization-controlled endpoints in a manner that does not require the organization to depend on external networks to protect the confidentiality or integrity of information transmitted across the network). Remote access controls are applicable to information systems other than public web servers or systems specifically designed for public access. Enforcing access restrictions associated with remote connections is accomplished by control AC-3. Related controls: AC-3, AC-18, AC-20, IA-2, IA-3, IA-8, MA-4.
+
+
+
+
+
+
+ The organization employs automated mechanisms to facilitate the monitoring and control of remote access methods.
+
+
+
+
+ Automated monitoring of remote access sessions allows organizations to audit user activities on a variety of information system components (e.g., servers, workstations, notebook/laptop computers) and to ensure compliance with remote access policy.
+
+
+
+
+
+
+ The organization uses cryptography to protect the confidentiality and integrity of remote access sessions.
+
+
+
+
+ The encryption strength of mechanism is selected based on the security categorization of the information. Related controls: SC-8, SC-9, SC-13.
+
+
+
+
+
+
+ The information system routes all remote accesses through a limited number of managed access control points.
+
+
+
+
+ Related control: SC-7.
+
+
+
+
+
+
+ The organization authorizes the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs and documents the rationale for such access in the security plan for the information system.
+
+
+
+
+ Related control: AC-6.
+
+
+
+
+
+
+ The organization monitors for unauthorized remote connections to the information system [Assignment: organization-defined frequency], and takes appropriate action if an unauthorized connection is discovered.
+
+
+
+
+
+
+ The organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.
+
+
+
+
+
+
+ The organization ensures that remote sessions for accessing [Assignment: organization-defined list of security functions and security-relevant information] employ [Assignment: organization-defined additional security measures] and are audited.
+
+
+
+
+ Additional security measures are typically above and beyond standard bulk or session layer encryption (e.g., Secure Shell [SSH], Virtual Private Networking [VPN] with blocking mode enabled). Related controls: SC-8, SC-9.
+
+
+
+
+
+
+ The organization disables [Assignment: organization-defined networking protocols within the information system deemed to be nonsecure] except for explicitly identified components in support of specific operational requirements.
+
+
+
+
+ The organization can either make a determination of the relative security of the networking protocol or base the security decision on the assessment of other entities. Bluetooth and peer-to-peer networking are examples of less than secure networking protocols.
+
+
+
+
+
+ NIST 800-113
+ NIST 800-114
+ NIST 800-121
+ NIST 800-46
+ NIST 800-77
+
+
+
+ Technical
+ Access Control
+ AC-18
+ Wireless Access
+ P1
+
+
+ The organization:
+
+ Establishes usage restrictions and implementation guidance for wireless access;
+ Monitors for unauthorized wireless access to the information system;
+ Authorizes wireless access to the information system prior to connection; and
+ Enforces requirements for wireless connections to the information system.
+
+
+
+
+
+ Wireless technologies include, but are not limited to, microwave, satellite, packet radio (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., EAP/TLS, PEAP), which provide credential protection and mutual authentication. In certain situations, wireless signals may radiate beyond the confines and control of organization-controlled facilities. Related controls: AC-3, IA-2, IA-3, IA-8.
+
+
+
+
+
+
+ The information system protects wireless access to the system using authentication and encryption.
+
+
+
+
+ Authentication applies to user, device, or both as necessary. Related control: SC-13.
+
+
+
+
+ HIGH
+
+
+ The organization monitors for unauthorized wireless connections to the information system, including scanning for unauthorized wireless access points [Assignment: organization-defined frequency], and takes appropriate action if an unauthorized connection is discovered.
+
+
+
+
+ Organizations proactively search for unauthorized wireless connections including the conduct of thorough scans for unauthorized wireless access points. The scan is not necessarily limited to only those areas within the facility containing the information systems, yet is conducted outside of those areas only as needed to verify that unauthorized wireless access points are not connected to the system.
+
+
+
+
+
+
+ The organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.
+
+
+
+
+ HIGH
+
+
+ The organization does not allow users to independently configure wireless networking capabilities.
+
+
+
+
+ HIGH
+
+
+ The organization confines wireless communications to organization-controlled boundaries.
+
+
+
+
+ Actions that may be taken by the organization to confine wireless communications to organization-controlled boundaries include: (i) reducing the power of the wireless transmission such that it cannot transit the physical perimeter of the organization; (ii) employing measures such as TEMPEST to control wireless emanations; and (iii) configuring the wireless access such that it is point to point in nature.
+
+
+
+
+
+ DOD Instruction 8552.01
+ NIST 800-48
+ NIST 800-94
+ NIST 800-97
+
+
+
+ Technical
+ Access Control
+ AC-19
+ Access Control for Mobile Devices
+ P1
+
+
+ The organization:
+
+ Establishes usage restrictions and implementation guidance for organization-controlled mobile devices;
+ Authorizes connection of mobile devices meeting organizational usage restrictions and implementation guidance to organizational information systems;
+ Monitors for unauthorized connections of mobile devices to organizational information systems;
+ Enforces requirements for the connection of mobile devices to organizational information systems;
+ Disables information system functionality that provides the capability for automatic execution of code on mobile devices without user direction;
+ Issues specially configured mobile devices to individuals traveling to locations that the organization deems to be of significant risk in accordance with organizational policies and procedures; and
+ Applies [Assignment: organization-defined inspection and preventative measures] to mobile devices returning from locations that the organization deems to be of significant risk in accordance with organizational policies and procedures.
+
+
+
+
+
+ Mobile devices include portable storage media (e.g., USB memory sticks, external hard disk drives) and portable computing and communications devices with information storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones, digital cameras, and audio recording devices). Organization-controlled mobile devices include those devices for which the organization has the authority to specify and the ability to enforce specific security requirements. Usage restrictions and implementation guidance related to mobile devices include, for example, configuration management, device identification and authentication, implementation of mandatory protective software (e.g., malicious code detection, firewall), scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). Examples of information system functionality that provide the capability for automatic execution of code are AutoRun and AutoPlay.
+ Organizational policies and procedures for mobile devices used by individuals departing on and returning from travel include, for example, determining which locations are of concern, defining required configurations for the devices, ensuring that the devices are configured as intended before travel is initiated, and applying specific measures to the device after travel is completed. Specially configured mobile devices include, for example, computers with sanitized hard drives, limited applications, and additional hardening (e.g., more stringent configuration settings). Specified measures applied to mobile devices upon return from travel include, for example, examining the device for signs of physical tampering and purging/reimaging the hard disk drive. Protecting information residing on mobile devices is covered in the media protection family. Related controls: MP-4, MP-5.
+
+
+
+
+
+
+ The organization restricts the use of writable, removable media in organizational information systems.
+
+
+
+
+
+
+ The organization prohibits the use of personally owned, removable media in organizational information systems.
+
+
+
+
+
+
+ The organization prohibits the use of removable media in organizational information systems when the media has no identifiable owner.
+
+
+
+
+ An identifiable owner (e.g., individual, organization, or project) for removable media helps to reduce the risk of using such technology by assigning responsibility and accountability for addressing known vulnerabilities in the media (e.g., malicious code insertion).
+
+
+
+
+
+
+ The organization:
+
+ Prohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the appropriate authorizing official(s); and
+ Enforces the following restrictions on individuals permitted to use mobile devices in facilities containing information systems processing, storing, or transmitting classified information: \
+
+ - Connection of unclassified mobile devices to classified information systems is prohibited;
+ - Connection of unclassified mobile devices to unclassified information systems requires approval from the appropriate authorizing official(s);
+ - Use of internal or external modems or wireless interfaces within the mobile devices is prohibited; and
+ - Mobile devices and the information stored on those devices are subject to random reviews/inspections by [Assignment: organization-defined security officials], and if classified information is found, the incident handling policy is followed.
+
+
+
+
+
+ NIST 800-114
+ NIST 800-124
+
+
+
+ Technical
+ Access Control
+ AC-20
+ Use of External Information Systems
+ P1
+
+
+ The organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:
+
+ Access the information system from the external information systems; and
+ Process, store, and/or transmit organization-controlled information using the external information systems.
+
+
+
+
+
+ External information systems are information systems or components of information systems that are outside of the authorization boundary established by the organization and for which the organization typically has no direct supervision and authority over the application of required security controls or the assessment of security control effectiveness. External information systems include, but are not limited to: (i) personally owned information systems (e.g., computers, cellular telephones, or personal digital assistants); (ii) privately owned computing and communications devices resident in commercial or public facilities (e.g., hotels, convention centers, or airports); (iii) information systems owned or controlled by nonfederal governmental organizations; and (iv) federal information systems that are not owned by, operated by, or under the direct supervision and authority of the organization. For some external systems, in particular those systems operated by other federal agencies, including organizations subordinate to those agencies, the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. In effect, the information systems of these organizations would not be considered external. These situations typically occur when, for example, there is some pre-existing sharing or trust agreement (either implicit or explicit) established between federal agencies and/or organizations subordinate to those agencies, or such trust agreements are specified by applicable laws, Executive Orders, directives, or policies. Authorized individuals include organizational personnel, contractors, or any other individuals with authorized access to the organizational information system and over which the organization has the authority to impose rules of behavior with regard to system access. The restrictions that an organization imposes on authorized individuals need not be uniform, as those restrictions are likely to vary depending upon the trust relationships between organizations. Thus, an organization might impose more stringent security restrictions on a contractor than on a state, local, or tribal government.
+ This control does not apply to the use of external information systems to access public interfaces to organizational information systems and information (e.g., individuals accessing federal information through www.usa.gov). The organization establishes terms and conditions for the use of external information systems in accordance with organizational security policies and procedures. The terms and conditions address as a minimum; (i) the types of applications that can be accessed on the organizational information system from the external information system; and (ii) the maximum security categorization of information that can be processed, stored, and transmitted on the external information system. This control defines access authorizations enforced by AC-3, rules of behavior requirements enforced by PL-4, and session establishment rules enforced by AC-17. Related controls: AC-3, AC-17, PL-4.
+
+
+
+
+
+
+ The organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:
+
+ Can verify the implementation of required security controls on the external system as specified in the organizations information security policy and security plan; or
+ Has approved information system connection or processing agreements with the organizational entity hosting the external information system.
+
+
+
+
+
+
+
+ The organization limits the use of organization-controlled portable storage media by authorized individuals on external information systems.
+
+
+
+
+ Limits on the use of organization-controlled portable storage media in external information systems can include, for example, complete prohibition of the use of such devices or restrictions on how the devices may be used and under what conditions the devices may be used.
+
+
+
+
+
+ FIPS Publication 199
+
+
+
+ Technical
+ Access Control
+ AC-21
+ User-based Collaboration and Information Sharing
+ P0
+
+
+ The organization:
+
+ Facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for [Assignment: organization-defined information sharing circumstances where user discretion is required]; and
+ Employs [Assignment: list of organization-defined information sharing circumstances and automated mechanisms or manual processes required] to assist users in making information sharing/collaboration decisions.
+
+
+
+
+
+ The control applies to information that may be restricted in some manner (e.g., privileged medical, contract-sensitive, proprietary, personally identifiable information, special access programs/compartments) based on some formal or administrative determination. Depending on the information-sharing circumstance, the sharing partner may be defined at the individual, group, or organization level and information may be defined by specific content, type, or security categorization. Related control: AC-3.
+
+
+
+
+
+
+ The information system employs automated mechanisms to enable authorized users to make information-sharing decisions based on access authorizations of sharing partners and access restrictions on information to be shared.
+
+
+
+
+
+
+ Technical
+ Access Control
+ AC-22
+ Publicly Accessible Content
+ P2
+
+
+ The organization:
+
+ Designates individuals authorized to post information onto an organizational information system that is publicly accessible;
+ Trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;
+ Reviews the proposed content of publicly accessible information for nonpublic information prior to posting onto the organizational information system;
+ Reviews the content on the publicly accessible organizational information system for nonpublic information [Assignment: organization-defined frequency]; and
+ Removes nonpublic information from the publicly accessible organizational information system, if discovered.
+
+
+
+
+
+ Nonpublic information is any information for which the general public is not authorized access in accordance with federal laws, Executive Orders, directives, policies, regulations, standards, or guidance. Information protected under the Privacy Act and vendor proprietary information are examples of nonpublic information. This control addresses posting information on an organizational information system that is accessible to the general public, typically without identification or authentication. The posting of information on non-organization information systems is covered by appropriate organizational policy. Related controls: AC-3, AU-13.
+
+
+
+
+ Operational
+ Awareness and Training
+ AT-1
+ Security Awareness and Training Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the security awareness and training family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The security awareness and training policy can be included as part of the general information security policy for the organization. Security awareness and training procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the security awareness and training policy. Related control: PM-9.
+
+
+
+ NIST 800-100
+ NIST 800-12
+ NIST 800-16
+ NIST 800-50
+
+
+
+ Operational
+ Awareness and Training
+ AT-2
+ Security Awareness
+ P1
+
+
+ The organization provides basic security awareness training to all information system users (including managers, senior executives, and contractors) as part of initial training for new users, when required by system changes, and [Assignment: organization-defined frequency] thereafter.
+
+
+
+
+ The organization determines the appropriate content of security awareness training and security awareness techniques based on the specific requirements of the organization and the information systems to which personnel have authorized access. The content includes a basic understanding of the need for information security and user actions to maintain security and to respond to suspected security incidents. The content also addresses awareness of the need for operations security as it relates to the organizations information security program. Security awareness techniques can include, for example, displaying posters, offering supplies inscribed with security reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security awareness events.
+
+
+
+
+
+
+ The organization includes practical exercises in security awareness training that simulate actual cyber attacks.
+
+
+
+
+ Practical exercises may include, for example, no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments or invoking malicious web links.
+
+
+
+
+
+ 5 C.F.R. 930.301
+ NIST 800-50
+
+
+
+ Operational
+ Awareness and Training
+ AT-3
+ Security Training
+ P1
+
+
+ The organization provides role-based security-related training: (i) before authorizing access to the system or performing assigned duties; (ii) when required by system changes; and (iii) [Assignment: organization-defined frequency] thereafter.
+
+
+
+
+ The organization determines the appropriate content of security training based on assigned roles and responsibilities and the specific requirements of the organization and the information systems to which personnel have authorized access. In addition, the organization provides information system managers, system and network administrators, personnel performing independent verification and validation activities, security control assessors, and other personnel having access to system-level software, adequate security-related technical training to perform their assigned duties. Organizational security training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. The organization also provides the training necessary for these individuals to carry out their responsibilities related to operations security within the context of the organizations information security program. Related controls: AT-2, SA-3.
+
+
+
+
+
+
+ The organization provides employees with initial and [Assignment: organization-defined frequency] training in the employment and operation of environmental controls.
+
+
+
+
+ Environmental controls include, for example, fire suppression and detection devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature/humidity, HVAC, and power within the facility.
+
+
+
+
+
+
+ The organization provides employees with initial and [Assignment: organization-defined frequency] training in the employment and operation of physical security controls.
+
+
+
+
+ Physical security controls include, for example, physical access control devices, physical intrusion alarms, monitoring and surveillance equipment, and security guards (deployment and operating procedures).
+
+
+
+
+
+ 5 C.F.R. 930.301
+ NIST 800-16
+ NIST 800-50
+
+
+
+ Operational
+ Awareness and Training
+ AT-4
+ Security Training Records
+ P3
+
+
+ The organization:
+
+ Documents and monitors individual information system security training activities including basic security awareness training and specific information system security training; and
+ Retains individual training records for [Assignment: organization-defined time period].
+
+
+
+
+
+ While an organization may deem that organizationally mandated individual training programs and the development of individual training plans are necessary, this control does not mandate either. Documentation for specialized training may be maintained by individual supervisors at the option of the organization.
+
+
+
+
+ Operational
+ Awareness and Training
+ AT-5
+ Contacts With Security Groups and Associations
+ P0
+
+
+ The organization establishes and institutionalizes contact with selected groups and associations within the security community:
+ - To facilitate ongoing security education and training for organizational personnel;
+ - To stay up to date with the latest recommended security practices, techniques, and technologies; and
+ - To share current security-related information including threats, vulnerabilities, and incidents.
+
+
+
+
+ Ongoing contact with security groups and associations is of paramount importance in an environment of rapid technology changes and dynamic threats. Security groups and associations can include, for example, special interest groups, specialized forums, professional associations, news groups, and/or peer groups of security professionals in similar organizations. The groups and associations selected are consistent with the organizations mission/business requirements. Information-sharing activities regarding threats, vulnerabilities, and incidents related to information systems are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-1
+ Audit and Accountability Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the audit and accountability family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The audit and accountability policy can be included as part of the general information security policy for the organization. Audit and accountability procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the audit and accountability policy. Related control: PM-9.
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Technical
+ Audit and Accountability
+ AU-2
+ Auditable Events
+ P1
+
+
+ The organization:
+
+ Determines, based on a risk assessment and mission/business needs, that the information system must be capable of auditing the following events: [Assignment: organization-defined list of auditable events];
+ Coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;
+ Provides a rationale for why the list of auditable events are deemed to be adequate to support after-the-fact investigations of security incidents; and
+ Determines, based on current threat information and ongoing assessment of risk, that the following events are to be audited within the information system: [Assignment: organization-defined subset of the auditable events defined in AU-2 a. to be audited along with the frequency of (or situation requiring) auditing for each identified event].
+
+
+
+
+
+ The purpose of this control is for the organization to identify events which need to be auditable as significant and relevant to the security of the information system; giving an overall system requirement in order to meet ongoing and specific audit needs. To balance auditing requirements with other information system needs, this control also requires identifying that subset of auditable events that are to be audited at a given point in time. For example, the organization may determine that the information system must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the extreme burden on system performance. In addition, audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the right level of abstraction for audit record generation is a critical aspect of an audit capability and can facilitate the identification of root causes to problems. Related control: AU-3.
+
+
+
+
+
+
+ [Withdrawn: Incorporated into AU-12].
+
+
+
+
+
+
+ [Withdrawn: Incorporated into AU-12].
+
+
+
+
+
+
+ The organization reviews and updates the list of auditable events [Assignment: organization-defined frequency].
+
+
+
+
+ The list of auditable events is defined in AU-2.
+
+
+
+
+
+
+ The organization includes execution of privileged functions in the list of events to be audited by the information system.
+
+
+
+
+
+ NIST 800-92
+ Web Resource CSRC.NIST.GOV/PCIG/CIG.HTML
+
+
+
+ Technical
+ Audit and Accountability
+ AU-3
+ Content of Audit Records
+ P1
+
+
+ The information system produces audit records that contain sufficient information to, at a minimum, establish what type of event occurred, when (date and time) the event occurred, where the event occurred, the source of the event, the outcome (success or failure) of the event, and the identity of any user/subject associated with the event.
+
+
+
+
+ Audit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Related controls: AU-2, AU-8.
+
+
+
+
+
+
+ The information system includes [Assignment: organization-defined additional, more detailed information] in the audit records for audit events identified by type, location, or subject.
+
+
+
+
+ An example of detailed information that the organization may require in audit records is full-text recording of privileged commands or the individual identities of group account users.
+
+
+
+
+ HIGH
+
+
+ The organization centrally manages the content of audit records generated by [Assignment: organization-defined information system components].
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-4
+ Audit Storage Capacity
+ P1
+
+
+ The organization allocates audit record storage capacity and configures auditing to reduce the likelihood of such capacity being exceeded.
+
+
+
+
+ The organization considers the types of auditing to be performed and the audit processing requirements when allocating audit storage capacity. Related controls: AU-2, AU-5, AU-6, AU-7, SI-4.
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-5
+ Response To Audit Processing Failures
+ P1
+
+
+ The information system:
+
+ Alerts designated organizational officials in the event of an audit processing failure; and
+ Takes the following additional actions: [Assignment: organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)].
+
+
+
+
+
+ Audit processing failures include, for example, software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. Related control: AU-4.
+
+
+
+
+ HIGH
+
+
+ The information system provides a warning when allocated audit record storage volume reaches [Assignment: organization-defined percentage] of maximum audit record storage capacity.
+
+
+
+
+ HIGH
+
+
+ The information system provides a real-time alert when the following audit failure events occur: [Assignment: organization-defined audit failure events requiring real-time alerts].
+
+
+
+
+
+
+ The information system enforces configurable traffic volume thresholds representing auditing capacity for network traffic and [Selection: rejects or delays] network traffic above those thresholds.
+
+
+
+
+
+
+ The information system invokes a system shutdown in the event of an audit failure, unless an alternative audit capability exists.
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-6
+ Audit Review, Analysis, and Reporting
+ P1
+
+
+ The organization:
+
+ Reviews and analyzes information system audit records [Assignment: organization-defined frequency] for indications of inappropriate or unusual activity, and reports findings to designated organizational officials; and
+ Adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk to organizational operations, organizational assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information.
+
+
+
+
+
+ Related control: AU-7.
+
+
+
+
+ HIGH
+
+
+ The information system integrates audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.
+
+
+
+
+
+
+ [Withdrawn: Incorporated into SI-4].
+
+
+
+
+
+
+ The organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.
+
+
+
+
+
+
+ The information system centralizes the review and analysis of audit records from multiple components within the system.
+
+
+
+
+ An example of an automated mechanism for centralized review and analysis is a Security Information Management (SIM) product. Related control: AU-2.
+
+
+
+
+
+
+ The organization integrates analysis of audit records with analysis of vulnerability scanning information, performance data, and network monitoring information to further enhance the ability to identify inappropriate or unusual activity.
+
+
+
+
+ A Security Event/Information Management system tool can facilitate audit record aggregation and consolidation from multiple information system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by the organization (with localized script adjustments, as necessary), provides a more cost-effective approach for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of the vulnerability scans and correlating attack detection events with scanning results. Related control: AU-7, RA-5, SI-4.
+
+
+
+
+
+
+ The organization correlates information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.
+
+
+
+
+ Related control: PE-6.
+
+
+
+
+
+
+ The organization specifies the permitted actions for each authorized information system process, role, and/or user in the audit and accountability policy.
+
+
+
+
+ Permitted actions for information system processes, roles, and/or users associated with the review, analysis, and reporting of audit records include, for example, read, write, append, and delete.
+
+
+
+
+
+
+ [Withdrawn: Incorporated into SI-4].
+
+
+
+
+
+
+ The organization performs, in a physically dedicated information system, full-text analysis of privileged functions executed.
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-7
+ Audit Reduction and Report Generation
+ P2
+
+
+ The information system provides an audit reduction and report generation capability.
+
+
+
+
+ An audit reduction and report generation capability provides support for near real-time audit review, analysis, and reporting requirements described in AU-6 and after-the-fact investigations of security incidents. Audit reduction and reporting tools do not alter original audit records. Related control: AU-6.
+
+
+
+
+
+
+ The information system provides the capability to automatically process audit records for events of interest based on selectable event criteria.
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-8
+ Time Stamps
+ P1
+
+
+ The information system uses internal system clocks to generate time stamps for audit records.
+
+
+
+
+ Time stamps generated by the information system include both date and time. The time may be expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Related control: AU-3.
+
+
+
+
+
+
+ The information system synchronizes internal information system clocks [Assignment: organization-defined frequency] with [Assignment: organization-defined authoritative time source].
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-9
+ Protection of Audit Information
+ P1
+
+
+ The information system protects audit information and audit tools from unauthorized access, modification, and deletion.
+
+
+
+
+ Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. Related controls: AC-3, AC-6.
+
+
+
+
+
+
+ The information system produces audit records on hardware-enforced, write-once media.
+
+
+
+
+
+
+ The information system backs up audit records [Assignment: organization-defined frequency] onto a different system or media than the system being audited.
+
+
+
+
+
+
+ The information system uses cryptographic mechanisms to protect the integrity of audit information and audit tools.
+
+
+
+
+ An example of a cryptographic mechanism for the protection of integrity is the computation and application of a cryptographic-signed hash using asymmetric cryptography, protecting the confidentiality of the key used to generate the hash, and using the public key to verify the hash information.
+
+
+
+
+
+
+ The organization:
+
+ Authorizes access to management of audit functionality to only a limited subset of privileged users; and
+ Protects the audit records of non-local accesses to privileged accounts and the execution of privileged functions.
+
+
+
+
+
+ Auditing may not be reliable when performed by the information system to which the user being audited has privileged access. The privileged user may inhibit auditing or modify audit records. This control enhancement helps mitigate this risk by requiring that privileged access be further defined between audit-related privileges and other privileges, thus, limiting the users with audit-related privileges. Reducing the risk of audit compromises by privileged users can also be achieved, for example, by performing audit activity on a separate information system or by using storage media that cannot be modified (e.g., write-once recording devices).
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-10
+ Non-repudiation
+ P1
+ HIGH
+
+
+ The information system protects against an individual falsely denying having performed a particular action.
+
+
+
+
+ Examples of particular actions taken by individuals include creating information, sending a message, approving information (e.g., indicating concurrence or signing a contract), and receiving a message. Non-repudiation protects individuals against later claims by an author of not having authored a particular document, a sender of not having transmitted a message, a receiver of not having received a message, or a signatory of not having signed a document. Non-repudiation services can be used to determine if information originated from an individual, or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request) or received specific information. Non-repudiation services are obtained by employing various techniques or mechanisms (e.g., digital signatures, digital message receipts).
+
+
+
+
+
+
+ The information system associates the identity of the information producer with the information.
+
+
+
+
+ This control enhancement supports audit requirements that provide appropriate organizational officials the means to identify who produced specific information in the event of an information transfer. The nature and strength of the binding between the information producer and the information are determined and approved by the appropriate organizational officials based on the security categorization of the information and relevant risk factors.
+
+
+
+
+
+
+ The information system validates the binding of the information producers identity to the information.
+
+
+
+
+ This control enhancement is intended to mitigate the risk that information is modified between production and review. The validation of bindings can be achieved, for example, by the use of cryptographic checksums.
+
+
+
+
+
+
+ The information system maintains reviewer/releaser identity and credentials within the established chain of custody for all information reviewed or released.
+
+
+
+
+ If the reviewer is a human or if the review function is automated but separate from the release/transfer function, the information system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, this control enhancement provides appropriate organizational officials the means to identify who reviewed and released the information. In the case of automated reviews, this control enhancement helps ensure that only approved review functions are employed.
+
+
+
+
+
+
+ The information system validates the binding of the reviewers identity to the information at the transfer/release point prior to release/transfer from one security domain to another security domain.
+
+
+
+
+ This control enhancement is intended to mitigate the risk that information is modified between review and transfer/release.
+
+
+
+
+
+
+ The organization employs [Selection: FIPS-validated; NSA-approved] cryptography to implement digital signatures.
+
+
+
+
+ Related control: SC-13.
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-11
+ Audit Record Retention
+ P3
+
+
+ The organization retains audit records for [Assignment: organization-defined time period consistent with records retention policy] to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements.
+
+
+
+
+ The organization retains audit records until it is determined that they are no longer needed for administrative, legal, audit, or other operational purposes. This includes, for example, retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoena, and law enforcement actions. Standard categorizations of audit records relative to such types of actions and standard response processes for each type of action are developed and disseminated. The National Archives and Records Administration (NARA) General Records Schedules (GRS) provide federal policy on record retention.
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-12
+ Audit Generation
+ P1
+
+
+ The information system:
+
+ Provides audit record generation capability for the list of auditable events defined in AU-2 at [Assignment: organization-defined information system components];
+ Allows designated organizational personnel to select which auditable events are to be audited by specific components of the system; and
+ Generates audit records for the list of audited events defined in AU-2 with the content as defined in AU-3.
+
+
+
+
+
+ Audits records can be generated from various components within the information system. The list of audited events is the set of events for which audits are to be generated. This set of events is typically a subset of the list of all events for which the system is capable of generating audit records (i.e., auditable events). Related controls: AU-2, AU-3.
+
+
+
+
+ HIGH
+
+
+ The information system compiles audit records from [Assignment: organization-defined information system components] into a system-wide (logical or physical) audit trail that is time-correlated to within [Assignment: organization-defined level of tolerance for relationship between time stamps of individual records in the audit trail].
+
+
+
+
+ The audit trail is time-correlated if the time stamp in the individual audit records can be reliably related to the time stamp in other audit records to achieve a time ordering of the records within the organization-defined tolerance.
+
+
+
+
+
+
+ The information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.
+
+
+
+
+ Audit information normalized to a common standard promotes interoperability and exchange of such information between dissimilar devices and information systems. This facilitates an audit system that produces event information that can be more readily analyzed and correlated. System log records and audit records compliant with the Common Event Expression (CEE) are examples of standard formats for audit records. If individual logging mechanisms within the information system do not conform to a standardized format, the system may convert individual audit records into a standardized format when compiling the system-wide audit trail.
+
+
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-13
+ Monitoring for Information Disclosure
+ P0
+
+
+ The organization monitors open source information for evidence of unauthorized exfiltration or disclosure of organizational information [Assignment: organization-defined frequency].
+
+
+
+
+ None.
+
+
+
+
+ Technical
+ Audit and Accountability
+ AU-14
+ Session Audit
+ P0
+
+
+ The information system provides the capability to:
+
+ Capture/record and log all content related to a user session; and
+ Remotely view/hear all content related to an established user session in real time.
+
+
+
+
+
+ Session auditing activities are developed, integrated, and used in consultation with legal counsel in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations.
+
+
+
+
+
+
+ The information system initiates session audits at system start-up.
+
+
+
+
+
+
+ Management
+ Security Assessment and Authorization
+ CA-1
+ Security Assessment and Authorization Policies and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ Formal, documented security assessment and authorization policies that address purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the security assessment and authorization policies and associated security assessment and authorization controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the security assessment and authorization family. The policies and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The security assessment/authorization policies can be included as part of the general information security policy for the organization. Security assessment/authorization procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the security assessment and authorization policy. Related control: PM-9.
+
+
+
+ NIST 800-100
+ NIST 800-12
+ NIST 800-37
+ NIST 800-53A
+
+
+
+ Management
+ Security Assessment and Authorization
+ CA-2
+ Security Assessments
+ P2
+
+
+ The organization:
+
+ Develops a security assessment plan that describes the scope of the assessment including:
+ Security controls and control enhancements under assessment;
+ Assessment procedures to be used to determine security control effectiveness; and
+ Assessment environment, assessment team, and assessment roles and responsibilities;
+
+
+ Assesses the security controls in the information system [Assignment: organization-defined frequency] to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements for the system;
+ Produces a security assessment report that documents the results of the assessment; and
+ Provides the results of the security control assessment, in writing, to the authorizing official or authorizing official designated representative.
+
+
+
+
+
+ The organization assesses the security controls in an information system as part of: (i) security authorization or reauthorization; (ii) meeting the FISMA requirement for annual assessments; (iii) continuous monitoring; and (iv) testing/evaluation of the information system as part of the system development life cycle process. The assessment report documents the assessment results in sufficient detail as deemed necessary by the organization, to determine the accuracy and completeness of the report and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements of the information system. The FISMA requirement for (at least) annual security control assessments should not be interpreted by organizations as adding additional assessment requirements to those requirements already in place in the security authorization process. To satisfy the FISMA annual assessment requirement, organizations can draw upon the security control assessment results from any of the following sources, including but not limited to: (i) assessments conducted as part of an information system authorization or reauthorization process; (ii) continuous monitoring (see CA-7); or (iii) testing and evaluation of an information system as part of the ongoing system development life cycle (provided that the testing and evaluation results are current and relevant to the determination of security control effectiveness). Existing security control assessment results are reused to the extent that they are still valid and are supplemented with additional assessments as needed.
+ Subsequent to the initial authorization of the information system and in accordance with OMB policy, the organization assesses a subset of the security controls annually during continuous monitoring. The organization establishes the security control selection criteria and subsequently selects a subset of the security controls within the information system and its environment of operation for assessment. Those security controls that are the most volatile (i.e., controls most affected by ongoing changes to the information system or its environment of operation) or deemed critical by the organization to protecting organizational operations and assets, individuals, other organizations, and the Nation are assessed more frequently in accordance with an organizational assessment of risk. All other controls are assessed at least once during the information systems three-year authorization cycle. The organization can use the current years assessment results from any of the above sources to meet the FISMA annual assessment requirement provided that the results are current, valid, and relevant to determining security control effectiveness. External audits (e.g., audits conducted by external entities such as regulatory agencies) are outside the scope of this control. Related controls: CA-6, CA-7, PM-9, SA-11.
+
+
+
+
+
+
+ The organization employs an independent assessor or assessment team to conduct an assessment of the security controls in the information system.
+
+
+
+
+ An independent assessor or assessment team is any individual or group capable of conducting an impartial assessment of an organizational information system. Impartiality implies that the assessors are free from any perceived or actual conflicts of interest with respect to the developmental, operational, and/or management chain associated with the information system or to the determination of security control effectiveness. Independent security assessment services can be obtained from other elements within the organization or can be contracted to a public or private sector entity outside of the organization. Contracted assessment services are considered independent if the information system owner is not directly involved in the contracting process or cannot unduly influence the impartiality of the assessor or assessment team conducting the assessment of the security controls in the information system. The authorizing official determines the required level of assessor independence based on the security categorization of the information system and/or the ultimate risk to organizational operations and assets, and to individuals. The authorizing official determines if the level of assessor independence is sufficient to provide confidence that the assessment results produced are sound and can be used to make a credible, risk-based decision. In special situations, for example when the organization that owns the information system is small or the organizational structure requires that the assessment be accomplished by individuals that are in the developmental, operational, and/or management chain of the system owner, independence in the assessment process can be achieved by ensuring that the assessment results are carefully reviewed and analyzed by an independent team of experts to validate the completeness, accuracy, integrity, and reliability of the results.
+
+
+
+
+ HIGH
+
+
+ The organization includes as part of security control assessments, [Assignment: organization-defined frequency], [Selection: announced; unannounced], [Selection: in-depth monitoring; malicious user testing; penetration testing; red team exercises; [Assignment: organization-defined other forms of security testing]].
+
+
+
+
+ Penetration testing exercises both physical and technical security controls. A standard method for penetration testing consists of: (i) pretest analysis based on full knowledge of the target system; (ii) pretest identification of potential vulnerabilities based on pretest analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. Detailed rules of engagement are agreed upon by all parties before the commencement of any penetration testing scenario. These rules of engagement are correlated with the tools, techniques, and procedures that are anticipated to be employed by threat-sources in carrying out attacks. An organizational assessment of risk guides the decision on the level of independence required for penetration agents or penetration teams conducting penetration testing. Red team exercises are conducted as a simulated adversarial attempt to compromise organizational missions and/or business processes to provide a comprehensive assessment of the security capability of the information system and organization. While penetration testing may be laboratory-based testing, red team exercises are intended to be more comprehensive in nature and reflect real-world conditions. Information system monitoring, malicious user testing, penetration testing, red-team exercises, and other forms of security testing (e.g., independent verification and validation) are conducted to improve the readiness of the organization by exercising organizational capabilities and indicating current performance levels as a means of focusing organizational actions to improve the security state of the system and organization. Testing is conducted in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Testing methods are approved by authorizing officials in coordination with the organizations Risk Executive Function. Vulnerabilities uncovered during red team exercises are incorporated into the vulnerability remediation process. Related controls: RA-5, SI-2.
+
+
+
+
+
+ FIPS Publication 199
+ NIST 800-115
+ NIST 800-37
+ NIST 800-53A
+
+
+
+ Management
+ Security Assessment and Authorization
+ CA-3
+ Information System Connections
+ P1
+
+
+ The organization:
+
+ Authorizes connections from the information system to other information systems outside of the authorization boundary through the use of Interconnection Security Agreements;
+ Documents, for each connection, the interface characteristics, security requirements, and the nature of the information communicated; and
+ Monitors the information system connections on an ongoing basis verifying enforcement of security requirements.
+
+
+
+
+
+ This control applies to dedicated connections between information systems and does not apply to transitory, user-controlled connections such as email and website browsing. The organization carefully considers the risks that may be introduced when information systems are connected to other systems with different security requirements and security controls, both within the organization and external to the organization. Authorizing officials determine the risk associated with each connection and the appropriate controls employed. If the interconnecting systems have the same authorizing official, an Interconnection Security Agreement is not required. Rather, the interface characteristics between the interconnecting information systems are described in the security plans for the respective systems. If the interconnecting systems have different authorizing officials but the authorizing officials are in the same organization, the organization determines whether an Interconnection Security Agreement is required, or alternatively, the interface characteristics between systems are described in the security plans of the respective systems. Instead of developing an Interconnection Security Agreement, organizations may choose to incorporate this information into a formal contract, especially if the interconnection is to be established between a federal agency and a nonfederal (private sector) organization. In every case, documenting the interface characteristics is required, yet the formality and approval process vary considerably even though all accomplish the same fundamental objective of managing the risk being incurred by the interconnection of the information systems. Risk considerations also include information systems sharing the same networks. Information systems may be identified and authenticated as devices in accordance with IA-3. Related controls: AC-4, IA-3, SC-7, SA-9.
+
+
+
+
+
+
+ The organization prohibits the direct connection of an unclassified, national security system to an external network.
+
+
+
+
+ An external network is a network that is not controlled by the organization (e.g., the Internet). No direct connection means that an information system cannot connect to an external network without the use of an approved boundary protection device (e.g., firewall) that mediates the communication between the system and the network
+
+
+
+
+
+
+ The organization prohibits the direct connection of a classified, national security system to an external network.
+
+
+
+
+ An external network is a network that is not controlled by the organization (e.g., the Internet). No direct connection means that an information system cannot connect to an external network without the use of an approved boundary protection device (e.g., firewall) that mediates the communication between the system and the network. In addition, the approved boundary protection device (typically a managed interface/cross-domain system), provides information flow enforcement from the information system to the external network consistent with AC-4.
+
+
+
+
+
+ FIPS Publication 199
+ NIST Special Publication 800-47
+
+
+
+ Management
+ Security Assessment and Authorization
+ CA-4
+ Security Certification
+
+
+ [Withdrawn: Incorporated into CA-2].
+
+
+
+
+ Management
+ Security Assessment and Authorization
+ CA-5
+ Plan of Action and Milestones
+ P3
+
+
+ The organization:
+
+ Develops a plan of action and milestones for the information system to document the organizations planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system; and
+ Updates existing plan of action and milestones [Assignment: organization-defined frequency] based on the findings from security controls assessments, security impact analyses, and continuous monitoring activities.
+
+
+
+
+
+ The plan of action and milestones is a key document in the security authorization package and is subject to federal reporting requirements established by OMB. Related control: PM-4.
+
+
+
+
+
+
+ The organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is accurate, up to date, and readily available.
+
+
+
+
+
+ NIST 800-37
+ OMB Memorandum 02-01
+
+
+
+ Management
+ Security Assessment and Authorization
+ CA-6
+ Security Authorization
+ P3
+
+
+ The organization:
+
+ Assigns a senior-level executive or manager to the role of authorizing official for the information system;
+ Ensures that the authorizing official authorizes the information system for processing before commencing operations; and
+ Updates the security authorization [Assignment: organization-defined frequency].
+
+
+
+
+
+ Security authorization is the official management decision, conveyed through the authorization decision document, given by a senior organizational official or executive (i.e., authorizing official) to authorize operation of an information system and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of an agreed-upon set of security controls. Authorizing officials typically have budgetary oversight for information systems or are responsible for the mission or business operations supported by the systems. Security authorization is an inherently federal responsibility and therefore, authorizing officials must be federal employees. Through the security authorization process, authorizing officials are accountable for the security risks associated with information system operations. Accordingly, authorizing officials are in management positions with a level of authority commensurate with understanding and accepting such information system-related security risks. Through the employment of a comprehensive continuous monitoring process, the critical information contained in the authorization package (i.e., the security plan (including risk assessment), the security assessment report, and the plan of action and milestones) is updated on an ongoing basis, providing the authorizing official and the information system owner with an up-to-date status of the security state of the information system. To reduce the administrative cost of security reauthorization, the authorizing official uses the results of the continuous monitoring process to the maximum extent possible as the basis for rendering a reauthorization decision. OMB policy requires that federal information systems are reauthorized at least every three years or when there is a significant change to the system. The organization defines what constitutes a significant change to the information system. Related controls: CA-2, CA-7, PM-9, PM-10.
+
+
+
+ NIST 800-37
+ OMB Circular A-130
+
+
+
+ Management
+ Security Assessment and Authorization
+ CA-7
+ Continuous Monitoring
+ P3
+
+
+ The organization establishes a continuous monitoring strategy and implements a continuous monitoring program that includes:
+
+ A configuration management process for the information system and its constituent components;
+ A determination of the security impact of changes to the information system and environment of operation;
+ Ongoing security control assessments in accordance with the organizational continuous monitoring strategy; and
+ Reporting the security state of the information system to appropriate organizational officials [Assignment: organization-defined frequency].
+
+
+
+
+
+ A continuous monitoring program allows an organization to maintain the security authorization of an information system over time in a highly dynamic environment of operation with changing threats, vulnerabilities, technologies, and missions/business processes. Continuous monitoring of security controls using automated support tools facilitates near real-time risk management and promotes organizational situational awareness with regard to the security state of the information system. The implementation of a continuous monitoring program results in ongoing updates to the security plan, the security assessment report, and the plan of action and milestones, the three principal documents in the security authorization package. A rigorous and well executed continuous monitoring program significantly reduces the level of effort required for the reauthorization of the information system. Continuous monitoring activities are scaled in accordance with the security categorization of the information system. Related controls: CA-2, CA-5, CA-6, CM-3, CM-4.
+
+
+
+
+
+
+ The organization employs an independent assessor or assessment team to monitor the security controls in the information system on an ongoing basis.
+
+
+
+
+ The organization can extend and maximize the value of the ongoing assessment of security controls during the continuous monitoring process by requiring an independent assessor or team to assess all of the security controls during the information systems three-year authorization cycle. See supplemental guidance for CA-2, enhancement (1), for further information on assessor independence. Related controls: CA-2, CA-5, CA-6, CM-4.
+
+
+
+
+
+
+ The organization plans, schedules, and conducts assessments [Assignment: organization-defined frequency], [Selection: announced; unannounced], [Selection: in-depth monitoring; malicious user testing; penetration testing; red team exercises; [Assignment: organization-defined other forms of security assessment]] to ensure compliance with all vulnerability mitigation procedures.
+
+
+
+
+ Examples of vulnerability mitigation procedures are contained in Information Assurance Vulnerability Alerts. Testing is intended to ensure that the information system continues to provide adequate security against constantly evolving threats and vulnerabilities. Conformance testing also provides independent validation. See supplemental guidance for CA-2, enhancement (2) for further information on malicious user testing, penetration testing, red-team exercises, and other forms of security testing. Related control: CA-2.
+
+
+
+
+
+ NIST 800-37
+ NIST 800-53A
+ US-CERT Technical Cyber Security Alerts
+
+
+
+ Operational
+ Configuration Management
+ CM-1
+ Configuration Management Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented configuration management policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the configuration management policy and associated configuration management controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the configuration management family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The configuration management policy can be included as part of the general information security policy for the organization. Configuration management procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the configuration management policy. Related control: PM-9.
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Operational
+ Configuration Management
+ CM-2
+ Baseline Configuration
+ P1
+
+
+ The organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system.
+
+
+
+
+ This control establishes a baseline configuration for the information system and its constituent components including communications and connectivity-related aspects of the system. The baseline configuration provides information about the components of an information system (e.g., the standard software load for a workstation, server, network component, or mobile device including operating system/installed applications with current version numbers and patch information), network topology, and the logical placement of the component within the system architecture. The baseline configuration is a documented, up-to-date specification to which the information system is built. Maintaining the baseline configuration involves creating new baselines as the information system changes over time. The baseline configuration of the information system is consistent with the organizations enterprise architecture. Related controls: CM-3, CM-6, CM-8, CM-9.
+
+
+
+
+
+
+ The organization reviews and updates the baseline configuration of the information system:
+
+ [Assignment: organization-defined frequency];
+ When required due to [Assignment organization-defined circumstances]; and
+ As an integral part of information system component installations and upgrades.
+
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the information system.
+
+
+
+
+ Software inventory tools are examples of automated mechanisms that help organizations maintain consistent baseline configurations for information systems. Software inventory tools can be deployed for each operating system in use within the organization (e.g., on workstations, servers, network components, mobile devices) and used to track operating system version numbers, applications and types of software installed on the operating systems, and current patch levels. Software inventory tools can also scan information systems for unauthorized software to validate organization-defined lists of authorized and unauthorized software programs.
+
+
+
+
+
+
+ The organization retains older versions of baseline configurations as deemed necessary to support rollback.
+
+
+
+
+ MODERATE
+
+
+ The organization:
+
+ Develops and maintains [Assignment: organization-defined list of software programs not authorized to execute on the information system]; and
+ Employs an allow-all, deny-by-exception authorization policy to identify software allowed to execute on the information system.
+
+
+
+
+
+ HIGH
+
+
+ The organization:
+
+ Develops and maintains [Assignment: organization-defined list of software programs authorized to execute on the information system]; and
+ Employs a deny-all, permit-by-exception authorization policy to identify software allowed to execute on the information system.
+
+
+
+
+
+ HIGH
+
+
+ The organization maintains a baseline configuration for development and test environments that is managed separately from the operational baseline configuration.
+
+
+
+
+
+ NIST 800-128
+
+
+
+ Operational
+ Configuration Management
+ CM-3
+ Configuration Change Control
+ P1
+
+
+ The organization:
+
+ Determines the types of changes to the information system that are configuration controlled;
+ Approves configuration-controlled changes to the system with explicit consideration for security impact analyses;
+ Documents approved configuration-controlled changes to the system;
+ Retains and reviews records of configuration-controlled changes to the system;
+ Audits activities associated with configuration-controlled changes to the system; and
+ Coordinates and provides oversight for configuration change control activities through [Assignment: organization-defined configuration change control element (e.g., committee, board] that convenes [Selection: (one or more): [Assignment: organization-defined frequency]; [Assignment: organization-defined configuration change conditions]].
+
+
+
+
+
+ The organization determines the types of changes to the information system that are configuration controlled. Configuration change control for the information system involves the systematic proposal, justification, implementation, test/evaluation, review, and disposition of changes to the system, including upgrades and modifications. Configuration change control includes changes to components of the information system, changes to the configuration settings for information technology products (e.g., operating systems, applications, firewalls, routers), emergency changes, and changes to remediate flaws. A typical organizational process for managing configuration changes to the information system includes, for example, a chartered Configuration Control Board that approves proposed changes to the system. Auditing of changes refers to changes in activity before and after a change is made to the information system and the auditing activities required to implement the change. Related controls: CM-4, CM-5, CM-6, SI-2.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to:
+
+ Document proposed changes to the information system;
+ Notify designated approval authorities;
+ Highlight approvals that have not been received by [Assignment: organization-defined time period];
+ Inhibit change until designated approvals are received; and
+ Document completed changes to the information system.
+
+
+
+
+
+
+
+ The organization tests, validates, and documents changes to the information system before implementing the changes on the operational system.
+
+
+
+
+ The organization ensures that testing does not interfere with information system operations. The individual/group conducting the tests understands the organizational information security policies and procedures, the information system security policies and procedures, and the specific health, safety, and environmental risks associated with a particular facility and/or process. An operational system may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If an information system must be taken off-line for testing, the tests are scheduled to occur during planned system outages whenever possible. In situations where the organization cannot conduct testing of an operational system, the organization employs compensating controls (e.g., providing a replicated system to conduct testing) in accordance with the general tailoring guidance.
+
+
+
+
+
+
+ The organization employs automated mechanisms to implement changes to the current information system baseline and deploys the updated baseline across the installed base.
+
+
+
+
+ Related controls: CM-2, CM-6.
+
+
+
+
+
+
+ The organization requires an information security representative to be a member of the [Assignment: organization-defined configuration change control element (e.g., committee, board)].
+
+
+
+
+ Information security representatives can include, for example, information system security officers or information system security managers. The configuration change control element in this control enhancement is consistent with the change control element defined by the organization in CM-3.
+
+
+
+
+
+ NIST 800-128
+
+
+
+ Operational
+ Configuration Management
+ CM-4
+ Security Impact Analysis
+ P2
+
+
+ The organization analyzes changes to the information system to determine potential security impacts prior to change implementation.
+
+
+
+
+ Security impact analyses are conducted by organizational personnel with information security responsibilities, including for example, Information System Administrators, Information System Security Officers, Information System Security Managers, and Information System Security Engineers. Individuals conducting security impact analyses have the appropriate skills and technical expertise to analyze the changes to information systems and the associated security ramifications. Security impact analysis may include, for example, reviewing information system documentation such as the security plan to understand how specific security controls are implemented within the system and how the changes might affect the controls. Security impact analysis may also include an assessment of risk to understand the impact of the changes and to determine if additional security controls are required. Security impact analysis is scaled in accordance with the security categorization of the information system. Related controls: CA-2, CA-7, CM-3, CM-9, SI-2.
+
+
+
+
+ HIGH
+
+
+ The organization analyzes new software in a separate test environment before installation in an operational environment, looking for security impacts due to flaws, weaknesses, incompatibility, or intentional malice.
+
+
+
+
+
+
+ The organization, after the information system is changed, checks the security functions to verify that the functions are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security requirements for the system.
+
+
+
+
+ Changes include information system upgrades and modifications.
+
+
+
+
+
+ NIST 800-128
+
+
+
+ Operational
+ Configuration Management
+ CM-5
+ Access Restrictions for Change
+ P1
+
+
+ The organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system.
+
+
+
+
+ Any changes to the hardware, software, and/or firmware components of the information system can potentially have significant effects on the overall security of the system. Accordingly, only qualified and authorized individuals are allowed to obtain access to information system components for purposes of initiating changes, including upgrades and modifications. Additionally, maintaining records of access is essential for ensuring that configuration change control is being implemented as intended and for supporting after-the-fact actions should the organization become aware of an unauthorized change to the information system. Access restrictions for change also include software libraries. Examples of access restrictions include, for example, physical and logical access controls (see AC-3 and PE-3), workflow automation, media libraries, abstract layers (e.g., changes are implemented into a third-party interface rather than directly into the information system component), and change windows (e.g., changes occur only during specified times, making unauthorized changes outside the window easy to discover). Some or all of the enforcement mechanisms and processes necessary to implement this security control are included in other controls. For measures implemented in other controls, this control provides information to be used in the implementation of the other controls to cover specific needs related to enforcing authorizations to make changes to the information system, auditing changes, and retaining and review records of changes. Related controls: AC-3, AC-6, PE-3.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to enforce access restrictions and support auditing of the enforcement actions.
+
+
+
+
+ HIGH
+
+
+ The organization conducts audits of information system changes [Assignment: organization-defined frequency] and when indications so warrant to determine whether unauthorized changes have occurred.
+
+
+
+
+ HIGH
+
+
+ The information system prevents the installation of [Assignment: organization-defined critical software programs] that are not signed with a certificate that is recognized and approved by the organization.
+
+
+
+
+ Critical software programs and/or modules include, for example, patches, service packs, and where applicable, device drivers.
+
+
+
+
+
+
+ The organization enforces a two-person rule for changes to [Assignment: organization-defined information system components and system-level information].
+
+
+
+
+
+
+ The organization:
+
+ Limits information system developer/integrator privileges to change hardware, software, and firmware components and system information directly within a production environment; and
+ Reviews and reevaluates information system developer/integrator privileges [Assignment: organization-defined frequency].
+
+
+
+
+
+
+
+ The organization limits privileges to change software resident within software libraries (including privileged programs).
+
+
+
+
+
+
+ The information system automatically implements [Assignment: organization-defined safeguards and countermeasures] if security functions (or mechanisms) are changed inappropriately.
+
+
+
+
+ The information system reacts automatically when inappropriate and/or unauthorized modifications have occurred to security functions or mechanisms. Automatic implementation of safeguards and countermeasures includes, for example, reversing the change, halting the information system or triggering an audit alert when an unauthorized modification to a critical security file occurs.
+
+
+
+
+
+
+ Operational
+ Configuration Management
+ CM-6
+ Configuration Settings
+ P1
+
+
+ The organization:
+
+ Establishes and documents mandatory configuration settings for information technology products employed within the information system using [Assignment: organization-defined security configuration checklists] that reflect the most restrictive mode consistent with operational requirements;
+ Implements the configuration settings;
+ Identifies, documents, and approves exceptions from the mandatory configuration settings for individual components within the information system based on explicit operational requirements; and
+ Monitors and controls changes to the configuration settings in accordance with organizational policies and procedures.
+
+
+
+
+
+ Configuration settings are the configurable security-related parameters of information technology products that are part of the information system. Security-related parameters are those parameters impacting the security state of the system including parameters related to meeting other security control requirements. Security-related parameters include, for example, registry settings; account, file, and directory settings (i.e., permissions); and settings for services, ports, protocols, and remote connections. Organizations establish organization-wide mandatory configuration settings from which the settings for a given information system are derived. A security configuration checklist (sometimes referred to as a lockdown guide, hardening guide, security guide, security technical implementation guide [STIG], or benchmark) is a series of instructions or procedures for configuring an information system component to meet operational requirements. Checklists can be developed by information technology developers and vendors, consortia, academia, industry, federal agencies (and other government organizations), and others in the public and private sectors. An example of a security configuration checklist is the Federal Desktop Core Configuration (FDCC) which potentially affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and defined standards within the protocol (e.g., Common Configuration Enumeration) provide an effective method to uniquely identify, track, and control configuration settings. OMB establishes federal policy on configuration requirements for federal information systems. Related controls: CM-2, CM-3, SI-4.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to centrally manage, apply, and verify configuration settings.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to respond to unauthorized changes to [Assignment: organization-defined configuration settings].
+
+
+
+
+ Responses to unauthorized changes to configuration settings can include, for example, alerting designated organizational personnel, restoring mandatory/organization-defined configuration settings, or in the extreme case, halting affected information system processing.
+
+
+
+
+
+
+ The organization incorporates detection of unauthorized, security-relevant configuration changes into the organizations incident response capability to ensure that such detected events are tracked, monitored, corrected, and available for historical purposes.
+
+
+
+
+ Related controls: IR-4, IR-5.
+
+
+
+
+
+
+ The information system (including modifications to the baseline configuration) demonstrates conformance to security configuration guidance (i.e., security checklists), prior to being introduced into a production environment.
+
+
+
+
+
+ NIST 800-128
+ NIST 800-70
+ OMB Memorandum 07-11
+ OMB Memorandum 07-18
+ OMB Memorandum 08-22
+ Web Resource NVD.NIST.GOV
+ Web Resource WWW.NSA.GOV
+
+
+
+ Operational
+ Configuration Management
+ CM-7
+ Least Functionality
+ P1
+
+
+ The organization configures the information system to provide only essential capabilities and specifically prohibits or restricts the use of the following functions, ports, protocols, and/or services: [Assignment: organization-defined list of prohibited or restricted functions, ports, protocols, and/or services].
+
+
+
+
+ Information systems are capable of providing a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions). Additionally, it is sometimes convenient to provide multiple services from a single component of an information system, but doing so increases risk over limiting the services provided by any one component. Where feasible, organizations limit component functionality to a single function per device (e.g., email server or web server, not both). The functions and services provided by organizational information systems, or individual components of information systems, are carefully reviewed to determine which functions and services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant Messaging, auto-execute, file sharing). Organizations consider disabling unused or unnecessary physical and logical ports and protocols (e.g., Universal Serial Bus [USB], File Transfer Protocol [FTP], Internet Protocol Version 6 [IPv6], Hyper Text Transfer Protocol [HTTP]) on information system components to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize network scanning tools, intrusion detection and prevention systems, and end-point protections such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, ports, protocols, and services. Related control: RA-5.
+
+
+
+
+
+
+ The organization reviews the information system [Assignment: organization-defined frequency] to identify and eliminate unnecessary functions, ports, protocols, and/or services.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to prevent program execution in accordance with [Selection (one or more): list of authorized software programs; list of unauthorized software programs; rules authorizing the terms and conditions of software program usage].
+
+
+
+
+ Related control: CM-2.
+
+
+
+
+
+
+ The organization ensures compliance with [Assignment: organization-defined registration requirements for ports, protocols, and services].
+
+
+
+
+ Organizations use the registration process to manage, track, and provide oversight for information systems and implemented functionality.
+
+
+
+
+
+
+ Operational
+ Configuration Management
+ CM-8
+ Information System Component Inventory
+ P1
+
+
+ The organization develops, documents, and maintains an inventory of information system components that:
+
+ Accurately reflects the current information system;
+ Is consistent with the authorization boundary of the information system;
+ Is at the level of granularity deemed necessary for tracking and reporting;
+ Includes [Assignment: organization-defined information deemed necessary to achieve effective property accountability]; and
+ Is available for review and audit by designated organizational officials.
+
+
+
+
+
+ Information deemed to be necessary by the organization to achieve effective property accountability can include, for example, hardware inventory specifications (manufacturer, type, model, serial number, physical location), software license information, information system/component owner, and for a networked component/device, the machine name and network address. Related controls: CM-2, CM-6.
+
+
+
+
+
+
+ The organization updates the inventory of information system components as an integral part of component installations, removals, and information system updates.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of information system components.
+
+
+
+
+ Organizations maintain the information system inventory to the extent feasible. Virtual machines, for example, can be difficult to monitor because they are not visible to the network when not in use. In such cases, the intent of this control enhancement is to maintain as up-to-date, complete, and accurate an inventory as is reasonable.
+
+
+
+
+ HIGH
+
+
+ The organization:
+
+ Employs automated mechanisms [Assignment: organization-defined frequency] to detect the addition of unauthorized components/devices into the information system; and
+ Disables network access by such components/devices or notifies designated organizational officials.
+
+
+
+
+
+ This control enhancement is applied in addition to the monitoring for unauthorized remote connections in AC-17 and for unauthorized mobile devices in AC-19. The monitoring for unauthorized components/devices on information system networks may be accomplished on an ongoing basis or by the periodic scanning of organizational networks for that purpose. Automated mechanisms can be implemented within the information system and/or in another separate information system or device. Related controls: AC-17, AC-19.
+
+
+
+
+ HIGH
+
+
+ The organization includes in property accountability information for information system components, a means for identifying by [Selection (one or more): name; position; role] individuals responsible for administering those components.
+
+
+
+
+
+
+ The organization verifies that all components within the authorization boundary of the information system are either inventoried as a part of the system or recognized by another system as a component within that system.
+
+
+
+
+
+
+ The organization includes assessed component configurations and any approved deviations to current deployed configurations in the information system component inventory.
+
+
+
+
+ : This control enhancement focuses on the configuration settings established by the organization for its information system components, the specific information system components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings in the deployed information system components. Related controls: CM-2, CM-6.
+
+
+
+
+
+ NIST 800-128
+
+
+
+ Operational
+ Configuration Management
+ CM-9
+ Configuration Management Plan
+ P1
+
+
+ The organization develops, documents, and implements a configuration management plan for the information system that:
+
+ Addresses roles, responsibilities, and configuration management processes and procedures;
+ Defines the configuration items for the information system and when in the system development life cycle the configuration items are placed under configuration management; and
+ Establishes the means for identifying configuration items throughout the system development life cycle and a process for managing the configuration of the configuration items.
+
+
+
+
+
+ Configuration items are the information system items (hardware, software, firmware, and documentation) to be configuration managed. The configuration management plan satisfies the requirements in the organizations configuration management policy while being tailored to the individual information system. The configuration management plan defines detailed processes and procedures for how configuration management is used to support system development life cycle activities at the information system level. The plan describes how to move a change through the change management process, how configuration settings and configuration baselines are updated, how the information system component inventory is maintained, how development, test, and operational environments are controlled, and finally, how documents are developed, released, and updated. The configuration management approval process includes designation of key management stakeholders that are responsible for reviewing and approving proposed changes to the information system, and security personnel that would conduct an impact analysis prior to the implementation of any changes to the system. Related control: SA-10.
+
+
+
+
+
+
+ The organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in system development.
+
+
+
+
+ In the absence of a dedicated configuration management team, the system integrator may be tasked with developing the configuration management process.
+
+
+
+
+
+ NIST 800-128
+
+
+
+ Operational
+ Contingency Planning
+ CP-1
+ Contingency Planning Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented contingency planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the contingency planning family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The contingency planning policy can be included as part of the general information security policy for the organization. Contingency planning procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the contingency planning policy. Related control: PM-9.
+
+
+
+ Federal Continuity Directive 1
+ NIST 800-100
+ NIST 800-12
+ NIST 800-34
+
+
+
+ Operational
+ Contingency Planning
+ CP-2
+ Contingency Plan
+ P1
+
+
+ The organization:
+
+ Develops a contingency plan for the information system that:
+ Identifies essential missions and business functions and associated contingency requirements;
+ Provides recovery objectives, restoration priorities, and metrics;
+ Addresses contingency roles, responsibilities, assigned individuals with contact information;
+ Addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;
+ Addresses eventual, full information system restoration without deterioration of the security measures originally planned and implemented; and
+ Is reviewed and approved by designated officials within the organization;
+
+
+ Distributes copies of the contingency plan to [Assignment: organization-defined list of key contingency personnel (identified by name and/or by role) and organizational elements];
+ Coordinates contingency planning activities with incident handling activities;
+ Reviews the contingency plan for the information system [Assignment: organization-defined frequency];
+ Revises the contingency plan to address changes to the organization, information system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing; and
+ Communicates contingency plan changes to [Assignment: organization-defined list of key contingency personnel (identified by name and/or by role) and organizational elements].
+
+
+
+
+
+ Contingency planning for information systems is part of an overall organizational program for achieving continuity of operations for mission/business operations. Contingency planning addresses both information system restoration and implementation of alternative mission/business processes when systems are compromised. Information system recovery objectives are consistent with applicable laws, Executive Orders, directives, policies, standards, or regulations. In addition to information system availability, contingency plans also address other security-related events resulting in a reduction in mission/business effectiveness, such as malicious attacks compromising the confidentiality or integrity of the information system. Examples of actions to call out in contingency plans include, for example, graceful degradation, information system shutdown, fall back to a manual mode, alternate information flows, or operating in a mode that is reserved solely for when the system is under attack. Related controls: AC-14, CP-6, CP-7, CP-8, IR-4, PM-8, PM-11.
+
+
+
+
+
+
+ The organization coordinates contingency plan development with organizational elements responsible for related plans.
+
+
+
+
+ Examples of related plans include Business Continuity Plan, Disaster Recovery Plan, Continuity of Operations Plan, Crisis Communications Plan, Critical Infrastructure Plan, Cyber Incident Response Plan, and Occupant Emergency Plan.
+
+
+
+
+ HIGH
+
+
+ The organization conducts capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.
+
+
+
+
+ HIGH
+
+
+ The organization plans for the resumption of essential missions and business functions within [Assignment: organization-defined time period] of contingency plan activation.
+
+
+
+
+
+
+ The organization plans for the full resumption of missions and business functions within [Assignment: organization-defined time period] of contingency plan activation.
+
+
+
+
+
+
+ The organization plans for the continuance of essential missions and business functions with little or no loss of operational continuity and sustains that continuity until full information system restoration at primary processing and/or storage sites.
+
+
+
+
+
+
+ The organization provides for the transfer of all essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity and sustains that continuity through restoration to primary processing and/or storage sites.
+
+
+
+
+
+ Federal Continuity Directive 1
+ NIST 800-34
+
+
+
+ Operational
+ Contingency Planning
+ CP-3
+ Contingency Training
+ P2
+
+
+ The organization trains personnel in their contingency roles and responsibilities with respect to the information system and provides refresher training [Assignment: organization-defined frequency].
+
+
+
+
+ None.
+
+
+
+
+ HIGH
+
+
+ The organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.
+
+
+
+
+
+
+ The organization employs automated mechanisms to provide a more thorough and realistic training environment.
+
+
+
+
+
+ NIST 800-16
+ NIST 800-50
+
+
+
+ Operational
+ Contingency Planning
+ CP-4
+ Contingency Plan Testing and Exercises
+ P2
+
+
+ The organization:
+
+ Tests and/or exercises the contingency plan for the information system [Assignment: organization-defined frequency] using [Assignment: organization-defined tests and/or exercises] to determine the plans effectiveness and the organizations readiness to execute the plan; and
+ Reviews the contingency plan test/exercise results and initiates corrective actions.
+
+
+
+
+
+ There are several methods for testing and/or exercising contingency plans to identify potential weaknesses (e.g., checklist, walk-through/tabletop, simulation: parallel, full interrupt). Contingency plan testing and/or exercises include a determination of the effects on organizational operations and assets (e.g., reduction in mission capability) and individuals arising due to contingency operations in accordance with the plan.
+
+
+
+
+
+
+ The organization coordinates contingency plan testing and/or exercises with organizational elements responsible for related plans.
+
+
+
+
+ Examples of related plans include Business Continuity Plan, Disaster Recovery Plan, Continuity of Operations Plan, Crisis Communications Plan, Critical Infrastructure Plan, Cyber Incident Response Plan, and Occupant Emergency Plan.
+
+
+
+
+ HIGH
+
+
+ The organization tests/exercises the contingency plan at the alternate processing site to familiarize contingency personnel with the facility and available resources and to evaluate the sites capabilities to support contingency operations.
+
+
+
+
+
+
+ The organization employs automated mechanisms to more thoroughly and effectively test/exercise the contingency plan by providing more complete coverage of contingency issues, selecting more realistic test/exercise scenarios and environments, and more effectively stressing the information system and supported missions.
+
+
+
+
+ HIGH
+
+
+ The organization includes a full recovery and reconstitution of the information system to a known state as part of contingency plan testing.
+
+
+
+
+ Related controls: CP-10, SC-24.
+
+
+
+
+
+ FIPS Publication 199
+ NIST 800-34
+ NIST 800-84
+
+
+
+ Operational
+ Contingency Planning
+ CP-5
+ Contingency Plan Update
+
+
+ [Withdrawn: Incorporated into CP-2].
+
+
+
+
+ Operational
+ Contingency Planning
+ CP-6
+ Alternate Storage Site
+ P1
+
+
+ The organization establishes an alternate storage site including necessary agreements to permit the storage and recovery of information system backup information.
+
+
+
+
+ Related controls: CP-2, CP-9, MP-4.
+
+
+
+
+
+
+ The organization identifies an alternate storage site that is separated from the primary storage site so as not to be susceptible to the same hazards.
+
+
+
+
+ Hazards of concern to the organization are typically defined in an organizational assessment of risk.
+
+
+
+
+ HIGH
+
+
+ The organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.
+
+
+
+
+
+
+ The organization identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.
+
+
+
+
+ Explicit mitigation actions include, for example, duplicating backup information at another alternate storage site if access to the first alternate site is hindered; or, if electronic accessibility to the alternate site is disrupted, planning for physical access to retrieve backup information.
+
+
+
+
+
+ NIST 800-34
+
+
+
+ Operational
+ Contingency Planning
+ CP-7
+ Alternate Processing Site
+ P1
+
+
+ The organization:
+
+ Establishes an alternate processing site including necessary agreements to permit the resumption of information system operations for essential missions and business functions within [Assignment: organization-defined time period consistent with recovery time objectives] when the primary processing capabilities are unavailable; and
+ Ensures that equipment and supplies required to resume operations are available at the alternate site or contracts are in place to support delivery to the site in time to support the organization-defined time period for resumption.
+
+
+
+
+
+ Related control: CP-2.
+
+
+
+
+
+
+ The organization identifies an alternate processing site that is separated from the primary processing site so as not to be susceptible to the same hazards.
+
+
+
+
+ Hazards that might affect the information system are typically defined in the risk assessment.
+
+
+
+
+
+
+ The organization identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.
+
+
+
+
+
+
+ The organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with the organizations availability requirements.
+
+
+
+
+ HIGH
+
+
+ The organization configures the alternate processing site so that it is ready to be used as the operational site supporting essential missions and business functions.
+
+
+
+
+
+
+ The organization ensures that the alternate processing site provides information security measures equivalent to that of the primary site
+
+
+
+
+
+ NIST 800-34
+
+
+
+ Operational
+ Contingency Planning
+ CP-8
+ Telecommunications Services
+ P1
+
+
+ The organization establishes alternate telecommunications services including necessary agreements to permit the resumption of information system operations for essential missions and business functions within [Assignment: organization-defined time period] when the primary telecommunications capabilities are unavailable.
+
+
+
+
+ Related control: CP-2.
+
+
+
+
+
+
+ The organization:
+
+ Develops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with the organizations availability requirements; and
+ Requests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.
+
+
+
+
+
+
+
+ The organization obtains alternate telecommunications services with consideration for reducing the likelihood of sharing a single point of failure with primary telecommunications services.
+
+
+
+
+ HIGH
+
+
+ The organization obtains alternate telecommunications service providers that are separated from primary service providers so as not to be susceptible to the same hazards.
+
+
+
+
+ HIGH
+
+
+ The organization requires primary and alternate telecommunications service providers to have contingency plans.
+
+
+
+
+
+ NIST 800-34
+ Web Resource TSP.NCS.GOV
+
+
+
+ Operational
+ Contingency Planning
+ CP-9
+ Information System Backup
+ P1
+
+
+ The organization:
+
+ Conducts backups of user-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives];
+ Conducts backups of system-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives];
+ Conducts backups of information system documentation including security-related documentation [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; and
+ Protects the confidentiality and integrity of backup information at the storage location.
+
+
+
+
+
+ System-level information includes, for example, system-state information, operating system and application software, and licenses. Digital signatures and cryptographic hashes are examples of mechanisms that can be employed by organizations to protect the integrity of information system backups. An organizational assessment of risk guides the use of encryption for protecting backup information. The protection of system backup information while in transit is beyond the scope of this control. Related controls: CP-6, MP-4.
+
+
+
+
+
+
+ The organization tests backup information [Assignment: organization-defined frequency] to verify media reliability and information integrity.
+
+
+
+
+ HIGH
+
+
+ The organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing.
+
+
+
+
+ HIGH
+
+
+ The organization stores backup copies of the operating system and other critical information system software, as well as copies of the information system inventory (including hardware, software, and firmware components) in a separate facility or in a fire-rated container that is not colocated with the operational system.
+
+
+
+
+
+
+ [Withdrawn: Incorporated into CP-9].
+
+
+
+
+
+
+ The organization transfers information system backup information to the alternate storage site [Assignment: organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives].
+
+
+
+
+
+
+ The organization accomplishes information system backup by maintaining a redundant secondary system, not collocated, that can be activated without loss of information or disruption to the operation.
+
+
+
+
+
+ NIST 800-34
+
+
+
+ Operational
+ Contingency Planning
+ CP-10
+ Information System Recovery and Reconstitution
+ P1
+
+
+ The organization provides for the recovery and reconstitution of the information system to a known state after a disruption, compromise, or failure.
+
+
+
+
+ Recovery is executing information system contingency plan activities to restore essential missions and business functions. Reconstitution takes place following recovery and includes activities for returning the information system to its original functional state before contingency plan activation. Recovery and reconstitution procedures are based on organizational priorities, established recovery point/time and reconstitution objectives, and appropriate metrics. Reconstitution includes the deactivation of any interim information system capability that may have been needed during recovery operations. Reconstitution also includes an assessment of the fully restored information system capability, a potential system reauthorization and the necessary activities to prepare the system against another disruption, compromise, or failure. Recovery and reconstitution capabilities employed by the organization can be a combination of automated mechanisms and manual procedures. Related controls: CA-2, CA-6, CA-7, SC-24.
+
+
+
+
+
+
+ [Withdrawn: Incorporated into CP-4].
+
+
+
+
+
+
+ The information system implements transaction recovery for systems that are transaction-based.
+
+
+
+
+ Database management systems and transaction processing systems are examples of information systems that are transaction-based. Transaction rollback and transaction journaling are examples of mechanisms supporting transaction recovery.
+
+
+
+
+
+
+ The organization provides compensating security controls for [Assignment: organization-defined circumstances that can inhibit recovery and reconstitution to a known state].
+
+
+
+
+ HIGH
+
+
+ The organization provides the capability to reimage information system components within [Assignment: organization-defined restoration time-periods] from configuration-controlled and integrity-protected disk images representing a secure, operational state for the components.
+
+
+
+
+
+
+ The organization provides [Selection: real-time; near-real-time] [Assignment: organization-defined failover capability for the information system].
+
+
+
+
+ Examples of failover capability are incorporating mirrored information system operations at an alternate processing site or periodic data mirroring at regular intervals during a time period defined by the organization's recovery time period.
+
+
+
+
+
+
+ The organization protects backup and restoration hardware, firmware, and software.
+
+
+
+
+ Protection of backup and restoration hardware, firmware, and software includes both physical and technical measures. Router tables, compilers, and other security-relevant system software are examples of backup and restoration software.
+
+
+
+
+
+ NIST 800-34
+
+
+
+ Technical
+ Identification and Authentication
+ IA-1
+ Identification and Authentication Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented identification and authentication policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the identification and authentication family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The identification and authentication policy can be included as part of the general information security policy for the organization. Identification and authentication procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the identification and authentication policy. Related control: PM-9.
+
+
+
+ FIPS 201
+ NIST 800-100
+ NIST 800-12
+ NIST 800-63
+ NIST 800-73
+ NIST 800-76
+ NIST 800-78
+
+
+
+ Technical
+ Identification and Authentication
+ IA-2
+ Identification and Authentication (Organizational Users)
+ P1
+
+
+ The information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).
+
+
+
+
+ Organizational users include organizational employees or individuals the organization deems to have equivalent status of employees (e.g., contractors, guest researchers, individuals from allied nations). Users are uniquely identified and authenticated for all accesses other than those accesses explicitly identified and documented by the organization in AC-14. Unique identification of individuals in group accounts (e.g., shared privilege accounts) may need to be considered for detailed accountability of activity. Authentication of user identities is accomplished through the use of passwords, tokens, biometrics, or in the case of multifactor authentication, some combination thereof. Access to organizational information systems is defined as either local or network. Local access is any access to an organizational information system by a user (or process acting on behalf of a user) where such access is obtained by direct connection without the use of a network. Network access is any access to an organizational information system by a user (or process acting on behalf of a user) where such access is obtained through a network connection. Remote access is a type of network access which involves communication through an external network (e.g., the Internet). Internal networks include local area networks, wide area networks, and virtual private networks that are under the control of the organization. For a virtual private network (VPN), the VPN is considered an internal network if the organization establishes the VPN connection between organization-controlled endpoints in a manner that does not require the organization to depend on any external networks across which the VPN transits to protect the confidentiality and integrity of information transmitted. Identification and authentication requirements for information system access by other than organizational users are described in IA-8.
+ The identification and authentication requirements in this control are satisfied by complying with Homeland Security Presidential Directive 12 consistent with organization-specific implementation plans provided to OMB. In addition to identifying and authenticating users at the information-system level (i.e., at logon), identification and authentication mechanisms are employed at the application level, when necessary, to provide increased information security for the organization. Related controls: AC-14, AC-17, AC-18, IA-4, IA-5.
+
+
+
+
+
+
+ The information system uses multifactor authentication for network access to privileged accounts.
+
+
+
+
+
+
+ The information system uses multifactor authentication for network access to non-privileged accounts.
+
+
+
+
+
+
+ The information system uses multifactor authentication for local access to privileged accounts.
+
+
+
+
+ HIGH
+
+
+ The information system uses multifactor authentication for local access to non-privileged accounts.
+
+
+
+
+
+
+ The organization:
+
+ Allows the use of group authenticators only when used in conjunction with an individual/unique authenticator; and
+ Requires individuals to be authenticated with an individual authenticator prior to using a group authenticator
+
+
+
+
+
+
+
+ The information system uses multifactor authentication for network access to privileged accounts where one of the factors is provided by a device separate from the information system being accessed.
+
+
+
+
+
+
+ The information system uses multifactor authentication for network access to non-privileged accounts where one of the factors is provided by a device separate from the information system being accessed.
+
+
+
+
+
+
+ The information system uses [Assignment: organization-defined replay-resistant authentication mechanisms] for network access to privileged accounts.
+
+
+
+
+ An authentication process resists replay attacks if it is impractical to achieve a successful authentication by recording and replaying a previous authentication message. Techniques used to address this include protocols that use nonces or challenges (e.g., TLS), and time synchronous or challenge-response one-time authenticators.
+
+
+
+
+ HIGH
+
+
+ The information system uses [Assignment: organization-defined replay-resistant authentication mechanisms] for network access to non-privileged accounts.
+
+
+
+
+ An authentication process resists replay attacks if it is impractical to achieve a successful authentication by recording and replaying a previous authentication message. Techniques used to address this include protocols that use nonces or challenges (e.g., TLS), and time synchronous or challenge-response one-time authenticators.
+
+
+
+
+
+ FIPS 201
+ HSPD 12
+ NIST 800-63
+ NIST 800-73
+ NIST 800-76
+ NIST 800-78
+ OMB Memorandum 04-04
+
+
+
+ Technical
+ Identification and Authentication
+ IA-3
+ Device Identification and Authentication
+ P1
+
+
+ The information system uniquely identifies and authenticates [Assignment: organization-defined list of specific and/or types of devices] before establishing a connection.
+
+
+
+
+ The devices requiring unique identification and authentication may be defined by type, by specific device, or by a combination of type and device as deemed appropriate by the organization. The information system typically uses either shared known information (e.g., Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for identification or an organizational authentication solution (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify and authenticate devices on local and/or wide area networks. The required strength of the device authentication mechanism is determined by the security categorization of the information system.
+
+
+
+
+
+
+ The information system authenticates devices before establishing remote and wireless network connections using bidirectional authentication between devices that is cryptographically based.
+
+
+
+
+ Remote network connection is any connection with a device communicating through an external network (e.g., the Internet). Related controls: AC-17, AC-18.
+
+
+
+
+
+
+ The information system authenticates devices before establishing network connections using bidirectional authentication between devices that is cryptographically based.
+
+
+
+
+
+
+ The organization standardizes, with regard to dynamic address allocation, Dynamic Host Control Protocol (DHCP) lease information and the time assigned to devices, and audits lease information when assigned to a device.
+
+
+
+
+ With regard to dynamic address allocation for devices, DHCP-enabled clients typically obtain leases for IP addresses from DHCP servers.
+
+
+
+
+
+
+ Technical
+ Identification and Authentication
+ IA-4
+ Identifier Management
+ P1
+
+
+ The organization manages information system identifiers for users and devices by:
+
+ Receiving authorization from a designated organizational official to assign a user or device identifier;
+ Selecting an identifier that uniquely identifies an individual or device;
+ Assigning the user identifier to the intended party or the device identifier to the intended device;
+ Preventing reuse of user or device identifiers for [Assignment: organization-defined time period]; and
+ Disabling the user identifier after [Assignment: organization-defined time period of inactivity].
+
+
+
+
+
+ Common device identifiers include media access control (MAC) or Internet protocol (IP) addresses, or device-unique token identifiers. Management of user identifiers is not applicable to shared information system accounts (e.g., guest and anonymous accounts). It is commonly the case that a user identifier is the name of an information system account associated with an individual. In such instances, identifier management is largely addressed by the account management activities of AC-2. IA-4 also covers user identifiers not necessarily associated with an information system account (e.g., the identifier used in a physical security control database accessed by a badge reader system for access to the information system). Related control: AC-2, IA-2.
+
+
+
+
+
+
+ The organization prohibits the use of information system account identifiers as public identifiers for user electronic mail accounts (i.e., user identifier portion of the electronic mail address)
+
+
+
+
+ The organization implements this control enhancement to the extent that the information system allows.
+
+
+
+
+
+
+ The organization requires that registration to receive a user ID and password include authorization by a supervisor, and be done in person before a designated registration authority.
+
+
+
+
+
+
+ The organization requires multiple forms of certification of individual identification such as documentary evidence or a combination of documents and biometrics be presented to the registration authority.
+
+
+
+
+
+
+ The organization manages user identifiers by uniquely identifying the user as [Assignment: organization-defined characteristic identifying user status].
+
+
+
+
+ Characteristics identifying user status include, for example, contractors and foreign nationals.
+
+
+
+
+
+
+ The information system dynamically manages identifiers, attributes, and associated access authorizations.
+
+
+
+
+ : In contrast to conventional approaches to identification and authentication which employ static information system accounts for preregistered users, many service-oriented architecture implementations rely on establishing identities at run time for entities that were previously unknown. Dynamic establishment of identities and association of attributes and privileges with these identities is anticipated and provisioned. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.
+
+
+
+
+
+ FIPS 201
+ NIST 800-73
+ NIST 800-76
+ NIST 800-78
+
+
+
+ Technical
+ Identification and Authentication
+ IA-5
+ Authenticator Management
+ P1
+
+
+ The organization manages information system authenticators for users and devices by:
+
+ Verifying, as part of the initial authenticator distribution, the identity of the individual and/or device receiving the authenticator;
+ Establishing initial authenticator content for authenticators defined by the organization;
+ Ensuring that authenticators have sufficient strength of mechanism for their intended use;
+ Establishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators;
+ Changing default content of authenticators upon information system installation;
+ Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators (if appropriate);
+ Changing/refreshing authenticators [Assignment: organization-defined time period by authenticator type];
+ Protecting authenticator content from unauthorized disclosure and modification; and
+ Requiring users to take, and having devices implement, specific measures to safeguard authenticators.
+
+
+
+
+
+ User authenticators include, for example, passwords, tokens, biometrics, PKI certificates, and key cards. Initial authenticator content is the actual content (e.g., the initial password) as opposed to requirements about authenticator content (e.g., minimum password length). Many information system components are shipped with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, present a significant security risk, and therefore, are changed upon installation. The requirement to protect user authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of users and by controls AC-3, AC-6, and SC-28 for authenticators stored within the information system (e.g., passwords stored in a hashed or encrypted format, files containing encrypted or hashed passwords accessible only with super user privileges). The information system supports user authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, password composition, validation time window for time synchronous one time tokens, and number of allowed rejections during verification stage of biometric authentication. Measures to safeguard user authenticators include, for example, maintaining possession of individual authenticators, not loaning or sharing authenticators with others, and reporting lost or compromised authenticators immediately. Authenticator management includes issuing and revoking, when no longer needed, authenticators for temporary access such as that required for remote maintenance. Device authenticators include, for example, certificates and passwords. Related controls: AC-2, IA-2, PL-4, PS-6.
+
+
+
+
+
+
+ The information system, for password-based authentication:
+
+ Enforces minimum password complexity of [Assignment: organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type];
+ Enforces at least a [Assignment: organization-defined number of changed characters] when new passwords are created;
+ Encrypts passwords in storage and in transmission;
+ Enforces password minimum and maximum lifetime restrictions of [Assignment: organization-defined numbers for lifetime minimum, lifetime maximum]; and
+ Prohibits password reuse for [Assignment: organization-defined number] generations.
+
+
+
+
+
+ This control enhancement is intended primarily for environments where passwords are used as a single factor to authenticate users, or in a similar manner along with one or more additional authenticators. The enhancement generally does not apply to situations where passwords are used to unlock hardware authenticators. The implementation of such password mechanisms may not meet all of the requirements in the enhancement.
+
+
+
+
+
+
+ The information system, for PKI-based authentication:
+
+ Validates certificates by constructing a certification path with status information to an accepted trust anchor;
+ Enforces authorized access to the corresponding private key; and
+ Maps the authenticated identity to the user account.
+
+
+
+
+
+ Status information for certification paths includes, for example, certificate revocation lists or online certificate status protocol responses.
+
+
+
+
+
+
+ The organization requires that the registration process to receive [Assignment: organization-defined types of and/or specific authenticators] be carried out in person before a designated registration authority with authorization by a designated organizational official (e.g., a supervisor).
+
+
+
+
+
+
+ The organization employs automated tools to determine if authenticators are sufficiently strong to resist attacks intended to discover or otherwise compromise the authenticators.
+
+
+
+
+
+
+ The organization requires vendors and/or manufacturers of information system components to provide unique authenticators or change default authenticators prior to delivery.
+
+
+
+
+ This control enhancement extends the requirement for organizations to change default authenticators upon information system installation, by requiring vendors and/or manufacturers of information system components to provide unique authenticators or change default authenticators for those components prior to delivery to the organization. Unique authenticators are assigned by vendors and/or manufacturers to specific information system components (i.e., delivered information technology products) with distinct serial numbers. This requirement is included in acquisition documents prepared by the organization when procuring information systems and/or information system components.
+
+
+
+
+
+
+ The organization protects authenticators commensurate with the classification or sensitivity of the information accessed.
+
+
+
+
+
+
+ The organization ensures that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys.
+
+
+
+
+ Organizations exercise caution in determining whether an embedded or stored authenticator is in encrypted or unencrypted form. If the authenticator in its stored representation, is used in the manner stored, then that representation is considered an unencrypted authenticator. This is irrespective of whether that representation is perhaps an encrypted version of something else (e.g., a password).
+
+
+
+
+
+
+ The organization takes [Assignment: organization-defined measures] to manage the risk of compromise due to individuals having accounts on multiple information systems.
+
+
+
+
+ When an individual has accounts on multiple information systems, there is the risk that if one account is compromised and the individual is using the same user identifier and authenticator, other accounts will be compromised as well. Possible alternatives include, but are not limited to: (i) having the same user identifier but different authenticators on all systems; (ii) having different user identifiers and authenticators on each system; (iii) employing some form of single sign-on mechanism; or (iv) including some form of one-time passwords on all systems.
+
+
+
+
+
+ FIPS 201
+ NIST 800-63
+ NIST 800-73
+ NIST 800-76
+ NIST 800-78
+ OMB Memorandum 04-04
+
+
+
+ Technical
+ Identification and Authentication
+ IA-6
+ Authenticator Feedback
+ P1
+
+
+ The information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals
+
+
+
+
+ The feedback from the information system does not provide information that would allow an unauthorized user to compromise the authentication mechanism. Displaying asterisks when a user types in a password, is an example of obscuring feedback of authentication information.
+
+
+
+
+ Technical
+ Identification and Authentication
+ IA-7
+ Cryptographic Module Authentication
+ P1
+
+
+ The information system uses mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.
+
+
+
+
+ None.
+
+
+
+ FIPS 140-2
+ Web Resource CSRC.NIST.GOV/CRYPTVAL
+
+
+
+ Technical
+ Identification and Authentication
+ IA-8
+ Identification and Authentication (Non-organizational Users)
+ P1
+
+
+ The information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).
+
+
+
+
+ Non-organizational users include all information system users other than organizational users explicitly covered by IA-2. Users are uniquely identified and authenticated for all accesses other than those accesses explicitly identified and documented by the organization in accordance with AC-14. In accordance with the E-Authentication E-Government initiative, authentication of non-organizational users accessing federal information systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Accordingly, a risk assessment is used in determining the authentication needs of the organization. Scalability, practicality, and security are simultaneously considered in balancing the need to ensure ease of use for access to federal information and information systems with the need to protect and adequately mitigate risk to organizational operations, organizational assets, individuals, other organizations, and the Nation. Identification and authentication requirements for information system access by organizational users are described in IA-2. Related controls: AC-14, AC-17, AC-18, MA-4.
+
+
+
+ NIST 800-63
+ OMB Memorandum 04-04
+ Web Resource WWW.CIO.GOV/EAUTHENTICATION
+
+
+
+ Operational
+ Incident Response
+ IR-1
+ Incident Response Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented incident response policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the incident response policy and associated incident response controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the incident response family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The incident response policy can be included as part of the general information security policy for the organization. Incident response procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the incident response policy. Related control: PM-9.
+
+
+
+ NIST 800-100
+ NIST 800-12
+ NIST 800-61
+ NIST 800-83
+
+
+
+ Operational
+ Incident Response
+ IR-2
+ Incident Response Training
+ P2
+
+
+ The organization:
+
+ Trains personnel in their incident response roles and responsibilities with respect to the information system; and
+ Provides refresher training [Assignment: organization-defined frequency].
+
+
+
+
+
+ Incident response training includes user training in the identification and reporting of suspicious activities, both from external and internal sources. Related control: AT-3.
+
+
+
+
+ HIGH
+
+
+ The organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to provide a more thorough and realistic training environment.
+
+
+
+
+
+ NIST 800-16
+ NIST 800-50
+
+
+
+ Operational
+ Incident Response
+ IR-3
+ Incident Response Testing and Exercises
+ P2
+
+
+ The organization tests and/or exercises the incident response capability for the information system [Assignment: organization-defined frequency] using [Assignment: organization-defined tests and/or exercises] to determine the incident response effectiveness and documents the results.
+
+
+
+
+ None.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to more thoroughly and effectively test/exercise the incident response capability.
+
+
+
+
+ Automated mechanisms can provide the ability to more thoroughly and effectively test or exercise the incident response capability by providing more complete coverage of incident response issues, selecting more realistic test/exercise scenarios and environments, and more effectively stressing the response capability. Related control: AT-2.
+
+
+
+
+
+ NIST 800-115
+ NIST 800-84
+
+
+
+ Operational
+ Incident Response
+ IR-4
+ Incident Handling
+ P1
+
+
+ The organization:
+
+ Implements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery;
+ Coordinates incident handling activities with contingency planning activities; and
+ Incorporates lessons learned from ongoing incident handling activities into incident response procedures, training, and testing/exercises, and implements the resulting changes accordingly.
+
+
+
+
+
+ Incident-related information can be obtained from a variety of sources including, but not limited to, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports. Related controls: AU-6, CP-2, IR-2, IR-3, PE-6, SC-5, SC-7, SI-3, SI-4, SI-7.
+
+
+
+
+
+
+ The organization employs automated mechanisms to support the incident handling process.
+
+
+
+
+ An online incident management system is an example of an automated mechanism.
+
+
+
+
+
+
+ The organization includes dynamic reconfiguration of the information system as part of the incident response capability.
+
+
+
+
+ Dynamic reconfiguration includes, for example, changes to router rules, access control lists, intrusion detection/prevention system parameters, and filter rules for firewalls and gateways.
+
+
+
+
+
+
+ The organization identifies classes of incidents and defines appropriate actions to take in response to ensure continuation of organizational missions and business functions.
+
+
+
+
+ Classes of incidents include, for example, malfunctions due to design/implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Incident response actions that may be appropriate include, for example, graceful degradation, information system shutdown, fall back to manual mode or alternative technology whereby the system operates differently, employing deceptive measures (e.g., false data flows, false status measures), alternate information flows, or operating in a mode that is reserved solely for when a system is under attack.
+
+
+
+
+
+
+ The organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.
+
+
+
+
+
+
+ The organization implements a configurable capability to automatically disable the information system if any of the following security violations are detected: [Assignment: organization-defined list of security violations].
+
+
+
+
+
+ NIST 800-61
+
+
+
+ Operational
+ Incident Response
+ IR-5
+ Incident Monitoring
+ P1
+
+
+ The organization tracks and documents information system security incidents.
+
+
+
+
+ Documenting information system security incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics, evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources including, for example, incident reports, incident response teams, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to assist in the tracking of security incidents and in the collection and analysis of incident information.
+
+
+
+
+ Automated mechanisms for tracking security incidents and collecting/analyzing incident information include, for example, the Einstein network monitoring device and monitoring online Computer Incident Response Centers (CIRCs) or other electronic databases of incidents. Related controls: AU-6, AU-7, SI-4.
+
+
+
+
+
+ NIST 800-61
+
+
+
+ Operational
+ Incident Response
+ IR-6
+ Incident Reporting
+ P1
+
+
+ The organization:
+
+ Requires personnel to report suspected security incidents to the organizational incident response capability within [Assignment: organization-defined time-period]; and
+ Reports security incident information to designated authorities.
+
+
+
+
+
+ The intent of this control is to address both specific incident reporting requirements within an organization and the formal incident reporting requirements for federal agencies and their subordinate organizations. The types of security incidents reported, the content and timeliness of the reports, and the list of designated reporting authorities are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Current federal policy requires that all federal agencies (unless specifically exempted from such requirements) report security incidents to the United States Computer Emergency Readiness Team (US-CERT) within specified time frames designated in the US-CERT Concept of Operations for Federal Cyber Security Incident Handling. Related controls: IR-4, IR-5.
+
+
+
+
+
+
+ The organization employs automated mechanisms to assist in the reporting of security incidents.
+
+
+
+
+
+
+ The organization reports information system weaknesses, deficiencies, and/or vulnerabilities associated with reported security incidents to appropriate organizational officials.
+
+
+
+
+
+ NIST 800-61
+
+
+
+ Operational
+ Incident Response
+ IR-7
+ Incident Response Assistance
+ P3
+
+
+ The organization provides an incident response support resource, integral to the organizational incident response capability, that offers advice and assistance to users of the information system for the handling and reporting of security incidents.
+
+
+
+
+ Possible implementations of incident response support resources in an organization include a help desk or an assistance group and access to forensics services, when required. Related controls: IR-4, IR-6.
+
+
+
+
+
+
+ The organization employs automated mechanisms to increase the availability of incident response-related information and support.
+
+
+
+
+ Automated mechanisms can provide a push and/or pull capability for users to obtain incident response assistance. For example, individuals might have access to a website to query the assistance capability, or conversely, the assistance capability may have the ability to proactively send information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.
+
+
+
+
+
+
+ The organization:
+
+ Establishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and
+ Identifies organizational incident response team members to the external providers.
+
+
+
+
+
+ External providers of information system protection capability include, for example, the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks.
+
+
+
+
+
+
+ Operational
+ Incident Response
+ IR-8
+ Incident Response Plan
+ P1
+
+
+ The organization:
+
+ Develops an incident response plan that:
+ Provides the organization with a roadmap for implementing its incident response capability;
+ Describes the structure and organization of the incident response capability;
+ Provides a high-level approach for how the incident response capability fits into the overall organization;
+ Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;
+ Defines reportable incidents;
+ Provides metrics for measuring the incident response capability within the organization.
+ Defines the resources and management support needed to effectively maintain and mature an incident response capability; and
+ Is reviewed and approved by designated officials within the organization;
+
+
+ Distributes copies of the incident response plan to [Assignment: organization-defined list of incident response personnel (identified by name and/or by role) and organizational elements];
+ Reviews the incident response plan [Assignment: organization-defined frequency];
+ Revises the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing; and
+ Communicates incident response plan changes to [Assignment: organization-defined list of incident response personnel (identified by name and/or by role) and organizational elements].
+
+
+
+
+
+ It is important that organizations have a formal, focused, and coordinated approach to responding to incidents. The organizations mission, strategies, and goals for incident response help determine the structure of its incident response capability.
+
+
+
+ NIST 800-61
+
+
+
+ Operational
+ Maintenance
+ MA-1
+ System Maintenance Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented information system maintenance policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the information system maintenance policy and associated system maintenance controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the system maintenance family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The information system maintenance policy can be included as part of the general information security policy for the organization. System maintenance procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the system maintenance policy. Related control: PM-9.
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Operational
+ Maintenance
+ MA-2
+ Controlled Maintenance
+ P2
+
+
+ The organization:
+
+ Schedules, performs, documents, and reviews records of maintenance and repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements;
+ Controls all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;
+ Requires that a designated official explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;
+ Sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs; and
+ Checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions.
+
+
+
+
+
+ The control is intended to address the information security aspects of the organizations information system maintenance program. Related controls: MP-6, SI-2.
+
+
+
+
+
+
+ The organization maintains maintenance records for the information system that include:
+
+ Date and time of maintenance;
+ Name of the individual performing the maintenance;
+ Name of escort, if necessary;
+ A description of the maintenance performed; and
+ A list of equipment removed or replaced (including identification numbers, if applicable).
+
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to schedule, conduct, and document maintenance and repairs as required, producing up-to date, accurate, complete, and available records of all maintenance and repair actions, needed, in process, and completed.
+
+
+
+
+
+
+ Operational
+ Maintenance
+ MA-3
+ Maintenance Tools
+ P2
+
+
+ The organization approves, controls, monitors the use of, and maintains on an ongoing basis, information system maintenance tools.
+
+
+
+
+ The intent of this control is to address the security-related issues arising from the hardware and software brought into the information system specifically for diagnostic and repair actions (e.g., a hardware or software packet sniffer that is introduced for the purpose of a particular maintenance activity). Hardware and/or software components that may support information system maintenance, yet are a part of the system (e.g., the software implementing ping, ls, ipconfig, or the hardware and software implementing the monitoring port of an Ethernet switch) are not covered by this control. Related control: MP-6.
+
+
+
+
+
+
+ The organization inspects all maintenance tools carried into a facility by maintenance personnel for obvious improper modifications.
+
+
+
+
+ Maintenance tools include, for example, diagnostic and test equipment used to conduct maintenance on the information system.
+
+
+
+
+
+
+ The organization checks all media containing diagnostic and test programs for malicious code before the media are used in the information system.
+
+
+
+
+ HIGH
+
+
+ The organization prevents the unauthorized removal of maintenance equipment by one of the following:
+
+ verifying that there is no organizational information contained on the equipment; (ii) sanitizing or destroying the equipment; (iii) retaining the equipment within the facility; or (iv) obtaining an exemption from a designated organization official explicitly authorizing removal of the equipment from the facility.
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to restrict the use of maintenance tools to authorized personnel only.
+
+
+
+
+
+ NIST 800-88
+
+
+
+ Operational
+ Maintenance
+ MA-4
+ Non-local Maintenance
+ P1
+
+
+ The organization:
+
+ Authorizes, monitors, and controls non-local maintenance and diagnostic activities;
+ Allows the use of non-local maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the information system;
+ Employs strong identification and authentication techniques in the establishment of non-local maintenance and diagnostic sessions;
+ Maintains records for non-local maintenance and diagnostic activities; and
+ Terminates all sessions and network connections when non-local maintenance is completed.
+
+
+
+
+
+ Non-local maintenance and diagnostic activities are those activities conducted by individuals communicating through a network; either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. Identification and authentication techniques used in the establishment of non-local maintenance and diagnostic sessions are consistent with the network access requirements in IA-2. Strong authenticators include, for example, PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part, by other controls. Related controls: AC-2, AC-3, AC-6, AC-17, AU-2, AU-3, IA-2, IA-8, MA-5, MP-6, SC-7.
+
+
+
+
+
+
+ The organization audits non-local maintenance and diagnostic sessions and designated organizational personnel review the maintenance records of the sessions.
+
+
+
+
+
+
+ The organization documents, in the security plan for the information system, the installation and use of non-local maintenance and diagnostic connections.
+
+
+
+
+ HIGH
+
+
+ The organization:
+
+ Requires that non-local maintenance and diagnostic services be performed from an information system that implements a level of security at least as high as that implemented on the system being serviced; or
+ Removes the component to be serviced from the information system and prior to non-local maintenance or diagnostic services, sanitizes the component (with regard to organizational information) before removal from organizational facilities, and after the service is performed, inspects and sanitizes the component (with regard to potentially malicious software and surreptitious implants) before reconnecting the component to the information system.
+
+
+
+
+
+
+
+ The organization protects non-local maintenance sessions through the use of a strong authenticator tightly bound to the user and by separating the maintenance session from other network sessions with the information system by either:
+
+ Physically separated communications paths; or
+ Logically separated communications paths based upon encryption.
+
+
+
+
+
+ Related control: SC-13.
+
+
+
+
+
+
+ The organization requires that:
+
+ Maintenance personnel notify [Assignment: organization-defined personnel] when non-local maintenance is planned (i.e., date/time); and
+ A designated organizational official with specific information security/information system knowledge approves the non-local maintenance.
+
+
+
+
+
+
+
+ The organization employs cryptographic mechanisms to protect the integrity and confidentiality of non-local maintenance and diagnostic communications.
+
+
+
+
+
+
+ The organization employs remote disconnect verification at the termination of non-local maintenance and diagnostic sessions.
+
+
+
+
+
+ CNSS 15
+ FIPS 140-2
+ FIPS 197
+ FIPS 201
+ NIST 800-63
+ NIST 800-88
+
+
+
+ Operational
+ Maintenance
+ MA-5
+ Maintenance Personnel
+ P1
+
+
+ The organization:
+
+ Establishes a process for maintenance personnel authorization and maintains a current list of authorized maintenance organizations or personnel; and
+ Ensures that personnel performing maintenance on the information system have required access authorizations or designates organizational personnel with required access authorizations and technical competence deemed necessary to supervise information system maintenance when maintenance personnel do not possess the required access authorizations.
+
+
+
+
+
+ Individuals not previously identified in the information system, such as vendor personnel and consultants, may legitimately require privileged access to the system, for example, when required to conduct maintenance or diagnostic activities with little or no notice. Based on a prior assessment of risk, the organization may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for a very limited time period. Related controls: IA-8, MA-5.
+
+
+
+
+
+
+ The organization maintains procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:
+
+ Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;
+ Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the information system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and
+ In the event an information system component cannot be sanitized, the procedures contained in the security plan for the system are enforced.
+
+
+
+
+
+ The intent of this control enhancement is to deny individuals who lack appropriate security clearances (i.e., individuals who do not possess security clearances or possess security clearances at a lower level than required) or who are not U.S. citizens, visual and electronic access to any classified information, Controlled Unclassified Information (CUI), or any other sensitive information contained on the information system. Procedures for the use of maintenance personnel can be documented in the security plan for the information system.
+
+
+
+
+
+
+ The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are cleared (i.e., possess appropriate security clearances) for the highest level of information on the system.
+
+
+
+
+
+
+ The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens.
+
+
+
+
+
+
+ The organization ensures that:
+
+ Cleared foreign nationals (i.e., foreign nationals with appropriate security clearances), are used to conduct maintenance and diagnostic activities on an information system only when the system is jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and
+ Approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on an information system are fully documented within a Memorandum of Agreement.
+
+
+
+
+
+
+
+ Operational
+ Maintenance
+ MA-6
+ Timely Maintenance
+ P1
+
+
+ The organization obtains maintenance support and/or spare parts for [Assignment: organization-defined list of security-critical information system components and/or key information technology components] within [Assignment: organization-defined time period] of failure.
+
+
+
+
+ The organization specifies those information system components that, when not operational, result in increased risk to organizations, individuals, or the Nation because the security functionality intended by that component is not being provided. Security-critical components include, for example, firewalls, guards, gateways, intrusion detection systems, audit repositories, authentication servers, and intrusion prevention systems. Related control: CP-2.
+
+
+
+
+ Operational
+ Media Protection
+ MP-1
+ Media Protection Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented media protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the media protection policy and associated media protection controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the media protection family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The media protection policy can be included as part of the general information security policy for the organization. Media protection procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the media protection policy. Related control: PM-9.
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Operational
+ Media Protection
+ MP-2
+ Media Access
+ P1
+
+
+ The organization restricts access to [Assignment: organization-defined types of digital and non-digital media] to [Assignment: organization-defined list of authorized individuals] using [Assignment: organization-defined security measures].
+
+
+
+
+ Information system media includes both digital media (e.g., diskettes, magnetic tapes, external/removable hard drives, flash/thumb drives, compact disks, digital video disks) and non-digital media (e.g., paper, microfilm). This control also applies to mobile computing and communications devices with information storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones, digital cameras, and audio recording devices). An organizational assessment of risk guides the selection of media and associated information contained on that media requiring restricted access. Organizations document in policy and procedures, the media requiring restricted access, individuals authorized to access the media, and the specific measures taken to restrict access. Fewer protection measures are needed for media containing information determined by the organization to be in the public domain, to be publicly releasable, or to have limited or no adverse impact if accessed by other than authorized personnel. In these situations, it is assumed that the physical access controls where the media resides provide adequate protection. Related controls: MP-4, PE-3.
+
+
+
+
+
+
+ The organization employs automated mechanisms to restrict access to media storage areas and to audit access attempts and access granted.
+
+
+
+
+ This control enhancement is primarily applicable to media storage areas within an organization where a significant volume of media is stored and is not applicable to every location where some media is stored (e.g., in individual offices).
+
+
+
+
+
+
+ The information system uses cryptographic mechanisms to protect and restrict access to information on portable digital media.
+
+
+
+
+
+ FIPS Publication 199
+ NIST 800-111
+
+
+
+ Operational
+ Media Protection
+ MP-3
+ Media Marking
+ P1
+
+
+ The organization:
+
+ Marks, in accordance with organizational policies and procedures, removable information system media and information system output indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and
+ Exempts [Assignment: organization-defined list of removable media types] from marking as long as the exempted items remain within [Assignment: organization-defined controlled areas].
+
+
+
+
+
+ The term marking is used when referring to the application or use of human-readable security attributes. The term labeling is used when referring to the application or use of security attributes with regard to internal data structures within the information system (see AC-16, Security Attributes). Removable information system media includes both digital media (e.g., diskettes, magnetic tapes, external/removable hard drives, flash/thumb drives, compact disks, digital video disks) and non-digital media (e.g., paper, microfilm). An organizational assessment of risk guides the selection of media requiring marking. Marking is generally not required for media containing information determined by the organization to be in the public domain or to be publicly releasable. Some organizations, however, may require markings for public information indicating that the information is publicly releasable. Organizations may extend the scope of this control to include information system output devices containing organizational information, including, for example, monitors and printers. Marking of removable media and information system output is consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+
+
+
+ FIPS Publication 199
+
+
+
+ Operational
+ Media Protection
+ MP-4
+ Media Storage
+ P1
+
+
+ The organization:
+
+ Physically controls and securely stores [Assignment: organization-defined types of digital and non-digital media] within [Assignment: organization-defined controlled areas] using [Assignment: organization-defined security measures];
+ Protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures
+
+
+
+
+
+ Information system media includes both digital media (e.g., diskettes, magnetic tapes, external/removable hard drives, flash/thumb drives, compact disks, digital video disks) and non-digital media (e.g., paper, microfilm). This control also applies to mobile computing and communications devices with information storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones, digital cameras, and audio recording devices). Telephone systems are also considered information systems and may have the capability to store information on internal media (e.g., on voicemail systems). Since telephone systems do not have, in most cases, the identification, authentication, and access control mechanisms typically employed in other information systems, organizational personnel use extreme caution in the types of information stored on telephone voicemail systems. A controlled area is any area or space for which the organization has confidence that the physical and procedural protections are sufficient to meet the requirements established for protecting the information and/or information system.
+ An organizational assessment of risk guides the selection of media and associated information contained on that media requiring physical protection. Fewer protection measures are needed for media containing information determined by the organization to be in the public domain, to be publicly releasable, or to have limited or no adverse impact on the organization or individuals if accessed by other than authorized personnel. In these situations, it is assumed that the physical access controls to the facility where the media resides provide adequate protection.
+ As part of a defense-in-depth strategy, the organization considers routinely encrypting information at rest on selected secondary storage devices. The employment of cryptography is at the discretion of the information owner/steward. The selection of the cryptographic mechanisms used is based upon maintaining the confidentiality and integrity of the information. The strength of mechanisms is commensurate with the classification and sensitivity of the information. Related controls: AC-3, AC-19, CP-6, CP-9, MP-2, PE-3.
+
+
+
+
+
+
+ The organization employs cryptographic mechanisms to protect information in storage.
+
+
+
+
+ Related control: SC-13.
+
+
+
+
+
+ FIPS Publication 199
+ NIST 800-111
+ NIST 800-56
+ NIST 800-57
+
+
+
+ Operational
+ Media Protection
+ MP-5
+ Media Transport
+ P1
+
+
+ The organization:
+
+ Protects and controls [Assignment: organization-defined types of digital and non-digital media] during transport outside of controlled areas using [Assignment: organization-defined security measures];
+ Maintains accountability for information system media during transport outside of controlled areas; and
+ Restricts the activities associated with transport of such media to authorized personnel.
+
+
+
+
+
+ Information system media includes both digital media (e.g., diskettes, magnetic tapes, removable hard drives, flash/thumb drives, compact disks, digital video disks) and non-digital media (e.g., paper, microfilm). This control also applies to mobile computing and communications devices with information storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones, digital cameras, and audio recording devices) that are transported outside of controlled areas. Telephone systems are also considered information systems and may have the capability to store information on internal media (e.g., on voicemail systems). Since telephone systems do not have, in most cases, the identification, authentication, and access control mechanisms typically employed in other information systems, organizational personnel use caution in the types of information stored on telephone voicemail systems that are transported outside of controlled areas. A controlled area is any area or space for which the organization has confidence that the physical and procedural protections provided are sufficient to meet the requirements established for protecting the information and/or information system.
+ Physical and technical security measures for the protection of digital and non-digital media are commensurate with the classification or sensitivity of the information residing on the media, and consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Locked containers and cryptography are examples of security measures available to protect digital and non-digital media during transport. Cryptographic mechanisms can provide confidentiality and/or integrity protections depending upon the mechanisms used. An organizational assessment of risk guides: (i) the selection of media and associated information contained on that media requiring protection during transport; and (ii) the selection and use of storage containers for transporting non-digital media. Authorized transport and courier personnel may include individuals from outside the organization (e.g., U.S. Postal Service or a commercial transport or delivery service). Related controls: AC-19, CP-9.
+
+
+
+
+
+
+ [Withdrawn: Incorporated into MP-5].
+
+
+
+
+
+
+ The organization documents activities associated with the transport of information system media.
+
+
+
+
+ Organizations establish documentation requirements for activities associated with the transport of information system media in accordance with the organizational assessment of risk to include the flexibility to define different record-keeping methods for different types of media transport as part of an overall system of transport-related records.
+
+
+
+
+ HIGH
+
+
+ The organization employs an identified custodian throughout the transport of information system media.
+
+
+
+
+ Custodial responsibilities can be transferred from one individual to another as long as an unambiguous custodian is identified at all times.
+
+
+
+
+
+
+ The organization employs cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.
+
+
+
+
+ This control enhancement also applies to mobile devices. Mobile devices include portable storage media (e.g., USB memory sticks, external hard disk drives) and portable computing and communications devices with storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones). Related control: MP-4. Related controls: MP-2; SC-13.
+
+
+
+
+
+ FIPS Publication 199
+ NIST 800-60
+
+
+
+ Operational
+ Media Protection
+ MP-6
+ Media Sanitization
+ P1
+
+
+ The organization:
+
+ Sanitizes information system media, both digital and non-digital, prior to disposal, release out of organizational control, or release for reuse; and
+ Employs sanitization mechanisms with strength and integrity commensurate with the classification or sensitivity of the information.
+
+
+
+
+
+ This control applies to all media subject to disposal or reuse, whether or not considered removable. Sanitization is the process used to remove information from information system media such that there is reasonable assurance that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, and destroying media information, prevent the disclosure of organizational information to unauthorized individuals when such media is reused or released for disposal. The organization uses its discretion on the employment of sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable, or deemed to have no adverse impact on the organization or individuals if released for reuse or disposal.
+
+
+
+
+ HIGH
+
+
+ The organization tracks, documents, and verifies media sanitization and disposal actions.
+
+
+
+
+ HIGH
+
+
+ The organization tests sanitization equipment and procedures to verify correct performance [Assignment: organization-defined frequency].
+
+
+
+
+ HIGH
+
+
+ The organization sanitizes portable, removable storage devices prior to connecting such devices to the information system under the following circumstances: [Assignment: organization-defined list of circumstances requiring sanitization of portable, removable storage devices].
+
+
+
+
+ Portable, removable storage devices (e.g., thumb drives, flash drives, external storage devices) can be the source of malicious code insertions into organizational information systems. Many of these devices are obtained from unknown sources and may contain various types of malicious code that can be readily transferred to the information system through USB ports or other entry portals. While scanning such devices is always recommended, sanitization provides additional assurance that the device is free of all malicious code to include code capable of initiating zero-day attacks. Organizations consider sanitization of portable, removable storage devices, for example, when such devices are first purchased from the manufacturer or vendor prior to initial use or when the organization loses a positive chain of custody for the device. An organizational assessment of risk guides the specific circumstances for employing the sanitization process. Related control: SI-3.
+
+
+
+
+
+
+ The organization sanitizes information system media containing Controlled Unclassified Information (CUI) or other sensitive information in accordance with applicable organizational and/or federal standards and policies.
+
+
+
+
+
+
+ The organization sanitizes information system media containing classified information in accordance with NSA standards and policies.
+
+
+
+
+
+
+ The organization destroys information system media that cannot be sanitized.
+
+
+
+
+
+ FIPS Publication 199
+ NIST 800-60
+ NIST 800-88
+ Web Resource WWW.NSA.GOV/IA/GUIDANCE/MEDIA_DESTRUCTION_GUIDANCE/INDEX.SHTML
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-1
+ Physical and Environmental Protection Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented physical and environmental protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the physical and environmental protection family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The physical and environmental protection policy can be included as part of the general information security policy for the organization. Physical and environmental protection procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the physical and environmental protection policy. Related control: PM-9.
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-2
+ Physical Access Authorizations
+ P1
+
+
+ The organization:
+
+ Develops and keeps current a list of personnel with authorized access to the facility where the information system resides (except for those areas within the facility officially designated as publicly accessible);
+ Issues authorization credentials;
+ Reviews and approves the access list and authorization credentials [Assignment: organization-defined frequency], removing from the access list personnel no longer requiring access.
+
+
+
+
+
+ Authorization credentials include, for example, badges, identification cards, and smart cards. Related control: PE-3, PE-4.
+
+
+
+
+
+
+ The organization authorizes physical access to the facility where the information system resides based on position or role.
+
+
+
+
+
+
+ The organization requires two forms of identification to gain access to the facility where the information system resides.
+
+
+
+
+ Examples of forms of identification are identification badge, key card, cipher PIN, and biometrics.
+
+
+
+
+
+
+ The organization restricts physical access to the facility containing an information system that processes classified information to authorized personnel with appropriate clearances and access authorizations.
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-3
+ Physical Access Control
+ P1
+
+
+ The organization:
+
+ Enforces physical access authorizations for all physical access points (including designated entry/exit points) to the facility where the information system resides (excluding those areas within the facility officially designated as publicly accessible);
+ Verifies individual access authorizations before granting access to the facility;
+ Controls entry to the facility containing the information system using physical access devices and/or guards;
+ Controls access to areas officially designated as publicly accessible in accordance with the organizations assessment of risk;
+ Secures keys, combinations, and other physical access devices;
+ Inventories physical access devices [Assignment: organization-defined frequency]; and
+ Changes combinations and keys [Assignment: organization-defined frequency] and when keys are lost, combinations are compromised, or individuals are transferred or terminated.
+
+
+
+
+
+ The organization determines the types of guards needed, for example, professional physical security staff or other personnel such as administrative staff or information system users, as deemed appropriate. Physical access devices include, for example, keys, locks, combinations, and card readers. Workstations and associated peripherals connected to (and part of) an organizational information system may be located in areas designated as publicly accessible with access to such devices being safeguarded. Related controls: MP-2, MP-4, PE-2
+
+
+
+
+ HIGH
+
+
+ The organization enforces physical access authorizations to the information system independent of the physical access controls for the facility
+
+
+
+
+ This control enhancement applies to server rooms, media storage areas, communications centers, or any other areas within an organizational facility containing large concentrations of information system components. The intent is to provide additional physical security for those areas where the organization may be more vulnerable due to the concentration of information system components. Security requirements for facilities containing organizational information systems that process, store, or transmit Sensitive Compartmented Information (SCI) are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. See also PS-3, security requirements for personnel access to SCI.
+
+
+
+
+
+
+ The organization performs security checks at the physical boundary of the facility or information system for unauthorized exfiltration of information or information system components.
+
+
+
+
+ The extent/frequency or randomness of the checks is as deemed necessary by the organization to adequately mitigate risk associated with exfiltration.
+
+
+
+
+
+
+ The organization guards, alarms, and monitors every physical access point to the facility where the information system resides 24 hours per day, 7 days per week.
+
+
+
+
+
+
+ The organization uses lockable physical casings to protect [Assignment: organization-defined information system components] from unauthorized physical access.
+
+
+
+
+
+
+ The information system detects/prevents physical tampering or alteration of hardware components within the system.
+
+
+
+
+
+
+ The organization employs a penetration testing process that includes [Assignment: organization-defined frequency], unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility.
+
+
+
+
+ Related control: CA-2.
+
+
+
+
+
+ DCID 6/9
+ FIPS 201
+ ICD 704
+ NIST 800-73
+ NIST 800-76
+ NIST 800-78
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-4
+ Access Control for Transmission Medium
+ P1
+
+
+ The organization controls physical access to information system distribution and transmission lines within organizational facilities.
+
+
+
+
+ Physical protections applied to information system distribution and transmission lines help prevent accidental damage, disruption, and physical tampering. Additionally, physical protections are necessary to help prevent eavesdropping or in transit modification of unencrypted transmissions. Protective measures to control physical access to information system distribution and transmission lines include: (i) locked wiring closets; (ii) disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable trays. Related control: PE-2.
+
+
+
+ NSTISSI 7003
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-5
+ Access Control for Output Devices
+ P1
+
+
+ The organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.
+
+
+
+
+ Monitors, printers, and audio devices are examples of information system output devices.
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-6
+ Monitoring Physical Access
+ P1
+
+
+ The organization:
+
+ Monitors physical access to the information system to detect and respond to physical security incidents;
+ Reviews physical access logs [Assignment: organization-defined frequency]; and
+ Coordinates results of reviews and investigations with the organizations incident response capability.
+
+
+
+
+
+ Investigation of and response to detected physical security incidents, including apparent security violations or suspicious physical access activities, are part of the organizations incident response capability.
+
+
+
+
+
+
+ The organization monitors real-time physical intrusion alarms and surveillance equipment.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to recognize potential intrusions and initiate designated response actions.
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-7
+ Visitor Control
+ P1
+
+
+ The organization controls physical access to the information system by authenticating visitors before authorizing access to the facility where the information system resides other than areas designated as publicly accessible.
+
+
+
+
+ Individuals (to include organizational employees, contract personnel, and others) with permanent authorization credentials for the facility are not considered visitors.
+
+
+
+
+
+
+ The organization escorts visitors and monitors visitor activity, when required.
+
+
+
+
+
+
+ The organization requires two forms of identification for visitor access to the facility.
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-8
+ Access Records
+ P3
+
+
+ The organization:
+
+ Maintains visitor access records to the facility where the information system resides (except for those areas within the facility officially designated as publicly accessible); and
+ Reviews visitor access records [Assignment: organization-defined frequency].
+
+
+
+
+
+ Visitor access records include, for example, name/organization of the person visiting, signature of the visitor, form(s) of identification, date of access, time of entry and departure, purpose of visit, and name/organization of person visited.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to facilitate the maintenance and review of access records.
+
+
+
+
+ HIGH
+
+
+ The organization maintains a record of all physical access, both visitor and authorized individuals.
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-9
+ Power Equipment and Power Cabling
+ P1
+
+
+ The organization protects power equipment and power cabling for the information system from damage and destruction.
+
+
+
+
+ This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
+
+
+
+
+
+
+ The organization employs redundant and parallel power cabling paths.
+
+
+
+
+
+
+ The organization employs automatic voltage controls for [Assignment: organization-defined list of critical information system components].
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-10
+ Emergency Shutoff
+ P1
+
+
+ The organization:
+
+ Provides the capability of shutting off power to the information system or individual system components in emergency situations;
+ Places emergency shutoff switches or devices in [Assignment: organization-defined location by information system or system component] to facilitate safe and easy access for personnel; and
+ Protects emergency power shutoff capability from unauthorized activation.
+
+
+
+
+
+ This control applies to facilities containing concentrations of information system resources, for example, data centers, server rooms, and mainframe computer rooms.
+
+
+
+
+
+
+ [Withdrawn: Incorporated into PE-10].
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-11
+ Emergency Power
+ P1
+
+
+ The organization provides a short-term uninterruptible power supply to facilitate an orderly shutdown of the information system in the event of a primary power source loss.
+
+
+
+
+ This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
+
+
+
+
+ HIGH
+
+
+ The organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source.
+
+
+
+
+
+
+ The organization provides a long-term alternate power supply for the information system that is self-contained and not reliant on external power generation.
+
+
+
+
+ Long-term alternate power supplies for the information system are either manually or automatically activated.
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-12
+ Emergency Lighting
+ P1
+
+
+ The organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.
+
+
+
+
+ This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
+
+
+
+
+
+
+ The organization provides emergency lighting for all areas within the facility supporting essential missions and business functions.
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-13
+ Fire Protection
+ P1
+
+
+ The organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.
+
+
+
+
+ Fire suppression and detection devices/systems include, for example, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors. This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
+
+
+
+
+
+
+ The organization employs fire detection devices/systems for the information system that activate automatically and notify the organization and emergency responders in the event of a fire.
+
+
+
+
+
+
+ The organization employs fire suppression devices/systems for the information system that provide automatic notification of any activation to the organization and emergency responders.
+
+
+
+
+
+
+ The organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis.
+
+
+
+
+
+
+ The organization ensures that the facility undergoes [Assignment: organization-defined frequency] fire marshal inspections and promptly resolves identified deficiencies.
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-14
+ Temperature and Humidity Controls
+ P1
+
+
+ The organization:
+
+ Maintains temperature and humidity levels within the facility where the information system resides at [Assignment: organization-defined acceptable levels]; and
+ Monitors temperature and humidity levels [Assignment: organization-defined frequency].
+
+
+
+
+
+ This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
+
+
+
+
+
+
+ The organization employs automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the information system.
+
+
+
+
+
+
+ The organization employs temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment.
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-15
+ Water Damage Protection
+ P1
+
+
+ The organization protects the information system from damage resulting from water leakage by providing master shutoff valves that are accessible, working properly, and known to key personnel.
+
+
+
+
+ This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
+
+
+
+
+ HIGH
+
+
+ The organization employs mechanisms that, without the need for manual intervention, protect the information system from water damage in the event of a water leak.
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-16
+ Delivery and Removal
+ P1
+
+
+ The organization authorizes, monitors, and controls [Assignment: organization-defined types of information system components] entering and exiting the facility and maintains records of those items.
+
+
+
+
+ Effectively enforcing authorizations for entry and exit of information system components may require restricting access to delivery areas and possibly isolating the areas from the information system and media libraries.
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-17
+ Alternate Work Site
+ P1
+
+
+ The organization:
+
+ Employs [Assignment: organization-defined management, operational, and technical information system security controls] at alternate work sites;
+ Assesses as feasible, the effectiveness of security controls at alternate work sites; and
+ Provides a means for employees to communicate with information security personnel in case of security incidents or problems.
+
+
+
+
+
+ Alternate work sites may include, for example, government facilities or private residences of employees. The organization may define different sets of security controls for specific alternate work sites or types of sites.
+
+
+
+ NIST 800-46
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-18
+ Location of Information System Components
+ P2
+
+
+ The organization positions information system components within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access.
+
+
+
+
+ Physical and environmental hazards include, for example, flooding, fire, tornados, earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, electrical interference, and electromagnetic radiation. Whenever possible, the organization also considers the location or site of the facility with regard to physical and environmental hazards. In addition, the organization considers the location of physical entry points where unauthorized individuals, while not being granted access, might nonetheless be in close proximity to the information system and therefore, increase the potential for unauthorized access to organizational communications (e.g., through the use of wireless sniffers or microphones). This control, to include any enhancements specified, may be satisfied by similar requirements fulfilled by another organizational entity other than the information security program. Organizations avoid duplicating actions already covered.
+
+
+
+
+ HIGH
+
+
+ The organization plans the location or site of the facility where the information system resides with regard to physical and environmental hazards and for existing facilities, considers the physical and environmental hazards in its risk mitigation strategy.
+
+
+
+
+
+
+ Operational
+ Physical and Environmental Protection
+ PE-19
+ Information Leakage
+ P0
+
+
+ The organization protects the information system from information leakage due to electromagnetic signals emanations.
+
+
+
+
+ The security categorization of the information system (with respect to confidentiality) and organizational security policy guides the application of safeguards and countermeasures employed to protect the information system against information leakage due to electromagnetic signals emanations.
+
+
+
+
+
+
+ The organization ensures that information system components, associated data communications, and networks are protected in accordance with:
+
+ national emissions and TEMPEST policies and procedures; and (ii) the sensitivity of the information being transmitted.
+
+
+
+
+
+
+ FIPS Publication 199
+
+
+
+ Management
+ Planning
+ PL-1
+ Security Planning Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented security planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the security planning policy and associated security planning controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the security planning family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The security planning policy addresses the overall policy requirements for confidentiality, integrity, and availability and can be included as part of the general information security policy for the organization. Security planning procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the security planning policy. Related control: PM-9.
+
+
+
+ NIST 800-100
+ NIST 800-12
+ NIST 800-18
+
+
+
+ Management
+ Planning
+ PL-2
+ System Security Plan
+ P1
+
+
+ The organization:
+
+ Develops a security plan for the information system that: - Is consistent with the organizations enterprise architecture; - Explicitly defines the authorization boundary for the system; - Describes the operational context of the information system in terms of missions and business processes; - Provides the security categorization of the information system including supporting rationale; - Describes the operational environment for the information system; - Describes relationships with or connections to other information systems; - Provides an overview of the security requirements for the system; - Describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring and supplementation decisions; and - Is reviewed and approved by the authorizing official or designated representative prior to plan implementation;
+ Reviews the security plan for the information system [Assignment: organization-defined frequency]; and
+ Updates the plan to address changes to the information system/environment of operation or problems identified during plan implementation or security control assessments.
+
+
+
+
+
+ The security plan contains sufficient information (including specification of parameters for assignment and selection statements in security controls either explicitly or by reference) to enable an implementation that is unambiguously compliant with the intent of the plan and a subsequent determination of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented as intended. Related controls: PM-1, PM-7, PM-8, PM-9, PM-11.
+
+
+
+
+
+
+ The organization:
+
+ Develops a security Concept of Operations (CONOPS) for the information system containing, at a minimum: (i) the purpose of the system; (ii) a description of the system architecture; (iii) the security authorization schedule; and (iv) the security categorization and associated factors considered in determining the categorization; and
+ Reviews and updates the CONOPS [Assignment: organization-defined frequency].
+
+
+
+
+
+ The security CONOPS may be included in the security plan for the information system.
+
+
+
+
+
+
+ The organization develops a functional architecture for the information system that identifies and maintains:
+
+ External interfaces, the information being exchanged across the interfaces, and the protection mechanisms associated with each interface;
+ User roles and the access privileges assigned to each role;
+ Unique security requirements;
+ Types of information processed, stored, or transmitted by the information system and any specific protection needs in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance; and
+ Restoration priority of information or information system services.
+
+
+
+
+
+ Unique security requirements for the information system include, for example, encryption of key data elements at rest. Specific protection needs for the information system include, for example, the Privacy Act and Health Insurance Portability and Accountability Act.
+
+
+
+
+
+ NIST 800-18
+
+
+
+ Management
+ Planning
+ PL-3
+ System Security Plan Update
+
+
+ [Withdrawn: Incorporated into PL-2].
+
+
+
+
+ Management
+ Planning
+ PL-4
+ Rules of Behavior
+ P1
+
+
+ The organization:
+
+ Establishes and makes readily available to all information system users, the rules that describe their responsibilities and expected behavior with regard to information and information system usage; and
+ Receives signed acknowledgment from users indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system.
+
+
+
+
+
+ The organization considers different sets of rules based on user roles and responsibilities, for example, differentiating between the rules that apply to privileged users and rules that apply to general users. Electronic signatures are acceptable for use in acknowledging rules of behavior. Related control: PS-6.
+
+
+
+
+
+
+ The organization includes in the rules of behavior, explicit restrictions on the use of social networking sites, posting information on commercial websites, and sharing information system account information.
+
+
+
+
+
+ NIST 800-18
+
+
+
+ Management
+ Planning
+ PL-5
+ Privacy Impact Assessment
+ P1
+
+
+ The organization conducts a privacy impact assessment on the information system in accordance with OMB policy.
+
+
+
+
+ None.
+
+
+
+ OMB Memorandum 03-22
+
+
+
+ Management
+ Planning
+ PL-6
+ Security-related Activity Planning
+ P3
+
+
+ The organization plans and coordinates security-related activities affecting the information system before conducting such activities in order to reduce the impact on organizational operations (i.e., mission, functions, image, and reputation), organizational assets, and individuals.
+
+
+
+
+ Security-related activities include, for example, security assessments, audits, system hardware and software maintenance, and contingency plan testing/exercises. Organizational advance planning and coordination includes both emergency and nonemergency (i.e., planned or nonurgent unplanned) situations.
+
+
+
+
+ Management
+ Program Management
+ PM-1
+ Information Security Program Plan
+ P1
+
+
+ The organization:
+
+ Develops and disseminates an organization-wide information security program plan that: - Provides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements; - Provides sufficient information about the program management controls and common controls (including specification of parameters for any assignment and selection operations either explicitly or by reference) to enable an implementation that is unambiguously compliant with the intent of the plan and a determination of the risk to be incurred if the plan is implemented as intended; - Includes roles, responsibilities, management commitment, coordination among organizational entities, and compliance; - Is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;
+ Reviews the organization-wide information security program plan [Assignment: organization-defined frequency]; and
+ Revises the plan to address organizational changes and problems identified during plan implementation or security control assessments.
+
+
+
+
+
+ The information security program plan can be represented in a single document or compilation of documents at the discretion of the organization. The plan documents the organization-wide program management controls and organization-defined common controls. The security plans for individual information systems and the organization-wide information security program plan together, provide complete coverage for all security controls employed within the organization. Common controls are documented in an appendix to the organizations information security program plan unless the controls are included in a separate security plan for an information system (e.g., security controls employed as part of an intrusion detection system providing organization-wide boundary protection inherited by one or more organizational information systems). The organization-wide information security program plan will indicate which separate security plans contain descriptions of common controls.
+ Organizations have the flexibility to describe common controls in a single document or in multiple documents. In the case of multiple documents, the documents describing common controls are included as attachments to the information security program plan. If the information security program plan contains multiple documents, the organization specifies in each document the organizational official or officials responsible for the development, implementation, assessment, authorization, and monitoring of the respective common controls. For example, the organization may require that the Facilities Management Office develop, implement, assess, authorize, and continuously monitor common physical and environmental protection controls from the PE family when such controls are not associated with a particular information system but instead, support multiple information systems. Related control: PM-8.
+
+
+
+
+ Management
+ Program Management
+ PM-2
+ Senior Information Security Officer
+ P1
+
+
+ The organization appoints a senior information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program.
+
+
+
+
+ The security officer described in this control is an organizational official. For a federal agency (as defined in applicable federal laws, Executive Orders, directives, policies, or regulations) this official is the Senior Agency Information Security Officer. Organizations may also refer to this organizational official as the Senior Information Security Officer or Chief Information Security Officer.
+
+
+
+
+ Management
+ Program Management
+ PM-3
+ Information Security Resources
+ P1
+
+
+ The organization:
+
+ Ensures that all capital planning and investment requests include the resources needed to implement the information security program and documents all exceptions to this requirement;
+ Employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and
+ Ensures that information security resources are available for expenditure as planned.
+
+
+
+
+
+ Organizations may designate and empower an Investment Review Board (or similar group) to manage and provide oversight for the information security-related aspects of the capital planning and investment control process. Related controls: PM-4, SA-2.
+
+
+
+
+ Management
+ Program Management
+ PM-4
+ Plan of Action and Milestones Process
+ P1
+
+
+ The organization implements a process for ensuring that plans of action and milestones for the security program and the associated organizational information systems are maintained and document the remedial information security actions to mitigate risk to organizational operations and assets, individuals, other organizations, and the Nation.
+
+
+
+
+ The plan of action and milestones is a key document in the information security program and is subject to federal reporting requirements established by OMB. The plan of action and milestones updates are based on the findings from security control assessments, security impact analyses, and continuous monitoring activities. OMB FISMA reporting guidance contains instructions regarding organizational plans of action and milestones. Related control: CA-5.
+
+
+
+ NIST 800-37
+ OMB Memorandum 02-01
+
+
+
+ Management
+ Program Management
+ PM-5
+ Information System Inventory
+ P1
+
+
+ The organization develops and maintains an inventory of its information systems.
+
+
+
+
+ This control addresses the inventory requirements in FISMA. OMB provides guidance on developing information systems inventories and associated reporting requirements.
+
+
+
+
+ Management
+ Program Management
+ PM-6
+ Information Security Measures of Performance
+ P1
+
+
+ The organization develops, monitors, and reports on the results of information security measures of performance.
+
+
+
+
+ Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security program and the security controls employed in support of the program.
+
+
+
+ NIST 800-55
+
+
+
+ Management
+ Program Management
+ PM-7
+ Enterprise Architecture
+ P1
+
+
+ The organization develops an enterprise architecture with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation.
+
+
+
+
+ The enterprise architecture developed by the organization is aligned with the Federal Enterprise Architecture. The integration of information security requirements and associated security controls into the organizations enterprise architecture helps to ensure that security considerations are addressed by organizations early in the system development life cycle and are directly and explicitly related to the organizations mission/business processes. This also embeds into the enterprise architecture, an integral security architecture consistent with organizational risk management and information security strategies. Security requirements and control integration are most effectively accomplished through the application of the Risk Management Framework and supporting security standards and guidelines. The Federal Segment Architecture Methodology provides guidance on integrating information security requirements and security controls into enterprise architectures. Related controls: PL-2, PM-11, RA-2.
+
+
+
+ NIST 800-39
+ Web Resource WWW.FSAM.GOV
+
+
+
+ Management
+ Program Management
+ PM-8
+ Critical Infrastructure Plan
+ P1
+
+
+ The organization addresses information security issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan.
+
+
+
+
+ The requirement and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Related controls: PM-1, PM-9, PM-11, RA-3.
+
+
+
+ HSPD 7
+
+
+
+ Management
+ Program Management
+ PM-9
+ Risk Management Strategy
+ P1
+
+
+ The organization:
+
+ Develops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information systems; and
+ Implements that strategy consistently across the organization.
+
+
+
+
+
+ An organization-wide risk management strategy includes, for example, an unambiguous expression of the risk tolerance for the organization, acceptable risk assessment methodologies, risk mitigation strategies, a process for consistently evaluating risk across the organization with respect to the organizations risk tolerance, and approaches for monitoring risk over time. The use of a risk executive function can facilitate consistent, organization-wide application of the risk management strategy. The organization-wide risk management strategy can be informed by risk-related inputs from other sources both internal and external to the organization to ensure the strategy is both broad-based and comprehensive. Related control: RA-3.
+
+
+
+ NIST 800-30
+ NIST 800-39
+
+
+
+ Management
+ Program Management
+ PM-10
+ Security Authorization Process
+ P1
+
+
+ The organization:
+
+ Manages (i.e., documents, tracks, and reports) the security state of organizational information systems through security authorization processes;
+ Designates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and
+ Fully integrates the security authorization processes into an organization-wide risk management program.
+
+
+
+
+
+ The security authorization process for information systems requires the implementation of the Risk Management Framework and the employment of associated security standards and guidelines. Specific roles within the risk management process include a designated authorizing official for each organizational information system. Related control: CA-6.
+
+
+
+ NIST 800-37
+ NIST 800-39
+
+
+
+ Management
+ Program Management
+ PM-11
+ Mission/business Process Definition
+ P1
+
+
+ The organization:
+
+ Defines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and
+ Determines information protection needs arising from the defined mission/business processes and revises the processes as necessary, until an achievable set of protection needs is obtained.
+
+
+
+
+
+ Information protection needs are technology-independent, required capabilities to counter threats to organizations, individuals, or the Nation through the compromise of information (i.e., loss of confidentiality, integrity, or availability). Information protection needs are derived from the mission/business needs defined by the organization, the mission/business processes selected to meet the stated needs, and the organizational risk management strategy. Information protection needs determine the required security controls for the organization and the associated information systems supporting the mission/business processes. Inherent in defining an organizations information protection needs is an understanding of the level of adverse impact that could result if a compromise of information occurs. The security categorization process is used to make such potential impact determinations. Mission/business process definitions and associated information protection requirements are documented by the organization in accordance with organizational policy and procedure. Related controls: PM-7, PM-8, RA-2.
+
+
+
+ FIPS Publication 199
+ NIST 800-60
+
+
+
+ Operational
+ Personnel Security
+ PS-1
+ Personnel Security Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented personnel security policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the personnel security policy and associated personnel security controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the personnel security family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The personnel security policy can be included as part of the general information security policy for the organization. Personnel security procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the personnel security policy. Related control: PM-9.
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Operational
+ Personnel Security
+ PS-2
+ Position Categorization
+ P1
+
+
+ The organization:
+
+ Assigns a risk designation to all positions;
+ Establishes screening criteria for individuals filling those positions; and
+ Reviews and revises position risk designations [Assignment: organization-defined frequency].
+
+
+
+
+
+ Position risk designations are consistent with Office of Personnel Management policy and guidance. The screening criteria include explicit information security role appointment requirements (e.g., training, security clearance).
+
+
+
+ 5 C.F.R. 731.106
+
+
+
+ Operational
+ Personnel Security
+ PS-3
+ Personnel Screening
+ P1
+
+
+ The organization:
+
+ Screens individuals prior to authorizing access to the information system; and
+ Rescreens individuals according to [Assignment: organization-defined list of conditions requiring rescreening and, where re-screening is so indicated, the frequency of such rescreening].
+
+
+
+
+
+ Screening and rescreening are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidance, and the criteria established for the risk designation of the assigned position. The organization may define different rescreening conditions and frequencies for personnel accessing the information system based on the type of information processed, stored, or transmitted by the system.
+
+
+
+
+
+
+ The organization ensures that every user accessing an information system processing, storing, or transmitting classified information is cleared and indoctrinated to the highest classification level of the information on the system.
+
+
+
+
+
+
+ The organization ensures that every user accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, is formally indoctrinated for all of the relevant types of information on the system.
+
+
+
+
+ Types of information requiring formal indoctrination include, for example, Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information (SCI).
+
+
+
+
+
+ 5 C.F.R. 731.106
+ FIPS 201
+ FIPS Publication 199
+ ICD 704
+ NIST 800-73
+ NIST 800-76
+ NIST 800-78
+
+
+
+ Operational
+ Personnel Security
+ PS-4
+ Personnel Termination
+ P2
+
+
+ The organization, upon termination of individual employment:
+
+ Terminates information system access;
+ Conducts exit interviews;
+ Retrieves all security-related organizational information system-related property; and
+ Retains access to organizational information and information systems formerly controlled by terminated individual.
+
+
+
+
+
+ Information system-related property includes, for example, hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that individuals understand any security constraints imposed by being former employees and that proper accountability is achieved for all information system-related property. Exit interviews may not be possible for some employees (e.g., in the case of job abandonment, some illnesses, and nonavailability of supervisors). Exit interviews are important for individuals with security clearances. Timely execution of this control is particularly essential for employees or contractors terminated for cause.
+
+
+
+
+ Operational
+ Personnel Security
+ PS-5
+ Personnel Transfer
+ P2
+
+
+ The organization reviews logical and physical access authorizations to information systems/facilities when personnel are reassigned or transferred to other positions within the organization and initiates [Assignment: organization-defined transfer or reassignment actions] within [Assignment: organization-defined time period following the formal transfer action].
+
+
+
+
+ This control applies when the reassignment or transfer of an employee is permanent or of such an extended duration as to make the actions warranted. In addition the organization defines the actions appropriate for the type of reassignment or transfer; whether permanent or temporary. Actions that may be required when personnel are transferred or reassigned to other positions within the organization include, for example: (i) returning old and issuing new keys, identification cards, and building passes; (ii) closing previous information system accounts and establishing new accounts; (iii) changing information system access authorizations; and (iv) providing for access to official records to which the employee had access at the previous work location and in the previous information system accounts.
+
+
+
+
+ Operational
+ Personnel Security
+ PS-6
+ Access Agreements
+ P3
+
+
+ The organization:
+
+ Ensures that individuals requiring access to organizational information and information systems sign appropriate access agreements prior to being granted access; and
+ Reviews/updates the access agreements [Assignment: organization-defined frequency].
+
+
+
+
+
+ Access agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with the information system to which access is authorized. Electronic signatures are acceptable for use in acknowledging access agreements unless specifically prohibited by organizational policy. Related control: PL-4.
+
+
+
+
+
+
+ The organization ensures that access to information with special protection measures is granted only to individuals who:
+
+ Have a valid access authorization that is demonstrated by assigned official government duties; and
+ Satisfy associated personnel security criteria.
+
+
+
+
+
+ Information with special protection measures includes, for example, privacy information, proprietary information, and Sources and Methods Information (SAMI). Personnel security criteria include, for example, position sensitivity background screening requirements.
+
+
+
+
+
+
+ The organization ensures that access to classified information with special protection measures is granted only to individuals who:
+
+ Have a valid access authorization that is demonstrated by assigned official government duties;
+ Satisfy associated personnel security criteria; and
+ Have read, understand, and signed a nondisclosure agreement.
+
+
+
+
+
+ Examples of special protection measures include, for example, collateral, Special Access Program (SAP) and Sensitive Compartmented Information (SCI). Personnel security criteria are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+
+
+
+
+
+
+ Operational
+ Personnel Security
+ PS-7
+ Third-party Personnel Security
+ P1
+
+
+ The organization:
+
+ Establishes personnel security requirements including security roles and responsibilities for third-party providers;
+ Documents personnel security requirements; and
+ Monitors provider compliance.
+
+
+
+
+
+ Third-party providers include, for example, service bureaus, contractors, and other organizations providing information system development, information technology services, outsourced applications, and network and security management. The organization explicitly includes personnel security requirements in acquisition-related documents.
+
+
+
+ NIST 800-35
+
+
+
+ Operational
+ Personnel Security
+ PS-8
+ Personnel Sanctions
+ P3
+
+
+ The organization employs a formal sanctions process for personnel failing to comply with established information security policies and procedures.
+
+
+
+
+ The sanctions process is consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The process is described in access agreements and can be included as part of the general personnel policies and procedures for the organization. Related controls: PL-4, PS-6.
+
+
+
+
+ Management
+ Risk Assessment
+ RA-1
+ Risk Assessment Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented risk assessment policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the risk assessment family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The risk assessment policy can be included as part of the general information security policy for the organization. Risk assessment procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the risk assessment policy. Related control: PM-9.
+
+
+
+ NIST 800-100
+ NIST 800-12
+ NIST 800-30
+
+
+
+ Management
+ Risk Assessment
+ RA-2
+ Security Categorization
+ P1
+
+
+ The organization:
+
+ Categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+ Documents the security categorization results (including supporting rationale) in the security plan for the information system; and
+ Ensures the security categorization decision is reviewed and approved by the authorizing official or authorizing official designated representative.
+
+
+
+
+
+ A clearly defined authorization boundary is a prerequisite for an effective security categorization. Security categorization describes the potential adverse impacts to organizational operations, organizational assets, and individuals should the information and information system be comprised through a loss of confidentiality, integrity, or availability. The organization conducts the security categorization process as an organization-wide activity with the involvement of the chief information officer, senior information security officer, information system owner, mission owners, and information owners/stewards. The organization also considers potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential national-level adverse impacts in categorizing the information system. The security categorization process facilitates the creation of an inventory of information assets, and in conjunction with CM-8, a mapping to the information system components where the information is processed, stored, and transmitted. Related controls: CM-8, MP-4, SC-7.
+
+
+
+ FIPS Publication 199
+ NIST 800-30
+ NIST 800-39
+ NIST 800-60
+
+
+
+ Management
+ Risk Assessment
+ RA-3
+ Risk Assessment
+ P1
+
+
+ The organization:
+
+ Conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of the information system and the information it processes, stores, or transmits;
+ Documents risk assessment results in [Selection: security plan; risk assessment report; [Assignment: organization-defined document]];
+ Reviews risk assessment results [Assignment: organization-defined frequency]; and
+ Updates the risk assessment [Assignment: organization-defined frequency] or whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security state of the system.
+
+
+
+
+
+ A clearly defined authorization boundary is a prerequisite for an effective risk assessment. Risk assessments take into account vulnerabilities, threat sources, and security controls planned or in place to determine the level of residual risk posed to organizational operations and assets, individuals, other organizations, and the Nation based on the operation of the information system. Risk assessments also take into account risk posed to organizational operations, organizational assets, or individuals from external parties (e.g., service providers, contractors operating information systems on behalf of the organization, individuals accessing organizational information systems, outsourcing entities). In accordance with OMB policy and related E-authentication initiatives, authentication of public users accessing federal information systems may also be required to protect nonpublic or privacy-related information. As such, organizational assessments of risk also address public access to federal information systems. The General Services Administration provides tools supporting that portion of the risk assessment dealing with public access to federal information systems.
+ Risk assessments (either formal or informal) can be conducted by organizations at various steps in the Risk Management Framework including: information system categorization; security control selection; security control implementation; security control assessment; information system authorization; and security control monitoring. RA-3 is a noteworthy security control in that the control must be partially implemented prior to the implementation of other controls in order to complete the first two steps in the Risk Management Framework. Risk assessments can play an important role in the security control selection process during the application of tailoring guidance for security control baselines and when considering supplementing the tailored baselines with additional security controls or control enhancements.
+
+
+
+ NIST 800-30
+
+
+
+ Management
+ Risk Assessment
+ RA-4
+ Risk Assessment Update
+
+
+ [Withdrawn: Incorporated into RA-3].
+
+
+
+
+ Management
+ Risk Assessment
+ RA-5
+ Vulnerability Scanning
+ P1
+
+
+ The organization:
+
+ Scans for vulnerabilities in the information system and hosted applications [Assignment: organization-defined frequency and/or randomly in accordance with organization-defined process] and when new vulnerabilities potentially affecting the system/applications are identified and reported;
+ Employs vulnerability scanning tools and techniques that promote interoperability among tools and automate parts of the vulnerability management process by using standards for:
+ Enumerating platforms, software flaws, and improper configurations;
+ Formatting and making transparent, checklists and test procedures; and
+ Measuring vulnerability impact;
+
+
+ Analyzes vulnerability scan reports and results from security control assessments;
+ Remediates legitimate vulnerabilities [Assignment: organization-defined response times] in accordance with an organizational assessment of risk; and
+ Shares information obtained from the vulnerability scanning process and security control assessments with designated personnel throughout the organization to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).
+
+
+
+
+
+ The security categorization of the information system guides the frequency and comprehensiveness of the vulnerability scans. Vulnerability analysis for custom software and applications may require additional, more specialized techniques and approaches (e.g., web-based application scanners, source code reviews, source code analyzers). Vulnerability scanning includes scanning for specific functions, ports, protocols, and services that should not be accessible to users or devices and for improperly configured or incorrectly operating information flow mechanisms. The organization considers using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to test for the presence of vulnerabilities. The Common Weakness Enumeration (CWE) and the National Vulnerability Database (NVD) are also excellent sources for vulnerability information. In addition, security control assessments such as red team exercises are another source of potential vulnerabilities for which to scan. Related controls: CA-2, CM-6, RA-3, SI-2.
+
+
+
+
+
+
+ The organization employs vulnerability scanning tools that include the capability to readily update the list of information system vulnerabilities scanned.
+
+
+
+
+ HIGH
+
+
+ The organization updates the list of information system vulnerabilities scanned [Assignment: organization-defined frequency] or when new vulnerabilities are identified and reported.
+
+
+
+
+ HIGH
+
+
+ The organization employs vulnerability scanning procedures that can demonstrate the breadth and depth of coverage (i.e., information system components scanned and vulnerabilities checked).
+
+
+
+
+ HIGH
+
+
+ The organization attempts to discern what information about the information system is discoverable by adversaries.
+
+
+
+
+ HIGH
+
+
+ The organization includes privileged access authorization to [Assignment: organization-identified information system components] for selected vulnerability scanning activities to facilitate more thorough scanning.
+
+
+
+
+
+
+ The organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms [Assignment: organization-defined frequency] to detect the presence of unauthorized software on organizational information systems and notify designated organizational officials.
+
+
+
+
+
+
+ The organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.
+
+
+
+
+
+
+ The organization employs an independent penetration agent or penetration team to:
+
+ Conduct a vulnerability analysis on the information system; and
+ Perform penetration testing on the information system based on the vulnerability analysis to determine the exploitability of identified vulnerabilities.
+
+
+
+
+
+ A standard method for penetration testing includes: (i) pre-test analysis based on full knowledge of the target information system; (ii) pre-test identification of potential vulnerabilities based on pre-test analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. Detailed rules of engagement are agreed upon by all parties before the commencement of any penetration testing scenario.
+
+
+
+
+
+ NIST 800-115
+ NIST 800-40
+ NIST 800-70
+ Web Resource CWE.MITRE.ORG
+ Web Resource NVD.NIST.GOV
+
+
+
+ Management
+ System and Services Acquisition
+ SA-1
+ System and Services Acquisition Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented system and services acquisition policy that includes information security considerations and that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the system and services acquisition family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The system and services acquisition policy can be included as part of the general information security policy for the organization. System and services acquisition procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the system and services acquisition policy. Related control: PM-9.
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Management
+ System and Services Acquisition
+ SA-2
+ Allocation of Resources
+ P1
+
+
+ The organization:
+
+ Includes a determination of information security requirements for the information system in mission/business process planning;
+ Determines, documents, and allocates the resources required to protect the information system as part of its capital planning and investment control process; and
+ Establishes a discrete line item for information security in organizational programming and budgeting documentation.
+
+
+
+
+
+ Related controls: PM-3, PM-11.
+
+
+
+ NIST 800-65
+
+
+
+ Management
+ System and Services Acquisition
+ SA-3
+ Life Cycle Support
+ P1
+
+
+ The organization:
+
+ Manages the information system using a system development life cycle methodology that includes information security considerations;
+ Defines and documents information system security roles and responsibilities throughout the system development life cycle; and
+ Identifies individuals having information system security roles and responsibilities.
+
+
+
+
+
+ Related control: PM-7.
+
+
+
+ NIST 800-64
+
+
+
+ Management
+ System and Services Acquisition
+ SA-4
+ Acquisitions
+ P1
+
+
+ The organization includes the following requirements and/or specifications, explicitly or by reference, in information system acquisition contracts based on an assessment of risk and in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards:
+
+ Security functional requirements/specifications;
+ Security-related documentation requirements; and
+ Developmental and evaluation-related assurance requirements.
+
+
+
+
+
+ The acquisition documents for information systems, information system components, and information system services include, either explicitly or by reference, security requirements that describe: (i) required security capabilities (i.e., security needs and, as necessary, specific security controls and other specific FISMA requirements); (ii) required design and development processes; (iii) required test and evaluation procedures; and (iv) required documentation. The requirements in the acquisition documents permit updating security controls as new threats/vulnerabilities are identified and as new technologies are implemented. Acquisition documents also include requirements for appropriate information system documentation. The documentation addresses user and system administrator guidance and information regarding the implementation of the security controls in the information system. The level of detail required in the documentation is based on the security categorization for the information system. In addition, the required documentation includes security configuration settings and security implementation guidance. FISMA reporting instructions provide guidance on configuration requirements for federal information systems.
+
+
+
+
+
+
+ The organization requires in acquisition documents that vendors/contractors provide information describing the functional properties of the security controls to be employed within the information system, information system components, or information system services in sufficient detail to permit analysis and testing of the controls.
+
+
+
+
+ HIGH
+
+
+ The organization requires in acquisition documents that vendors/contractors provide information describing the design and implementation details of the security controls to be employed within the information system, information system components, or information system services (including functional interfaces among control components) in sufficient detail to permit analysis and testing of the controls.
+
+
+
+
+
+
+ The organization requires software vendors/manufacturers to demonstrate that their software development processes employ state-of-the-practice software and security engineering methods, quality control processes, and validation techniques to minimize flawed or malformed software.
+
+
+
+
+
+
+ The organization ensures that each information system component acquired is explicitly assigned to an information system, and that the owner of the system acknowledges this assignment.
+
+
+
+
+
+
+ The organization requires in acquisition documents, that information system components are delivered in a secure, documented configuration, and that the secure configuration is the default configuration for any software reinstalls or upgrades.
+
+
+
+
+
+
+ The organization:
+
+ Employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that composes an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and
+ Ensures that these products have been evaluated and/or validated by the NSA or in accordance with NSA-approved procedures.
+
+
+
+
+
+ COTS IA or IA-enabled information technology products used to protect classified information by cryptographic means, may be required to use NSA-approved key management.
+
+
+
+
+
+
+ The organization:
+
+ Limits the use of commercially provided information technology products to those products that have been successfully evaluated against a validated U.S. Government Protection Profile for a specific technology type, if such a profile exists; and
+ Requires, if no U.S. Government Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, then the cryptographic module is FIPS-validated.
+
+
+
+
+
+
+ FIPS 140-2
+ ISO/IEC 15408
+ NIST 800-23
+ NIST 800-35
+ NIST 800-36
+ NIST 800-64
+ NIST 800-70
+ Web Resource WWW.NIAP-CCEVS.ORG
+
+
+
+ Management
+ System and Services Acquisition
+ SA-5
+ Information System Documentation
+ P2
+
+
+ The organization:
+
+ Obtains, protects as required, and makes available to authorized personnel, administrator documentation for the information system that describes:
+ Secure configuration, installation, and operation of the information system;
+ Effective use and maintenance of security features/functions; and
+ Known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions; and
+
+
+ Obtains, protects as required, and makes available to authorized personnel, user documentation for the information system that describes:
+ User-accessible security features/functions and how to effectively use those security features/functions;
+ Methods for user interaction with the information system, which enables individuals to use the system in a more secure manner; and
+ User responsibilities in maintaining the security of the information and information system; and
+
+
+ Documents attempts to obtain information system documentation when such documentation is either unavailable or nonexistent.
+
+
+
+
+
+ The inability of the organization to obtain necessary information system documentation may occur, for example, due to the age of the system and/or lack of support from the vendor/contractor. In those situations, organizations may need to recreate selected information system documentation if such documentation is essential to the effective implementation and/or operation of security controls.
+
+
+
+
+
+
+ The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the functional properties of the security controls employed within the information system with sufficient detail to permit analysis and testing.
+
+
+
+
+ HIGH
+
+
+ The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the security-relevant external interfaces to the information system with sufficient detail to permit analysis and testing.
+
+
+
+
+
+
+ The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the high-level design of the information system in terms of subsystems and implementation details of the security controls employed within the system with sufficient detail to permit analysis and testing.
+
+
+
+
+ An information system can be partitioned into multiple subsystems.
+
+
+
+
+
+
+ The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the low-level design of the information system in terms of modules and implementation details of the security controls employed within the system with sufficient detail to permit analysis and testing.
+
+
+
+
+ Each subsystem within an information system can contain one or more modules.
+
+
+
+
+
+
+ The organization obtains, protects as required, and makes available to authorized personnel, the source code for the information system to permit analysis and testing.
+
+
+
+
+
+
+ Management
+ System and Services Acquisition
+ SA-6
+ Software Usage Restrictions
+ P1
+
+
+ The organization:
+
+ Uses software and associated documentation in accordance with contract agreements and copyright laws;
+ Employs tracking systems for software and associated documentation protected by quantity licenses to control copying and distribution; and
+ Controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.
+
+
+
+
+
+ Tracking systems can include, for example, simple spreadsheets or fully automated, specialized applications depending on the needs of the organization.
+
+
+
+
+
+
+ The organization:
+
+ Prohibits the use of binary or machine executable code from sources with limited or no warranty without accompanying source code; and
+ Provides exceptions to the source code requirement only for compelling mission/operational requirements when no alternative solutions are available and with the express written consent of the authorizing official.
+
+
+
+
+
+ Software products without accompanying source code from sources with limited or no warranty are assessed for potential security impacts. The assessment addresses the fact that these types of software products are difficult or impossible to review, repair, or extend, given that the organization does not have access to the original source code and there is no owner who could make such repairs on behalf of the organization.
+
+
+
+
+
+
+ Management
+ System and Services Acquisition
+ SA-7
+ User-installed Software
+ P1
+
+
+ The organization enforces explicit rules governing the installation of software by users.
+
+
+
+
+ If provided the necessary privileges, users have the ability to install software. The organization identifies what types of software installations are permitted (e.g., updates and security patches to existing software) and what types of installations are prohibited (e.g., software whose pedigree with regard to being potentially malicious is unknown or suspect). Related control: CM-2.
+
+
+
+
+ Management
+ System and Services Acquisition
+ SA-8
+ Security Engineering Principles
+ P1
+
+
+ The organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system.
+
+
+
+
+ The application of security engineering principles is primarily targeted at new development information systems or systems undergoing major upgrades and is integrated into the system development life cycle. For legacy information systems, the organization applies security engineering principles to system upgrades and modifications to the extent feasible, given the current state of the hardware, software, and firmware within the system. Examples of security engineering principles include, for example: (i) developing layered protections; (ii) establishing sound security policy, architecture, and controls as the foundation for design; (iii) incorporating security into the system development life cycle; (iv) delineating physical and logical security boundaries; (v) ensuring system developers and integrators are trained on how to develop secure software; (vi) tailoring security controls to meet organizational and operational needs; and (vii) reducing risk to acceptable levels, thus enabling informed risk management decisions.
+
+
+
+ NIST 800-27
+
+
+
+ Management
+ System and Services Acquisition
+ SA-9
+ External Information System Services
+ P1
+
+
+ The organization:
+
+ Requires that providers of external information system services comply with organizational information security requirements and employ appropriate security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+ Defines and documents government oversight and user roles and responsibilities with regard to external information system services; and
+ Monitors security control compliance by external service providers.
+
+
+
+
+
+ An external information system service is a service that is implemented outside of the authorization boundary of the organizational information system (i.e., a service that is used by, but not a part of, the organizational information system). Relationships with external service providers are established in a variety of ways, for example, through joint ventures, business partnerships, outsourcing arrangements (i.e., contracts, interagency agreements, lines of business arrangements), licensing agreements, and/or supply chain exchanges. The responsibility for adequately mitigating risks arising from the use of external information system services remains with the authorizing official. Authorizing officials require that an appropriate chain of trust be established with external service providers when dealing with the many issues associated with information security. For services external to the organization, a chain of trust requires that the organization establish and retain a level of confidence that each participating provider in the potentially complex consumer-provider relationship provides adequate protection for the services rendered to the organization. The extent and nature of this chain of trust varies based on the relationship between the organization and the external provider. Where a sufficient level of trust cannot be established in the external services and/or service providers, the organization employs compensating security controls or accepts the greater degree of risk. The external information system services documentation includes government, service provider, and end user security roles and responsibilities, and any service-level agreements. Service-level agreements define the expectations of performance for each required security control, describe measurable outcomes, and identify remedies and response requirements for any identified instance of noncompliance.
+
+
+
+
+
+
+ The organization:
+
+ Conducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services; and
+ Ensures that the acquisition or outsourcing of dedicated information security services is approved by [Assignment: organization-defined senior organizational official].
+
+
+
+
+
+ Dedicated information security services include, for example, incident monitoring, analysis and response, operation of information security-related devices such as firewalls, or key management services.
+
+
+
+
+
+ NIST 800-35
+
+
+
+ Management
+ System and Services Acquisition
+ SA-10
+ Developer Configuration Management
+ P1
+
+
+ The organization requires that information system developers/integrators:
+
+ Perform configuration management during information system design, development, implementation, and operation;
+ Manage and control changes to the information system;
+ Implement only organization-approved changes;
+ Document approved changes to the information system; and
+ Track security flaws and flaw resolution.
+
+
+
+
+
+ Related controls: CM-3, CM-4, CM-9.
+
+
+
+
+
+
+ The organization requires that information system developers/integrators provide an integrity check of software to facilitate organizational verification of software integrity after delivery.
+
+
+
+
+
+
+ The organization provides an alternative configuration management process with organizational personnel in the absence of dedicated developer/integrator configuration management team.
+
+
+
+
+ The configuration management process includes key organizational personnel that are responsible for reviewing and approving proposed changes to the information system, and security personnel that conduct impact analyses prior to the implementation of any changes to the system.
+
+
+
+
+
+
+ Management
+ System and Services Acquisition
+ SA-11
+ Developer Security Testing
+ P2
+
+
+ The organization requires that information system developers/integrators, in consultation with associated security personnel (including security engineers):
+
+ Create and implement a security test and evaluation plan;
+ Implement a verifiable flaw remediation process to correct weaknesses and deficiencies identified during the security testing and evaluation process; and
+ Document the results of the security testing/evaluation and flaw remediation processes.
+
+
+
+
+
+ Developmental security test results are used to the greatest extent feasible after verification of the results and recognizing that these results are impacted whenever there have been security-relevant modifications to the information system subsequent to developer testing. Test results may be used in support of the security authorization process for the delivered information system. Related control: CA-2, SI-2.
+
+
+
+
+
+
+ The organization requires that information system developers/integrators employ code analysis tools to examine software for common flaws and document the results of the analysis.
+
+
+
+
+
+
+ The organization requires that information system developers/integrators perform a vulnerability analysis to document vulnerabilities, exploitation potential, and risk mitigations.
+
+
+
+
+
+
+ The organization requires that information system developers/integrators create a security test and evaluation plan and implement the plan under the witness of an independent verification and validation agent.
+
+
+
+
+
+
+ Management
+ System and Services Acquisition
+ SA-12
+ Supply Chain Protection
+ P1
+ HIGH
+
+
+ The organization protects against supply chain threats by employing: [Assignment: organization-defined list of measures to protect against supply chain threats] as part of a comprehensive, defense-in-breadth information security strategy.
+
+
+
+
+ A defense-in-breadth approach helps to protect information systems (including the information technology products that compose those systems) throughout the system development life cycle (i.e., during design and development, manufacturing, packaging, assembly, distribution, system integration, operations, maintenance, and retirement). This is accomplished by the identification, management, and elimination of vulnerabilities at each phase of the life cycle and the use of complementary, mutually reinforcing strategies to mitigate risk.
+
+
+
+
+
+
+ The organization purchases all anticipated information system components and spares in the initial acquisition.
+
+
+
+
+ Stockpiling information system components and spares avoids the need to use less trustworthy secondary or resale markets in future years.
+
+
+
+
+
+
+ The organization conducts a due diligence review of suppliers prior to entering into contractual agreements to acquire information system hardware, software, firmware, or services.
+
+
+
+
+ The organization reviews supplier claims with regard to the use of appropriate security processes in the development and manufacture of information system components or products.
+
+
+
+
+
+
+ The organization uses trusted shipping and warehousing for information systems, information system components, and information technology products.
+
+
+
+
+ Trusted shipping and warehousing reduces opportunities for subversive activities or interception during transit. Examples of supporting techniques include the use of a geographically aware beacon to detect shipment diversions or delays. Related control: PE-16.
+
+
+
+
+
+
+ The organization employs a diverse set of suppliers for information systems, information system components, information technology products, and information system services.
+
+
+
+
+ Diversification of suppliers is intended to limit the potential harm from a given supplier in a supply chain, increasing the work factor for an adversary.
+
+
+
+
+
+
+ The organization employs standard configurations for information systems, information system components, and information technology products.
+
+
+
+
+ By avoiding the purchase of custom configurations for information systems, information system components, and information technology products, the organization limits the possibility of acquiring systems and products that have been corrupted via the supply chain actions targeted at the organization.
+
+
+
+
+
+
+ The organization minimizes the time between purchase decisions and delivery of information systems, information system components, and information technology products.
+
+
+
+
+ By minimizing the time between purchase decisions and required delivery of information systems, information system components, and information technology products, the organization limits the opportunity for an adversary to corrupt the purchased system, component, or product.
+
+
+
+
+
+
+ The organization employs independent analysis and penetration testing against delivered information systems, information system components, and information technology products.
+
+
+
+
+
+
+ Management
+ System and Services Acquisition
+ SA-13
+ Trustworthiness
+ P1
+ HIGH
+
+
+ The organization requires that the information system meets [Assignment: organization-defined level of trustworthiness].
+
+
+
+
+ The intent of this control is to ensure that organizations recognize the importance of trustworthiness and making explicit trustworthiness decisions when designing, developing, and implementing organizational information systems. Trustworthiness is a characteristic or property of an information system that expresses the degree to which the system can be expected to preserve the confidentiality, integrity, and availability of the information being processed, stored, or transmitted by the system. Trustworthy information systems are systems that are capable of being trusted to operate within defined levels of risk despite the environmental disruptions, human errors, and purposeful attacks that are expected to occur in the specified environments of operation. Two factors affecting the trustworthiness of an information system include: (i) security functionality (i.e., the security features or functions employed within the system); and (ii) security assurance (i.e., the grounds for confidence that the security functionality is effective in its application).
+ Appropriate security functionality for the information system can be obtained by using the Risk Management Framework (Steps 1, 2, and 3) to select and implement the necessary management, operational, and technical security controls necessary to mitigate risk to organizational operations and assets, individuals, other organizations, and the Nation. Appropriate security assurance can be obtained by: (i) the actions taken by developers and implementers of security controls with regard to the design, development, implementation, and operation of those controls; and (ii) the actions taken by assessors to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements for the information system.
+ Developers and implementers can increase the assurance in security controls by employing well-defined security policy models, structured, disciplined, and rigorous hardware and software development techniques, and sound system/security engineering principles. Assurance is also based on the assessment of evidence produced during the initiation, acquisition/development, implementation, and operations/maintenance phases of the system development life cycle. For example, developmental evidence may include the techniques and methods used to design and develop security functionality. Operational evidence may include flaw reporting and remediation, the results of security incident reporting, and the results of the ongoing monitoring of security controls. Independent assessments by qualified assessors may include analyses of the evidence as well as testing, inspections, and audits. Minimum assurance requirements are described in Appendix E.
+ Explicit trustworthiness decisions highlight situations where achieving the information system resilience and security capability necessary to withstand cyber attacks from adversaries with certain threat capabilities may require adjusting the risk management strategy, the design of mission/business processes with regard to automation, the selection and implementation rigor of management and operational protections, or the selection of information technology components with higher levels of trustworthiness. Trustworthiness may be defined on a component-by-component, subsystem-by-subsystem, or function-by-function basis. It is noted, however, that typically functions, subsystems, and components are highly interrelated, making separation by trustworthiness perhaps problematic and at a minimum, something that likely requires careful attention in order to achieve practically useful results. Related controls: RA-2, SA-4, SA-8, SC-3.
+
+
+
+ FIPS 200
+ FIPS Publication 199
+ NIST 800-53
+ NIST 800-53A
+ NIST 800-60
+ NIST 800-64
+
+
+
+ Management
+ System and Services Acquisition
+ SA-14
+ Critical Information System Components
+ P0
+
+
+ The organization:
+
+ Determines [Assignment: organization-defined list of critical information system components that require re-implementation]; and
+ Re-implements or custom develops such information system components.
+
+
+
+
+
+ The underlying assumption is that the list of information technology products defined by the organization cannot be trusted due to threats from the supply chain that the organization finds unacceptable. The organization re-implements or custom develops such components to satisfy requirements for high assurance. Related controls: SA-12, SA-13.
+
+
+
+
+
+
+ The organization:
+
+ Identifies information system components for which alternative sourcing is not viable; and
+ Employs [Assignment: organization-defined measures] to ensure that critical security controls for the information system components are not compromised.
+
+
+
+
+
+ Measures that the organization considers implementing include, for example, enhanced auditing, restrictions on source code and system utility access, and protection from deletion of system and application files.
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-1
+ System and Communications Protection Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented system and communications protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the system and communications protection family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The system and communications protection policy can be included as part of the general information security policy for the organization. System and communications protection procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the system and communications protection policy. Related control: PM-9.
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Technical
+ System and Communications Protection
+ SC-2
+ Application Partitioning
+ P1
+
+
+ The information system separates user functionality (including user interface services) from information system management functionality.
+
+
+
+
+ Information system management functionality includes, for example, functions necessary to administer databases, network components, workstations, or servers, and typically requires privileged user access. The separation of user functionality from information system management functionality is either physical or logical and is accomplished by using different computers, different central processing units, different instances of the operating system, different network addresses, combinations of these methods, or other methods as appropriate. An example of this type of separation is observed in web administrative interfaces that use separate authentication methods for users of any other information system resources. This may include isolating the administrative interface on a different domain and with additional access controls.
+
+
+
+
+
+
+ The information system prevents the presentation of information system management-related functionality at an interface for general (i.e., non-privileged) users.
+
+
+
+
+ The intent of this control enhancement is to ensure that administration options are not available to general users (including prohibiting the use of the grey-out option commonly used to eliminate accessibility to such information). For example, administration options are not presented until the user has appropriately established a session with administrator privileges.
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-3
+ Security Function Isolation
+ P1
+ HIGH
+
+
+ The information system isolates security functions from nonsecurity functions.
+
+
+
+
+ The information system isolates security functions from nonsecurity functions by means of an isolation boundary (implemented via partitions and domains) that controls access to and protects the integrity of, the hardware, software, and firmware that perform those security functions. The information system maintains a separate execution domain (e.g., address space) for each executing process. Related control: SA-13.
+
+
+
+
+
+
+ The information system implements underlying hardware separation mechanisms to facilitate security function isolation.
+
+
+
+
+
+
+ The information system isolates security functions enforcing access and information flow control from both nonsecurity functions and from other security functions.
+
+
+
+
+
+
+ The organization implements an information system isolation boundary to minimize the number of nonsecurity functions included within the boundary containing security functions.
+
+
+
+
+ Nonsecurity functions contained within the isolation boundary are considered security-relevant.
+
+
+
+
+
+
+ The organization implements security functions as largely independent modules that avoid unnecessary interactions between modules.
+
+
+
+
+
+
+ The organization implements security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers.
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-4
+ Information In Shared Resources
+ P1
+
+
+ The information system prevents unauthorized and unintended information transfer via shared system resources.
+
+
+
+
+ The purpose of this control is to prevent information, including encrypted representations of information, produced by the actions of a prior user/role (or the actions of a process acting on behalf of a prior user/role) from being available to any current user/role (or current process) that obtains access to a shared system resource (e.g., registers, main memory, secondary storage) after that resource has been released back to the information system. Control of information in shared resources is also referred to as object reuse. This control does not address: (i) information remanence which refers to residual representation of data that has been in some way nominally erased or removed; (ii) covert channels where shared resources are manipulated to achieve a violation of information flow restrictions; or (iii) components in the information system for which there is only a single user/role.
+
+
+
+
+
+
+ The information system does not share resources that are used to interface with systems operating at different security levels.
+
+
+
+
+ Shared resources include, for example, memory, input/output queues, and network interface cards.
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-5
+ Denial of Service Protection
+ P1
+
+
+ The information system protects against or limits the effects of the following types of denial of service attacks: [Assignment: organization-defined list of types of denial of service attacks or reference to source for current list].
+
+
+
+
+ A variety of technologies exist to limit, or in some cases, eliminate the effects of denial of service attacks. For example, boundary protection devices can filter certain types of packets to protect devices on an organizations internal network from being directly affected by denial of service attacks. Employing increased capacity and bandwidth combined with service redundancy may reduce the susceptibility to some denial of service attacks. Related control: SC-7.
+
+
+
+
+
+
+ The information system restricts the ability of users to launch denial of service attacks against other information systems or networks.
+
+
+
+
+
+
+ The information system manages excess capacity, bandwidth, or other redundancy to limit the effects of information flooding types of denial of service attacks.
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-6
+ Resource Priority
+ P0
+
+
+ The information system limits the use of resources by priority.
+
+
+
+
+ Priority protection helps prevent a lower-priority process from delaying or interfering with the information system servicing any higher-priority process. This control does not apply to components in the information system for which there is only a single user/role.
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-7
+ Boundary Protection
+ P1
+
+
+ The information system:
+
+ Monitors and controls communications at the external boundary of the system and at key internal boundaries within the system; and
+ Connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.
+
+
+
+
+
+ Restricting external web traffic only to organizational web servers within managed interfaces and prohibiting external traffic that appears to be spoofing an internal address as the source are examples of restricting and prohibiting communications. Managed interfaces employing boundary protection devices include, for example, proxies, gateways, routers, firewalls, guards, or encrypted tunnels arranged in an effective security architecture (e.g., routers protecting firewalls and application gateways residing on a protected subnetwork commonly referred to as a demilitarized zone or DMZ).
+ The organization considers the intrinsically shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers, and may include third-party provided access lines and other service elements. Consequently, such interconnecting transmission services may represent sources of increased risk despite contract security provisions. Therefore, when this situation occurs, the organization either implements appropriate compensating security controls or explicitly accepts the additional risk. Related controls: AC-4, IR-4, SC-5.
+
+
+
+
+
+
+ The organization physically allocates publicly accessible information system components to separate subnetworks with separate physical network interfaces.
+
+
+
+
+ Publicly accessible information system components include, for example, public web servers.
+
+
+
+
+
+
+ The information system prevents public access into the organizations internal networks except as appropriately mediated by managed interfaces employing boundary protection devices.
+
+
+
+
+
+
+ The organization limits the number of access points to the information system to allow for more comprehensive monitoring of inbound and outbound communications and network traffic.
+
+
+
+
+ The Trusted Internet Connection (TIC) initiative is an example of limiting the number of managed network access points.
+
+
+
+
+
+
+ The organization:
+
+ Implements a managed interface for each external telecommunication service;
+ Establishes a traffic flow policy for each managed interface;
+ Employs security controls as needed to protect the confidentiality and integrity of the information being transmitted;
+ Documents each exception to the traffic flow policy with a supporting mission/business need and duration of that need;
+ Reviews exceptions to the traffic flow policy [Assignment: organization-defined frequency]; and
+ Removes traffic flow policy exceptions that are no longer supported by an explicit mission/business need.
+
+
+
+
+
+
+
+ The information system at managed interfaces, denies network traffic by default and allows network traffic by exception (i.e., deny all, permit by exception).
+
+
+
+
+ HIGH
+
+
+ The organization prevents the unauthorized release of information outside of the information system boundary or any unauthorized communication through the information system boundary when there is an operational failure of the boundary protection mechanisms.
+
+
+
+
+
+
+ The information system prevents remote devices that have established a non-remote connection with the system from communicating outside of that communications path with resources in external networks.
+
+
+
+
+ This control enhancement is implemented within the remote device (e.g., notebook/laptop computer) via configuration settings that are not configurable by the user of that device. An example of a non-remote communications path from a remote device is a virtual private network. When a non-remote connection is established using a virtual private network, the configuration settings prevent split-tunneling. Split tunneling might otherwise be used by remote users to communicate with the information system as an extension of that system and to communicate with local resources such as a printer or file server. Since the remote device, when connected by a non-remote connection, becomes an extension of the information system, allowing dual communications paths such as split-tunneling would be, in effect, allowing unauthorized external connections into the system.
+
+
+
+
+ HIGH
+
+
+ The information system routes [Assignment: organization-defined internal communications traffic] to [Assignment: organization-defined external networks] through authenticated proxy servers within the managed interfaces of boundary protection devices.
+
+
+
+
+ External networks are networks outside the control of the organization. Proxy servers support logging individual Transmission Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators (URLs), domain names, and Internet Protocol (IP) addresses. Proxy servers are also configurable with organization-defined lists of authorized and unauthorized websites.
+
+
+
+
+
+
+ The information system, at managed interfaces, denies network traffic and audits internal users (or malicious code) posing a threat to external information systems.
+
+
+
+
+ Detecting internal actions that may pose a security threat to external information systems is sometimes termed extrusion detection. Extrusion detection at the information system boundary includes the analysis of network traffic (incoming as well as outgoing) looking for indications of an internal threat to the security of external systems.
+
+
+
+
+
+
+ The organization prevents the unauthorized exfiltration of information across managed interfaces.
+
+
+
+
+ Measures to prevent unauthorized exfiltration of information from the information system include, for example: (i) strict adherence to protocol formats; (ii) monitoring for indications of beaconing from the information system; (iii) monitoring for use of steganography; (iv) disconnecting external network interfaces except when explicitly needed; (v) disassembling and reassembling packet headers; and (vi) employing traffic profile analysis to detect deviations from the volume or types of traffic expected within the organization. Examples of devices enforcing strict adherence to protocol formats include, for example, deep packet inspection firewalls and XML gateways. These devices verify adherence to the protocol specification at the application layer and serve to identify vulnerabilities that cannot be detected by devices operating at the network or transport layer.
+
+
+
+
+
+
+ The information system checks incoming communications to ensure that the communications are coming from an authorized source and routed to an authorized destination.
+
+
+
+
+
+
+ The information system implements host-based boundary protection mechanisms for servers, workstations, and mobile devices.
+
+
+
+
+ A host-based boundary protection mechanism is, for example, a host-based firewall. Host-based boundary protection mechanisms are employed on mobile devices, such as notebook/laptop computers, and other types of mobile devices where such boundary protection mechanisms are available.
+
+
+
+
+
+
+ The organization isolates [Assignment: organization defined key information security tools, mechanisms, and support components] from other internal information system components via physically separate subnets with managed interfaces to other portions of the system.
+
+
+
+
+
+
+ The organization protects against unauthorized physical connections across the boundary protections implemented at [Assignment: organization-defined list of managed interfaces].
+
+
+
+
+ Information systems operating at different security categories may routinely share common physical and environmental controls, since the systems may share space within organizational facilities. In practice, it is possible that these separate information systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved, for example, by employing clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls enforcing limited authorized access to these items. Related control: PE-4.
+
+
+
+
+
+
+ The information system routes all networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.
+
+
+
+
+ Related controls: AC-2, AC-3, AC-4, AU-2.
+
+
+
+
+
+
+ The information system prevents discovery of specific system components (or devices) composing a managed interface.
+
+
+
+
+ This control enhancement is intended to protect the network addresses of information system components that are part of the managed interface from discovery through common tools and techniques used to identify devices on a network. The network addresses are not available for discovery (e.g., not published or entered in the domain name system), requiring prior knowledge for access. Another obfuscation technique is to periodically change network addresses.
+
+
+
+
+
+
+ The organization employs automated mechanisms to enforce strict adherence to protocol format.
+
+
+
+
+ Automated mechanisms used to enforce protocol formats include, for example, deep packet inspection firewalls and XML gateways. These devices verify adherence to the protocol specification (e.g., IEEE) at the application layer and serve to identify significant vulnerabilities that cannot be detected by devices operating at the network or transport layer.
+
+
+
+
+
+
+ The information system fails securely in the event of an operational failure of a boundary protection device.
+
+
+
+
+ Fail secure is a condition achieved by the application of a set of information system mechanisms to ensure that in the event of an operational failure of a boundary protection device at a managed interface (e.g., router, firewall, guard, application gateway residing on a protected subnetwork commonly referred to as a demilitarized zone), the system does not enter into an unsecure state where intended security properties no longer hold. A failure of a boundary protection device cannot lead to, or cause information external to the boundary protection device to enter the device, nor can a failure permit unauthorized information release.
+
+
+
+
+
+ FIPS Publication 199
+ NIST 800-41
+ NIST 800-77
+
+
+
+ Technical
+ System and Communications Protection
+ SC-8
+ Transmission Integrity
+ P1
+
+
+ The information system protects the integrity of transmitted information.
+
+
+
+
+ This control applies to communications across internal and external networks. If the organization is relying on a commercial service provider for transmission services as a commodity item rather than a fully dedicated service, it may be more difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission integrity. When it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, the organization either implements appropriate compensating security controls or explicitly accepts the additional risk. Related controls: AC-17, PE-4.
+
+
+
+
+
+
+ The organization employs cryptographic mechanisms to recognize changes to information during transmission unless otherwise protected by alternative physical measures.
+
+
+
+
+ Alternative physical protection measures include, for example, protected distribution systems. Related control: SC-13.
+
+
+
+
+
+
+ The information system maintains the integrity of information during aggregation, packaging, and transformation in preparation for transmission.
+
+
+
+
+ Information can be intentionally and/or maliciously modified at data aggregation or protocol transformation points, compromising the integrity of the information.
+
+
+
+
+
+ FIPS 140-2
+ FIPS 197
+ NIST 800-113
+ NIST 800-52
+ NIST 800-77
+ NIST 800-81
+ NSTISSI 7003
+
+
+
+ Technical
+ System and Communications Protection
+ SC-9
+ Transmission Confidentiality
+ P1
+
+
+ The information system protects the confidentiality of transmitted information.
+
+
+
+
+ This control applies to communications across internal and external networks. If the organization is relying on a commercial service provider for transmission services as a commodity item rather than a fully dedicated service, it may be more difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission confidentiality. When it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, the organization either implements appropriate compensating security controls or explicitly accepts the additional risk. Related controls: AC-17, PE-4.
+
+
+
+
+
+
+ The organization employs cryptographic mechanisms to prevent unauthorized disclosure of information during transmission unless otherwise protected by [Assignment: organization-defined alternative physical measures].
+
+
+
+
+ Alternative physical protection measures include, for example, protected distribution systems. Related control: SC-13.
+
+
+
+
+
+
+ The information system maintains the confidentiality of information during aggregation, packaging, and transformation in preparation for transmission.
+
+
+
+
+ Information can be intentionally and/or maliciously disclosed at data aggregation or protocol transformation points, compromising the confidentiality of the information.
+
+
+
+
+
+ CNSS 15
+ FIPS 140-2
+ FIPS 197
+ NIST 800-113
+ NIST 800-52
+ NIST 800-77
+ NSTISSI 7003
+
+
+
+ Technical
+ System and Communications Protection
+ SC-10
+ Network Disconnect
+ P2
+
+
+ The information system terminates the network connection associated with a communications session at the end of the session or after [Assignment: organization-defined time period] of inactivity.
+
+
+
+
+ This control applies to both internal and external networks. Terminating network connections associated with communications sessions include, for example, de-allocating associated TCP/IP address/port pairs at the operating-system level, or de-allocating networking assignments at the application level if multiple application sessions are using a single, operating system-level network connection. The time period of inactivity may, as the organization deems necessary, be a set of time periods by type of network access or for specific accesses.
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-11
+ Trusted Path
+ P0
+
+
+ The information system establishes a trusted communications path between the user and the following security functions of the system: [Assignment: organization-defined security functions to include at a minimum, information system authentication and reauthentication].
+
+
+
+
+ A trusted path is employed for high-confidence connections between the security functions of the information system and the user (e.g., for login).
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-12
+ Cryptographic Key Establishment and Management
+ P1
+
+
+ The organization establishes and manages cryptographic keys for required cryptography employed within the information system.
+
+
+
+
+ Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. In addition to being required for the effective operation of a cryptographic mechanism, effective cryptographic key management provides protections to maintain the availability of the information in the event of the loss of cryptographic keys by users.
+
+
+
+
+ HIGH
+
+
+ The organization maintains availability of information in the event of the loss of cryptographic keys by users.
+
+
+
+
+
+
+ The organization produces, controls, and distributes symmetric cryptographic keys using [Selection: NIST-approved, NSA-approved] key management technology and processes.
+
+
+
+
+
+
+ The organization produces, controls, and distributes symmetric and asymmetric cryptographic keys using NSA-approved key management technology and processes.
+
+
+
+
+
+
+ The organization produces, controls, and distributes asymmetric cryptographic keys using approved PKI Class 3 certificates or prepositioned keying material.
+
+
+
+
+
+
+ The organization produces, controls, and distributes asymmetric cryptographic keys using approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user's private key.
+
+
+
+
+
+ NIST 800-56
+ NIST 800-57
+
+
+
+ Technical
+ System and Communications Protection
+ SC-13
+ Use of Cryptography
+ P1
+
+
+ The information system implements required cryptographic protections using cryptographic modules that comply with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+
+
+
+
+ None.
+
+
+
+
+
+
+ The organization employs, at a minimum, FIPS-validated cryptography to protect unclassified information.
+
+
+
+
+
+
+ The organization employs NSA-approved cryptography to protect classified information.
+
+
+
+
+
+
+ The organization employs, at a minimum, FIPS-validated cryptography to protect information when such information must be separated from individuals who have the necessary clearances yet lack the necessary access approvals.
+
+
+
+
+
+
+ The organization employs [Selection: FIPS-validated; NSA-approved] cryptography to implement digital signatures.
+
+
+
+
+
+ FIPS 140-2
+ Web Resource CSRC.NIST.GOV/CRYPTVAL
+ Web Resource WWW.CNSS.GOV
+
+
+
+ Technical
+ System and Communications Protection
+ SC-14
+ Public Access Protections
+ P1
+
+
+ The information system protects the integrity and availability of publicly available information and applications.
+
+
+
+
+ The purpose of this control is to ensure that organizations explicitly address the protection needs for public information and applications with such protection likely being implemented as part of other security controls.
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-15
+ Collaborative Computing Devices
+ P1
+
+
+ The information system:
+
+ Prohibits remote activation of collaborative computing devices with the following exceptions: [Assignment: organization-defined exceptions where remote activation is to be allowed]; and
+ Provides an explicit indication of use to users physically present at the devices.
+
+
+
+
+
+ Collaborative computing devices include, for example, networked white boards, cameras, and microphones. Explicit indication of use includes, for example, signals to users when collaborative computing devices are activated
+
+
+
+
+
+
+ The information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.
+
+
+
+
+
+
+ The information system or supporting environment blocks both inbound and outbound traffic between instant messaging clients that are independently configured by end users and external service providers.
+
+
+
+
+ Blocking restrictions do not include instant messaging services that are configured by an organization to perform an authorized function.
+
+
+
+
+
+
+ The organization disables or removes collaborative computing devices from information systems in [Assignment: organization-defined secure work areas].
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-16
+ Transmission of Security Attributes
+ P0
+
+
+ The information system associates security attributes with information exchanged between information systems.
+
+
+
+
+ Security attributes may be explicitly or implicitly associated with the information contained within the information system. Related control: AC-16.
+
+
+
+
+
+
+ The information system validates the integrity of security attributes exchanged between systems.
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-17
+ Public Key Infrastructure Certificates
+ P1
+
+
+ The organization issues public key certificates under an [Assignment: organization-defined certificate policy] or obtains public key certificates under an appropriate certificate policy from an approved service provider.
+
+
+
+
+ For user certificates, each organization attains certificates from an approved, shared service provider, as required by OMB policy. For federal agencies operating a legacy public key infrastructure cross-certified with the Federal Bridge Certification Authority at medium assurance or higher, this Certification Authority will suffice. This control focuses on certificates with a visibility external to the information system and does not include certificates related to internal system operations, for example, application-specific time services.
+
+
+
+ NIST 800-32
+ NIST 800-63
+ OMB Memorandum 05-24
+
+
+
+ Technical
+ System and Communications Protection
+ SC-18
+ Mobile Code
+ P1
+
+
+ The organization:
+
+ Defines acceptable and unacceptable mobile code and mobile code technologies;
+ Establishes usage restrictions and implementation guidance for acceptable mobile code and mobile code technologies; and
+ Authorizes, monitors, and controls the use of mobile code within the information system.
+
+
+
+
+
+ Decisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the system if used maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX, PDF, Postscript, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed on organizational servers and mobile code downloaded and executed on individual workstations. Policy and procedures related to mobile code, address preventing the development, acquisition, or introduction of unacceptable mobile code within the information system.
+
+
+
+
+
+
+ The information system implements detection and inspection mechanisms to identify unauthorized mobile code and takes corrective actions, when necessary.
+
+
+
+
+ Corrective actions when unauthorized mobile code is detected include, for example, blocking, quarantine, or alerting administrator. Disallowed transfers include, for example, sending word processing files with embedded macros.
+
+
+
+
+
+
+ The organization ensures the acquisition, development, and/or use of mobile code to be deployed in information systems meets [Assignment: organization-defined mobile code requirements].
+
+
+
+
+
+
+ The information system prevents the download and execution of prohibited mobile code.
+
+
+
+
+
+
+ The information system prevents the automatic execution of mobile code in [Assignment: organization-defined software applications] and requires [Assignment: organization-defined actions] prior to executing the code.
+
+
+
+
+ Actions required before executing mobile code, include, for example, prompting users prior to opening electronic mail attachments.
+
+
+
+
+
+ DOD Instruction 8552.01
+ NIST 800-28
+
+
+
+ Technical
+ System and Communications Protection
+ SC-19
+ Voice Over Internet Protocol
+ P1
+
+
+ The organization:
+
+ Establishes usage restrictions and implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously; and
+ Authorizes, monitors, and controls the use of VoIP within the information system.
+
+
+
+
+
+ None.
+
+
+
+ NIST 800-58
+
+
+
+ Technical
+ System and Communications Protection
+ SC-20
+ Secure Name / Address Resolution Service (Authoritative Source)
+ P1
+
+
+ The information system provides additional data origin and integrity artifacts along with the authoritative data the system returns in response to name/address resolution queries.
+
+
+
+
+ This control enables remote clients to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. A domain name system (DNS) server is an example of an information system that provides name/address resolution service. Digital signatures and cryptographic keys are examples of additional artifacts. DNS resource records are examples of authoritative data. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to assure the authenticity and integrity of response data. The DNS security controls are consistent with, and referenced from, OMB Memorandum 08-23.
+
+
+
+
+
+
+ The information system, when operating as part of a distributed, hierarchical namespace, provides the means to indicate the security status of child subspaces and (if the child supports secure resolution services) enable verification of a chain of trust among parent and child domains.
+
+
+
+
+ An example means to indicate the security status of child subspaces is through the use of delegation signer (DS) resource records in the DNS.
+
+
+
+
+
+ NIST 800-81
+ OMB Memorandum 08-23
+
+
+
+ Technical
+ System and Communications Protection
+ SC-21
+ Secure Name / Address Resolution Service (Recursive Or Caching Resolver)
+ P1
+ HIGH
+
+
+ The information system performs data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources when requested by client systems.
+
+
+
+
+ A recursive resolving or caching domain name system (DNS) server is an example of an information system that provides name/address resolution service for local clients. Authoritative DNS servers are examples of authoritative sources. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to enable clients to verify the authenticity and integrity of response data.
+
+
+
+
+
+
+ The information system performs data origin authentication and data integrity verification on all resolution responses whether or not local clients explicitly request this service.
+
+
+
+
+ Local clients include, for example, DNS stub resolvers.
+
+
+
+
+
+ NIST 800-81
+
+
+
+ Technical
+ System and Communications Protection
+ SC-22
+ Architecture and Provisioning for Name / Address Resolution Service
+ P1
+
+
+ The information systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal/external role separation.
+
+
+
+
+ A domain name system (DNS) server is an example of an information system that provides name/address resolution service. To eliminate single points of failure and to enhance redundancy, there are typically at least two authoritative domain name system (DNS) servers, one configured as primary and the other as secondary. Additionally, the two servers are commonly located in two different network subnets and geographically separated (i.e., not located in the same physical facility). With regard to role separation, DNS servers with an internal role, only process name/address resolution requests from within the organization (i.e., internal clients). DNS servers with an external role only process name/address resolution information requests from clients external to the organization (i.e., on the external networks including the Internet). The set of clients that can access an authoritative DNS server in a particular role is specified by the organization (e.g., by address ranges, explicit lists).
+
+
+
+ NIST 800-81
+
+
+
+ Technical
+ System and Communications Protection
+ SC-23
+ Session Authenticity
+ P1
+
+
+ The information system provides mechanisms to protect the authenticity of communications sessions.
+
+
+
+
+ This control focuses on communications protection at the session, versus packet, level. The intent of this control is to establish grounds for confidence at each end of a communications session in the ongoing identity of the other party and in the validity of the information being transmitted. For example, this control addresses man-in-the-middle attacks including session hijacking or insertion of false information into a session. This control is only implemented where deemed necessary by the organization (e.g., sessions in service-oriented architectures providing web-based services).
+
+
+
+
+
+
+ The information system invalidates session identifiers upon user logout or other session termination.
+
+
+
+
+
+
+ The information system provides a readily observable logout capability whenever authentication is used to gain access to web pages.
+
+
+
+
+
+
+ The information system generates a unique session identifier for each session and recognizes only session identifiers that are system-generated.
+
+
+
+
+
+
+ The information system generates unique session identifiers with [Assignment: organization-defined randomness requirements].
+
+
+
+
+ Employing the concept of randomness in the generation of unique session identifiers helps to protect against brute-force attacks to determine future session identifiers.
+
+
+
+
+
+ NIST 800-52
+ NIST 800-77
+ NIST 800-95
+
+
+
+ Technical
+ System and Communications Protection
+ SC-24
+ Fail In Known State
+ P1
+ HIGH
+
+
+ The information system fails to a [Assignment: organization-defined known-state] for [Assignment: organization-defined types of failures] preserving [Assignment: organization-defined system state information] in failure.
+
+
+
+
+ Failure in a known state can address safety or security in accordance with the mission/business needs of the organization. Failure in a known secure state helps prevent a loss of confidentiality, integrity, or availability in the event of a failure of the information system or a component of the system. Failure in a known safe state helps prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving information system state information facilitates system restart and return to the operational mode of the organization with less disruption of mission/business processes.
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-25
+ Thin Nodes
+ P0
+
+
+ The information system employs processing components that have minimal functionality and information storage.
+
+
+
+
+ The deployment of information system components with minimal functionality (e.g., diskless nodes and thin client technologies) reduces the need to secure every user endpoint, and may reduce the exposure of information, information systems, and services to a successful attack. Related control: SC-30.
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-26
+ Honeypots
+ P0
+
+
+ The information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.
+
+
+
+
+ None.
+
+
+
+
+
+
+ The information system includes components that proactively seek to identify web-based malicious code.
+
+
+
+
+ Devices that actively seek out web-based malicious code by posing as clients are referred to as client honeypots or honey clients.
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-27
+ Operating System-independent Applications
+ P0
+
+
+ The information system includes: [Assignment: organization-defined operating system-independent applications].
+
+
+
+
+ Operating system-independent applications are applications that can run on multiple operating systems. Such applications promote portability and reconstitution on different platform architectures, increasing the availability for critical functionality within an organization while information systems with a given operating system are under attack.
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-28
+ Protection of Information At Rest
+ P1
+
+
+ The information system protects the confidentiality and integrity of information at rest.
+
+
+
+
+ This control is intended to address the confidentiality and integrity of information at rest in nonmobile devices and covers user information and system information. Information at rest refers to the state of information when it is located on a secondary storage device (e.g., disk drive, tape drive) within an organizational information system. Configurations and/or rule sets for firewalls, gateways, intrusion detection/prevention systems, and filtering routers and authenticator content are examples of system information likely requiring protection. Organizations may choose to employ different mechanisms to achieve confidentiality and integrity protections, as appropriate.
+
+
+
+
+
+
+ The organization employs cryptographic mechanisms to prevent unauthorized disclosure and modification of information at rest unless otherwise protected by alternative physical measures.
+
+
+
+
+
+ NIST 800-111
+ NIST 800-56
+ NIST 800-57
+
+
+
+ Technical
+ System and Communications Protection
+ SC-29
+ Heterogeneity
+ P0
+
+
+ The organization employs diverse information technologies in the implementation of the information system.
+
+
+
+
+ Increasing the diversity of information technologies within the information system reduces the impact of the exploitation of a specific technology. Organizations that select this control should consider that an increase in diversity may add complexity and management overhead, both of which have the potential to lead to mistakes and misconfigurations which could increase overall risk.
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-30
+ Virtualization Techniques
+ P0
+
+
+ The organization employs virtualization techniques to present information system components as other types of components, or components with differing configurations.
+
+
+
+
+ Virtualization techniques provide organizations with the ability to disguise information systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms.
+
+
+
+
+
+
+ The organization employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed [Assignment: organization-defined frequency].
+
+
+
+
+ While frequent changes to operating systems and applications pose configuration management challenges, the changes result in an increased work factor for adversaries in order to carry out successful attacks. Changing the apparent operating system or application, as opposed to the actual operating system or application, results in virtual changes that still impede attacker success while helping to reduce the configuration management effort.
+
+
+
+
+
+
+ The organization employs randomness in the implementation of the virtualization techniques.
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-31
+ Covert Channel Analysis
+ P0
+
+
+ The organization requires that information system developers/integrators perform a covert channel analysis to identify those aspects of system communication that are potential avenues for covert storage and timing channels.
+
+
+
+
+ Information system developers/integrators are in the best position to identify potential avenues within the system that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across security domains, for example, in the case of information systems containing export-controlled information and having connections to external networks (i.e., networks not controlled by the organization). Covert channel analysis is also meaningful in the case of multilevel secure (MLS) systems, multiple security level (MSL) systems, and cross domain systems.
+
+
+
+
+
+
+ The organization tests a subset of the vendor-identified covert channel avenues to determine if they are exploitable.
+
+
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-32
+ Information System Partitioning
+ P1
+
+
+ The organization partitions the information system into components residing in separate physical domains (or environments) as deemed necessary.
+
+
+
+
+ Information system partitioning is a part of a defense-in-depth protection strategy. An organizational assessment of risk guides the partitioning of information system components into separate physical domains (or environments). The security categorization also guides the selection of appropriate candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned information system components. Related controls: AC-4, SC-7.
+
+
+
+ FIPS Publication 199
+
+
+
+ Technical
+ System and Communications Protection
+ SC-33
+ Transmission Preparation Integrity
+ P0
+
+
+ The information system protects the integrity of information during the processes of data aggregation, packaging, and transformation in preparation for transmission.
+
+
+
+
+ Information can be subjected to unauthorized changes (e.g., malicious and/or unintentional modification) at information aggregation or protocol transformation points.
+
+
+
+
+ Technical
+ System and Communications Protection
+ SC-34
+ Non-modifiable Executable Programs
+ P0
+
+
+ The information system at [Assignment: organization-defined information system components]:
+
+ Loads and executes the operating environment from hardware-enforced, read-only media; and
+ Loads and executes [Assignment: organization-defined applications] from hardware-enforced, read-only media.
+
+
+
+
+
+ In this control, the term operating environment is defined as the code upon which applications are hosted, for example, a monitor, executive, operating system, or application running directly on the hardware platform. Hardware-enforced, read-only media include, for example, CD-R/DVD-R disk drives. Use of non-modifiable storage ensures the integrity of the software program from the point of creation of the read-only image.
+
+
+
+
+
+
+ The organization employs [Assignment: organization-defined information system components] with no writeable storage that is persistent across component restart or power on/off.
+
+
+
+
+ This control enhancement: (i) eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated information system component; and (ii) requires no such removable storage be employed, a requirement that may be applied directly or as a specific restriction imposed through AC-19.
+
+
+
+
+
+
+ The organization protects the integrity of the information on read-only media.
+
+
+
+
+ This control enhancement covers protecting the integrity of information to be placed onto read-only media and controlling the media after information has been recorded onto the media. Protection measures may include, as deemed necessary by the organization, a combination of prevention and detection/response. This enhancement may be satisfied by requirements imposed by other controls such as AC-3, AC-5, CM-3, CM-5, CM-9, MP-2, MP-4, MP-5, SA-12, SC-28, SI-3, and SI-7.
+
+
+
+
+
+
+ Operational
+ System and Information Integrity
+ SI-1
+ System and Information Integrity Policy and Procedures
+ P1
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented system and information integrity policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls.
+
+
+
+
+
+ This control is intended to produce the policy and procedures that are required for the effective implementation of selected security controls and control enhancements in the system and information integrity family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing organizational policies and procedures may make the need for additional specific policies and procedures unnecessary. The system and information integrity policy can be included as part of the general information security policy for the organization. System and information integrity procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the system and information integrity policy. Related control: PM-9.
+
+
+
+ NIST 800-100
+ NIST 800-12
+
+
+
+ Operational
+ System and Information Integrity
+ SI-2
+ Flaw Remediation
+ P1
+
+
+ The organization:
+
+ Identifies, reports, and corrects information system flaws;
+ Tests software updates related to flaw remediation for effectiveness and potential side effects on organizational information systems before installation; and
+ Incorporates flaw remediation into the organizational configuration management process.
+
+
+
+
+
+ The organization identifies information systems containing software affected by recently announced software flaws (and potential vulnerabilities resulting from those flaws) and reports this information to designated organizational officials with information security responsibilities (e.g., senior information security officers, information system security managers, information systems security officers). The organization (including any contractor to the organization) promptly installs security-relevant software updates (e.g., patches, service packs, and hot fixes). Flaws discovered during security assessments, continuous monitoring, incident response activities, or information system error handling, are also addressed expeditiously. Organizations are encouraged to use resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By requiring that flaw remediation be incorporated into the organizational configuration management process, it is the intent of this control that required/anticipated remediation actions are tracked and verified. An example of expected flaw remediation that would be so verified is whether the procedures contained in US-CERT guidance and Information Assurance Vulnerability Alerts have been accomplished. Related controls: CA-2, CA-7, CM-3, MA-2, IR-4, RA-5, SA-11, SI-11.
+
+
+
+
+ HIGH
+
+
+ The organization centrally manages the flaw remediation process and installs software updates automatically.
+
+
+
+
+ Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates.
+
+
+
+
+
+
+ The organization employs automated mechanisms [Assignment: organization-defined frequency] to determine the state of information system components with regard to flaw remediation.
+
+
+
+
+
+
+ The organization measures the time between flaw identification and flaw remediation, comparing with [Assignment: organization-defined benchmarks].
+
+
+
+
+
+
+ The organization employs automated patch management tools to facilitate flaw remediation to [Assignment: organization-defined information system components].
+
+
+
+
+
+ NIST 800-40
+
+
+
+ Operational
+ System and Information Integrity
+ SI-3
+ Malicious Code Protection
+ P1
+
+
+ The organization:
+
+ Employs malicious code protection mechanisms at information system entry and exit points and at workstations, servers, or mobile computing devices on the network to detect and eradicate malicious code: - Transported by electronic mail, electronic mail attachments, web accesses, removable media, or other common means; or - Inserted through the exploitation of information system vulnerabilities;
+ Updates malicious code protection mechanisms (including signature definitions) whenever new releases are available in accordance with organizational configuration management policy and procedures;
+ Configures malicious code protection mechanisms to: - Perform periodic scans of the information system [Assignment: organization-defined frequency] and real-time scans of files from external sources as the files are downloaded, opened, or executed in accordance with organizational security policy; and - [Selection (one or more): block malicious code; quarantine malicious code; send alert to administrator; [Assignment: organization-defined action]] in response to malicious code detection; and
+ Addresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system.
+
+
+
+
+
+ Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, and remote-access servers. Malicious code includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats (e.g., UUENCODE, Unicode) or contained within a compressed file. Removable media includes, for example, USB devices, diskettes, or compact disks. A variety of technologies and methods exist to limit or eliminate the effects of malicious code attacks. Pervasive configuration management and strong software integrity controls may be effective in preventing execution of unauthorized code. In addition to commercial off-the-shelf software, malicious code may also be present in custom-built software. This could include, for example, logic bombs, back doors, and other types of cyber attacks that could affect organizational missions and business functions. Traditional malicious code protection mechanisms are not built to detect such code. In these situations, organizations must rely instead on other risk mitigation measures to include, for example, secure coding practices, trusted procurement processes, configuration management and control, and monitoring practices to help ensure that software does not perform functions other than those intended. Related controls: SA-4, SA-8, SA-12, SA-13, SI-4, SI-7.
+
+
+
+
+
+
+ The organization centrally manages malicious code protection mechanisms.
+
+
+
+
+
+
+ The information system automatically updates malicious code protection mechanisms (including signature definitions).
+
+
+
+
+
+
+ The information system prevents non-privileged users from circumventing malicious code protection capabilities.
+
+
+
+
+
+
+ The information system updates malicious code protection mechanisms only when directed by a privileged user.
+
+
+
+
+
+
+ The organization does not allow users to introduce removable media into the information system.
+
+
+
+
+
+
+ The organization tests malicious code protection mechanisms [Assignment: organization-defined frequency] by introducing a known benign, non-spreading test case into the information system and subsequently verifying that both detection of the test case and associated incident reporting occur, as required.
+
+
+
+
+
+ NIST 800-83
+
+
+
+ Operational
+ System and Information Integrity
+ SI-4
+ Information System Monitoring
+ P1
+
+
+ The organization:
+
+ Monitors events on the information system in accordance with [Assignment: organization-defined monitoring objectives] and detects information system attacks;
+ Identifies unauthorized use of the information system;
+ Deploys monitoring devices: (i) strategically within the information system to collect organization-determined essential information; and (ii) at ad hoc locations within the system to track specific types of transactions of interest to the organization;
+ Heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information; and
+ Obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations.
+
+
+
+
+
+ Information system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the system (e.g., within internal organizational networks and system components). Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, at selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. The Einstein network monitoring device from the Department of Homeland Security is an example of a system monitoring device. The granularity of the information collected is determined by the organization based on its monitoring objectives and the capability of the information system to support such activities. An example of a specific type of transaction of interest to the organization with regard to monitoring is Hyper Text Transfer Protocol (HTTP) traffic that bypasses organizational HTTP proxies, when use of such proxies is required. Related controls: AC-4, AC-8, AC-17, AU-2, AU-6, SI-3, SI-7.
+
+
+
+
+
+
+ The organization interconnects and configures individual intrusion detection tools into a systemwide intrusion detection system using common protocols.
+
+
+
+
+
+
+ The organization employs automated tools to support near real-time analysis of events.
+
+
+
+
+
+
+ The organization employs automated tools to integrate intrusion detection tools into access control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination.
+
+
+
+
+
+
+ The information system monitors inbound and outbound communications for unusual or unauthorized activities or conditions.
+
+
+
+
+ Unusual/unauthorized activities or conditions include, for example, internal traffic that indicates the presence of malicious code within an information system or propagating among system components, the unauthorized export of information, or signaling to an external information system. Evidence of malicious code is used to identify potentially compromised information systems or information system components.
+
+
+
+
+
+
+ The information system provides near real-time alerts when the following indications of compromise or potential compromise occur: [Assignment: organization-defined list of compromise indicators].
+
+
+
+
+ Alerts may be generated, depending on the organization-defined list of indicators, from a variety of sources, for example, audit records or input from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers.
+
+
+
+
+
+
+ The information system prevents non-privileged users from circumventing intrusion detection and prevention capabilities.
+
+
+
+
+
+
+ The information system notifies [Assignment: organization-defined list of incident response personnel (identified by name and/or by role)] of suspicious events and takes [Assignment: organization-defined list of least-disruptive actions to terminate suspicious events].
+
+
+
+
+ The least-disruptive actions may include initiating a request for human response.
+
+
+
+
+
+
+ The organization protects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion.
+
+
+
+
+
+
+ The organization tests/exercises intrusion-monitoring tools [Assignment: organization-defined time-period].
+
+
+
+
+ The frequency of testing/exercises is dependent upon the type and method of deployment of the intrusion-monitoring tools.
+
+
+
+
+
+
+ The organization makes provisions so that encrypted traffic is visible to information system monitoring tools.
+
+
+
+
+ The enhancement recognizes the need to balance encrypting traffic versus the need to have insight into that traffic from a monitoring perspective. For some organizations, the need to ensure the confidentiality of traffic is paramount; for others, the mission-assurance concerns are greater.
+
+
+
+
+
+
+ The organization analyzes outbound communications traffic at the external boundary of the system (i.e., system perimeter) and, as deemed necessary, at selected interior points within the system (e.g., subnets, subsystems) to discover anomalies.
+
+
+
+
+ Anomalies within the information system include, for example, large file transfers, long-time persistent connections, unusual protocols and ports in use, and attempted communications with suspected malicious external addresses.
+
+
+
+
+
+
+ The organization employs automated mechanisms to alert security personnel of the following inappropriate or unusual activities with security implications: [Assignment: organization-defined list of inappropriate or unusual activities that trigger alerts].
+
+
+
+
+
+
+ The organization:
+
+ Analyzes communications traffic/event patterns for the information system;
+ Develops profiles representing common traffic patterns and/or events; and
+ Uses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives to [Assignment: organization-defined measure of false positives] and the number of false negatives to [Assignment: organization-defined measure of false negatives].
+
+
+
+
+
+
+
+ The organization employs a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises/breaches to the information system.
+
+
+
+
+
+
+ The organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.
+
+
+
+
+
+
+ The organization correlates information from monitoring tools employed throughout the information system to achieve organization-wide situational awareness.
+
+
+
+
+
+
+ The organization correlates results from monitoring physical, cyber, and supply chain activities to achieve integrated situational awareness.
+
+
+
+
+ Integrated situational awareness enhances the capability of the organization to more quickly detect sophisticated attacks and investigate the methods and techniques employed to carry out the attacks.
+
+
+
+
+
+ NIST 800-61
+ NIST 800-83
+ NIST 800-92
+ NIST 800-94
+
+
+
+ Operational
+ System and Information Integrity
+ SI-5
+ Security Alerts, Advisories, and Directives
+ P1
+
+
+ The organization:
+
+ Receives information system security alerts, advisories, and directives from designated external organizations on an ongoing basis;
+ Generates internal security alerts, advisories, and directives as deemed necessary;
+ Disseminates security alerts, advisories, and directives to [Assignment: organization-defined list of personnel (identified by name and/or by role)]; and
+ Implements security directives in accordance with established time frames, or notifies the issuing organization of the degree of noncompliance.
+
+
+
+
+
+ Security alerts and advisories are generated by the United States Computer Emergency Readiness Team (US-CERT) to maintain situational awareness across the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance to security directives is essential due to the critical nature of many of these directives and the potential immediate adverse affects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated mechanisms to make security alert and advisory information available throughout the organization as needed.
+
+
+
+
+
+ NIST 800-40
+
+
+
+ Operational
+ System and Information Integrity
+ SI-6
+ Security Functionality Verification
+ P1
+ HIGH
+
+
+ The information system verifies the correct operation of security functions [Selection (one or more): [Assignment: organization-defined system transitional states]; upon command by user with appropriate privilege; periodically every [Assignment: organization-defined time-period]] and [Selection (one or more): notifies system administrator; shuts the system down; restarts the system; [Assignment: organization-defined alternative action(s)]] when anomalies are discovered.
+
+
+
+
+ The need to verify security functionality applies to all security functions. For those security functions that are not able to execute automated self-tests, the organization either implements compensating security controls or explicitly accepts the risk of not performing the verification as required. Information system transitional states include, for example, startup, restart, shutdown, and abort.
+
+
+
+
+
+
+ The information system provides notification of failed automated security tests.
+
+
+
+
+
+
+ The information system provides automated support for the management of distributed security testing.
+
+
+
+
+
+
+ The organization reports the result of security function verification to designated organizational officials with information security responsibilities.
+
+
+
+
+ Organizational officials with information security responsibilities include, for example, senior information security officers, information system security managers, and information systems security officers.
+
+
+
+
+
+
+ Operational
+ System and Information Integrity
+ SI-7
+ Software and Information Integrity
+ P1
+
+
+ The information system detects unauthorized changes to software and information.
+
+
+
+
+ The organization employs integrity verification applications on the information system to look for evidence of information tampering, errors, and omissions. The organization employs good software engineering practices with regard to commercial off-the-shelf integrity mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and uses tools to automatically monitor the integrity of the information system and the applications it hosts.
+
+
+
+
+
+
+ The organization reassesses the integrity of software and information by performing [Assignment: organization-defined frequency] integrity scans of the information system.
+
+
+
+
+ HIGH
+
+
+ The organization employs automated tools that provide notification to designated individuals upon discovering discrepancies during integrity verification.
+
+
+
+
+
+
+ The organization employs centrally managed integrity verification tools.
+
+
+
+
+
+
+ The organization requires use of tamper-evident packaging for [Assignment: organization-defined information system components] during [Selection: transportation from vendor to operational site; during operation; both].
+
+
+
+
+
+
+ Operational
+ System and Information Integrity
+ SI-8
+ Spam Protection
+ P1
+
+
+ The organization:
+
+ Employs spam protection mechanisms at information system entry and exit points and at workstations, servers, or mobile computing devices on the network to detect and take action on unsolicited messages transported by electronic mail, electronic mail attachments, web accesses, or other common means; and
+ Updates spam protection mechanisms (including signature definitions) when new releases are available in accordance with organizational configuration management policy and procedures.
+
+
+
+
+
+ Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, and remote-access servers. Related controls: SC-5, SI-3.
+
+
+
+
+ HIGH
+
+
+ The organization centrally manages spam protection mechanisms.
+
+
+
+
+
+
+ The information system automatically updates spam protection mechanisms (including signature definitions).
+
+
+
+
+
+ NIST 800-45
+
+
+
+ Operational
+ System and Information Integrity
+ SI-9
+ Information Input Restrictions
+ P2
+
+
+ The organization restricts the capability to input information to the information system to authorized personnel.
+
+
+
+
+ Restrictions on organizational personnel authorized to input information to the information system may extend beyond the typical access controls employed by the system and include limitations based on specific operational/project responsibilities. Related controls: AC-5, AC-6.
+
+
+
+
+ Operational
+ System and Information Integrity
+ SI-10
+ Information Input Validation
+ P1
+
+
+ The information system checks the validity of information inputs.
+
+
+
+
+ Rules for checking the valid syntax and semantics of information system inputs (e.g., character set, length, numerical range, acceptable values) are in place to verify that inputs match specified definitions for format and content. Inputs passed to interpreters are prescreened to prevent the content from being unintentionally interpreted as commands.
+
+
+
+
+ Operational
+ System and Information Integrity
+ SI-11
+ Error Handling
+ P2
+
+
+ The information system:
+
+ Identifies potentially security-relevant error conditions;
+ Generates error messages that provide information necessary for corrective actions without revealing [Assignment: organization-defined sensitive or potentially harmful information] in error logs and administrative messages that could be exploited by adversaries; and
+ Reveals error messages only to authorized personnel.
+
+
+
+
+
+ The structure and content of error messages are carefully considered by the organization. The extent to which the information system is able to identify and handle error conditions is guided by organizational policy and operational requirements. Sensitive information includes, for example, account numbers, social security numbers, and credit card numbers.
+
+
+
+
+ Operational
+ System and Information Integrity
+ SI-12
+ Information Output Handling and Retention
+ P2
+
+
+ The organization handles and retains both information within and output from the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements.
+
+
+
+
+ The output handling and retention requirements cover the full life cycle of the information, in some cases extending beyond the disposal of the information system. The National Archives and Records Administration provides guidance on records retention. Related controls: MP-2, MP-4.
+
+
+
+
+ Operational
+ System and Information Integrity
+ SI-13
+ Predictable Failure Prevention
+ P0
+
+
+ The organization:
+
+ Protects the information system from harm by considering mean time to failure for [Assignment: organization-defined list of information system components] in specific environments of operation; and
+ Provides substitute information system components, when needed, and a mechanism to exchange active and standby roles of the components.
+
+
+
+
+
+ While mean time to failure is primarily a reliability issue, this control focuses on the potential failure of specific components of the information system that provide security capability. Mean time to failure rates are defendable and based on considerations that are installation-specific, not industry-average. The transfer of responsibilities between active and standby information system components does not compromise safety, operational readiness, or security (e.g., state variables are preserved). The standby component is available at all times except where a failure recovery is in progress or for maintenance reasons. Related control: CP-2.
+
+
+
+
+
+
+ The organization takes the information system component out of service by transferring component responsibilities to a substitute component no later than [Assignment: organization-defined fraction or percentage] of mean time to failure.
+
+
+
+
+
+
+ The organization does not allow a process to execute without supervision for more than [Assignment: organization-defined time period].
+
+
+
+
+
+
+ The organization manually initiates a transfer between active and standby information system components at least once per [Assignment: organization-defined frequency] if the mean time to failure exceeds [Assignment: organization-defined time period].
+
+
+
+
+
+
+ The organization, if an information system component failure is detected:
+
+ Ensures that the standby information system component successfully and transparently assumes its role within [Assignment: organization-defined time period]; and
+ [Selection (one or more): activates [Assignment: organization-defined alarm]; automatically shuts down the information system].
+
+
+
+
+
+ Automatic or manual transfer of roles to a standby unit may occur upon detection of a component failure.
+
+
+
+
+
+
diff --git a/sources/800-53/old/800-53A-objectives.xml b/sources/800-53/old/800-53A-objectives.xml
new file mode 100644
index 0000000000..480b588e3b
--- /dev/null
+++ b/sources/800-53/old/800-53A-objectives.xml
@@ -0,0 +1,22141 @@
+
+
+
+ AC-1
+ Access Control Policy and Procedures
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the access control policy and associated access controls.
+
+
+
+
+
+
+
+ the organization develops and formally documents access control policy
+
+
+ the organization access control policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented access control policy to elements within the organization having associated access control roles and responsibilities
+
+
+ the organization develops and formally documents access control procedures
+
+
+ the organization access control procedures facilitate implementation of the access control policy and associated access controls
+
+
+ the organization disseminates formal documented access control procedures to elements within the organization having associated access control roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of access control policy reviews/updates
+
+
+ the organization reviews/updates access control policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of access control procedure reviews/updates
+
+
+ the organization reviews/updates access control procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-2
+ Account Management
+
+
+ The organization manages information system accounts, including:
+
+ Identifying account types (i.e., individual, group, system, application, guest/anonymous, and temporary);
+ Establishing conditions for group membership;
+ Identifying authorized users of the information system and specifying access privileges;
+ Requiring appropriate approvals for requests to establish accounts;
+ Establishing, activating, modifying, disabling, and removing accounts;
+ Specifically authorizing and monitoring the use of guest/anonymous and temporary accounts;
+ Notifying account managers when temporary accounts are no longer required and when information system users are terminated, transferred, or information system usage or need-to-know/need-to-share changes;
+ Deactivating: (i) temporary accounts that are no longer required; and (ii) accounts of terminated or transferred users;
+ Granting access to the system based on: (i) a valid access authorization; (ii) intended system usage; and (iii) other attributes as required by the organization or associated missions/business functions; and
+ Reviewing accounts [Assignment: organization-defined frequency].
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to support the management of information system accounts.
+
+
+
+
+
+
+the organization employs automated mechanisms to support information system account management functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system automatically terminates temporary and emergency accounts after [Assignment: organization-defined time period for each type of account].
+
+
+
+
+
+
+the organization defines a time period for each type of account after which the information system terminates temporary and emergency accounts
+
+
+the information system automatically terminates temporary and emergency accounts after organization-defined time period for each type of account
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system automatically disables inactive accounts after [Assignment: organization-defined time period].
+
+
+
+
+
+
+the organization defines in a time period after which the information system disables inactive accounts
+
+
+the information system automatically disables inactive accounts after organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system automatically audits account creation, modification, disabling, and termination actions and notifies, as required, appropriate individuals.
+
+
+
+
+
+
+the information system automatically audits:
+-account creation;
+-modification;
+-disabling; and
+-termination actions
+
+
+the information system notifies, as required, appropriate individuals
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Requires that users log out when [Assignment: organization defined time-period of expected inactivity and/or description of when to log out];
+ Determines normal time-of-day and duration usage for information system accounts;
+ Monitors for atypical usage of information system accounts; and
+ Reports atypical usage to designated organizational officials.
+
+
+
+
+
+
+
+the organization defines the time period of expected inactivity and/or description of when users log out
+
+
+the organization requires that users log out in accordance with the organization-defined time-period of inactivity and/or description of when to log out
+
+
+the organization determines normal time-of-day and duration usage for information system accounts
+
+
+the organization monitors for atypical usage of information system accounts
+
+
+the organization reports atypical usage to designated organizational officials
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system dynamically manages user privileges and associated access authorizations.
+
+
+
+
+
+
+the information system dynamically manages user privileges and associated access authorizations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes information system and network privileges into roles; and
+ Tracks and monitors privileged role assignments.
+
+
+
+
+
+
+
+the organization establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes information system and network privileges into roles
+
+
+the organization tracks and monitors privileged role assignments
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization manages information system accounts, including;
+-identifying account types (i.e., individual, group, system, application, guest/anonymous, and temporary);
+-establishing conditions for group membership;
+-identifying authorized users of the information system and specifying access privileges;
+-requiring appropriate approvals for requests to establish accounts;
+-establishing, activating, modifying, disabling, and removing accounts;
+-specifically authorizing and monitoring the use of guest/anonymous and temporary accounts;
+-notifying account managers when temporary accounts are no longer required and when information system users are terminated, transferred, or information system usage or need-to-know/need-to-share changes;
+-deactivating: i) temporary accounts that are no longer required; and ii) accounts of terminated or transferred users; and
+-granting access to the system based on:
+ -a valid access authorization;
+ -intended system usage; and
+ -other attributes as required by the organization or associated missions/business functions
+
+
+ the organization defines the frequency of information system account reviews
+
+
+ the organization reviews information system accounts in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-3
+ Access Enforcement
+
+
+ The information system enforces approved authorizations for logical access to the system in accordance with applicable policy.
+
+
+
+
+
+
+ [Withdrawn: Incorporated into AC-6].
+
+
+
+
+
+
+ The information system enforces dual authorization, based on organizational policies and procedures for [Assignment: organization-defined privileged commands].
+
+
+
+
+
+
+the organization defines, in organizational policies and procedures, the privileged commands for which dual authorization is to be enforced
+
+
+the information system enforces dual authorization based on organizational policies and procedures for organization-defined privileged commands
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces [Assignment: organization-defined nondiscretionary access control policies] over [Assignment: organization-defined set of users and resources] where the policy rule set for each policy specifies:
+
+ Access control information (i.e., attributes) employed by the policy rule set (e.g., position, nationality, age, project, time of day); and
+ Required relationships among the access control information to permit access.
+
+
+
+
+
+
+
+the organization defines the users and resources over which the information system is to enforce nondiscretionary access control policies
+
+
+the organization defines nondiscretionary access control policies to be enforced over the organization-defined set of users and resources, where the rule set for each policy specifies:
+-access control information (i.e., attributes) employed by the policy rule set (e.g., position, nationality, age, project, time of day); and
+-required relationships among the access control information to permit access
+
+
+the information system enforces organization-defined nondiscretionary access control policies over the organization-defined set of users and resources
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces a Discretionary Access Control (DAC) policy that:
+
+ Allows users to specify and control sharing by named individuals or groups of individuals, or by both;
+ Limits propagation of access rights; and
+ Includes or excludes access to the granularity of a single user.
+
+
+
+
+
+
+
+the information system enforces a Discretionary Access Control (DAC) policy that:
+-allows users to specify and control sharing by named individuals or groups of individuals, or by both;
+-limits propagation of access rights; and
+-includes or excludes access to the granularity of a single user
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system prevents access to [Assignment: organization-defined security-relevant information] except during secure, nonoperable system states.
+
+
+
+
+
+
+the organization defines the security-relevant information to which the information system prevents access except during secure, nonoperable system states
+
+
+the information system prevents access to organization-defined security-relevant information except during secure, nonoperable system states
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization encrypts or stores off-line in a secure location [Assignment: organization-defined user and/or system information].
+
+
+
+
+
+
+the organization defines the user and/or system information to be encrypted or stored off-line in a secure location
+
+
+the organization encrypts, or stores off-line in a secure location, organization-defined user and/or system information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system enforces approved authorizations for logical access to the system in accordance with applicable policy
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-4
+ Information Flow Enforcement
+
+
+ The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems in accordance with applicable policy.
+
+
+
+
+
+
+ The information system enforces information flow control using explicit security attributes on information, source, and destination objects as a basis for flow control decisions.
+
+
+
+
+
+
+the information system enforces information flow control using explicit security attributes on information, source, and destination objects as a basis for flow control decisions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces information flow control using protected processing domains (e.g., domain type-enforcement) as a basis for flow control decisions.
+
+
+
+
+
+
+the information system enforces information flow control using protected processing domains (e.g., domain type-enforcement) as a basis for flow control decisions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces dynamic information flow control based on policy that allows or disallows information flows based on changing conditions or operational considerations.
+
+
+
+
+
+
+the organization defines policy that allows or disallows information flows based on changing conditions or operational consideration
+
+
+the information system enforces dynamic information flow control based on policy that allows or disallows information flows based on changing conditions or operational considerations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system prevents encrypted data from bypassing content-checking mechanisms.
+
+
+
+
+
+
+the information system prevents encrypted data from bypassing content-checking mechanisms
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces [Assignment: organization-defined limitations on the embedding of data types within other data types].
+
+
+
+
+
+
+the organization defines the limitations on the embedding of data types with other data types
+
+
+the information system enforces organization-defined limitations on the embedding of data types within other data types
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces information flow control on metadata.
+
+
+
+
+
+
+the information system enforces information flow control on metadata
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces [Assignment: organization-defined one-way flows] using hardware mechanisms.
+
+
+
+
+
+
+the organization defines the one-way information flows to be enforced by the information system
+
+
+the information system enforces organization-defined one-way information flows using hardware mechanisms
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces information flow control using [Assignment: organization-defined security policy filters] as a basis for flow control decisions.
+
+
+
+
+
+
+the organization defines the security policy filters to be enforced by the information system
+
+
+the information system enforces information flow control using organization-defined security policy filters as a basis for flow control decisions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces the use of human review for [Assignment: organization-defined security policy filters] when the system is not capable of making an information flow control decision.
+
+
+
+
+
+
+the organization defines the security policy filters that the information system enforces for the use of human review
+
+
+the information system enforces the use of human review for the organization-defined security policy filters, when the system is not capable of making an information flow control decision
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system provides the capability for a privileged administrator to enable/disable [Assignment: organization-defined security policy filters].
+
+
+
+
+
+
+the organization defines the security policy filters that privileged administrators have the capability to enable/disable
+
+
+the information system provides the capability for a privileged administrator to enable/disable organization-defined security policy filters
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system provides the capability for a privileged administrator to configure [Assignment: organization-defined security policy filters] to support different security policies.
+
+
+
+
+
+
+the organization defines the security policy filters that privileged administrators have the capability to configure
+
+
+the information system provides the capability for a privileged administrator to configure organization-defined security policy filters to support different security policies
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system, when transferring information between different security domains, identifies information flows by data type specification and usage.
+
+
+
+
+
+
+the information system, when transferring information between different security domains, identifies information flows by data type specification and usage
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system, when transferring information between different security domains, decomposes information into policy-relevant subcomponents for submission to policy enforcement mechanisms.
+
+
+
+
+
+
+the information system, when transferring information between different security domains, decomposes information into policy-relevant subcomponents for submission to policy enforcement mechanisms
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system, when transferring information between different security domains, implements policy filters that constrain data structure and content to [Assignment: organization-defined information security policy requirements].
+
+
+
+
+
+
+the organization defines the security policy requirements for constraining data structure and content
+
+
+the information system, when transferring information between different security domains, implements policy filters that constrain data structure and content in accordance with organization-defined information security policy requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system, when transferring information between different security domains, detects unsanctioned information and prohibits the transfer of such information in accordance with the security policy.
+
+
+
+
+
+
+the information system, when transferring information between different security domains, detects unsanctioned information
+
+
+the information system prohibits the transfer of unsanctioned information in accordance with the security policy
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces security policies regarding information on interconnected systems.
+
+
+
+
+
+
+the information system enforces security policies regarding information on interconnected systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system:
+
+ Uniquely identifies and authenticates source and destination domains for information transfer;
+ Binds security attributes to information to facilitate information flow policy enforcement; and
+ Tracks problems associated with the security attribute binding and information transfer.
+
+
+
+
+
+
+
+the information system uniquely identifies source domains for information transfer
+
+
+the information system uniquely authenticates source domains for information transfer
+
+
+the information system uniquely identifies destination domains for information transfer
+
+
+the information system uniquely authenticates destination domains for information transfer
+
+
+the information system binds security attributes to information to facilitate information flow policy enforcement
+
+
+the information system tracks problems associated with the security attribute binding
+
+
+the information system tracks problems associated with the information transfer
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines applicable policy for controlling the flow of information within the system and between interconnected systems
+
+
+ the organization defines approved authorizations for controlling the flow of information within the system and between interconnected systems in accordance with applicable policy
+
+
+ the information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems in accordance with applicable policy
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-5
+ Separation of Duties
+
+
+ The organization:
+
+ Separates duties of individuals as necessary, to prevent malevolent activity without collusion;
+ Documents separation of duties; and
+ Implements separation of duties through assigned information system access authorizations.
+
+
+
+
+
+
+
+ the organization separates duties of individuals as necessary, to prevent malevolent activity without collusion
+
+
+ the organization documents separation of duties
+
+
+ the organization implements separation of duties through assigned information system access authorizations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-6
+ Least Privilege
+
+
+ The organization employs the concept of least privilege, allowing only authorized accesses for users (and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.
+
+
+
+
+
+
+ The organization explicitly authorizes access to [Assignment: organization-defined list of security functions (deployed in hardware, software, and firmware) and security-relevant information].
+
+
+
+
+
+
+the organization defines the security functions (deployed in hardware, software, and firmware) and security-relevant information for which access must be explicitly authorized
+
+
+the organization explicitly authorizes access to the organization-defined security functions and security-relevant information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires that users of information system accounts, or roles, with access to [Assignment: organization-defined list of security functions or security-relevant information], use non-privileged accounts, or roles, when accessing other system functions, and if feasible, audits any use of privileged accounts, or roles, for such functions.
+
+
+
+
+
+
+the organization defines the security functions or security-relevant information to which users of information system accounts, or roles, have access
+
+
+the organization requires that users of information system accounts, or roles, with access to organization-defined security functions or security-relevant information, use non-privileged accounts, or roles, when accessing other system functions
+
+
+the organization, if deemed feasible, audits any use of privileged accounts, or roles, with access to organization-defined security functions or security-relevant information, when accessing other system functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization authorizes network access to [Assignment: organization-defined privileged commands] only for compelling operational needs and documents the rationale for such access in the security plan for the information system.
+
+
+
+
+
+
+the organization defines the privileged commands to which network access is to be authorized only for compelling operational needs
+
+
+the organization authorizes network access to organization-defined privileged commands only for compelling operational needs
+
+
+the organization documents the rationale for authorized network access to organization-defined privileged commands in the security plan for the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system provides separate processing domains to enable finer-grained allocation of user privileges.
+
+
+
+
+
+
+the information system provides separate processing domains to enable finer-grained allocation of user privileges
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization limits authorization to super user accounts on the information system to designated system administration personnel.
+
+
+
+
+
+
+the organization limits authorization to super user accounts on the information system to designated system administration personnel
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization prohibits privileged access to the information system by non-organizational users.
+
+
+
+
+
+
+the organization prohibits privileged access to the information system by non-organizational users
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization employs the concept of least privilege, allowing only authorized accesses for users (and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-7
+ Unsuccessful Login Attempts
+
+
+ The information system:
+
+ Enforces a limit of [Assignment: organization-defined number] consecutive invalid login attempts by a user during a [Assignment: organization-defined time period]; and
+ Automatically [Selection: locks the account/node for an [Assignment: organization-defined time period]; locks the account/node until released by an administrator; delays next login prompt according to [Assignment: organization-defined delay algorithm]] when the maximum number of unsuccessful attempts is exceeded. The control applies regardless of whether the login occurs via a local or network connection.
+
+
+
+
+
+
+
+ The information system automatically locks the account/node until released by an administrator when the maximum number of unsuccessful attempts is exceeded
+
+
+
+
+
+
+the information system automatically locks the account/node until released by an administrator when the maximum number of unsuccessful login attempts is exceeded
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system provides additional protection for mobile devices accessed via login by purging information from the device after [Assignment: organization-defined number] consecutive, unsuccessful login attempts to the device.
+
+
+
+
+
+
+the organization defines the number of consecutive, unsuccessful login attempts allowed for accessing a mobile device before the information system purges information from the device
+
+
+the information system provides protection for mobile devices accessed via login by purging information from such devices after the organization-defined number of consecutive, unsuccessful login attempts to the device is exceeded
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the maximum number of consecutive invalid login attempts to the information system by a user and the time period in which the consecutive invalid attempts occur
+
+
+ the information system enforces the organization-defined limit of consecutive invalid login attempts by a user during the organization-defined time period
+
+
+ the organization defines action to be taken by the system when the maximum number of unsuccessful login attempts is exceeded as:
+-lock out the account/node for a specified time period;
+-lock out the account/note until released by an administrator; or
+- delay the next login prompt according to organization-defined delay algorithm
+
+
+ the information system either automatically locks the account/node for the organization-defined time period, locks the account/node until released by an administrator, or delays next login prompt for the organization-defined delay period when the maximum number of unsuccessful login attempts is exceeded
+
+
+ the information system performs the organization-defined actions when the maximum number of unsuccessful login attempts is exceeded regardless of whether the login occurs via a local or network connection
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-8
+ System Use Notification
+
+
+ The information system:
+
+ Displays an approved system use notification message or banner before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance and states that: (i) users are accessing a U.S. Government information system; (ii) system usage may be monitored, recorded, and subject to audit; (iii) unauthorized use of the system is prohibited and subject to criminal and civil penalties; and (iv) use of the system indicates consent to monitoring and recording;
+ Retains the notification message or banner on the screen until users take explicit actions to log on to or further access the information system; and
+ For publicly accessible systems: (i) displays the system use information when appropriate, before granting further access; (ii) displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and (iii) includes in the notice given to public users of the information system, a description of the authorized uses of the system.
+
+
+
+
+
+
+
+ the organization approves the information system use notification message or banner to be displayed by the information system before granting access to the system
+
+
+ the information system displays the approved system use notification message or banner before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance and states that:
+-users are accessing a U.S. Government information system;
+-system usage may be monitored, recorded, and subject to audit;
+-unauthorized use of the system is prohibited and subject to criminal and civil penalties; and
+-use of the system indicates consent to monitoring and recording
+
+
+ the information system retains the notification message or banner on the screen until the user takes explicit actions to log on to or further access the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system (for publicly accessible systems) displays the system use information when appropriate, before granting further access
+
+
+ the information system (for publicly accessible systems) displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities
+
+
+ the information system (for publicly accessible systems) includes in the notice given to public users of the information system, a description of the authorized uses of the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-9
+ Previous Logon (Access) Notification
+
+
+ The information system notifies the user, upon successful logon (access), of the date and time of the last logon (access).
+
+
+
+
+
+
+ The information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.
+
+
+
+
+
+
+the information system, upon successful user logon/access, displays to the user the number of unsuccessful logon/access attempts since the last successful logon/access
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system notifies the user of the number of [Selection: successful logins/accesses; unsuccessful login/access attempts; both] during [Assignment: organization-defined time period].
+
+
+
+
+
+
+the organization defines the time period during which the number of successful logins/accesses and/or unsuccessful user login/access attempts occurs
+
+
+the information system notifies the user of the number of successful logins/accesses and/or unsuccessful login/access attempts that occur during the organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system notifies the user of [Assignment: organization-defined set of security-related changes to the users account] during [Assignment: organization-defined time period].
+
+
+
+
+
+
+the organization defines the time period for which security-related changes to the user's account occur
+
+
+the information system notifies the user of the organization-defined security-related changes to the user's account that occur during the organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system, upon successful user logon (access), displays to the user the date and time of the last logon (access)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-10
+ Concurrent Session Control
+
+
+ The information system limits the number of concurrent sessions for each system account to [Assignment: organization-defined number].
+
+
+
+
+
+
+ the organization defines the maximum number of concurrent sessions to be allowed for each system account
+
+
+ the information system limits the number of concurrent sessions for each system account to the organization-defined number of sessions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-11
+ Session Lock
+
+
+ The information system:
+
+ Prevents further access to the system by initiating a session lock after [Assignment: organization-defined time period] of inactivity or upon receiving a request from a user; and
+ Retains the session lock until the user reestablishes access using established identification and authentication procedures.
+
+
+
+
+
+
+
+ The information system session lock mechanism, when activated on a device with a display screen, places a publicly viewable pattern onto the associated display, hiding what was previously visible on the screen.
+
+
+
+
+
+
+the information system session lock mechanism, when activated on a device with a display screen, places a publicly viewable pattern onto the associated display, hiding what was previously visible on the screen
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the time period of user inactivity after which the information system initiates a session lock
+
+
+ the information system initiates a session lock after the organization-defined time period of inactivity or upon receiving a request from a user
+
+
+ the information system retains the session lock until the user reestablishes access using established identification and authentication procedures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-12
+ Session Termination
+
+
+ [Withdrawn: Incorporated into SC-10].
+
+
+
+
+ AC-13
+ Supervision and Review Access Control
+
+
+ [Withdrawn: Incorporated into AC-2 and AU-6].
+
+
+
+
+ AC-14
+ Permitted Actions Without Identification Or Authentication
+
+
+ The organization:
+
+ Identifies specific user actions that can be performed on the information system without identification or authentication; and
+ Documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification and authentication.
+
+
+
+
+
+
+
+ The organization permits actions to be performed without identification and authentication only to the extent necessary to accomplish mission/business objectives.
+
+
+
+
+
+
+the organization permits actions to be performed without identification and authentication only to the extent necessary to accomplish mission/business objectives
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization identifies specific user actions that can be performed on the information system without identification or authentication
+
+
+ the organization documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification and authentication
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-15
+ Automated Marking
+
+
+ [Withdrawn: Incorporated into MP-3].
+
+
+
+
+ AC-16
+ Security Attributes
+
+
+ The information system supports and maintains the binding of [Assignment: organization-defined security attributes] to information in storage, in process, and in transmission.
+
+
+
+
+
+
+ The information system dynamically reconfigures security attributes in accordance with an identified security policy as information is created and combined.
+
+
+
+
+
+
+the information system dynamically reconfigures security attributes in accordance with an identified security policy as information is created and combined
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system allows authorized entities to change security attributes.
+
+
+
+
+
+
+the organization identifies the entities authorized to change security attributes; and
+
+
+the information system allows authorized entities to change security attributes
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system maintains the binding of security attributes to information with sufficient assurance that the information--attribute association can be used as the basis for automated policy actions.
+
+
+
+
+
+
+the information system maintains the binding of security attributes to information with sufficient assurance that the information-attribute association can be used as the basis for automated policy actions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system allows authorized users to associate security attributes with information.
+
+
+
+
+
+
+the organization identifies users authorized to associate security attributes with information; and
+
+
+the information system allows authorized users to associate security attributes with information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system displays security attributes in human-readable form on each object output from the system to system output devices to identify [Assignment: organization-identified set of special dissemination, handling, or distribution instructions] using [Assignment: organization-identified human readable, standard naming conventions].
+
+
+
+
+
+
+the organization defines the set of special dissemination, handling, or distribution instructions to be used for each object output from the information system
+
+
+the organization defines standard naming conventions for the security attributes to be displayed in human-readable form on each object output from the system to system output devices; and
+
+
+the information system displays security attributes in human-readable form on each object output from the system to system output devices to identify the organization-defined set of special dissemination, handling, or distribution instructions using organization-defined human readable, standard naming conventions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the security attributes the information system binds to information:
+-in storage;
+-in process; and
+-in transmission
+
+
+ the information system supports and maintains the binding of the organization-defined security attributes to information in storage, in process, and in transmission
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-17
+ Remote Access
+
+
+ The organization:
+
+ Documents allowed methods of remote access to the information system;
+ Establishes usage restrictions and implementation guidance for each allowed remote access method;
+ Monitors for unauthorized remote access to the information system;
+ Authorizes remote access to the information system prior to connection; and
+ Enforces requirements for remote connections to the information system.
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to facilitate the monitoring and control of remote access methods.
+
+
+
+
+
+
+the organization employs automated mechanisms to facilitate the monitoring and control of remote access methods
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization uses cryptography to protect the confidentiality and integrity of remote access sessions.
+
+
+
+
+
+
+the organization uses cryptography to protect the confidentiality and integrity of remote access sessions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system routes all remote accesses through a limited number of managed access control points.
+
+
+
+
+
+
+the organization defines a limited number of managed access control points for remote access to the information system
+
+
+the information system routes all remote accesses through managed access control points
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization authorizes the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs and documents the rationale for such access in the security plan for the information system.
+
+
+
+
+
+
+the organization authorizes the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs
+
+
+the organization documents the rationale for such access in the security plan for the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization monitors for unauthorized remote connections to the information system [Assignment: organization-defined frequency], and takes appropriate action if an unauthorized connection is discovered.
+
+
+
+
+
+
+the organization defines the frequency of monitoring for unauthorized remote connections to the information system
+
+
+the organization monitors for unauthorized remote connections to the information system in accordance with the organization-defined frequency
+
+
+the organization defines the appropriate action(s) to be taken if an unauthorized connection is discovered
+
+
+the organization takes organization-defined appropriate action(s) if an unauthorized connection is discovered
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.
+
+
+
+
+
+
+the organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that remote sessions for accessing [Assignment: organization-defined list of security functions and security-relevant information] employ [Assignment: organization-defined additional security measures] and are audited.
+
+
+
+
+
+
+the organization defines the security functions and security-relevant information that can be accessed using remote sessions
+
+
+the organization defines the additional security measures to be employed for remote sessions used to access organization-defined security functions and security-relevant information
+
+
+the organization employs organization-defined additional security measures for remote sessions used to access organization-defined security functions and security-relevant information
+
+
+the organization audits remote sessions for accessing organization-defined security functions and security-relevant information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization disables [Assignment: organization-defined networking protocols within the information system deemed to be nonsecure] except for explicitly identified components in support of specific operational requirements.
+
+
+
+
+
+
+the organization defines the networking protocols within the information system deemed to be nonsecure
+
+
+the organization disables the organization-defined networking protocols within the information system deemed to be nonsecure except for explicitly identified components in support of specific operational requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization documents allowed methods of remote access to the information system
+
+
+ the organization establishes usage restrictions and implementation guidance for each allowed remote access method
+
+
+ the organization monitors for unauthorized remote access to the information system
+
+
+ the organization authorizes remote access to the information system prior to connection
+
+
+ the organization enforces requirements for remote connections to the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-18
+ Wireless Access
+
+
+ The organization:
+
+ Establishes usage restrictions and implementation guidance for wireless access;
+ Monitors for unauthorized wireless access to the information system;
+ Authorizes wireless access to the information system prior to connection; and
+ Enforces requirements for wireless connections to the information system.
+
+
+
+
+
+
+
+ The information system protects wireless access to the system using authentication and encryption.
+
+
+
+
+
+
+the information system protects wireless access to the system using authentication and encryption
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization monitors for unauthorized wireless connections to the information system, including scanning for unauthorized wireless access points [Assignment: organization-defined frequency], and takes appropriate action if an unauthorized connection is discovered.
+
+
+
+
+
+
+the organization defines the frequency of monitoring for unauthorized wireless connections to the information system, including scans for unauthorized wireless access points
+
+
+the organization monitors for unauthorized wireless connections to the information system, including scanning for unauthorized wireless access points, in accordance with organization-defined frequency
+
+
+the organization defines the appropriate action(s) to be taken if an unauthorized connection is discovered
+
+
+the organization takes appropriate action(s) if an unauthorized connection discovered
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.
+
+
+
+
+
+
+the organization disables, when not intended for use, wireless networking capabilities internally embedded within the information system components prior to issuance and deployment
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization does not allow users to independently configure wireless networking capabilities.
+
+
+
+
+
+
+the organization does not allow users to independently configure wireless networking capabilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization confines wireless communications to organization-controlled boundaries.
+
+
+
+
+
+
+the organization confines wireless communications to organization-controlled boundaries
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization establishes usage restrictions and implementation guidance for wireless access
+
+
+ the organization monitors for unauthorized wireless access to the information system
+
+
+ the organization authorizes wireless access to the information system prior to connection
+
+
+ the organization enforces requirements for wireless connections to the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-19
+ Access Control for Mobile Devices
+
+
+ The organization:
+
+ Establishes usage restrictions and implementation guidance for organization-controlled mobile devices;
+ Authorizes connection of mobile devices meeting organizational usage restrictions and implementation guidance to organizational information systems;
+ Monitors for unauthorized connections of mobile devices to organizational information systems;
+ Enforces requirements for the connection of mobile devices to organizational information systems;
+ Disables information system functionality that provides the capability for automatic execution of code on mobile devices without user direction;
+ Issues specially configured mobile devices to individuals traveling to locations that the organization deems to be of significant risk in accordance with organizational policies and procedures; and
+ Applies [Assignment: organization-defined inspection and preventative measures] to mobile devices returning from locations that the organization deems to be of significant risk in accordance with organizational policies and procedures.
+
+
+
+
+
+
+
+ The organization restricts the use of writable, removable media in organizational information systems.
+
+
+
+
+
+
+the organization restricts the use of writable, removable media in organizational information systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization prohibits the use of personally owned, removable media in organizational information systems.
+
+
+
+
+
+
+the organization prohibits the use of personally owned, removable media in organizational information systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization prohibits the use of removable media in organizational information systems when the media has no identifiable owner.
+
+
+
+
+
+
+the organization prohibits the use of removable media in organizational information systems when the media has no identifiable owner
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Prohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the appropriate authorizing official(s); and
+ Enforces the following restrictions on individuals permitted to use mobile devices in facilities containing information systems processing, storing, or transmitting classified information: \
+
+ - Connection of unclassified mobile devices to classified information systems is prohibited;
+ - Connection of unclassified mobile devices to unclassified information systems requires approval from the appropriate authorizing official(s);
+ - Use of internal or external modems or wireless interfaces within the mobile devices is prohibited; and
+ - Mobile devices and the information stored on those devices are subject to random reviews/inspections by [Assignment: organization-defined security officials], and if classified information is found, the incident handling policy is followed.
+
+
+
+
+
+
+the organization prohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the appropriate authorizing official(s)
+
+
+the organization defines the security officials authorized to randomly review/inspect mobile devices and the information stored on those devices for classified information
+
+
+the organization enforces the following restrictions on individuals permitted to use mobile devices in facilities containing information systems processing, storing, or transmitting classified information:
+-connection of unclassified mobile devices to classified information systems is prohibited;
+-connection of unclassified mobile devices to unclassified information systems requires approval from the appropriate authorizing official(s);
+-use of internal or external modems or wireless interfaces within the mobile devices is prohibited; and
+-mobile devices and the information stored on those devices are subject to random reviews/inspections by organization-defined security officials, and if classified information is found, the incident handling policy is enforced
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization establishes usage restrictions and implementation guidance for organization-controlled portable and mobile devices
+
+
+ the organization authorizes connection of mobile devices meeting organizational usage restrictions and implementation guidance to organizational information systems
+
+
+ the organization monitors for unauthorized connections of mobile devices to organizational information systems
+
+
+ the organization enforces requirements for the connection of mobile devices to organizational information systems
+
+
+ the organization disables information system functionality that provides the capability for automatic execution of code on mobile devices without user direction
+
+
+ the organization issues specially configured mobile devices to individuals traveling to locations that the organization deems to be of significant risk in accordance with organizational policies and procedures
+
+
+ the organization defines the inspection and preventative measures to be applied to mobile devices returning from locations that the organization deems to be of significant risk
+
+
+ the organization applies organization-defined inspection and preventative measures to mobile devices returning from locations that the organization deems to be of significant risk in accordance with organizational policies and procedures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-20
+ Use of External Information Systems
+
+
+ The organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:
+
+ Access the information system from the external information systems; and
+ Process, store, and/or transmit organization-controlled information using the external information systems.
+
+
+
+
+
+
+
+ The organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:
+
+ Can verify the implementation of required security controls on the external system as specified in the organizations information security policy and security plan; or
+ Has approved information system connection or processing agreements with the organizational entity hosting the external information system.
+
+
+
+
+
+
+
+the organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:
+-can verify the implementation of required security controls on the external system as specified in the organization's information security policy and security plan; or
+-has approved information system connection or processing agreements with the organizational entity hosting the external information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization limits the use of organization-controlled portable storage media by authorized individuals on external information systems.
+
+
+
+
+
+
+the organization limits the use of organization-controlled portable storage media by authorized individuals on external information systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization identifies individuals authorized to:
+-access the information system from the external information systems; and
+-process, store, and/or transmit organization-controlled information using the external information systems
+
+
+ the organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:
+-access the information system from the external information systems; and
+-process, store, and/or transmit organization-controlled information using the external information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-21
+ User-based Collaboration and Information Sharing
+
+
+ The organization:
+
+ Facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for [Assignment: organization-defined information sharing circumstances where user discretion is required]; and
+ Employs [Assignment: list of organization-defined information sharing circumstances and automated mechanisms or manual processes required] to assist users in making information sharing/collaboration decisions.
+
+
+
+
+
+
+
+ The information system employs automated mechanisms to enable authorized users to make information-sharing decisions based on access authorizations of sharing partners and access restrictions on information to be shared.
+
+
+
+
+
+
+the information system employs automated mechanisms to enable authorized users to make information-sharing decisions based on access authorizations of sharing partners and access restrictions on information to be shared
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the circumstances where user discretion is required to facilitate information sharing
+
+
+ the organization facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for the organization-defined circumstances
+
+
+ the organization defines the information sharing circumstances and automated mechanisms or manual processes required to assist users in making information sharing/collaboration decisions
+
+
+ the organization employs organization-defined circumstances and automated mechanisms or manual processes to assist users in making information sharing/collaboration decisions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AC-22
+ Publicly Accessible Content
+
+
+ The organization:
+
+ Designates individuals authorized to post information onto an organizational information system that is publicly accessible;
+ Trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;
+ Reviews the proposed content of publicly accessible information for nonpublic information prior to posting onto the organizational information system;
+ Reviews the content on the publicly accessible organizational information system for nonpublic information [Assignment: organization-defined frequency]; and
+ Removes nonpublic information from the publicly accessible organizational information system, if discovered.
+
+
+
+
+
+
+
+ the organization designates individuals authorized to post information onto an organizational information system that is publicly accessible
+
+
+ the organization trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information
+
+
+ the organization reviews the proposed content of publicly accessible information for nonpublic information prior to posting onto the organizational information system
+
+
+ the organization defines the frequency of reviews of the content on the publicly accessible organizational information system for nonpublic information
+
+
+ the organization reviews the content on the publicly accessible organizational information system for nonpublic information in accordance with the organization-defined frequency
+
+
+ he organization removes nonpublic information from the publicly accessible organizational information system, if discovered
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AT-1
+ Security Awareness and Training Policy and Procedures
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls.
+
+
+
+
+
+
+
+ the organization develops and formally documents security awareness and training policy
+
+
+ the organization security awareness and training policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment; and
+-coordination among organizational entities, and compliance
+
+
+ the organization disseminates formal documented security awareness and training policy to elements within the organization having associated security awareness and training roles and responsibilities
+
+
+ the organization develops and formally documents security awareness and training procedures
+
+
+ the organization security awareness and training procedures facilitate implementation of the security awareness and training policy and associated security awareness and training controls
+
+
+ the organization disseminates formal documented security awareness and training procedures to elements within the organization having associated security awareness and training roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of security awareness and training policy reviews/updates
+
+
+ the organization reviews/updates security awareness and training policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of security awareness and training procedure reviews/updates
+
+
+ the organization reviews/updates security awareness and training procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AT-2
+ Security Awareness
+
+
+ The organization provides basic security awareness training to all information system users (including managers, senior executives, and contractors) as part of initial training for new users, when required by system changes, and [Assignment: organization-defined frequency] thereafter.
+
+
+
+
+
+
+ The organization includes practical exercises in security awareness training that simulate actual cyber attacks.
+
+
+
+
+
+
+the organization includes practical exercises in security awareness training that simulate actual cyber attacks
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization provides basic security awareness training to all information system users (including managers, senior executives, and contractors) as part of initial training for new users and when required by system changes
+
+
+ the organization defines the frequency of refresher security awareness training
+
+
+ the organization provides refresher security awareness training in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AT-3
+ Security Training
+
+
+ The organization provides role-based security-related training: (i) before authorizing access to the system or performing assigned duties; (ii) when required by system changes; and (iii) [Assignment: organization-defined frequency] thereafter.
+
+
+
+
+
+
+ The organization provides employees with initial and [Assignment: organization-defined frequency] training in the employment and operation of environmental controls.
+
+
+
+
+
+
+the organization provides employees with initial training in the employment and operation of environment controls
+
+
+the organization defines the frequency of refresher training in the employment and operation of environmental controls
+
+
+the organization provides refresher training in the employment and operation of environmental controls in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization provides employees with initial and [Assignment: organization-defined frequency] training in the employment and operation of physical security controls.
+
+
+
+
+
+
+the organization provides employees with initial training in the employment and operation of physical security controls
+
+
+the organization defines the frequency of refresher training in the employment and operation of physical security controls
+
+
+the organization provides refresher training in the employment and operation of physical security controls in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization provides role-based security-related training before authorizing access to the system or performing assigned duties, and when required by system changes
+
+
+ the organization defines the frequency of refresher role-based security-related training
+
+
+ the organization provides refresher role-based security-related training in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AT-4
+ Security Training Records
+
+
+ The organization:
+
+ Documents and monitors individual information system security training activities including basic security awareness training and specific information system security training; and
+ Retains individual training records for [Assignment: organization-defined time period].
+
+
+
+
+
+
+
+ the organization documents and monitors individual information system security training activities including basic security awareness training and specific information system security training
+
+
+ the organization defines the time period for retaining individual training records
+
+
+ the organization retains individual training records in accordance with the organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AT-5
+ Contacts With Security Groups and Associations
+
+
+ The organization establishes and institutionalizes contact with selected groups and associations within the security community:
+ - To facilitate ongoing security education and training for organizational personnel;
+ - To stay up to date with the latest recommended security practices, techniques, and technologies; and
+ - To share current security-related information including threats, vulnerabilities, and incidents.
+
+
+
+
+
+
+ the organization establishes and institutionalizes contact with selected groups and associations within the security community:
+
+
+- to facilitate ongoing security education and training for organizational personnel;
+- to stay up to date with the latest recommended security practices, techniques, and technologies; and
+- to share current security-related information including threats, vulnerabilities, and incidents
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-1
+ Audit and Accountability Policy and Procedures
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls.
+
+
+
+
+
+
+
+ the organization develops and formally documents audit and accountability policy
+
+
+ the organization audit and accountability policy addresses:
+- purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented audit and accountability policy to elements within the organization having associated audit and accountability roles and responsibilities
+
+
+ the organization develops and formally documents audit and accountability procedures
+
+
+ the organization audit and accountability procedures facilitate implementation of the audit and accountability policy and associated audit and accountability controls
+
+
+ the organization disseminates formal documented audit and accountability procedures to elements within the organization having associated audit and accountability roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of audit and accountability policy reviews/updates
+
+
+ the organization reviews/updates audit and accountability policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of audit and accountability procedure reviews/updates
+
+
+ the organization reviews/updates audit and accountability procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-2
+ Auditable Events
+
+
+ The organization:
+
+ Determines, based on a risk assessment and mission/business needs, that the information system must be capable of auditing the following events: [Assignment: organization-defined list of auditable events];
+ Coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;
+ Provides a rationale for why the list of auditable events are deemed to be adequate to support after-the-fact investigations of security incidents; and
+ Determines, based on current threat information and ongoing assessment of risk, that the following events are to be audited within the information system: [Assignment: organization-defined subset of the auditable events defined in AU-2 a. to be audited along with the frequency of (or situation requiring) auditing for each identified event].
+
+
+
+
+
+
+
+ [Withdrawn: Incorporated into AU-12].
+
+
+
+
+
+
+ [Withdrawn: Incorporated into AU-12].
+
+
+
+
+
+
+ The organization reviews and updates the list of auditable events [Assignment: organization-defined frequency].
+
+
+
+
+
+
+the organization defines the frequency of reviews and updates to the list of organization-defined auditable events
+
+
+the organization reviews and updates the list of organization-defined auditable events in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization includes execution of privileged functions in the list of events to be audited by the information system.
+
+
+
+
+
+
+the organization includes execution of privileged functions in the list of events to be audited by the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the list of events the information system must be capable of auditing based on a risk assessment and mission/business needs
+
+
+ the organization coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and help guide the selection of auditable events
+
+
+ the organization provides a rationale for why the list of auditable events are deemed to be adequate to support after-the-fact investigations of security incidents
+
+
+ the organization defines the subset of auditable events defined in (i) that are to be audited within the information system and the frequency of (or situation requiring) auditing for each identified event
+
+
+ the organization determines, based on current threat information and ongoing assessment of risk, the subset of auditable events defined in (i) to be audited within the information system, and the frequency of (or situation requiring) auditing for each identified event
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-3
+ Content of Audit Records
+
+
+ The information system produces audit records that contain sufficient information to, at a minimum, establish what type of event occurred, when (date and time) the event occurred, where the event occurred, the source of the event, the outcome (success or failure) of the event, and the identity of any user/subject associated with the event.
+
+
+
+
+
+
+ The information system includes [Assignment: organization-defined additional, more detailed information] in the audit records for audit events identified by type, location, or subject.
+
+
+
+
+
+
+the organization defines the additional, more detailed information to be included in audit records for audit events identified by type, location, or subject
+
+
+the information system includes the organization-defined additional, more detailed information in the audit records for audit events identified by type, location, or subject
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization centrally manages the content of audit records generated by [Assignment: organization-defined information system components].
+
+
+
+
+
+
+the organization defines the information system components for which the content of audit records generated is centrally managed
+
+
+the organization centrally manages the content of audit records generated by organization-defined information system components
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system produces audit records that contain sufficient information to, at a minimum, establish:
+-what type of event occurred;
+-when (date and time) the event occurred;
+-where the event occurred;
+-the source of the event;
+-the outcome (success or failure) of the event; and
+-the identity of any user/subject associated with the event
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-4
+ Audit Storage Capacity
+
+
+ The organization allocates audit record storage capacity and configures auditing to reduce the likelihood of such capacity being exceeded.
+
+
+
+
+
+
+ the organization allocates audit record storage capacity
+
+
+ the organization configures auditing to reduce the likelihood of audit record storage capacity being exceeded
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-5
+ Response To Audit Processing Failures
+
+
+ The information system:
+
+ Alerts designated organizational officials in the event of an audit processing failure; and
+ Takes the following additional actions: [Assignment: organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)].
+
+
+
+
+
+
+
+ The information system provides a warning when allocated audit record storage volume reaches [Assignment: organization-defined percentage] of maximum audit record storage capacity.
+
+
+
+
+
+
+the organization defines the percentage of maximum audit record storage capacity that, if reached, requires a warning to be provided
+
+
+the information system provides a warning when the allocated audit record storage volume reaches the organization-defined percentage of maximum audit record storage capacity
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system provides a real-time alert when the following audit failure events occur: [Assignment: organization-defined audit failure events requiring real-time alerts].
+
+
+
+
+
+
+the organization defines audit failure events requiring real-time alerts
+
+
+the information system provides a real-time alert when organization-defined audit failure events occur
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system enforces configurable traffic volume thresholds representing auditing capacity for network traffic and [Selection: rejects or delays] network traffic above those thresholds.
+
+
+
+
+
+
+the information system enforces configurable traffic volume thresholds representing auditing capacity for network traffic
+
+
+the organization defines if the network traffic above configurable traffic volume thresholds are rejected or delayed
+
+
+the information system rejects or delays, as defined by the organization, network traffic generated above configurable traffic volume thresholds
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system invokes a system shutdown in the event of an audit failure, unless an alternative audit capability exists.
+
+
+
+
+
+
+the information system invokes a system shutdown in the event of an audit failure, unless an alternative audit capability exists
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines designated organizational officials to be alerted in the event of an audit processing failure
+
+
+ the information system alerts designated organizational officials in the event of an audit processing failure
+
+
+ the organization defines additional actions to be taken in the event of an audit processing failure
+
+
+ the information system takes the additional organization-defined actions in the event of an audit processing failure
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-6
+ Audit Review, Analysis, and Reporting
+
+
+ The organization:
+
+ Reviews and analyzes information system audit records [Assignment: organization-defined frequency] for indications of inappropriate or unusual activity, and reports findings to designated organizational officials; and
+ Adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk to organizational operations, organizational assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information.
+
+
+
+
+
+
+
+ The information system integrates audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.
+
+
+
+
+
+
+the information system integrates audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ [Withdrawn: Incorporated into SI-4].
+
+
+
+
+
+
+ The organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.
+
+
+
+
+
+
+the organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system centralizes the review and analysis of audit records from multiple components within the system.
+
+
+
+
+
+
+the information system centralizes the review and analysis of audit records from multiple components within the system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization integrates analysis of audit records with analysis of vulnerability scanning information, performance data, and network monitoring information to further enhance the ability to identify inappropriate or unusual activity.
+
+
+
+
+
+
+the organization integrates analysis of audit records with analysis of vulnerability scanning information, performance data, and network monitoring information to enhance the ability to identify inappropriate or unusual activity
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization correlates information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.
+
+
+
+
+
+
+the organization correlates information from audit records with information obtained from monitoring physical access to enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization specifies the permitted actions for each authorized information system process, role, and/or user in the audit and accountability policy.
+
+
+
+
+
+
+the organization specifies the permitted actions for each authorized information system process, role, and/or user in the audit and accountability policy
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ [Withdrawn: Incorporated into SI-4].
+
+
+
+
+
+
+ The organization performs, in a physically dedicated information system, full-text analysis of privileged functions executed.
+
+
+
+
+
+
+the organization performs full-text analysis of privileged functions executed in a physically dedicated information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of information system audit record reviews and analyses
+
+
+ the organization reviews and analyzes information system audit records for indications of inappropriate or unusual activity in accordance with the organization-defined frequency
+
+
+ the organization reports findings of inappropriate/unusual activities, to designated organizational officials
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk to organizational operations, organizational assets, individuals, other organizations, or the Nation based on law enforcement information , intelligence information, or other credible sources of information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-7
+ Audit Reduction and Report Generation
+
+
+ The information system provides an audit reduction and report generation capability.
+
+
+
+
+
+
+ The information system provides the capability to automatically process audit records for events of interest based on selectable event criteria.
+
+
+
+
+
+
+the information system provides the capability to automatically process audit records for events of interest based on selectable event criteria
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system provides an audit reduction and report generation capability
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-8
+ Time Stamps
+
+
+ The information system uses internal system clocks to generate time stamps for audit records.
+
+
+
+
+
+
+ The information system synchronizes internal information system clocks [Assignment: organization-defined frequency] with [Assignment: organization-defined authoritative time source].
+
+
+
+
+
+
+the organization defines the frequency of internal clock synchronization for the information system
+
+
+the organization defines the authoritative time source for internal clock synchronization
+
+
+the organization synchronizes internal information system clocks with the organization-defined authoritative time source in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system uses internal system clocks to generate time stamps for audit records
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-9
+ Protection of Audit Information
+
+
+ The information system protects audit information and audit tools from unauthorized access, modification, and deletion.
+
+
+
+
+
+
+ The information system produces audit records on hardware-enforced, write-once media.
+
+
+
+
+
+
+the information system produces audit records on hardware-enforced, write-once media
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system backs up audit records [Assignment: organization-defined frequency] onto a different system or media than the system being audited.
+
+
+
+
+
+
+the organization defines the system or media for storing back up audit records that is a different system or media than the system being audited
+
+
+the organization defines the frequency of information system backups of audit records
+
+
+the information system backs up audit records, in accordance with the organization-defined frequency, onto organization-defined system or media
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system uses cryptographic mechanisms to protect the integrity of audit information and audit tools.
+
+
+
+
+
+
+the information system uses cryptographic mechanisms to protect the integrity of audit information and audit tools
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Authorizes access to management of audit functionality to only a limited subset of privileged users; and
+ Protects the audit records of non-local accesses to privileged accounts and the execution of privileged functions.
+
+
+
+
+
+
+
+the organization authorizes access to management of audit functionality to only a limited subset of privileged users
+
+
+the organization protects the audit records of non-local accesses to privileged accounts and the execution of privileged functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system protects audit information and audit tools from unauthorized:
+-access;
+-modification; and
+-deletion
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-10
+ Non-repudiation
+
+
+ The information system protects against an individual falsely denying having performed a particular action.
+
+
+
+
+
+
+ The information system associates the identity of the information producer with the information.
+
+
+
+
+
+
+the information system associates the identity of the information producer with the information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system validates the binding of the information producers identity to the information.
+
+
+
+
+
+
+the information system validates the binding of the information producer's identity to the information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system maintains reviewer/releaser identity and credentials within the established chain of custody for all information reviewed or released.
+
+
+
+
+
+
+the information system maintains reviewer/releaser identity and credentials within the established chain of custody for all information reviewed or released
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system validates the binding of the reviewers identity to the information at the transfer/release point prior to release/transfer from one security domain to another security domain.
+
+
+
+
+
+
+the information system validates the binding of the reviewer's identity to the information at the transfer/release point prior to release/transfer from one security domain to another security domain
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs [Selection: FIPS-validated; NSA-approved] cryptography to implement digital signatures.
+
+
+
+
+
+
+the organization defines whether FIPS-validated or NSA-approved cryptography is employed to implement digital signatures
+
+
+the organization employs the organization-defined cryptography to implement digital signatures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system protects against an individual falsely denying having performed a particular action
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-11
+ Audit Record Retention
+
+
+ The organization retains audit records for [Assignment: organization-defined time period consistent with records retention policy] to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements.
+
+
+
+
+
+
+ the organization defines the retention period for audit records
+
+
+ the retention period for audit records is consistent with the records retention policy
+
+
+ the organization retains audit records for the organization-defined time period consistent with the records retention policy to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-12
+ Audit Generation
+
+
+ The information system:
+
+ Provides audit record generation capability for the list of auditable events defined in AU-2 at [Assignment: organization-defined information system components];
+ Allows designated organizational personnel to select which auditable events are to be audited by specific components of the system; and
+ Generates audit records for the list of audited events defined in AU-2 with the content as defined in AU-3.
+
+
+
+
+
+
+
+ The information system compiles audit records from [Assignment: organization-defined information system components] into a system-wide (logical or physical) audit trail that is time-correlated to within [Assignment: organization-defined level of tolerance for relationship between time stamps of individual records in the audit trail].
+
+
+
+
+
+
+the information system produces a system-wide (logical or physical) audit trail of information system audit records
+
+
+the organization defines the information system components from which audit records are to be compiled into the system-wide audit trail
+
+
+the information system compiles audit records from organization-defined information system components into the system-wide audit trail
+
+
+the organization defines the acceptable level of tolerance for relationship between time stamps of individual records in the system-wide audit trail
+
+
+the system-wide audit trail is time-correlated to within the organization-defined level of tolerance to achieve a time ordering of audit records
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.
+
+
+
+
+
+
+the information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the information system components that provide audit record generation capability for the list of auditable events defined in AU-2
+
+
+ the information system provides audit record generation capability, at organization-defined information system components, for the list of auditable events defined in AU-2
+
+
+ the information system allows designated organizational personnel to select which auditable events are to be audited by specific components of the system
+
+
+ the information system generates audit records for the list of audited events defined in AU-2 with the content as defined in AU-3
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-13
+ Monitoring for Information Disclosure
+
+
+ The organization monitors open source information for evidence of unauthorized exfiltration or disclosure of organizational information [Assignment: organization-defined frequency].
+
+
+
+
+
+
+ the organization defines the frequency of monitoring open source information for evidence of unauthorized exfiltration or disclosure of organization information
+
+
+ the organization monitors open source information for evidence of unauthorized exfiltration or disclosure of organizational information in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AU-14
+ Session Audit
+
+
+ The information system provides the capability to:
+
+ Capture/record and log all content related to a user session; and
+ Remotely view/hear all content related to an established user session in real time.
+
+
+
+
+
+
+
+ The information system initiates session audits at system start-up.
+
+
+
+
+
+
+the information system initiates session audits at system start-up
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system provides the capability to capture/record and log all content related to a user session
+
+
+ the information system provides the capability to remotely view/hear all content related to an established user session in real time
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-1
+ Security Assessment and Authorization Policies and Procedures
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ Formal, documented security assessment and authorization policies that address purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the security assessment and authorization policies and associated security assessment and authorization controls.
+
+
+
+
+
+
+
+ the organization develops and formally documents security assessment and authorization policy
+
+
+ the organization security assessment and authorization policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented security assessment and authorization policy to elements within the organization having associated security assessment and authorization roles and responsibilities
+
+
+ the organization develops and formally documents security assessment and authorization procedures
+
+
+ the organization security assessment and authorization procedures facilitate implementation of the security assessment and authorization policy and associated security assessment and authorization controls
+
+
+ the organization disseminates formal documented security assessment and authorization procedures to elements within the organization having associated security assessment and authorization roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of security assessment and authorization policy reviews/updates
+
+
+ the organization reviews/updates security assessment and authorization policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of security assessment and authorization procedure reviews/updates
+
+
+ the organization reviews/updates security assessment and authorization procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-2
+ Security Assessments
+
+
+ The organization:
+
+ Develops a security assessment plan that describes the scope of the assessment including:
+ Security controls and control enhancements under assessment;
+ Assessment procedures to be used to determine security control effectiveness; and
+ Assessment environment, assessment team, and assessment roles and responsibilities;
+
+
+ Assesses the security controls in the information system [Assignment: organization-defined frequency] to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements for the system;
+ Produces a security assessment report that documents the results of the assessment; and
+ Provides the results of the security control assessment, in writing, to the authorizing official or authorizing official designated representative.
+
+
+
+
+
+
+
+ The organization employs an independent assessor or assessment team to conduct an assessment of the security controls in the information system.
+
+
+
+
+
+
+the organization employs an independent assessor or assessment team to conduct an assessment of the security controls in the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization includes as part of security control assessments, [Assignment: organization-defined frequency], [Selection: announced; unannounced], [Selection: in-depth monitoring; malicious user testing; penetration testing; red team exercises; [Assignment: organization-defined other forms of security testing]].
+
+
+
+
+
+
+the organization defines:
+-the forms of security testing to be included in security control assessments, selecting from in-depth monitoring, malicious user testing, penetration testing, red team exercises, or an organization-defined form of security testing;
+-the frequency for conducting each form of security testing;
+-whether the security testing will be announced or unannounced
+
+
+the organization conducts security control assessments using organization-defined forms of testing in accordance with organization-defined frequency and assessment techniques established for each form of testing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization develops a security assessment plan for the information system
+
+
+ the security assessment plan describes the scope of the assessment including:
+ -security controls and control enhancements under assessment;
+ -assessment procedures to be used to determine security control effectiveness; and
+ -assessment environment, assessment team, and assessment roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of assessing the security controls in the information system to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements for the system
+
+
+ the organization assesses the security controls in the information system at the organization-defined frequency
+
+
+ the organization produces a security assessment report that documents the results of the security control assessment
+
+
+ the results of the security control assessment are provided, in writing, to the authorizing official or authorizing official designated representative
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-3
+ Information System Connections
+
+
+ The organization:
+
+ Authorizes connections from the information system to other information systems outside of the authorization boundary through the use of Interconnection Security Agreements;
+ Documents, for each connection, the interface characteristics, security requirements, and the nature of the information communicated; and
+ Monitors the information system connections on an ongoing basis verifying enforcement of security requirements.
+
+
+
+
+
+
+
+ The organization prohibits the direct connection of an unclassified, national security system to an external network.
+
+
+
+
+
+
+the organization prohibits the direct connection of an unclassified, national security system to an external network
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization prohibits the direct connection of a classified, national security system to an external network.
+
+
+
+
+
+
+the organization prohibits the direct connection of a classified, national security system to an external network
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization identifies connections to external information systems (i.e., information systems outside of the authorization boundary)
+
+
+ the organization authorizes connections from the information system to external information systems through the use of Interconnection Security Agreements
+
+
+ the organization documents, for each connection, the interface characteristics, security requirements, and the nature of the information communicated; and (iv) the organization monitors the information system connections on an ongoing basis to verify enforcement of security requirements
+
+
+ the organization monitors the information system connections on an ongoing basis to verify enforcement of security requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-4
+ Security Certification
+
+
+ [Withdrawn: Incorporated into CA-2].
+
+
+
+
+ CA-5
+ Plan of Action and Milestones
+
+
+ The organization:
+
+ Develops a plan of action and milestones for the information system to document the organizations planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system; and
+ Updates existing plan of action and milestones [Assignment: organization-defined frequency] based on the findings from security controls assessments, security impact analyses, and continuous monitoring activities.
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is accurate, up to date, and readily available.
+
+
+
+
+
+
+the organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is:
+-accurate;
+-up to date; and
+-readily available
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization develops a plan of action and milestones for the information system
+
+
+ the plan of action and milestones documents the organizationâ??s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system
+
+
+ the organization defines the frequency of plan of action and milestone updates
+
+
+ the organization updates the plan of action and milestones at an organization-defined frequency with findings from:
+-security controls assessments;
+-security impact analyses; and
+-continuous monitoring activities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-6
+ Security Authorization
+
+
+ The organization:
+
+ Assigns a senior-level executive or manager to the role of authorizing official for the information system;
+ Ensures that the authorizing official authorizes the information system for processing before commencing operations; and
+ Updates the security authorization [Assignment: organization-defined frequency].
+
+
+
+
+
+
+
+ the organization assigns a senior-level executive or manager to the role of authorizing official for the information system
+
+
+ the authorizing official authorizes the information system for processing before commencing operations
+
+
+ the organization defines the frequency of security authorization updates
+
+
+ the organization updates the security authorization in accordance with an organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CA-7
+ Continuous Monitoring
+
+
+ The organization establishes a continuous monitoring strategy and implements a continuous monitoring program that includes:
+
+ A configuration management process for the information system and its constituent components;
+ A determination of the security impact of changes to the information system and environment of operation;
+ Ongoing security control assessments in accordance with the organizational continuous monitoring strategy; and
+ Reporting the security state of the information system to appropriate organizational officials [Assignment: organization-defined frequency].
+
+
+
+
+
+
+
+ The organization employs an independent assessor or assessment team to monitor the security controls in the information system on an ongoing basis.
+
+
+
+
+
+
+the organization employs an independent assessor or assessment team to monitor the security controls in the information system on an ongoing basis
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization plans, schedules, and conducts assessments [Assignment: organization-defined frequency], [Selection: announced; unannounced], [Selection: in-depth monitoring; malicious user testing; penetration testing; red team exercises; [Assignment: organization-defined other forms of security assessment]] to ensure compliance with all vulnerability mitigation procedures.
+
+
+
+
+
+
+the organization defines:
+-the forms of security testing to be included in planning, scheduling, and security control assessments selecting from in-depth monitoring, malicious user testing, penetration testing, red team exercises, or an organization-defined form of security testing to ensure compliance with all vulnerability mitigation procedures;
+-the frequency for conducting each form of security testing;
+-whether the security testing will be announced or unannounced
+
+
+the organization plans, schedules, and conducts assessments using organization-defined forms of security testing in accordance with the organization-defined frequency and assessment techniques established for each form of testing to ensure compliance with all vulnerability mitigation procedures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization establishes a continuous monitoring strategy and program
+
+
+ the organization defines the frequency for reporting the security state of the information system to appropriate organizational officials
+
+
+ the organization defines organizational officials to whom the security state of the information system should be reported
+
+
+ the organization implements a continuous monitoring program that includes:
+-a configuration management process for the information system and its constituent components;
+-a determination of the security impact of changes to the information system and environment of operation;
+-ongoing security control assessments in accordance with the organizational continuous monitoring strategy; and
+-reporting the security state of the information system to appropriate organizational officials in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-1
+ Configuration Management Policy and Procedures
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented configuration management policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the configuration management policy and associated configuration management controls.
+
+
+
+
+
+
+
+ the organization develops and formally documents configuration management policy
+
+
+ the organization configuration management policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented configuration management policy to elements within the organization having associated configuration management roles and responsibilities
+
+
+ the organization develops and formally documents configuration management procedures
+
+
+ the organization configuration management procedures facilitate implementation of the configuration management policy and associated configuration management controls
+
+
+ the organization disseminates formal documented configuration management procedures to elements within the organization having associated configuration management roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of configuration management policy reviews/updates
+
+
+ the organization reviews/updates configuration management policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of configuration management procedure reviews/updates
+
+
+ the organization reviews/updates configuration management procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-2
+ Baseline Configuration
+
+
+ The organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system.
+
+
+
+
+
+
+ The organization reviews and updates the baseline configuration of the information system:
+
+ [Assignment: organization-defined frequency];
+ When required due to [Assignment organization-defined circumstances]; and
+ As an integral part of information system component installations and upgrades.
+
+
+
+
+
+
+
+the organization defines:
+-the frequency of reviews and updates to the baseline configuration of the information system; and
+-the circumstances that require reviews and updates to the baseline configuration of the information system
+
+
+the organization reviews and updates the baseline configuration of the information system
+-in accordance with the organization-defined frequency;
+-when required due to organization-defined circumstances; and
+-as an integral part of information system component installations and upgrades
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the information system.
+
+
+
+
+
+
+the organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization retains older versions of baseline configurations as deemed necessary to support rollback.
+
+
+
+
+
+
+the organization retains older versions of baseline configurations as deemed necessary to support rollback
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Develops and maintains [Assignment: organization-defined list of software programs not authorized to execute on the information system]; and
+ Employs an allow-all, deny-by-exception authorization policy to identify software allowed to execute on the information system.
+
+
+
+
+
+
+
+the organization develops and maintains a list of software programs not authorized to execute on the information system
+
+
+the organization employs an allow-all, deny-by-exception authorization policy to identify software allowed to execute on the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Develops and maintains [Assignment: organization-defined list of software programs authorized to execute on the information system]; and
+ Employs a deny-all, permit-by-exception authorization policy to identify software allowed to execute on the information system.
+
+
+
+
+
+
+
+the organization develops and maintains a list of software programs authorized to execute on the information system
+
+
+the organization employs a deny-all, permit-by-exception authorization policy to identify software allowed to execute on the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization maintains a baseline configuration for development and test environments that is managed separately from the operational baseline configuration.
+
+
+
+
+
+
+the organization maintains a baseline configuration for development and test environments that is managed separately from the operational baseline configuration
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization develops and documents a baseline configuration of the information system
+
+
+ the organization maintains, under configuration control, a current baseline configuration of the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-3
+ Configuration Change Control
+
+
+ The organization:
+
+ Determines the types of changes to the information system that are configuration controlled;
+ Approves configuration-controlled changes to the system with explicit consideration for security impact analyses;
+ Documents approved configuration-controlled changes to the system;
+ Retains and reviews records of configuration-controlled changes to the system;
+ Audits activities associated with configuration-controlled changes to the system; and
+ Coordinates and provides oversight for configuration change control activities through [Assignment: organization-defined configuration change control element (e.g., committee, board] that convenes [Selection: (one or more): [Assignment: organization-defined frequency]; [Assignment: organization-defined configuration change conditions]].
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to:
+
+ Document proposed changes to the information system;
+ Notify designated approval authorities;
+ Highlight approvals that have not been received by [Assignment: organization-defined time period];
+ Inhibit change until designated approvals are received; and
+ Document completed changes to the information system.
+
+
+
+
+
+
+
+the organization defines the time period after which approvals that have not been received for proposed changes to the information system are highlighted
+
+
+the organization employs automated mechanisms to:
+-document proposed changes to the information system;
+-notify designated approval authorities;
+-highlight approvals that have not been received by the organization-defined time period;
+-inhibit change until designated approvals are received; and
+-document completed changes to the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization tests, validates, and documents changes to the information system before implementing the changes on the operational system.
+
+
+
+
+
+
+the organization tests, validates, and documents changes to the information system before implementing the changes on the operational system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to implement changes to the current information system baseline and deploys the updated baseline across the installed base.
+
+
+
+
+
+
+the organization employs automated mechanisms to implement changes to the current information system baseline
+
+
+the organization deploys the updated baseline across the installed base
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires an information security representative to be a member of the [Assignment: organization-defined configuration change control element (e.g., committee, board)].
+
+
+
+
+
+
+the organization requires an information security representative to be a member of the configuration change control element as defined by the organization in CM-3.1 (vi)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization determines the types of changes to the information system that are configuration controlled
+
+
+ the organization approves configuration-controlled changes to the system with explicit consideration for security impact analyses
+
+
+ the organization documents approved configuration-controlled changes to the system
+
+
+ the organization retains and reviews records of configuration-controlled changes to the system
+
+
+ the organization audits activities associated with configuration-controlled changes to the system
+
+
+ the organization defines:
+-the configuration change control element (e.g., committee, board) responsible for coordinating and providing oversight for configuration change control activities;
+-the frequency with which the configuration change control element convenes; and/or;
+-configuration change conditions that prompt the configuration change control element to convene
+
+
+ the organization coordinates and provides oversight for configuration change control activities through the organization-defined configuration change control element that convenes at the organization-defined frequency and/or for any organization-defined configuration change conditions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-4
+ Security Impact Analysis
+
+
+ The organization analyzes changes to the information system to determine potential security impacts prior to change implementation.
+
+
+
+
+
+
+ The organization analyzes new software in a separate test environment before installation in an operational environment, looking for security impacts due to flaws, weaknesses, incompatibility, or intentional malice.
+
+
+
+
+
+
+the organization analyzes new software in a separate test environment before installation in an operational environment
+
+
+the organization, when analyzing new software in a separate test environment, looks for security impacts due to flaws, weaknesses, incompatibility, or intentional malice
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization, after the information system is changed, checks the security functions to verify that the functions are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security requirements for the system.
+
+
+
+
+
+
+the organization, after the information system is changed, checks the security functions to verify that the functions are:
+-implemented correctly;
+-operating as intended; and
+-producing the desired outcome with regard to meeting the security requirements for the system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization analyzes changes to the information system to determine potential security impacts prior to change implementation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-5
+ Access Restrictions for Change
+
+
+ The organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system.
+
+
+
+
+
+
+ The organization employs automated mechanisms to enforce access restrictions and support auditing of the enforcement actions.
+
+
+
+
+
+
+the organization employs automated mechanisms to enforce access restrictions and support auditing of the enforcement actions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization conducts audits of information system changes [Assignment: organization-defined frequency] and when indications so warrant to determine whether unauthorized changes have occurred.
+
+
+
+
+
+
+the organization defines the frequency for conducting audits of information system changes
+
+
+the organization conducts audits of information system changes in accordance with the organization-defined frequency and when indications so warrant to determine whether unauthorized changes have occurred
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system prevents the installation of [Assignment: organization-defined critical software programs] that are not signed with a certificate that is recognized and approved by the organization.
+
+
+
+
+
+
+the organization defines critical software programs that the information system will prevent from being installed if such software programs are not signed with a recognized and approved certificate
+
+
+the information system prevents the installation of organization-defined critical software programs that are not signed with a certificate that is recognized and approved by the organization
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization enforces a two-person rule for changes to [Assignment: organization-defined information system components and system-level information].
+
+
+
+
+
+
+the organization defines information system components and system-level information requiring enforcement of a two-person rule for information system changes
+
+
+the organization enforces a two-person rule for changes to organization-defined information system components and system-level information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Limits information system developer/integrator privileges to change hardware, software, and firmware components and system information directly within a production environment; and
+ Reviews and reevaluates information system developer/integrator privileges [Assignment: organization-defined frequency].
+
+
+
+
+
+
+
+the organization limits information system developer/integrator privileges to change hardware, software, and firmware components and system information directly within a production environment
+
+
+the organization defines the frequency for reviews and reevaluations of information system developer/integrator privileges
+
+
+the organization reviews and reevaluates information system developer/integrator privileges in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization limits privileges to change software resident within software libraries (including privileged programs).
+
+
+
+
+
+
+the organization limits privileges to change software resident within software libraries (including privileged programs)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system automatically implements [Assignment: organization-defined safeguards and countermeasures] if security functions (or mechanisms) are changed inappropriately.
+
+
+
+
+
+
+the organization defines safeguards and countermeasures to be employed by the information system if security functions (or mechanisms) are changed inappropriately
+
+
+the information system automatically implements organization-defined safeguards and countermeasures if security functions (or mechanisms) are changed inappropriately
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-6
+ Configuration Settings
+
+
+ The organization:
+
+ Establishes and documents mandatory configuration settings for information technology products employed within the information system using [Assignment: organization-defined security configuration checklists] that reflect the most restrictive mode consistent with operational requirements;
+ Implements the configuration settings;
+ Identifies, documents, and approves exceptions from the mandatory configuration settings for individual components within the information system based on explicit operational requirements; and
+ Monitors and controls changes to the configuration settings in accordance with organizational policies and procedures.
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to centrally manage, apply, and verify configuration settings.
+
+
+
+
+
+
+the organization employs automated mechanisms to centrally manage, apply, and verify configuration settings
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to respond to unauthorized changes to [Assignment: organization-defined configuration settings].
+
+
+
+
+
+
+the organization defines configuration settings that, if modified by unauthorized changes, initiate the automated mechanisms to be employed to respond to such changes
+
+
+the organization employs automated mechanisms to respond to unauthorized changes to organization-defined configuration settings
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization incorporates detection of unauthorized, security-relevant configuration changes into the organizations incident response capability to ensure that such detected events are tracked, monitored, corrected, and available for historical purposes.
+
+
+
+
+
+
+the organization incorporates detection of unauthorized, security-relevant configuration changes into the organizationâ??s incident response capability
+
+
+the organization ensures that such detected events are tracked, monitored, corrected, and available for historical purposes
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system (including modifications to the baseline configuration) demonstrates conformance to security configuration guidance (i.e., security checklists), prior to being introduced into a production environment.
+
+
+
+
+
+
+the information system (including modifications to the baseline configuration) demonstrates conformance to security configuration guidance (i.e., security checklists), prior to being introduced into a production environment
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines security configuration checklists to be used to establish and document mandatory configuration settings for the information system technology products employed
+
+
+ the organization-defined security configuration checklists reflect the most restrictive mode consistent with operational requirements
+
+
+ the organization establishes and documents mandatory configuration settings for information technology products employed within the information system using organization-defined security configuration checklists
+
+
+ the organization implements the security configuration settings
+
+
+ the organization identifies, documents, and approves exceptions from the mandatory configuration settings for individual components within the information system based on explicit operational requirements
+
+
+ the organization monitors and controls changes to the configuration settings in accordance with organizational policies and procedures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-7
+ Least Functionality
+
+
+ The organization configures the information system to provide only essential capabilities and specifically prohibits or restricts the use of the following functions, ports, protocols, and/or services: [Assignment: organization-defined list of prohibited or restricted functions, ports, protocols, and/or services].
+
+
+
+
+
+
+ The organization reviews the information system [Assignment: organization-defined frequency] to identify and eliminate unnecessary functions, ports, protocols, and/or services.
+
+
+
+
+
+
+the organization defines the frequency of information system reviews to identify and eliminate unnecessary:
+-functions;
+-ports;
+-protocols; and/or
+-services
+
+
+the organization reviews the information system in accordance with organization-defined frequency to identify and eliminate unnecessary:
+-functions;
+-ports;
+-protocols; and/or
+-services
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to prevent program execution in accordance with [Selection (one or more): list of authorized software programs; list of unauthorized software programs; rules authorizing the terms and conditions of software program usage].
+
+
+
+
+
+
+the organization develops and maintains one or more of the following specifications to prevent software program execution on the information system:
+-a list of software programs authorized to execute on the information system;
+-a list of software programs not authorized to execute on the information system; and/or
+-rules authorizing the terms and conditions of software program usage on the information system
+
+
+the organization employs automated mechanisms to prevent software program execution on the information system in accordance with the organization-defined specifications
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures compliance with [Assignment: organization-defined registration requirements for ports, protocols, and services].
+
+
+
+
+
+
+the organization defines registration requirements for:
+-ports;
+-protocols; and
+-services
+
+
+the organization ensures compliance with organization-defined registration requirements for:
+-ports;
+-protocols; and
+-services
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines for the information system prohibited or restricted:
+-functions;
+-ports;
+-protocols; and
+-services
+
+
+ the organization configures the information system to provide only essential capabilities
+
+
+ the organization configures the information system to specifically prohibit or restrict the use of organization-defined:
+-functions;
+-ports;
+-protocols; and/or
+-services
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-8
+ Information System Component Inventory
+
+
+ The organization develops, documents, and maintains an inventory of information system components that:
+
+ Accurately reflects the current information system;
+ Is consistent with the authorization boundary of the information system;
+ Is at the level of granularity deemed necessary for tracking and reporting;
+ Includes [Assignment: organization-defined information deemed necessary to achieve effective property accountability]; and
+ Is available for review and audit by designated organizational officials.
+
+
+
+
+
+
+
+ The organization updates the inventory of information system components as an integral part of component installations, removals, and information system updates.
+
+
+
+
+
+
+the organization updates the inventory of information system components as an integral part of component:
+-installations;
+-removals; and
+-information system updates
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of information system components.
+
+
+
+
+
+
+the organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available inventory of information system components
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Employs automated mechanisms [Assignment: organization-defined frequency] to detect the addition of unauthorized components/devices into the information system; and
+ Disables network access by such components/devices or notifies designated organizational officials.
+
+
+
+
+
+
+
+the organization defines the frequency of employing automated mechanisms to detect the addition of unauthorized components/devices into the information system
+
+
+the organization employs automated mechanisms, in accordance with the organization-defined frequency, to detect the addition of unauthorized components/devices into the information system
+
+
+the organization disables network access by such components/devices or notifies designated organizational officials
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization includes in property accountability information for information system components, a means for identifying by [Selection (one or more): name; position; role] individuals responsible for administering those components.
+
+
+
+
+
+
+the organization includes in property accountability information for information system components, a means for identifying by name, position, or role, individuals responsible for administering those components
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization verifies that all components within the authorization boundary of the information system are either inventoried as a part of the system or recognized by another system as a component within that system.
+
+
+
+
+
+
+the organization verifies that all components within the authorization boundary of the information system are either inventoried as a part of the system or recognized by another system as a component within that system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization includes assessed component configurations and any approved deviations to current deployed configurations in the information system component inventory.
+
+
+
+
+
+
+the organization includes assessed component configurations and any approved deviations to current deployed configurations in the information system component inventory
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines information deemed necessary to achieve effective property accountability
+
+
+ the organization develops, documents, and maintains an inventory of information system components that:
+-accurately reflects the current information system;
+-is consistent with the authorization boundary of the information system;
+-is at the level of granularity deemed necessary for tracking and reporting;
+-includes organization-defined information deemed necessary to achieve effective property accountability; and
+-is available for review and audit by designated organizational officials
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CM-9
+ Configuration Management Plan
+
+
+ The organization develops, documents, and implements a configuration management plan for the information system that:
+
+ Addresses roles, responsibilities, and configuration management processes and procedures;
+ Defines the configuration items for the information system and when in the system development life cycle the configuration items are placed under configuration management; and
+ Establishes the means for identifying configuration items throughout the system development life cycle and a process for managing the configuration of the configuration items.
+
+
+
+
+
+
+
+ The organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in system development.
+
+
+
+
+
+
+the organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in system development
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization develops, documents, and implements a configuration management plan for the information system that:
+-addresses roles, responsibilities, and configuration management processes and procedures;
+-defines the configuration items for the information system and when in the system development life cycle the configuration items are placed under configuration management; and
+-establishes the means for identifying configuration items throughout the system development life cycle and a process for managing the configuration of the configuration items
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-1
+ Contingency Planning Policy and Procedures
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented contingency planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls.
+
+
+
+
+
+
+
+ the organization develops and formally documents contingency planning policy
+
+
+ the organization contingency planning policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented contingency planning policy to elements within the organization having associated contingency planning roles and responsibilities
+
+
+ the organization develops and formally documents contingency planning procedures
+
+
+ the organization contingency planning procedures facilitate implementation of the contingency planning policy and associated contingency planning controls
+
+
+ the organization disseminates formal documented contingency planning procedures to elements within the organization having associated contingency planning roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of contingency planning policy reviews/updates
+
+
+ the organization reviews/updates contingency planning policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of contingency planning procedure reviews/updates
+
+
+ the organization reviews/updates contingency planning procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-2
+ Contingency Plan
+
+
+ The organization:
+
+ Develops a contingency plan for the information system that:
+ Identifies essential missions and business functions and associated contingency requirements;
+ Provides recovery objectives, restoration priorities, and metrics;
+ Addresses contingency roles, responsibilities, assigned individuals with contact information;
+ Addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;
+ Addresses eventual, full information system restoration without deterioration of the security measures originally planned and implemented; and
+ Is reviewed and approved by designated officials within the organization;
+
+
+ Distributes copies of the contingency plan to [Assignment: organization-defined list of key contingency personnel (identified by name and/or by role) and organizational elements];
+ Coordinates contingency planning activities with incident handling activities;
+ Reviews the contingency plan for the information system [Assignment: organization-defined frequency];
+ Revises the contingency plan to address changes to the organization, information system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing; and
+ Communicates contingency plan changes to [Assignment: organization-defined list of key contingency personnel (identified by name and/or by role) and organizational elements].
+
+
+
+
+
+
+
+ The organization coordinates contingency plan development with organizational elements responsible for related plans.
+
+
+
+
+
+
+the organization coordinates the contingency plan development with other organizational elements responsible for related plans
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization conducts capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.
+
+
+
+
+
+
+the organization conducts capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization plans for the resumption of essential missions and business functions within [Assignment: organization-defined time period] of contingency plan activation.
+
+
+
+
+
+
+the organization defines the time period for planning the resumption of essential missions and business functions as a result of contingency plan activation
+
+
+the organization plans for the resumption of essential missions and business function within organization-defined time period of contingency plan activation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization plans for the full resumption of missions and business functions within [Assignment: organization-defined time period] of contingency plan activation.
+
+
+
+
+
+
+the organization defines the time period for planning the full resumption of affected missions and business functions as a result of contingency plan activation
+
+
+the organization plans for the full resumption of affected missions and business functions within organization-defined time period of contingency plan activation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization plans for the continuance of essential missions and business functions with little or no loss of operational continuity and sustains that continuity until full information system restoration at primary processing and/or storage sites.
+
+
+
+
+
+
+the organization plans for the continuance of essential missions and business functions with little or no loss of operational continuity
+
+
+the organization sustains operational continuity until full information system restoration at primary processing and/or storage sites
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization provides for the transfer of all essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity and sustains that continuity through restoration to primary processing and/or storage sites.
+
+
+
+
+
+
+the organization provides for the transfer of all essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity
+
+
+the organization sustains operational continuity through restoration to primary processing and/or storage sites
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization develops a contingency plan for the information system that:
+-identifies essential missions and business functions and associated contingency requirements;
+-provides recovery objectives, restoration priorities, and metrics;
+-addresses contingency roles, responsibilities, assigned individuals with contact information;
+-addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure; and
+-addresses eventual, full information system restoration without deterioration of the security measures originally planned and implemented; and
+-is reviewed and approved by designated officials within the organization
+
+
+ the organization defines key contingency personnel (identified by name and/or by role) and organizational elements designated to receive copies of the contingency plan
+
+
+ the organization distributes copies of the contingency plan to organization-defined key contingency personnel and organizational elements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization coordinates contingency planning activities with incident handling activities
+
+
+ the organization defines the frequency of contingency plan reviews
+
+
+ the organization reviews the contingency plan for the information system in accordance with the organization-defined frequency
+
+
+ the organization revises the contingency plan to address changes to the organization, information system, or environment of operation and problems encountered during contingency plan implementation, execution or testing
+
+
+ the organization communicates contingency plan changes to the key contingency personnel and organizational elements as identified in CP-2.1 (ii)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-3
+ Contingency Training
+
+
+ The organization trains personnel in their contingency roles and responsibilities with respect to the information system and provides refresher training [Assignment: organization-defined frequency].
+
+
+
+
+
+
+ The organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.
+
+
+
+
+
+
+the organization incorporates simulated events into contingency training
+
+
+the incorporation of simulated events into contingency training facilitates effective response by personnel in crisis situations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to provide a more thorough and realistic training environment.
+
+
+
+
+
+
+the organization employs automated mechanisms that provide a more thorough and realistic contingency training environment
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization provides initial contingency training to personnel with contingency roles and responsibilities with respect to the information system
+
+
+ the organization defines the frequency of refresher contingency training
+
+
+ the organization provides refresher training in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-4
+ Contingency Plan Testing and Exercises
+
+
+ The organization:
+
+ Tests and/or exercises the contingency plan for the information system [Assignment: organization-defined frequency] using [Assignment: organization-defined tests and/or exercises] to determine the plans effectiveness and the organizations readiness to execute the plan; and
+ Reviews the contingency plan test/exercise results and initiates corrective actions.
+
+
+
+
+
+
+
+ The organization coordinates contingency plan testing and/or exercises with organizational elements responsible for related plans.
+
+
+
+
+
+
+the organization coordinates contingency plan testing and/or exercises with organizational elements responsible for related plans
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization tests/exercises the contingency plan at the alternate processing site to familiarize contingency personnel with the facility and available resources and to evaluate the sites capabilities to support contingency operations.
+
+
+
+
+
+
+the organization conducts contingency plan testing/exercises at the alternate processing site to familiarize contingency personnel with the facility and available resources and to evaluate the site's capabilities to support contingency operations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to more thoroughly and effectively test/exercise the contingency plan by providing more complete coverage of contingency issues, selecting more realistic test/exercise scenarios and environments, and more effectively stressing the information system and supported missions.
+
+
+
+
+
+
+the organization employs automated mechanisms to more thoroughly and effectively test/exercise the contingency plan by providing more complete coverage of contingency issues, selecting more realistic test/exercise scenarios and environments, and more effectively stressing the information system and supported missions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization includes a full recovery and reconstitution of the information system to a known state as part of contingency plan testing.
+
+
+
+
+
+
+the organization includes a full recovery and reconstitution of the information system to a known state as part of contingency plan testing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the contingency plan tests and/or exercises to be conducted
+
+
+ the organization defines the frequency of contingency plan tests and/or exercises
+
+
+ the organization tests/exercises the contingency plan using organization-defined tests/exercises in accordance with organization-defined frequency
+
+
+ the organization reviews the contingency plan test/exercise results and takes corrective actions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-5
+ Contingency Plan Update
+
+
+ [Withdrawn: Incorporated into CP-2].
+
+
+
+
+ CP-6
+ Alternate Storage Site
+
+
+ The organization establishes an alternate storage site including necessary agreements to permit the storage and recovery of information system backup information.
+
+
+
+
+
+
+ The organization identifies an alternate storage site that is separated from the primary storage site so as not to be susceptible to the same hazards.
+
+
+
+
+
+
+the contingency plan identifies the primary storage site hazards
+
+
+the alternate storage site is separated from the primary storage site so as not to be susceptible to the same hazards identified at the primary site
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.
+
+
+
+
+
+
+the alternate storage site is configured to facilitate recovery operations in accordance with recovery time objectives and recovery point objectives
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.
+
+
+
+
+
+
+the organization identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster
+
+
+the organization outlines explicit mitigation actions for organization identified accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization establishes an alternate storage site
+
+
+ the organization initiates necessary alternate storage site agreements to permit the storage and recovery of information system backup information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-7
+ Alternate Processing Site
+
+
+ The organization:
+
+ Establishes an alternate processing site including necessary agreements to permit the resumption of information system operations for essential missions and business functions within [Assignment: organization-defined time period consistent with recovery time objectives] when the primary processing capabilities are unavailable; and
+ Ensures that equipment and supplies required to resume operations are available at the alternate site or contracts are in place to support delivery to the site in time to support the organization-defined time period for resumption.
+
+
+
+
+
+
+
+ The organization identifies an alternate processing site that is separated from the primary processing site so as not to be susceptible to the same hazards.
+
+
+
+
+
+
+the contingency plan identifies the primary processing site hazards
+
+
+the alternate processing site is separated from the primary processing site so as not to be susceptible to the same hazards identified at the primary site
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.
+
+
+
+
+
+
+the organization identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster
+
+
+the organization outlines explicit mitigation actions for organization identified accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with the organizations availability requirements.
+
+
+
+
+
+
+the organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with the organization's availability requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization configures the alternate processing site so that it is ready to be used as the operational site supporting essential missions and business functions.
+
+
+
+
+
+
+the alternate processing site is configured so that it is ready to be used as the operational site to support essential missions and business functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that the alternate processing site provides information security measures equivalent to that of the primary site
+
+
+
+
+
+
+the alternate processing site provides information security measures equivalent to that of the primary site
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization establishes an alternate processing site
+
+
+ the organization defines the time period for achieving the recovery time objectives within which processing must be resumed at the alternate processing site
+
+
+ the organization includes necessary alternate processing site agreements to permit the resumption of information system operations for essential missions and business functions within organization-defined time period
+
+
+ the equipment and supplies required to resume operations are available at the alternate site or contracts are in place to support delivery to the site in time to support the organization-defined time period for resumption
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-8
+ Telecommunications Services
+
+
+ The organization establishes alternate telecommunications services including necessary agreements to permit the resumption of information system operations for essential missions and business functions within [Assignment: organization-defined time period] when the primary telecommunications capabilities are unavailable.
+
+
+
+
+
+
+ The organization:
+
+ Develops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with the organizations availability requirements; and
+ Requests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.
+
+
+
+
+
+
+
+the organization develops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements
+
+
+the organization requests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization obtains alternate telecommunications services with consideration for reducing the likelihood of sharing a single point of failure with primary telecommunications services.
+
+
+
+
+
+
+the organization obtains alternate telecommunications services with consideration for reducing the likelihood of sharing a single point of failure with primary telecommunications services
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization obtains alternate telecommunications service providers that are separated from primary service providers so as not to be susceptible to the same hazards.
+
+
+
+
+
+
+the organization identifies the primary provider's telecommunications service hazards
+
+
+the alternate telecommunications service providers are separated from the primary telecommunications service providers so as not to be susceptible to the same hazards
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires primary and alternate telecommunications service providers to have contingency plans.
+
+
+
+
+
+
+the organization requires primary and alternate telecommunications service providers to have contingency plans
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization establishes alternate telecommunications services to support the information system
+
+
+ the organization defines in the time period within which resumption of information system operations must take place
+
+
+ the organization establishes necessary alternate telecommunications service agreements to permit the resumption of telecommunications services for essential missions and business functions within the organization-defined time period when the primary telecommunications capabilities are unavailable
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-9
+ Information System Backup
+
+
+ The organization:
+
+ Conducts backups of user-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives];
+ Conducts backups of system-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives];
+ Conducts backups of information system documentation including security-related documentation [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; and
+ Protects the confidentiality and integrity of backup information at the storage location.
+
+
+
+
+
+
+
+ The organization tests backup information [Assignment: organization-defined frequency] to verify media reliability and information integrity.
+
+
+
+
+
+
+the organization defines the frequency of information system backup testing
+
+
+the organization conducts information system backup testing in accordance with organization-defined frequency to verify backup media reliability and information integrity
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing.
+
+
+
+
+
+
+the organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization stores backup copies of the operating system and other critical information system software, as well as copies of the information system inventory (including hardware, software, and firmware components) in a separate facility or in a fire-rated container that is not colocated with the operational system.
+
+
+
+
+
+
+the organization stores backup copies of operating system and other critical information system software, as well as copies of the information system inventory (including hardware, software, and firmware components) in a separate facility or in a fire-rated container that is not collocated with the operational system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ [Withdrawn: Incorporated into CP-9].
+
+
+
+
+
+
+ The organization transfers information system backup information to the alternate storage site [Assignment: organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives].
+
+
+
+
+
+
+the organization defines the time period and rate of transferring information system backup information to the alternate storage site to support recovery time objectives and recovery point objectives
+
+
+the organization transfers information system backup information to the alternate storage site in accordance with the organization-defined frequency and transfer rate
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization accomplishes information system backup by maintaining a redundant secondary system, not collocated, that can be activated without loss of information or disruption to the operation.
+
+
+
+
+
+
+the organization maintains a redundant, secondary backup system that is not collocated with the primary backup system for the information system
+
+
+the redundant, secondary backup system can be activated to accomplish information system backups without causing loss of information or disruption to the operation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of conducting user-level information backups to support recovery time objectives and recovery point objectives
+
+
+ the organization defines the frequency of conducting system-level information backups to support recovery time objectives and recovery point objectives
+
+
+ the organization defines the frequency of conducting information system documentation backups (including security-related information) to support recovery time objectives and recovery point objectives
+
+
+ the organization backs up user-level information in accordance with the organization-defined frequency
+
+
+ the organization backs up system-level information in accordance with the organization-defined frequency
+
+
+ the organization backs up information system documentation in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization protects the confidentiality and integrity of backup information at the storage location
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CP-10
+ Information System Recovery and Reconstitution
+
+
+ The organization provides for the recovery and reconstitution of the information system to a known state after a disruption, compromise, or failure.
+
+
+
+
+
+
+ [Withdrawn: Incorporated into CP-4].
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system implements transaction recovery for systems that are transaction-based.
+
+
+
+
+
+
+the information system implements transaction recovery for systems that are transaction-based
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization provides compensating security controls for [Assignment: organization-defined circumstances that can inhibit recovery and reconstitution to a known state].
+
+
+
+
+
+
+the organization defines in the security plan, explicitly or by reference, the circumstances that can inhibit recovery and reconstitution of the information system to a known state
+
+
+the organization provides compensating security controls for organization-defined circumstances that can inhibit recovery and reconstitution of the information system to a known state
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization provides the capability to reimage information system components within [Assignment: organization-defined restoration time-periods] from configuration-controlled and integrity-protected disk images representing a secure, operational state for the components.
+
+
+
+
+
+
+the organization defines the time-periods within which information system components must be reimaged from configuration-controlled and integrity-protected disk images representing a secure, operational state for the components
+
+
+the organization provides the capability to reimage information system components, within organization-defined time-periods, from configuration-controlled and integrity-protected disk images representing a secure, operational state for the components
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization provides [Selection: real-time; near-real-time] [Assignment: organization-defined failover capability for the information system].
+
+
+
+
+
+
+the organization defines the type of failover capability for the information system (including whether the capability will be real-time or near real-time)
+
+
+the organization provides the organization-defined failover capability for the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization protects backup and restoration hardware, firmware, and software.
+
+
+
+
+
+
+the organization protects backup and restoration hardware, firmware, and software
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization provides automated mechanisms and/or manual procedures for the recovery and reconstitution of the information system to known state after a disruption, compromise, or failure
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-1
+ Identification and Authentication Policy and Procedures
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented identification and authentication policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls.
+
+
+
+
+
+
+
+ the organization develops and formally documents identification and authentication policy
+
+
+ the organization identification and authentication policy addresses:
+- purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented identification and authentication policy to elements within the organization having associated identification and authentication roles and responsibilities
+
+
+ the organization develops and formally documents identification and authentication procedures
+
+
+ the organization identification and authentication procedures facilitate implementation of the identification and authentication policy and associated identification and authentication controls
+
+
+ the organization disseminates formal documented identification and authentication procedures to elements within the organization having associated identification and authentication roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of identification and authentication policy reviews/updates
+
+
+ the organization reviews/updates identification and authentication policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of identification and authentication procedure reviews/updates
+
+
+ the organization reviews/updates identification and authentication procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-2
+ Identification and Authentication (Organizational Users)
+
+
+ The information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).
+
+
+
+
+
+
+ The information system uses multifactor authentication for network access to privileged accounts.
+
+
+
+
+
+
+the information system uses multifactor authentication for network access to privileged accounts
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system uses multifactor authentication for network access to non-privileged accounts.
+
+
+
+
+
+
+the information system uses multifactor authentication for network access to non-privileged accounts
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system uses multifactor authentication for local access to privileged accounts.
+
+
+
+
+
+
+the information system uses multifactor authentication for local access to privileged accounts
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system uses multifactor authentication for local access to non-privileged accounts.
+
+
+
+
+
+
+the information system uses multifactor authentication for local access to non-privileged accounts
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Allows the use of group authenticators only when used in conjunction with an individual/unique authenticator; and
+ Requires individuals to be authenticated with an individual authenticator prior to using a group authenticator
+
+
+
+
+
+
+
+the organization allows the use of group authenticators only when used in conjunction with an individual/unique authenticator
+
+
+the organization requires individuals to be authenticated with an individual authenticator prior to using a group authenticator
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system uses multifactor authentication for network access to privileged accounts where one of the factors is provided by a device separate from the information system being accessed.
+
+
+
+
+
+
+the information system uses multifactor authentication for network access to privileged accounts where one of the factors is provided by a device separate from the information system being accessed
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system uses multifactor authentication for network access to non-privileged accounts where one of the factors is provided by a device separate from the information system being accessed.
+
+
+
+
+
+
+the information system uses multifactor authentication for network access to non-privileged accounts where one of the factors is provided by a device separate from the information system being accessed
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system uses [Assignment: organization-defined replay-resistant authentication mechanisms] for network access to privileged accounts.
+
+
+
+
+
+
+the organization defines the replay-resistant authentication mechanisms to be used for network access to privileged accounts
+
+
+the information system uses the organization-defined replay-resistant authentication mechanisms for network access to privileged accounts
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system uses [Assignment: organization-defined replay-resistant authentication mechanisms] for network access to non-privileged accounts.
+
+
+
+
+
+
+the organization defines the replay-resistant authentication mechanisms to be used for network access to non-privileged accounts
+
+
+the information system uses the organization-defined replay-resistant authentication mechanisms for network access to non-privileged accounts
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-3
+ Device Identification and Authentication
+
+
+ The information system uniquely identifies and authenticates [Assignment: organization-defined list of specific and/or types of devices] before establishing a connection.
+
+
+
+
+
+
+ The information system authenticates devices before establishing remote and wireless network connections using bidirectional authentication between devices that is cryptographically based.
+
+
+
+
+
+
+the information system authenticates devices before establishing remote network connections using bi-directional authentication between devices that is cryptographically based
+
+
+the information system authenticates devices before establishing wireless network connections using bi-directional authentication between devices that is cryptographically based
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system authenticates devices before establishing network connections using bidirectional authentication between devices that is cryptographically based.
+
+
+
+
+
+
+the information system authenticates devices before establishing network connections using bidirectional authentication between devices that is cryptographically based
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization standardizes, with regard to dynamic address allocation, Dynamic Host Control Protocol (DHCP) lease information and the time assigned to devices, and audits lease information when assigned to a device.
+
+
+
+
+
+
+the organization standardizes, with regard to dynamic address allocation, Dynamic Host Control Protocol (DHCP) lease information and the time assigned to DHCP-enabled devices
+
+
+the organization audits DHCP lease information (including IP addresses) when assigned to a DHCP-enabled devices
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the specific and/or types of devices for which identification and authentication is required before establishing a connection to the information system
+
+
+ the information system uniquely identifies and authenticates the organization-defined devices before establishing a connection to the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-4
+ Identifier Management
+
+
+ The organization manages information system identifiers for users and devices by:
+
+ Receiving authorization from a designated organizational official to assign a user or device identifier;
+ Selecting an identifier that uniquely identifies an individual or device;
+ Assigning the user identifier to the intended party or the device identifier to the intended device;
+ Preventing reuse of user or device identifiers for [Assignment: organization-defined time period]; and
+ Disabling the user identifier after [Assignment: organization-defined time period of inactivity].
+
+
+
+
+
+
+
+ The organization prohibits the use of information system account identifiers as public identifiers for user electronic mail accounts (i.e., user identifier portion of the electronic mail address)
+
+
+
+
+
+
+the organization prohibits the use of information system account identifiers as public identifiers for user electronic mail accounts (i.e., user identifier portion of the electronic mail address)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires that registration to receive a user ID and password include authorization by a supervisor, and be done in person before a designated registration authority.
+
+
+
+
+
+
+the organization requires that registration to receive a user ID and password include authorization by a supervisor
+
+
+the organization requires that registration to receive a user ID and password be done in person before a designated registration authority
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires multiple forms of certification of individual identification such as documentary evidence or a combination of documents and biometrics be presented to the registration authority.
+
+
+
+
+
+
+the organization requires multiple forms of certification of individual identification such as documentary evidence or a combination of documents and biometrics be presented to the registration authority
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization manages user identifiers by uniquely identifying the user as [Assignment: organization-defined characteristic identifying user status].
+
+
+
+
+
+
+the organization defines the characteristic to be used to identify user status
+
+
+the organization manages user identifiers by uniquely identifying the user with the organization-defined characteristic identifying user status
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system dynamically manages identifiers, attributes, and associated access authorizations.
+
+
+
+
+
+
+the information system dynamically manages:
+-identifiers;
+-attributes; and
+-associated access authorizations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the time period for preventing reuse of user or device identifiers
+
+
+ the organization defines the time period of inactivity after which a user identifier is to be disabled
+
+
+ the organization manages information system identifiers for users and devices by:
+-receiving authorization from a designated organizational official to assign a user or device identifier;
+-selecting an identifier that uniquely identifies an individual or device;
+-assigning the user identifier to the intended party or the device identifier to the intended device;
+-preventing reuse of user or device identifiers for the organization-defined time period; and
+-disabling the user identifier after the organization-defined time period of inactivity
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-5
+ Authenticator Management
+
+
+ The organization manages information system authenticators for users and devices by:
+
+ Verifying, as part of the initial authenticator distribution, the identity of the individual and/or device receiving the authenticator;
+ Establishing initial authenticator content for authenticators defined by the organization;
+ Ensuring that authenticators have sufficient strength of mechanism for their intended use;
+ Establishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators;
+ Changing default content of authenticators upon information system installation;
+ Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators (if appropriate);
+ Changing/refreshing authenticators [Assignment: organization-defined time period by authenticator type];
+ Protecting authenticator content from unauthorized disclosure and modification; and
+ Requiring users to take, and having devices implement, specific measures to safeguard authenticators.
+
+
+
+
+
+
+
+ The information system, for password-based authentication:
+
+ Enforces minimum password complexity of [Assignment: organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type];
+ Enforces at least a [Assignment: organization-defined number of changed characters] when new passwords are created;
+ Encrypts passwords in storage and in transmission;
+ Enforces password minimum and maximum lifetime restrictions of [Assignment: organization-defined numbers for lifetime minimum, lifetime maximum]; and
+ Prohibits password reuse for [Assignment: organization-defined number] generations.
+
+
+
+
+
+
+
+the organization defines the minimum password complexity requirements to be enforced for case sensitivity, the number of characters, and the mix of upper-case letters, lower-case letters, numbers, and special characters including minimum requirements for each type
+
+
+the organization defines the minimum number of characters that must be changed when new passwords are created
+
+
+the organization defines the restrictions to be enforced for password minimum lifetime and password maximum lifetime parameters
+
+
+the organization defines the number of generations for which password reuse is prohibited
+
+
+the information system, for password-based authentication:
+-enforces the minimum password complexity standards that meet the organization-defined requirements;
+-enforces the organization-defined minimum number of characters that must be changed when new passwords are created;
+-encrypts passwords in storage and in transmission;
+-enforces the organization-defined restrictions for password minimum lifetime and password maximum lifetime parameters; and
+-prohibits password reuse for the organization-defined number of generations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system, for PKI-based authentication:
+
+ Validates certificates by constructing a certification path with status information to an accepted trust anchor;
+ Enforces authorized access to the corresponding private key; and
+ Maps the authenticated identity to the user account.
+
+
+
+
+
+
+
+the information system, for PKI-based authentication:
+-validates certificates by constructing a certification path with status information to an accepted trust anchor;
+-enforces authorized access to the corresponding private key; and
+-maps the authenticated identity to the user account
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires that the registration process to receive [Assignment: organization-defined types of and/or specific authenticators] be carried out in person before a designated registration authority with authorization by a designated organizational official (e.g., a supervisor).
+
+
+
+
+
+
+the organization defines the types of and/or specific authenticators for which the registration process must be carried out in person before a designated registration authority with authorization by a designated organizational official
+
+
+the organization requires that the registration process to receive organization-defined types of and/or specific authenticators be carried out in person before a designated registration authority with authorization by a designated organizational official (e.g., a supervisor)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated tools to determine if authenticators are sufficiently strong to resist attacks intended to discover or otherwise compromise the authenticators.
+
+
+
+
+
+
+the organization employs automated tools to determine if authenticators are sufficiently strong to resist attacks intended to discover or otherwise compromise the authenticators
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires vendors and/or manufacturers of information system components to provide unique authenticators or change default authenticators prior to delivery.
+
+
+
+
+
+
+the organization requires vendors and/or manufacturers of information system components to provide unique authenticators or change default authenticators prior to delivery
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization protects authenticators commensurate with the classification or sensitivity of the information accessed.
+
+
+
+
+
+
+the organization protects authenticators commensurate with the classification or sensitivity of the information accessed
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys.
+
+
+
+
+
+
+the organization ensures that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization takes [Assignment: organization-defined measures] to manage the risk of compromise due to individuals having accounts on multiple information systems.
+
+
+
+
+
+
+the organization defines measures taken to manage the risk of compromise due to individuals having accounts on multiple information systems
+
+
+the organization takes organization-defined measures to manage the risk of compromise due to individuals having accounts on multiple information systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the time period (by authenticator type) for changing/refreshing authenticators
+
+
+ the organization manages information system authenticators for users and devices by:
+-verifying, as part of the initial authenticator distribution, the identity of the individual and/or device receiving the authenticator;
+-establishing initial authenticator content for authenticators defined by the organization;
+-ensuring that authenticators have sufficient strength of mechanism for their intended use;
+-establishing and implementing administrative procedures for initial authenticator distribution;
+-establishing and implementing administrative procedures for lost/compromised or damaged authenticators;
+-establishing and implementing administrative procedures for revoking authenticators;
+-changing default content of authenticators upon information system installation;
+-establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators (if deemed to be appropriate by the organization);
+-changing/refreshing authenticators in accordance with the organization-defined time period by authenticator type;
+-protecting authenticator content from unauthorized disclosure and modification; and
+-requiring users to take, and having devices implement, specific measures to safeguard authenticators
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-6
+ Authenticator Feedback
+
+
+ The information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals
+
+
+
+
+
+
+ the information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-7
+ Cryptographic Module Authentication
+
+
+ The information system uses mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.
+
+
+
+
+
+
+ the information system uses mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IA-8
+ Identification and Authentication (Non-organizational Users)
+
+
+ The information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).
+
+
+
+
+
+
+ he information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-1
+ Incident Response Policy and Procedures
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented incident response policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the incident response policy and associated incident response controls.
+
+
+
+
+
+
+
+ the organization develops and formally documents incident response policy
+
+
+ the organization incident response policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented incident response policy to elements within the organization having associated incident response roles and responsibilities
+
+
+ the organization develops and formally documents incident response procedures
+
+
+ the organization incident response procedures facilitate implementation of the incident response policy and associated incident response controls
+
+
+ the organization disseminates formal documented incident response procedures to elements within the organization having associated incident response roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of incident response policy reviews/updates
+
+
+ the organization reviews/updates incident response policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of incident response procedure reviews/updates
+
+
+ the organization reviews/updates incident response procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-2
+ Incident Response Training
+
+
+ The organization:
+
+ Trains personnel in their incident response roles and responsibilities with respect to the information system; and
+ Provides refresher training [Assignment: organization-defined frequency].
+
+
+
+
+
+
+
+ The organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations.
+
+
+
+
+
+
+the organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to provide a more thorough and realistic training environment.
+
+
+
+
+
+
+the organization employs automated mechanisms to provide a more thorough and realistic incident response training environment
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization identifies personnel with incident response roles and responsibilities with respect to the information system
+
+
+ the organization provides incident response training to personnel with incident response roles and responsibilities with respect to the information system
+
+
+ incident response training material addresses the procedures and activities necessary to fulfill identified organizational incident response roles and responsibilities
+
+
+ the organization defines the frequency of refresher incident response training
+
+
+ the organization provides refresher incident response training in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-3
+ Incident Response Testing and Exercises
+
+
+ The organization tests and/or exercises the incident response capability for the information system [Assignment: organization-defined frequency] using [Assignment: organization-defined tests and/or exercises] to determine the incident response effectiveness and documents the results.
+
+
+
+
+
+
+ The organization employs automated mechanisms to more thoroughly and effectively test/exercise the incident response capability.
+
+
+
+
+
+
+the organization employs automated mechanisms to more thoroughly and effectively test/exercise the incident response capability for the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines incident response tests/exercises
+
+
+ the organization defines the frequency of incident response tests/exercises
+
+
+ the organization tests/exercises the incident response capability for the information system using organization-defined tests/exercises in accordance with organization-defined frequency
+
+
+ the organization documents the results of incident response tests/exercises
+
+
+ the organization determines the effectiveness of the incident response capability
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-4
+ Incident Handling
+
+
+ The organization:
+
+ Implements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery;
+ Coordinates incident handling activities with contingency planning activities; and
+ Incorporates lessons learned from ongoing incident handling activities into incident response procedures, training, and testing/exercises, and implements the resulting changes accordingly.
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to support the incident handling process.
+
+
+
+
+
+
+the organization employs automated mechanisms to support the incident handling process
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization includes dynamic reconfiguration of the information system as part of the incident response capability.
+
+
+
+
+
+
+the organization includes dynamic reconfiguration of the information system as part of the incident response capability
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization identifies classes of incidents and defines appropriate actions to take in response to ensure continuation of organizational missions and business functions.
+
+
+
+
+
+
+the organization identifies classes of incidents
+
+
+the organization defines the appropriate actions to take in response to each class of incidents to ensure continuation of organizational missions and business functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.
+
+
+
+
+
+
+the organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization implements a configurable capability to automatically disable the information system if any of the following security violations are detected: [Assignment: organization-defined list of security violations].
+
+
+
+
+
+
+the organization defines a list of security violations that, if detected, initiate a configurable capability to automatically disable the information system
+
+
+the organization implements a configurable capability to automatically disable the information system if any of the organization-defined security violations are detected
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization implements an incident handling capability for security incidents that includes:
+-preparation;
+-detection and analysis;
+-containment;
+-eradication; and
+-recovery
+
+
+ the organization coordinates incident handling activities with contingency planning activities
+
+
+ the organization incorporates lessons learned from ongoing incident handling activities into:
+-incident response procedures;
+-training; and
+-testing/exercises
+
+
+ the organization implements the resulting changes to incident response procedures, training and testing/exercise accordingly
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-5
+ Incident Monitoring
+
+
+ The organization tracks and documents information system security incidents.
+
+
+
+
+
+
+ The organization employs automated mechanisms to assist in the tracking of security incidents and in the collection and analysis of incident information.
+
+
+
+
+
+
+the organization employs automated mechanisms to assist in the tracking of security incidents
+
+
+the organization employs automated mechanisms to assist in the collection of security incident information
+
+
+he organization employs automated mechanisms to assist in the analysis of security incident information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization tracks and documents information system security incidents
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-6
+ Incident Reporting
+
+
+ The organization:
+
+ Requires personnel to report suspected security incidents to the organizational incident response capability within [Assignment: organization-defined time-period]; and
+ Reports security incident information to designated authorities.
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to assist in the reporting of security incidents.
+
+
+
+
+
+
+he organization employs automated mechanisms to assist in the reporting of security incidents
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization reports information system weaknesses, deficiencies, and/or vulnerabilities associated with reported security incidents to appropriate organizational officials.
+
+
+
+
+
+
+the organization reports information system weaknesses, deficiencies, and/or vulnerabilities associated with reported security incidents to appropriate organizational officials
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines in the time period required to report suspected security incidents to the organizational incident response capability
+
+
+ the organization requires personnel to report suspected security incidents to the organizational incident response capability within the organization-defined time period
+
+
+ the organization reports security incident information to designated authorities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-7
+ Incident Response Assistance
+
+
+ The organization provides an incident response support resource, integral to the organizational incident response capability, that offers advice and assistance to users of the information system for the handling and reporting of security incidents.
+
+
+
+
+
+
+ The organization employs automated mechanisms to increase the availability of incident response-related information and support.
+
+
+
+
+
+
+the organization employs automated mechanisms to increase the availability of incident response-related information and support
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Establishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and
+ Identifies organizational incident response team members to the external providers.
+
+
+
+
+
+
+
+the organization establishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability
+
+
+the organization identifies organizational incident response team members to the external providers
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization provides an incident response support resource that offers advice and assistance to users of the information system for the handling and reporting of security incidents
+
+
+ the incident response support resource is an integral part of the organization's incident response capability
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IR-8
+ Incident Response Plan
+
+
+ The organization:
+
+ Develops an incident response plan that:
+ Provides the organization with a roadmap for implementing its incident response capability;
+ Describes the structure and organization of the incident response capability;
+ Provides a high-level approach for how the incident response capability fits into the overall organization;
+ Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;
+ Defines reportable incidents;
+ Provides metrics for measuring the incident response capability within the organization.
+ Defines the resources and management support needed to effectively maintain and mature an incident response capability; and
+ Is reviewed and approved by designated officials within the organization;
+
+
+ Distributes copies of the incident response plan to [Assignment: organization-defined list of incident response personnel (identified by name and/or by role) and organizational elements];
+ Reviews the incident response plan [Assignment: organization-defined frequency];
+ Revises the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing; and
+ Communicates incident response plan changes to [Assignment: organization-defined list of incident response personnel (identified by name and/or by role) and organizational elements].
+
+
+
+
+
+
+
+ the organization develops an incident response plan that:
+-provides the organization with a roadmap for implementing its incident response capability;
+-describes the structure and organization of the incident response capability;
+-provides a high-level approach for how the incident response capability fits into the overall organization;
+-meets the unique requirements of the organization, which relate to mission, size, structure, and functions;
+-defines reportable incidents;
+-provides metrics for measuring the incident response capability within the organization;
+-defines the resources and management support needed to effectively maintain and mature an incident response capability; and
+-is reviewed and approved by designated officials within the organization
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines, in the incident response plan, incident response personnel (identified by name and/or role) and organizational elements
+
+
+ the organization distributes copies of the incident response plan to incident response personnel and organizational elements identified in the plan
+
+
+ the organization defines, in the incident response plan, the frequency to review the plan
+
+
+ the organization reviews the incident response plan in accordance with the organization-defined frequency
+
+
+ the organization revises the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing
+
+
+ the organization communicates incident response plan changes to incident response personnel and organizational elements identified in the plan
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-1
+ System Maintenance Policy and Procedures
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented information system maintenance policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the information system maintenance policy and associated system maintenance controls.
+
+
+
+
+
+
+
+ the organization develops and formally documents system maintenance policy
+
+
+ the organization system maintenance policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented system maintenance policy to elements within the organization having associated system maintenance roles and responsibilities
+
+
+ the organization develops and formally documents system maintenance procedures
+
+
+ the organization system maintenance procedures facilitate implementation of the system maintenance policy and associated system maintenance controls
+
+
+ the organization disseminates formal documented system maintenance procedures to elements within the organization having associated system maintenance roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of system maintenance policy reviews/updates
+
+
+ the organization reviews/updates system maintenance policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of system maintenance procedure reviews/updates
+
+
+ the organization reviews/updates system maintenance procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-2
+ Controlled Maintenance
+
+
+ The organization:
+
+ Schedules, performs, documents, and reviews records of maintenance and repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements;
+ Controls all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;
+ Requires that a designated official explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;
+ Sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs; and
+ Checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions.
+
+
+
+
+
+
+
+ The organization maintains maintenance records for the information system that include:
+
+ Date and time of maintenance;
+ Name of the individual performing the maintenance;
+ Name of escort, if necessary;
+ A description of the maintenance performed; and
+ A list of equipment removed or replaced (including identification numbers, if applicable).
+
+
+
+
+
+
+
+the organization maintains maintenance records for the information system that include:
+-date and time of maintenance;
+-name of the individual performing the maintenance;
+-name of escort, if necessary;
+-a description of the maintenance performed; and
+-a list of equipment removed or replaced (including identification numbers, if applicable)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to schedule, conduct, and document maintenance and repairs as required, producing up-to date, accurate, complete, and available records of all maintenance and repair actions, needed, in process, and completed.
+
+
+
+
+
+
+the organization employs automated mechanisms to schedule, conduct, and document maintenance and repairs as required
+
+
+the organization employs automated mechanisms to produce up-to-date, accurate, complete, and available records of all maintenance and repair actions needed, in process and complete
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization schedules, performs, documents, and reviews records of maintenance and repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements
+
+
+ the organization controls all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location
+
+
+ the organization requires that a designated official explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs
+
+
+ the organization sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs
+
+
+ the organization checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-3
+ Maintenance Tools
+
+
+ The organization approves, controls, monitors the use of, and maintains on an ongoing basis, information system maintenance tools.
+
+
+
+
+
+
+ The organization inspects all maintenance tools carried into a facility by maintenance personnel for obvious improper modifications.
+
+
+
+
+
+
+the organization inspects all maintenance tools carried into a facility by maintenance personnel for obvious improper modifications
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization checks all media containing diagnostic and test programs for malicious code before the media are used in the information system.
+
+
+
+
+
+
+the organization checks all media containing diagnostic and test programs (e.g., software or firmware used for information system maintenance or diagnostics) for malicious code before the media are used in the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization prevents the unauthorized removal of maintenance equipment by one of the following:
+
+ verifying that there is no organizational information contained on the equipment; (ii) sanitizing or destroying the equipment; (iii) retaining the equipment within the facility; or (iv) obtaining an exemption from a designated organization official explicitly authorizing removal of the equipment from the facility.
+
+
+
+
+
+
+
+the organization prevents the unauthorized removal of maintenance equipment by one of the following:
+-verifying that there is no organizational information contained on the equipment;
+-sanitizing or destroying the equipment;
+-retaining the equipment within the facility; or
+-obtaining an exemption from a designated organization official explicitly authorizing removal of the equipment from the facility
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to restrict the use of maintenance tools to authorized personnel only.
+
+
+
+
+
+
+the organization employs automated mechanisms to restrict the use of maintenance tools to authorized personnel only
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization approves, controls, and monitors the use of information system maintenance tools
+
+
+ the organization maintains information system maintenance tools on an ongoing basis
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-4
+ Non-local Maintenance
+
+
+ The organization:
+
+ Authorizes, monitors, and controls non-local maintenance and diagnostic activities;
+ Allows the use of non-local maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the information system;
+ Employs strong identification and authentication techniques in the establishment of non-local maintenance and diagnostic sessions;
+ Maintains records for non-local maintenance and diagnostic activities; and
+ Terminates all sessions and network connections when non-local maintenance is completed.
+
+
+
+
+
+
+
+ The organization audits non-local maintenance and diagnostic sessions and designated organizational personnel review the maintenance records of the sessions.
+
+
+
+
+
+
+the organization audits non-local maintenance and diagnostic sessions
+
+
+designated organizational personnel review the maintenance records of the sessions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization documents, in the security plan for the information system, the installation and use of non-local maintenance and diagnostic connections.
+
+
+
+
+
+
+the organization documents the installation and use of non-local maintenance and diagnostic connections in the security plan for the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Requires that non-local maintenance and diagnostic services be performed from an information system that implements a level of security at least as high as that implemented on the system being serviced; or
+ Removes the component to be serviced from the information system and prior to non-local maintenance or diagnostic services, sanitizes the component (with regard to organizational information) before removal from organizational facilities, and after the service is performed, inspects and sanitizes the component (with regard to potentially malicious software and surreptitious implants) before reconnecting the component to the information system.
+
+
+
+
+
+
+
+the organization requires and ensures non-local maintenance and diagnostic services are performed from an information system that implements a level of security at least as high as the level of security implemented on the information system being serviced; or
+
+
+the organization removes the component to be serviced from the information system and prior to non-local maintenance or diagnostic services, sanitizes the component (with regard to organizational information) before removal from organizational facilities
+
+
+the organization after the removed component service is performed, inspects and sanitizes the component (with regard to potentially malicious software and surreptitious implants) before reconnecting to the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization protects non-local maintenance sessions through the use of a strong authenticator tightly bound to the user and by separating the maintenance session from other network sessions with the information system by either:
+
+ Physically separated communications paths; or
+ Logically separated communications paths based upon encryption.
+
+
+
+
+
+
+
+the organization protects non-local maintenance sessions through the use of a strong authenticator tightly bound to the user
+
+
+the organization protects non-local maintenance sessions by separating the maintenance session from other network sessions with the information system by:
+-either physically separated communications paths; or
+-logically separated communications paths based upon encryption
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires that:
+
+ Maintenance personnel notify [Assignment: organization-defined personnel] when non-local maintenance is planned (i.e., date/time); and
+ A designated organizational official with specific information security/information system knowledge approves the non-local maintenance.
+
+
+
+
+
+
+
+the organization defines the organizational personnel to be notified when non-local maintenance is planned
+
+
+the organization requires that maintenance personnel notify organization-defined personnel when non-local maintenance is planned (i.e., date/time)
+
+
+the organization requires that a designated organizational official with specific information security/information system knowledge approves the non-local maintenance
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs cryptographic mechanisms to protect the integrity and confidentiality of non-local maintenance and diagnostic communications.
+
+
+
+
+
+
+the organization employs cryptographic mechanisms to protect the integrity and confidentiality of non-local maintenance and diagnostic communications
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs remote disconnect verification at the termination of non-local maintenance and diagnostic sessions.
+
+
+
+
+
+
+the organization employs remote disconnect verification at the termination of non-local maintenance and diagnostic sessions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization authorizes, monitors, and controls non-local maintenance and diagnostic activities
+
+
+ the organization documents, in the organizational policy and security plan for the information system, the acceptable conditions for allowing the use of non-local maintenance and diagnostic tools
+
+
+ the organization allows the use of non-local maintenance and diagnostic tools only as consistent with organizational policy and as documented in the security plan
+
+
+ the organization employs strong identification and authentication techniques in the establishment of non-local maintenance and diagnostic sessions
+
+
+ the organization maintains records for non-local maintenance and diagnostic activities
+
+
+ the organization (or information system in certain cases) terminates all sessions and network connections when non-local maintenance or diagnostics is completed
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-5
+ Maintenance Personnel
+
+
+ The organization:
+
+ Establishes a process for maintenance personnel authorization and maintains a current list of authorized maintenance organizations or personnel; and
+ Ensures that personnel performing maintenance on the information system have required access authorizations or designates organizational personnel with required access authorizations and technical competence deemed necessary to supervise information system maintenance when maintenance personnel do not possess the required access authorizations.
+
+
+
+
+
+
+
+ The organization maintains procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:
+
+ Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;
+ Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the information system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and
+ In the event an information system component cannot be sanitized, the procedures contained in the security plan for the system are enforced.
+
+
+
+
+
+
+
+the organization maintains procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:
+-maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;
+-prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances, or formal access approvals, all volatile information storage components within the information system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and
+-in the event an information system component cannot be sanitized, the procedures contained in the security plan for the system are enforced
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are cleared (i.e., possess appropriate security clearances) for the highest level of information on the system.
+
+
+
+
+
+
+personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are cleared for the highest level of information on the system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens.
+
+
+
+
+
+
+personnel performing maintenance and diagnostic activities on the information system processing, storing, or transmitting classified information are U.S. citizens
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that:
+
+ Cleared foreign nationals (i.e., foreign nationals with appropriate security clearances), are used to conduct maintenance and diagnostic activities on an information system only when the system is jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and
+ Approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on an information system are fully documented within a Memorandum of Agreement.
+
+
+
+
+
+
+
+cleared foreign nationals are used to conduct maintenance and diagnostic activities on an information system only when the system is jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments
+
+
+the organization documents in a Memorandum of Agreement the approvals, consents, and detailed operational conditions under which foreign nationals are allowed to conduct maintenance and diagnostic activities on an information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization establishes a process for maintenance personnel authorization
+
+
+ the organization maintains a current list of authorized maintenance organizations or personnel
+
+
+ personnel performing maintenance on the information system either have the required access authorizations or are supervised by designated organizational personnel with the required access authorizations and technical competence deemed necessary to supervise information system maintenance
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MA-6
+ Timely Maintenance
+
+
+ The organization obtains maintenance support and/or spare parts for [Assignment: organization-defined list of security-critical information system components and/or key information technology components] within [Assignment: organization-defined time period] of failure.
+
+
+
+
+
+
+ the organization defines security-critical information system components and/or key information technology components for which it will obtain maintenance support and/or spare parts
+
+
+ the organization defines the time period within which support and/or spare parts must be obtained after a failure
+
+
+ the organization obtains maintenance support and/or spare parts for the organization-defined list of security-critical information system components and/or key information technology components within the organization-defined time period of failure
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-1
+ Media Protection Policy and Procedures
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented media protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the media protection policy and associated media protection controls.
+
+
+
+
+
+
+
+ the organization develops and formally documents media protection policy
+
+
+ the organization media protection policy addresses:
+- purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented media protection policy to elements within the organization having associated media protection roles and responsibilities
+
+
+ the organization develops and formally documents media protection procedures
+
+
+ the organization media protection procedures facilitate implementation of the media protection policy and associated media protection controls
+
+
+ the organization disseminates formal documented media protection procedures to elements within the organization having associated media protection roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of media protection policy reviews/updates
+
+
+ the organization reviews/updates media protection policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of media protection procedure reviews/updates
+
+
+ the organization reviews/updates media protection procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-2
+ Media Access
+
+
+ The organization restricts access to [Assignment: organization-defined types of digital and non-digital media] to [Assignment: organization-defined list of authorized individuals] using [Assignment: organization-defined security measures].
+
+
+
+
+
+
+ The organization employs automated mechanisms to restrict access to media storage areas and to audit access attempts and access granted.
+
+
+
+
+
+
+the organization employs automated mechanisms to restrict access to media storage areas
+
+
+the organization employs automated mechanisms to audit access attempts and access granted to media storage areas
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system uses cryptographic mechanisms to protect and restrict access to information on portable digital media.
+
+
+
+
+
+
+the information system uses cryptographic mechanisms to protect and restrict access to information on portable digital media
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines:
+-digital and non-digital media requiring restricted access;
+-individuals authorized to access the media;
+-security measures taken to restrict access
+
+
+ the organization restricts access to organization-defined information system media to organization-defined authorized individuals using organization-defined security measures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-3
+ Media Marking
+
+
+ The organization:
+
+ Marks, in accordance with organizational policies and procedures, removable information system media and information system output indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and
+ Exempts [Assignment: organization-defined list of removable media types] from marking as long as the exempted items remain within [Assignment: organization-defined controlled areas].
+
+
+
+
+
+
+
+ the organization defines removable media types and information system output that require marking
+
+
+ the organization marks removable media and information system output in accordance with organizational policies and procedures, indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information
+
+
+ the organization defines:
+-removable media types and information system output exempt from marking;
+-controlled areas designated for retaining removable media and information output exempt from marking
+
+
+ removable media and information system output exempt from marking remain within designated controlled areas
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-4
+ Media Storage
+
+
+ The organization:
+
+ Physically controls and securely stores [Assignment: organization-defined types of digital and non-digital media] within [Assignment: organization-defined controlled areas] using [Assignment: organization-defined security measures];
+ Protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures
+
+
+
+
+
+
+
+ The organization employs cryptographic mechanisms to protect information in storage.
+
+
+
+
+
+
+the organization employs cryptographic mechanisms to protect information in storage
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines:
+-types of digital and non-digital media physically controlled and securely stored within designated controlled areas;
+-controlled areas designated to physically control and securely store the media;
+-security measures to physically control and securely store the media within designated controlled areas
+
+
+ the organization physically controls and securely stores organization-defined information system media within organization-defined controlled areas using organization-defined security measures
+
+
+ the organization protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-5
+ Media Transport
+
+
+ The organization:
+
+ Protects and controls [Assignment: organization-defined types of digital and non-digital media] during transport outside of controlled areas using [Assignment: organization-defined security measures];
+ Maintains accountability for information system media during transport outside of controlled areas; and
+ Restricts the activities associated with transport of such media to authorized personnel.
+
+
+
+
+
+
+
+ [Withdrawn: Incorporated into MP-5].
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization documents activities associated with the transport of information system media.
+
+
+
+
+
+
+the organization documents activities associated with the transport of information system media
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs an identified custodian throughout the transport of information system media.
+
+
+
+
+
+
+the organization employs an identified custodian throughout the transport of information system media
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.
+
+
+
+
+
+
+the organization employs cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines:
+-types of digital and non-digital media protected and controlled during transport outside of controlled areas;
+-security measures (e.g., locked container, encryption) for such media transported outside of controlled areas
+
+
+ the organization protects and controls organization-defined information system media during transport outside of controlled areas using organization-defined security measures
+
+
+ the organization maintains accountability for information system media during transport outside of controlled areas
+
+
+ the organization identifies personnel authorized to transport information system media outside of controlled areas
+
+
+ the organization restricts the activities associated with transport of information system media to authorized personnel
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ MP-6
+ Media Sanitization
+
+
+ The organization:
+
+ Sanitizes information system media, both digital and non-digital, prior to disposal, release out of organizational control, or release for reuse; and
+ Employs sanitization mechanisms with strength and integrity commensurate with the classification or sensitivity of the information.
+
+
+
+
+
+
+
+ The organization tracks, documents, and verifies media sanitization and disposal actions.
+
+
+
+
+
+
+the organization tracks, documents, and verifies media sanitization and disposal actions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization tests sanitization equipment and procedures to verify correct performance [Assignment: organization-defined frequency].
+
+
+
+
+
+
+the organization defines the frequency for testing sanitization equipment and procedures to verify correct performance
+
+
+the organization tests sanitization equipment and procedures to verify correct performance in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization sanitizes portable, removable storage devices prior to connecting such devices to the information system under the following circumstances: [Assignment: organization-defined list of circumstances requiring sanitization of portable, removable storage devices].
+
+
+
+
+
+
+the organization defines circumstances requiring sanitization of portable, removable storage devices prior to connecting such devices to the information system
+
+
+the organization sanitizes portable, removable storage devices prior to connecting such devices to the information system under organization-defined circumstances
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization sanitizes information system media containing Controlled Unclassified Information (CUI) or other sensitive information in accordance with applicable organizational and/or federal standards and policies.
+
+
+
+
+
+
+the organization sanitizes information system media containing CUI or other sensitive information in accordance with applicable organizational and/or federal standards and policies
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization sanitizes information system media containing classified information in accordance with NSA standards and policies.
+
+
+
+
+
+
+he organization sanitizes information system media containing classified information in accordance with NSA standards and policies
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization destroys information system media that cannot be sanitized.
+
+
+
+
+
+
+the organization implements the media destruction process for information system media that cannot be sanitized
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization sanitizes information system media both digital and non-digital prior to:
+-disposal;
+-release out of organizational control; or
+-release for reuse
+
+
+ the organization employs sanitization mechanisms with strength and integrity commensurate with the classification or sensitivity of the information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-1
+ Physical and Environmental Protection Policy and Procedures
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented physical and environmental protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls.
+
+
+
+
+
+
+
+ the organization develops and formally documents physical and environmental protection policy
+
+
+ the organization physical and environmental protection policy addresses:
+- purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented physical and environmental protection policy to elements within the organization having associated physical and environmental protection roles and responsibilities
+
+
+ the organization develops and formally documents physical and environmental protection procedures
+
+
+ the organization physical and environmental protection procedures facilitate implementation of the physical and environmental protection policy and associated physical and environmental protection controls
+
+
+ the organization disseminates formal documented physical and environmental protection procedures to elements within the organization having associated physical and environmental protection roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of physical and environmental protection policy reviews/updates
+
+
+ the organization reviews/updates physical and environmental protection policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of physical and environmental protection procedure reviews/updates; (iv) the organization reviews/updates physical and environmental protection procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-2
+ Physical Access Authorizations
+
+
+ The organization:
+
+ Develops and keeps current a list of personnel with authorized access to the facility where the information system resides (except for those areas within the facility officially designated as publicly accessible);
+ Issues authorization credentials;
+ Reviews and approves the access list and authorization credentials [Assignment: organization-defined frequency], removing from the access list personnel no longer requiring access.
+
+
+
+
+
+
+
+ The organization authorizes physical access to the facility where the information system resides based on position or role.
+
+
+
+
+
+
+the organization identifies personnel positions or roles authorized for physical access to the facility where the information system resides
+
+
+the organization authorizes physical access to the facility where the information system resides based on position or role
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires two forms of identification to gain access to the facility where the information system resides.
+
+
+
+
+
+
+the organization requires two forms of identification to gain access to the facility where the information system resides
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization restricts physical access to the facility containing an information system that processes classified information to authorized personnel with appropriate clearances and access authorizations.
+
+
+
+
+
+
+the organization identifies authorized personnel with appropriate clearances and access authorizations for gaining physical access to the facility containing an information system that processes classified information
+
+
+the organization restricts physical access to the facility containing an information system that processes classified information to authorized personnel with appropriate clearances and access authorizations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization identifies areas within the facility that are publicly accessible
+
+
+ the organization develops and keeps current lists of personnel with authorized access to the facility where the information system resides (except for those areas within the facility officially designated as publicly accessible)
+
+
+ the organization issues authorization credentials (e.g., badges, identification cards, smart cards)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency for review and approval of the physical access list and authorization credentials for the facility
+
+
+ organization reviews and approves the access list and authorization credentials in accordance with the organization-defined frequency
+
+
+ the organization removes from the access list personnel no longer requiring access
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-3
+ Physical Access Control
+
+
+ The organization:
+
+ Enforces physical access authorizations for all physical access points (including designated entry/exit points) to the facility where the information system resides (excluding those areas within the facility officially designated as publicly accessible);
+ Verifies individual access authorizations before granting access to the facility;
+ Controls entry to the facility containing the information system using physical access devices and/or guards;
+ Controls access to areas officially designated as publicly accessible in accordance with the organizations assessment of risk;
+ Secures keys, combinations, and other physical access devices;
+ Inventories physical access devices [Assignment: organization-defined frequency]; and
+ Changes combinations and keys [Assignment: organization-defined frequency] and when keys are lost, combinations are compromised, or individuals are transferred or terminated.
+
+
+
+
+
+
+
+ The organization enforces physical access authorizations to the information system independent of the physical access controls for the facility
+
+
+
+
+
+
+the organization enforces physical access authorizations to the information system independent of the physical access controls for the facility
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization performs security checks at the physical boundary of the facility or information system for unauthorized exfiltration of information or information system components.
+
+
+
+
+
+
+the organization performs security checks at the physical boundary of the facility or information system for unauthorized exfiltration of information or information system components
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization guards, alarms, and monitors every physical access point to the facility where the information system resides 24 hours per day, 7 days per week.
+
+
+
+
+
+
+the organization guards, alarms, and monitors every physical access point to the facility where the information system resides 24 hours per day, 7 days per week
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization uses lockable physical casings to protect [Assignment: organization-defined information system components] from unauthorized physical access.
+
+
+
+
+
+
+the organization defines information system components to be protected from unauthorized physical access using lockable physical casings
+
+
+the organization uses lockable physical casings to protect organization-defined information system components from unauthorized physical access
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system detects/prevents physical tampering or alteration of hardware components within the system.
+
+
+
+
+
+
+the information system detects/prevents physical tampering or alteration of hardware components within the system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs a penetration testing process that includes [Assignment: organization-defined frequency], unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility.
+
+
+
+
+
+
+the organization defines the frequency of unannounced attempts to be included in a penetration testing process to bypass or circumvent security controls associated with physical access points to the facility
+
+
+the organization employs a penetration testing process that includes unannounced attempts, in accordance with the organization-defined frequency, to bypass or circumvent security controls associated with physical access points to the facility
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization enforces physical access authorizations for all physical access points (including designated entry/exit points) to the facility where the information system resides (excluding those areas within the facility officially designated as publicly accessible)
+
+
+ the organization verifies individual access authorizations before granting access to the facility
+
+
+ the organization controls entry to the facility containing the information system using physical access devices (e.g., keys, locks, combinations, card readers) and/or guards; (iv) the organization controls access to areas officially designated as publicly accessible in accordance with the organization's assessment of risk
+
+
+ the organization secures keys, combinations, and other physical access devices
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency for conducting inventories of physical access devices
+
+
+ the organization inventories physical access devices in accordance with the organization-defined frequency
+
+
+ the organization defines the frequency of changes to combinations and keys
+
+
+ the organization changes combinations and keys in accordance with the organization-defined frequency, and when keys are lost, combinations are compromised, or individuals are transferred or terminated
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-4
+ Access Control for Transmission Medium
+
+
+ The organization controls physical access to information system distribution and transmission lines within organizational facilities.
+
+
+
+
+
+
+ the organization controls physical access to information system distribution and transmission lines within organizational facilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-5
+ Access Control for Output Devices
+
+
+ The organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.
+
+
+
+
+
+
+ the organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-6
+ Monitoring Physical Access
+
+
+ The organization:
+
+ Monitors physical access to the information system to detect and respond to physical security incidents;
+ Reviews physical access logs [Assignment: organization-defined frequency]; and
+ Coordinates results of reviews and investigations with the organizations incident response capability.
+
+
+
+
+
+
+
+ The organization monitors real-time physical intrusion alarms and surveillance equipment.
+
+
+
+
+
+
+the organization monitors real-time physical intrusion alarms and surveillance equipment
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to recognize potential intrusions and initiate designated response actions.
+
+
+
+
+
+
+the organization employs automated mechanisms to recognize potential intrusions and initiate designated response actions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization monitors physical access to the information system to detect and respond to physical security incidents
+
+
+ the organization defines the frequency to review physical access logs
+
+
+ the organization reviews physical access logs in accordance with the organization-defined frequency
+
+
+ the organization coordinates results of reviews and investigations with the organizationâ??s incident response capability
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-7
+ Visitor Control
+
+
+ The organization controls physical access to the information system by authenticating visitors before authorizing access to the facility where the information system resides other than areas designated as publicly accessible.
+
+
+
+
+
+
+ The organization escorts visitors and monitors visitor activity, when required.
+
+
+
+
+
+
+the organization escorts visitors and monitors visitor activity, when required
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires two forms of identification for visitor access to the facility.
+
+
+
+
+
+
+the organization requires two forms of identification for visitor access to the facility
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization controls physical access to the information system by authenticating visitors before authorizing access to the facility where the information system resides other than areas designated as publicly accessible
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-8
+ Access Records
+
+
+ The organization:
+
+ Maintains visitor access records to the facility where the information system resides (except for those areas within the facility officially designated as publicly accessible); and
+ Reviews visitor access records [Assignment: organization-defined frequency].
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to facilitate the maintenance and review of access records.
+
+
+
+
+
+
+the organization employs automated mechanisms to facilitate the maintenance and review of access records
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization maintains a record of all physical access, both visitor and authorized individuals.
+
+
+
+
+
+
+the organization maintains a record of all physical access, both visitor and authorized individuals
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization maintains visitor access records to the facility where the information system resides (except for those areas within the facility officially designated as publicly accessible)
+
+
+ the organization defines the frequency to review visitor access records
+
+
+ the organization reviews the visitor access records in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-9
+ Power Equipment and Power Cabling
+
+
+ The organization protects power equipment and power cabling for the information system from damage and destruction.
+
+
+
+
+
+
+ The organization employs redundant and parallel power cabling paths.
+
+
+
+
+
+
+the organization employs redundant and parallel power cabling paths
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automatic voltage controls for [Assignment: organization-defined list of critical information system components].
+
+
+
+
+
+
+the organization defines the critical information system components that require automatic voltage controls
+
+
+the organization employs automatic voltage controls for organization-defined critical information system components
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization protects power equipment and power cabling for the information system from damage and destruction
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-10
+ Emergency Shutoff
+
+
+ The organization:
+
+ Provides the capability of shutting off power to the information system or individual system components in emergency situations;
+ Places emergency shutoff switches or devices in [Assignment: organization-defined location by information system or system component] to facilitate safe and easy access for personnel; and
+ Protects emergency power shutoff capability from unauthorized activation.
+
+
+
+
+
+
+
+ [Withdrawn: Incorporated into PE-10].
+
+
+
+
+
+
+
+
+ the organization provides the capability of shutting off power to the information system or individual system components in emergency situations
+
+
+ the organization defines the location of emergency shutoff switches or devices by information system or system component
+
+
+ the organization places emergency shutoff switches or devices in an organization-defined location by information system or system component to facilitate safe and easy access for personnel
+
+
+ the organization protects the emergency power shutoff capability from unauthorized activation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-11
+ Emergency Power
+
+
+ The organization provides a short-term uninterruptible power supply to facilitate an orderly shutdown of the information system in the event of a primary power source loss.
+
+
+
+
+
+
+ The organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source.
+
+
+
+
+
+
+the organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization provides a long-term alternate power supply for the information system that is self-contained and not reliant on external power generation.
+
+
+
+
+
+
+the organization provides a long-term alternate power supply for the information system that is self-contained and not reliant on external power generation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization provides a short-term uninterruptible power supply to facilitate an orderly shutdown of the information system in the event of a primary power source loss
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-12
+ Emergency Lighting
+
+
+ The organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.
+
+
+
+
+
+
+ The organization provides emergency lighting for all areas within the facility supporting essential missions and business functions.
+
+
+
+
+
+
+the organization provides emergency lighting for all areas within the facility supporting essential missions and business functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization employs automatic emergency lighting for the information system that activates in the event of a power outage or disruption
+
+
+ the organization employs automatic emergency lighting for the information system that covers emergency exits and evacuation routes within the facility
+
+
+ the organization maintains the automatic emergency lighting for the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-13
+ Fire Protection
+
+
+ The organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.
+
+
+
+
+
+
+ The organization employs fire detection devices/systems for the information system that activate automatically and notify the organization and emergency responders in the event of a fire.
+
+
+
+
+
+
+the organization employs fire detection devices/systems for the information system that, without manual intervention, activate automatically and notify the organization and emergency responders in the event of a fire
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs fire suppression devices/systems for the information system that provide automatic notification of any activation to the organization and emergency responders.
+
+
+
+
+
+
+the organization employs fire suppression devices/systems for the information system that provide automatic notification of any activation to the organization and emergency responders
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis.
+
+
+
+
+
+
+the organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that the facility undergoes [Assignment: organization-defined frequency] fire marshal inspections and promptly resolves identified deficiencies.
+
+
+
+
+
+
+the organization defines the frequency of fire marshal inspections for the facility
+
+
+the facility undergoes fire marshal inspections in accordance with the organization-defined frequency
+
+
+the organization promptly resolves deficiencies identified by fire marshal inspections
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization employs fire suppression and detection devices/systems for the information system that are supported by an independent energy source
+
+
+ the organization maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-14
+ Temperature and Humidity Controls
+
+
+ The organization:
+
+ Maintains temperature and humidity levels within the facility where the information system resides at [Assignment: organization-defined acceptable levels]; and
+ Monitors temperature and humidity levels [Assignment: organization-defined frequency].
+
+
+
+
+
+
+
+ The organization employs automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the information system.
+
+
+
+
+
+
+the organization employs automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment.
+
+
+
+
+
+
+the organization employs temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the acceptable temperature and humidity levels within the facility where the information system resides
+
+
+ the organization maintains temperature and humidity levels within the facility where the information system resides in accordance with organization-defined acceptable levels
+
+
+ the organization defines the frequency to monitor temperature and humidity levels
+
+
+ the organization monitors the temperature and humidity levels within the facility where the information system resides in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-15
+ Water Damage Protection
+
+
+ The organization protects the information system from damage resulting from water leakage by providing master shutoff valves that are accessible, working properly, and known to key personnel.
+
+
+
+
+
+
+ The organization employs mechanisms that, without the need for manual intervention, protect the information system from water damage in the event of a water leak.
+
+
+
+
+
+
+the organization employs mechanisms that, without the need for manual intervention, protect the information system from water damage in the event of a water leak
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization protects the information system from damage resulting from water leakage by providing master shutoff valves that are accessible and working properly
+
+
+ key personnel within the organization have knowledge of the master water shutoff valves
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-16
+ Delivery and Removal
+
+
+ The organization authorizes, monitors, and controls [Assignment: organization-defined types of information system components] entering and exiting the facility and maintains records of those items.
+
+
+
+
+
+
+ the organization defines the types of information system components to be authorized, monitored, and controlled as such components are entering or exiting the facility
+
+
+ the organization authorizes, monitors, and controls organization-defined information system components entering and exiting the facility
+
+
+ the organization maintains records of information system components entering and exiting the facility
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-17
+ Alternate Work Site
+
+
+ The organization:
+
+ Employs [Assignment: organization-defined management, operational, and technical information system security controls] at alternate work sites;
+ Assesses as feasible, the effectiveness of security controls at alternate work sites; and
+ Provides a means for employees to communicate with information security personnel in case of security incidents or problems.
+
+
+
+
+
+
+
+ the organization defines the management, operational, and technical information system security controls to be employed at alternate work sites
+
+
+ the organization employs organization-defined management, operational, and technical information system security controls at alternate work sites
+
+
+ the organization assesses, as feasible, the effectiveness of security controls at alternate work sites
+
+
+ the organization provides a means for employees to communicate with information security personnel in case of security incidents or problems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-18
+ Location of Information System Components
+
+
+ The organization positions information system components within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access.
+
+
+
+
+
+
+ The organization plans the location or site of the facility where the information system resides with regard to physical and environmental hazards and for existing facilities, considers the physical and environmental hazards in its risk mitigation strategy.
+
+
+
+
+
+
+the organization plans the location or site of the facility where the information system resides with regard to physical and environmental hazards
+
+
+the organization, for existing facilities, considers the physical and environmental hazards in its risk mitigation strategy
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization positions information system components within the facility to minimize potential damage from physical and environmental hazards
+
+
+ the organization positions information system components within the facility to minimize the opportunity for unauthorized access
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PE-19
+ Information Leakage
+
+
+ The organization protects the information system from information leakage due to electromagnetic signals emanations.
+
+
+
+
+
+
+ The organization ensures that information system components, associated data communications, and networks are protected in accordance with:
+
+ national emissions and TEMPEST policies and procedures; and (ii) the sensitivity of the information being transmitted.
+
+
+
+
+
+
+
+the information system components, associated data communications, and networks are protected in accordance with:
+-national emissions and TEMPEST policies and procedures; and
+-the sensitivity of the information being transmitted
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization protects the information system from information leakage due to electromagnetic signals emanations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PL-1
+ Security Planning Policy and Procedures
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented security planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the security planning policy and associated security planning controls.
+
+
+
+
+
+
+
+ the organization develops and formally documents security planning policy
+
+
+ the organization security planning policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented security planning policy to elements within the organization having associated security planning roles and responsibilities
+
+
+ the organization develops and formally documents security planning procedures
+
+
+ the organization security planning procedures facilitate implementation of the security planning policy and associated security planning controls
+
+
+ the organization disseminates formal documented security planning procedures to elements within the organization having associated security planning roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of security planning policy reviews/updates
+
+
+ the organization reviews/updates security planning policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of security planning procedure reviews/updates
+
+
+ the organization reviews/updates security planning procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PL-2
+ System Security Plan
+
+
+ The organization:
+
+ Develops a security plan for the information system that: - Is consistent with the organizations enterprise architecture; - Explicitly defines the authorization boundary for the system; - Describes the operational context of the information system in terms of missions and business processes; - Provides the security categorization of the information system including supporting rationale; - Describes the operational environment for the information system; - Describes relationships with or connections to other information systems; - Provides an overview of the security requirements for the system; - Describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring and supplementation decisions; and - Is reviewed and approved by the authorizing official or designated representative prior to plan implementation;
+ Reviews the security plan for the information system [Assignment: organization-defined frequency]; and
+ Updates the plan to address changes to the information system/environment of operation or problems identified during plan implementation or security control assessments.
+
+
+
+
+
+
+
+ The organization:
+
+ Develops a security Concept of Operations (CONOPS) for the information system containing, at a minimum: (i) the purpose of the system; (ii) a description of the system architecture; (iii) the security authorization schedule; and (iv) the security categorization and associated factors considered in determining the categorization; and
+ Reviews and updates the CONOPS [Assignment: organization-defined frequency].
+
+
+
+
+
+
+
+the organization develops a security Concept of Operations (CONOPS) for the information system containing, at a minimum:
+-the purpose of the system;
+-a description of the system architecture;
+-the security authorization schedule; and
+-the security categorization and associated factors considered in determining the categorization
+
+
+the organization defines the frequency of reviews and updates to the CONOPS
+
+
+the organization reviews and updates the CONOPS in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization develops a functional architecture for the information system that identifies and maintains:
+
+ External interfaces, the information being exchanged across the interfaces, and the protection mechanisms associated with each interface;
+ User roles and the access privileges assigned to each role;
+ Unique security requirements;
+ Types of information processed, stored, or transmitted by the information system and any specific protection needs in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance; and
+ Restoration priority of information or information system services.
+
+
+
+
+
+
+
+the organization develops a functional architecture for the information system that identifies and maintains:
+-external interfaces, the information being exchanged across the interfaces, and the protection mechanisms associated with each interface;
+-user roles and the access privileges assigned to each role;
+-unique security requirements;
+-types of information processed, stored, or transmitted by the information system and any specific protection needs in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance; and
+-restoration priority of information or information system services
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization develops a security plan for the information system that:
+-is consistent with the organization's enterprise architecture;
+-explicitly defines the authorization boundary for the system;
+-describes the operational context of the information system in terms of mission and business processes;
+-provides the security categorization of the information system including supporting rationale;
+-describes the operational environment for the information system;
+-describes relationships with or connections to other information systems;
+-provides an overview of the security requirements for the system;
+-describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring and supplemental decisions; and
+-is reviewed and approved by the authorizing official or designated representative prior to plan implementation
+
+
+ the organization defines the frequency of security plan reviews
+
+
+ the organization reviews the security plan in accordance with the organization-defined frequency
+
+
+ the organization updates the plan to address changes to the information system/environment of operation or problems identified during plan implementation or security control assessments
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PL-3
+ System Security Plan Update
+
+
+ [Withdrawn: Incorporated into PL-2].
+
+
+
+
+ PL-4
+ Rules of Behavior
+
+
+ The organization:
+
+ Establishes and makes readily available to all information system users, the rules that describe their responsibilities and expected behavior with regard to information and information system usage; and
+ Receives signed acknowledgment from users indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system.
+
+
+
+
+
+
+
+ The organization includes in the rules of behavior, explicit restrictions on the use of social networking sites, posting information on commercial websites, and sharing information system account information.
+
+
+
+
+
+
+the organization includes in the rules of behavior:
+-explicit restrictions on the use of social networking sites;
+-posting information on commercial Web sites; and
+-sharing information system account information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization establishes the rules that describe information system user responsibilities and expected behavior with regard to information and information system usage
+
+
+ the organization makes the rules available to all information system users
+
+
+ the organization receives a signed acknowledgement from users indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PL-5
+ Privacy Impact Assessment
+
+
+ The organization conducts a privacy impact assessment on the information system in accordance with OMB policy.
+
+
+
+
+
+
+ the organization conducts a privacy impact assessment on the information system
+
+
+ the privacy impact assessment is in accordance with OMB policy
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PL-6
+ Security-related Activity Planning
+
+
+ The organization plans and coordinates security-related activities affecting the information system before conducting such activities in order to reduce the impact on organizational operations (i.e., mission, functions, image, and reputation), organizational assets, and individuals.
+
+
+
+
+
+
+ the organization plans and coordinates security-related activities affecting the information system before conducting such activities in order to reduce the impact on organizational operations (i.e., mission, functions, image, and reputation), organizational assets, and individuals
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PM-1
+ Information Security Program Plan
+
+
+ The organization:
+
+ Develops and disseminates an organization-wide information security program plan that: - Provides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements; - Provides sufficient information about the program management controls and common controls (including specification of parameters for any assignment and selection operations either explicitly or by reference) to enable an implementation that is unambiguously compliant with the intent of the plan and a determination of the risk to be incurred if the plan is implemented as intended; - Includes roles, responsibilities, management commitment, coordination among organizational entities, and compliance; - Is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;
+ Reviews the organization-wide information security program plan [Assignment: organization-defined frequency]; and
+ Revises the plan to address organizational changes and problems identified during plan implementation or security control assessments.
+
+
+
+
+
+
+
+ the organization develops an information security program plan for the organization that:
+-provides an overview of the requirements for the security program;
+-provides a description of the security program management controls and common controls in place or planned for meeting security program requirements;
+-provides sufficient information about the program management controls and common controls (including specification of parameters for any assignment and selection operations either explicitly or by reference) to enable an implementation that is unambiguously compliant with the intent of the plan and a determination of the risk to be incurred if the plan is implemented as intended;
+-includes roles, responsibilities, management commitment, coordination among organizational entities, and compliance;
+-is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations and the Nation
+
+
+ the organization defines the frequency of information security program plan reviews
+
+
+ the organization reviews the organization-wide information security program plan in accordance with the organization-defined frequency
+
+
+ the organization revises the plan to address organizational changes and problems identified during plan implementation or security control assessments
+
+
+ the organization disseminates the most recent information security program plan to appropriate entities in the organization
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PM-2
+ Senior Information Security Officer
+
+
+ The organization appoints a senior information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program.
+
+
+
+
+
+
+ organization appoints a senior information security officer to coordinate, develop, implement, and maintain an organization-wide information security program
+
+
+ the organization empowers the senior information security officer with the mission and resources required to coordinate, develop, implement, and maintain an organization-wide information security program
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PM-3
+ Information Security Resources
+
+
+ The organization:
+
+ Ensures that all capital planning and investment requests include the resources needed to implement the information security program and documents all exceptions to this requirement;
+ Employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and
+ Ensures that information security resources are available for expenditure as planned.
+
+
+
+
+
+
+
+ the organization includes in its capital planning and investment requests the resources needed to implement the information security program
+
+
+ the organization documents all exceptions to the requirement that all capital planning and investment requests include the resources needed to implement the information security program
+
+
+ the organization employs a business case/Exhibit 300/Exhibit 53 to record the resources required
+
+
+ the organization makes the required information security resources available for expenditure as planned
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PM-4
+ Plan of Action and Milestones Process
+
+
+ The organization implements a process for ensuring that plans of action and milestones for the security program and the associated organizational information systems are maintained and document the remedial information security actions to mitigate risk to organizational operations and assets, individuals, other organizations, and the Nation.
+
+
+
+
+
+
+ the organization implements a process to maintain plans of action and milestones for the security program and the associated organizational information systems
+
+
+ the organization implements a process to document the remedial information security actions that mitigate risk to organizational operations and assets, individuals, other organizations, and the Nation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PM-5
+ Information System Inventory
+
+
+ The organization develops and maintains an inventory of its information systems.
+
+
+
+
+
+
+ the organization develops an inventory of its information systems
+
+
+ the organization maintains an inventory of its information systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PM-6
+ Information Security Measures of Performance
+
+
+ The organization develops, monitors, and reports on the results of information security measures of performance.
+
+
+
+
+
+
+ the organization develops information security measures of performance
+
+
+ the organization monitors information security measures of performance
+
+
+ the organization reports on the results of information security measures of performance
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PM-7
+ Enterprise Architecture
+
+
+ The organization develops an enterprise architecture with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation.
+
+
+
+
+
+
+ the organization develops an enterprise architecture with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PM-8
+ Critical Infrastructure Plan
+
+
+ The organization addresses information security issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan.
+
+
+
+
+
+
+ the organization develops and documents a critical infrastructure and key resource protection plan
+
+
+ the organization updates the critical infrastructure and key resource protection plan
+
+
+ the organization addresses information security issues in the critical infrastructure and key resource protection plan
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PM-9
+ Risk Management Strategy
+
+
+ The organization:
+
+ Develops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information systems; and
+ Implements that strategy consistently across the organization.
+
+
+
+
+
+
+
+ the organization develops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information syatems
+
+
+ the organization implements that strategy consistently across the organization
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PM-10
+ Security Authorization Process
+
+
+ The organization:
+
+ Manages (i.e., documents, tracks, and reports) the security state of organizational information systems through security authorization processes;
+ Designates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and
+ Fully integrates the security authorization processes into an organization-wide risk management program.
+
+
+
+
+
+
+
+ the organization manages (i.e., documents, tracks, and reports) the security state of organizational information systems through security authorization processes
+
+
+ the organization designates individuals to fulfill specific roles and responsibilities within the organizational risk management process
+
+
+ the organization fully integrates the security authorization processes into an organization-wide risk management program
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PM-11
+ Mission/business Process Definition
+
+
+ The organization:
+
+ Defines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and
+ Determines information protection needs arising from the defined mission/business processes and revises the processes as necessary, until an achievable set of protection needs is obtained.
+
+
+
+
+
+
+
+ the organization defines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation
+
+
+ the organization determines information protection needs arising from the defined mission/business processes and revises the processes as necessary, until an achievable set of protection needs is obtained
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PS-1
+ Personnel Security Policy and Procedures
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented personnel security policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the personnel security policy and associated personnel security controls.
+
+
+
+
+
+
+
+ the organization develops and formally documents personnel security policy
+
+
+ the organization personnel security policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented personnel security policy to elements within the organization having associated personnel security roles and responsibilities
+
+
+ the organization develops and formally documents personnel security procedures
+
+
+ the organization personnel security procedures facilitate implementation of the personnel security policy and associated personnel security controls
+
+
+ the organization disseminates formal documented personnel security procedures to elements within the organization having associated personnel security roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of personnel security policy reviews/updates
+
+
+ the organization reviews/updates personnel security policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of personnel security procedure reviews/updates
+
+
+ the organization reviews/updates personnel security procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PS-2
+ Position Categorization
+
+
+ The organization:
+
+ Assigns a risk designation to all positions;
+ Establishes screening criteria for individuals filling those positions; and
+ Reviews and revises position risk designations [Assignment: organization-defined frequency].
+
+
+
+
+
+
+
+ the organization assigns a risk designation to all positions within the organization
+
+
+ the organization establishes a screening criteria for individuals filling organizational positions
+
+
+ the organization defines the frequency of risk designation reviews and updates for organizational positions
+
+
+ the organization reviews and revises position risk designations in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PS-3
+ Personnel Screening
+
+
+ The organization:
+
+ Screens individuals prior to authorizing access to the information system; and
+ Rescreens individuals according to [Assignment: organization-defined list of conditions requiring rescreening and, where re-screening is so indicated, the frequency of such rescreening].
+
+
+
+
+
+
+
+ The organization ensures that every user accessing an information system processing, storing, or transmitting classified information is cleared and indoctrinated to the highest classification level of the information on the system.
+
+
+
+
+
+
+the organization ensures that every user accessing an information system processing, storing, or transmitting classified information is cleared to the highest classification level of the information on the system
+
+
+the organization ensures that every user accessing an information system processing, storing, or transmitting classified information is indoctrinated to the highest classification level of the information on the system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that every user accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, is formally indoctrinated for all of the relevant types of information on the system.
+
+
+
+
+
+
+the organization formally indoctrinates every user accessing an information system that processes, stores, or transmits types of classified information requiring formal indoctrination for all of the relevant types of information on the system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization screens individuals prior to authorizing access to the information system
+
+
+ the organization defines conditions requiring re-screening and, where re-screening is so indicated, the frequency of such re-screening
+
+
+ the organization re-screens individuals according to organization-defined conditions requiring re-screening and, where re-screening is so indicated, the organization-defined frequency of such re-screening
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PS-4
+ Personnel Termination
+
+
+ The organization, upon termination of individual employment:
+
+ Terminates information system access;
+ Conducts exit interviews;
+ Retrieves all security-related organizational information system-related property; and
+ Retains access to organizational information and information systems formerly controlled by terminated individual.
+
+
+
+
+
+
+
+ the organization terminates information system access upon termination of individual employment
+
+
+ the organization conducts exit interviews of terminated personnel
+
+
+ the organization retrieves all security-related organizational information system-related property from terminated personnel
+
+
+ the organization retains access to organizational information and information systems formerly controlled by terminated personnel
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PS-5
+ Personnel Transfer
+
+
+ The organization reviews logical and physical access authorizations to information systems/facilities when personnel are reassigned or transferred to other positions within the organization and initiates [Assignment: organization-defined transfer or reassignment actions] within [Assignment: organization-defined time period following the formal transfer action].
+
+
+
+
+
+
+ the organization reviews logical and physical access authorizations to information systems/facilities when personnel are reassigned or transferred to other positions within the organization
+
+
+ the organization defines the transfer or reassignment actions and the time period within which the actions must occur following formal transfer or reassignment
+
+
+ the organization initiates the organization-defined transfer or reassignment actions within an organization-defined time period following formal transfer or reassignment
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PS-6
+ Access Agreements
+
+
+ The organization:
+
+ Ensures that individuals requiring access to organizational information and information systems sign appropriate access agreements prior to being granted access; and
+ Reviews/updates the access agreements [Assignment: organization-defined frequency].
+
+
+
+
+
+
+
+ The organization ensures that access to information with special protection measures is granted only to individuals who:
+
+ Have a valid access authorization that is demonstrated by assigned official government duties; and
+ Satisfy associated personnel security criteria.
+
+
+
+
+
+
+
+the organization grants access to information with special protection measures only to individuals who:
+-have a valid access authorization that is demonstrated by assigned official government duties; and
+-satisfy associated personnel security criteria
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that access to classified information with special protection measures is granted only to individuals who:
+
+ Have a valid access authorization that is demonstrated by assigned official government duties;
+ Satisfy associated personnel security criteria; and
+ Have read, understand, and signed a nondisclosure agreement.
+
+
+
+
+
+
+
+the organization grants access to classified information with special protection measures only to individuals who:
+-have a valid access authorization that is demonstrated by assigned official government duties;
+-satisfy associated personnel security criteria; and
+-have read, understood, and signed a nondisclosure agreement
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization identifies appropriate access agreements for individuals requiring access to organizational information and information systems
+
+
+ individuals requiring access to organizational information and information systems sign appropriate access agreements prior to being granted access
+
+
+ the organization defines the frequency of reviews/updates for access agreements
+
+
+ the organization reviews/updates the access agreements in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PS-7
+ Third-party Personnel Security
+
+
+ The organization:
+
+ Establishes personnel security requirements including security roles and responsibilities for third-party providers;
+ Documents personnel security requirements; and
+ Monitors provider compliance.
+
+
+
+
+
+
+
+ the organization establishes personnel security requirements, including security roles and responsibilities, for third-party providers
+
+
+ the organization documents personnel security requirements for third-party providers
+
+
+ the organization monitors third-party provider compliance with personnel security requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PS-8
+ Personnel Sanctions
+
+
+ The organization employs a formal sanctions process for personnel failing to comply with established information security policies and procedures.
+
+
+
+
+
+
+ the organization employs a formal sanctions process for personnel failing to comply with established information security policies and procedures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ RA-1
+ Risk Assessment Policy and Procedures
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented risk assessment policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls.
+
+
+
+
+
+
+
+ the organization develops and formally documents risk assessment policy
+
+
+ the organization risk assessment policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented risk assessment policy to elements within the organization having associated risk assessment roles and responsibilities
+
+
+ the organization develops and formally documents risk assessment procedures
+
+
+ the organization risk assessment procedures facilitate implementation of the risk assessment policy and associated risk assessment controls
+
+
+ the organization disseminates formal documented risk assessment procedures to elements within the organization having associated risk assessment roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of risk assessment policy reviews/updates
+
+
+ the organization reviews/updates risk assessment policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of risk assessment procedure reviews/updates
+
+
+ the organization reviews/updates risk assessment procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ RA-2
+ Security Categorization
+
+
+ The organization:
+
+ Categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+ Documents the security categorization results (including supporting rationale) in the security plan for the information system; and
+ Ensures the security categorization decision is reviewed and approved by the authorizing official or authorizing official designated representative.
+
+
+
+
+
+
+
+ the organization categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance
+
+
+ the organization documents the security categorization results (including supporting rationale) in the security plan for the information system
+
+
+ the authorizing official or authorizing official designated representative reviews and approves the security categorization decision
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ RA-3
+ Risk Assessment
+
+
+ The organization:
+
+ Conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of the information system and the information it processes, stores, or transmits;
+ Documents risk assessment results in [Selection: security plan; risk assessment report; [Assignment: organization-defined document]];
+ Reviews risk assessment results [Assignment: organization-defined frequency]; and
+ Updates the risk assessment [Assignment: organization-defined frequency] or whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security state of the system.
+
+
+
+
+
+
+
+ the organization conducts an assessment of risk of the information system and the information it processes, stores, or transmits that includes the likelihood and magnitude of harm, from the unauthorized:
+-access;
+-use;
+-disclosure;
+-disruption;
+-modification; or
+-destruction
+
+
+ the organization defines the document in which risk assessment results are documented, selecting from the security plan, risk assessment report, or other organization-defined document
+
+
+ the organization documents risk assessment results in the organization-defined document
+
+
+ the organization defines the frequency for review of the risk assessment results
+
+
+ the organization reviews risk assessment results in accordance with the organization-defined frequency
+
+
+ the organization defines the frequency that risk assessments are updated
+
+
+ the organization updates the risk assessment in accordance with the organization-defined frequency or whenever there are significant changes to the information system or environment of operation, or other conditions that may impact the security state of the system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ RA-4
+ Risk Assessment Update
+
+
+ [Withdrawn: Incorporated into RA-3].
+
+
+
+
+ RA-5
+ Vulnerability Scanning
+
+
+ The organization:
+
+ Scans for vulnerabilities in the information system and hosted applications [Assignment: organization-defined frequency and/or randomly in accordance with organization-defined process] and when new vulnerabilities potentially affecting the system/applications are identified and reported;
+ Employs vulnerability scanning tools and techniques that promote interoperability among tools and automate parts of the vulnerability management process by using standards for:
+ Enumerating platforms, software flaws, and improper configurations;
+ Formatting and making transparent, checklists and test procedures; and
+ Measuring vulnerability impact;
+
+
+ Analyzes vulnerability scan reports and results from security control assessments;
+ Remediates legitimate vulnerabilities [Assignment: organization-defined response times] in accordance with an organizational assessment of risk; and
+ Shares information obtained from the vulnerability scanning process and security control assessments with designated personnel throughout the organization to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).
+
+
+
+
+
+
+
+ The organization employs vulnerability scanning tools that include the capability to readily update the list of information system vulnerabilities scanned.
+
+
+
+
+
+
+the organization uses vulnerability scanning tools that have the capability to readily update the list of information system vulnerabilities scanned
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization updates the list of information system vulnerabilities scanned [Assignment: organization-defined frequency] or when new vulnerabilities are identified and reported.
+
+
+
+
+
+
+the organization defines the frequency of updates for information system vulnerabilities scanned
+
+
+the organization updates the list of information system vulnerabilities scanned in accordance with the organization-defined frequency or when new vulnerabilities are identified and reported
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs vulnerability scanning procedures that can demonstrate the breadth and depth of coverage (i.e., information system components scanned and vulnerabilities checked).
+
+
+
+
+
+
+the organization employs vulnerability scanning procedures that can demonstrate the breadth of coverage (i.e., information system components scanned)
+
+
+the organization employs vulnerability scanning procedures that can demonstrate the depth of coverage (i.e., vulnerabilities checked)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization attempts to discern what information about the information system is discoverable by adversaries.
+
+
+
+
+
+
+the organization attempts to discern what information about the information system is discoverable by adversaries
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization includes privileged access authorization to [Assignment: organization-identified information system components] for selected vulnerability scanning activities to facilitate more thorough scanning.
+
+
+
+
+
+
+the organization defines the list of information system components to which privileged access is authorized for selected vulnerability scanning activities
+
+
+the organization includes privileged access authorization to organization-defined information system components identified for selected vulnerability scanning activities to facilitate more thorough scanning
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.
+
+
+
+
+
+
+the organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms [Assignment: organization-defined frequency] to detect the presence of unauthorized software on organizational information systems and notify designated organizational officials.
+
+
+
+
+
+
+the organization defines the frequency for employing automated mechanisms to detect the presence of unauthorized software on organizational information systems and notify designated organizational officials
+
+
+the organization employs automated mechanisms to detect the presence of unauthorized software on organizational information systems and notify designated officials in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.
+
+
+
+
+
+
+the organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs an independent penetration agent or penetration team to:
+
+ Conduct a vulnerability analysis on the information system; and
+ Perform penetration testing on the information system based on the vulnerability analysis to determine the exploitability of identified vulnerabilities.
+
+
+
+
+
+
+
+the organization employs an independent penetration agent or penetration team to:
+-conduct a vulnerability analysis on the information system; and
+-perform penetration testing on the information system based on the vulnerability analysis to determine the exploitability of identified vulnerabilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines:
+-the frequency for conducting vulnerability scans on the information system and hosted applications and/or;
+-the organization-defined process for conducting random vulnerability scans on the information system and hosted applications
+
+
+ the organization scans for vulnerabilities in the information system and hosted applications in accordance with the organization-defined frequency and/or the organization-defined process for random scans
+
+
+ the organization scans for vulnerabilities in the information system and hosted applications when new vulnerabilities potentially affecting the system/applications are identified and reported
+
+
+ the organization employs vulnerability scanning tools and techniques that use standards to promote interoperability among tools and automate parts of the vulnerability management process that focus on:
+-enumerating platforms, software flaws, and improper configurations;
+-formatting/and making transparent checklists and test procedures; and
+-measuring vulnerability impact
+
+
+ the organization analyzes vulnerability scan reports and results from security control assessments
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the response times for remediating legitimate vulnerabilities in accordance with an organizational assessment of risk
+
+
+ the organization remediates legitimate vulnerabilities in accordance with organization-defined response times
+
+
+ the organization shares information obtained from the vulnerability scanning process and security control assessments with designated personnel throughout the organization to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-1
+ System and Services Acquisition Policy and Procedures
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented system and services acquisition policy that includes information security considerations and that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls.
+
+
+
+
+
+
+
+ the organization develops and formally documents system services and acquisition policy
+
+
+ the organization system services and acquisition policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented system services and acquisition policy to elements within the organization having associated system services and acquisition roles and responsibilities
+
+
+ the organization develops and formally documents system services and acquisition procedures
+
+
+ the organization system services and acquisition procedures facilitate implementation of the system and services acquisition policy and associated system services and acquisition controls
+
+
+ the organization disseminates formal documented system services and acquisition procedures to elements within the organization having associated system services and acquisition roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of system services and acquisition policy reviews/updates
+
+
+ the organization reviews/updates system services and acquisition policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of system services and acquisition procedure reviews/updates
+
+
+ the organization reviews/updates system services and acquisition procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-2
+ Allocation of Resources
+
+
+ The organization:
+
+ Includes a determination of information security requirements for the information system in mission/business process planning;
+ Determines, documents, and allocates the resources required to protect the information system as part of its capital planning and investment control process; and
+ Establishes a discrete line item for information security in organizational programming and budgeting documentation.
+
+
+
+
+
+
+
+ the organization includes a determination of the information security requirements for the information system in mission/business process planning
+
+
+ the organization determines, documents, and allocates the resources required to protect the information system as part of its capital planning and investment control process
+
+
+ the organization establishes a discrete line item for information security in organizational programming and budgeting documentation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-3
+ Life Cycle Support
+
+
+ The organization:
+
+ Manages the information system using a system development life cycle methodology that includes information security considerations;
+ Defines and documents information system security roles and responsibilities throughout the system development life cycle; and
+ Identifies individuals having information system security roles and responsibilities.
+
+
+
+
+
+
+
+ the organization manages the information system using a system development life cycle methodology that includes information security considerations
+
+
+ the organization defines and documents information system security roles and responsibilities throughout the system development life cycle
+
+
+ the organization identifies individuals having information system security roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-4
+ Acquisitions
+
+
+ The organization includes the following requirements and/or specifications, explicitly or by reference, in information system acquisition contracts based on an assessment of risk and in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards:
+
+ Security functional requirements/specifications;
+ Security-related documentation requirements; and
+ Developmental and evaluation-related assurance requirements.
+
+
+
+
+
+
+
+ The organization requires in acquisition documents that vendors/contractors provide information describing the functional properties of the security controls to be employed within the information system, information system components, or information system services in sufficient detail to permit analysis and testing of the controls.
+
+
+
+
+
+
+the organization requires in acquisition documents that vendors/contractors provide information describing in the functional properties of the security controls to be employed within the information system, information system components, or information system services in sufficient detail to permit analysis and testing of the controls
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires in acquisition documents that vendors/contractors provide information describing the design and implementation details of the security controls to be employed within the information system, information system components, or information system services (including functional interfaces among control components) in sufficient detail to permit analysis and testing of the controls.
+
+
+
+
+
+
+the organization requires in acquisition documents that vendors/contractors provide information describing the design and implementation details of the security controls to be employed within the information system, information system components, or information system services (including functional interfaces among control components) in sufficient detail to permit analysis and testing of the controls
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires software vendors/manufacturers to demonstrate that their software development processes employ state-of-the-practice software and security engineering methods, quality control processes, and validation techniques to minimize flawed or malformed software.
+
+
+
+
+
+
+the organization requires software vendors/manufacturers to minimize flawed or malformed software by demonstrating that their software development processes employ:
+-state-of-the-practice software and security engineering methods;
+-quality control processes; and
+-validation techniques
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures that each information system component acquired is explicitly assigned to an information system, and that the owner of the system acknowledges this assignment.
+
+
+
+
+
+
+the organization explicitly assigns each acquired information system component to an information system
+
+
+the owner of the system acknowledges each assignment of information system components to the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires in acquisition documents, that information system components are delivered in a secure, documented configuration, and that the secure configuration is the default configuration for any software reinstalls or upgrades.
+
+
+
+
+
+
+the organization requires in acquisition documents that information system components are delivered in a secure, documented configuration
+
+
+the organization requires in acquisition documents that the secure configuration is the default configuration for any software reinstalls or upgrades
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that composes an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and
+ Ensures that these products have been evaluated and/or validated by the NSA or in accordance with NSA-approved procedures.
+
+
+
+
+
+
+
+the organization employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted
+
+
+the organization ensures that these products have been evaluated and/or validated by the NSA or in accordance with NSA-approved procedures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Limits the use of commercially provided information technology products to those products that have been successfully evaluated against a validated U.S. Government Protection Profile for a specific technology type, if such a profile exists; and
+ Requires, if no U.S. Government Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, then the cryptographic module is FIPS-validated.
+
+
+
+
+
+
+
+the organization limits the use of commercially-provided information technology products to those products that have been successfully evaluated against a validated U.S. Government Protection Profile for a specific technology type, if such a profile exists
+
+
+the organization requires a commercially-provided information technology product to rely on cryptographic functionality to enforce its security policy when no U.S. Government Protection Profile exists for such a specific technology type
+
+
+the organization requires the use of a FIPS-validated, cryptographic module for a technology product that relies on cryptographic functionality to enforce its security policy when no U.S. Government Protection Profile exists for such a specific technology type
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization includes the following requirements and/or specifications, explicitly or by reference, in information system acquisition contracts based on an assessment of risk and in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards:
+-security functional requirements/specifications;
+-security-related documentation requirements; and
+-developmental and evaluation-related assurance requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-5
+ Information System Documentation
+
+
+ The organization:
+
+ Obtains, protects as required, and makes available to authorized personnel, administrator documentation for the information system that describes:
+ Secure configuration, installation, and operation of the information system;
+ Effective use and maintenance of security features/functions; and
+ Known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions; and
+
+
+ Obtains, protects as required, and makes available to authorized personnel, user documentation for the information system that describes:
+ User-accessible security features/functions and how to effectively use those security features/functions;
+ Methods for user interaction with the information system, which enables individuals to use the system in a more secure manner; and
+ User responsibilities in maintaining the security of the information and information system; and
+
+
+ Documents attempts to obtain information system documentation when such documentation is either unavailable or nonexistent.
+
+
+
+
+
+
+
+ The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the functional properties of the security controls employed within the information system with sufficient detail to permit analysis and testing.
+
+
+
+
+
+
+the organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the functional properties of the security controls employed within the information system with sufficient detail to permit analysis and testing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the security-relevant external interfaces to the information system with sufficient detail to permit analysis and testing.
+
+
+
+
+
+
+the organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the security-relevant external interfaces to the information system with sufficient detail to permit analysis and testing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the high-level design of the information system in terms of subsystems and implementation details of the security controls employed within the system with sufficient detail to permit analysis and testing.
+
+
+
+
+
+
+the organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the high-level design of the information system in terms of subsystems and implementation details of the security controls employed within the system with sufficient detail to permit analysis and testing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the low-level design of the information system in terms of modules and implementation details of the security controls employed within the system with sufficient detail to permit analysis and testing.
+
+
+
+
+
+
+the organization obtains, protects as required, and makes available to authorized personnel, vendor/manufacturer documentation that describes the low-level design of the information system in terms of modules and implementation details of the security controls employed within the system with sufficient detail to permit analysis and testing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization obtains, protects as required, and makes available to authorized personnel, the source code for the information system to permit analysis and testing.
+
+
+
+
+
+
+the organization obtains, protects as required, and makes available to authorized personnel, the source code for the information system to permit analysis and testing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization obtains, protects as required, and makes available to authorized personnel, administrator documentation for the information system that describes:
+-secure configuration, installation, and operation of the information system;
+-effective use and maintenance of the security features/functions; and
+-known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions
+
+
+ the organization obtains, protects as required, and makes available to authorized personnel, user documentation for the information system that describes:
+-user-accessible security features/functions and how to effectively use those security features/functions;
+-methods for user interaction with the information system, which enables individuals to use the system in a more secure manner; and
+-user responsibilities in maintaining the security of the information and information system
+
+
+ the organization documents attempts to obtain information system documentation when such documentation is either unavailable or nonexistent
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-6
+ Software Usage Restrictions
+
+
+ The organization:
+
+ Uses software and associated documentation in accordance with contract agreements and copyright laws;
+ Employs tracking systems for software and associated documentation protected by quantity licenses to control copying and distribution; and
+ Controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.
+
+
+
+
+
+
+
+ The organization:
+
+ Prohibits the use of binary or machine executable code from sources with limited or no warranty without accompanying source code; and
+ Provides exceptions to the source code requirement only for compelling mission/operational requirements when no alternative solutions are available and with the express written consent of the authorizing official.
+
+
+
+
+
+
+
+the organization prohibits the use of binary or machine executable code from sources with limited or no warranty without accompanying source code
+
+
+the organization provides exceptions to the source code requirement only when no alternative solutions are available to support compelling mission/operational requirements
+
+
+the organization obtains express written consent of the authorizing official for exceptions to the source code requirement
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization uses software and associated documentation in accordance with contract agreements and copyright laws
+
+
+ the organization employs tracking systems for software and associated documentation protected by quantity licenses to control copying and distribution
+
+
+ the organization controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-7
+ User-installed Software
+
+
+ The organization enforces explicit rules governing the installation of software by users.
+
+
+
+
+
+
+ the organization identifies and documents (as appropriate) explicit rules to be enforced when governing the installation of software by users
+
+
+ the organization (or information system) enforces explicit rules governing the installation of software by users
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-8
+ Security Engineering Principles
+
+
+ The organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system.
+
+
+
+
+
+
+ the organization applies information system security engineering principles in the specification of the information system
+
+
+ the organization applies information system security engineering principles in the design of the information system
+
+
+ the organization applies information system security engineering principles in the development of the information system
+
+
+ the organization applies information system security engineering principles in the implementation of the information system
+
+
+ the organization applies information system security engineering principles in the modification of the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-9
+ External Information System Services
+
+
+ The organization:
+
+ Requires that providers of external information system services comply with organizational information security requirements and employ appropriate security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+ Defines and documents government oversight and user roles and responsibilities with regard to external information system services; and
+ Monitors security control compliance by external service providers.
+
+
+
+
+
+
+
+ The organization:
+
+ Conducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services; and
+ Ensures that the acquisition or outsourcing of dedicated information security services is approved by [Assignment: organization-defined senior organizational official].
+
+
+
+
+
+
+
+the organization conducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services
+
+
+the organization defines the senior organizational official designated to approve the acquisition or outsourcing of dedicated information security services
+
+
+the designated senior organizational official approves the acquisition or outsourcing of dedicated information security services
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization requires that providers of external information system services comply with organizational information security requirements and employ appropriate security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance
+
+
+ the organization defines and documents government oversight, and user roles and responsibilities with regard to external information system services
+
+
+ the organization monitors security control compliance by external service providers
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-10
+ Developer Configuration Management
+
+
+ The organization requires that information system developers/integrators:
+
+ Perform configuration management during information system design, development, implementation, and operation;
+ Manage and control changes to the information system;
+ Implement only organization-approved changes;
+ Document approved changes to the information system; and
+ Track security flaws and flaw resolution.
+
+
+
+
+
+
+
+ The organization requires that information system developers/integrators provide an integrity check of software to facilitate organizational verification of software integrity after delivery.
+
+
+
+
+
+
+the organization requires that information system developers/integrators provide an integrity check of software to facilitate organizational verification of software integrity after delivery
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization provides an alternative configuration management process with organizational personnel in the absence of dedicated developer/integrator configuration management team.
+
+
+
+
+
+
+the organization provides an alternative configuration management process with organizational personnel in the absence of a dedicated developer/integrator configuration management team
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization requires that information system developers/integrators perform configuration management during information system:
+-design;
+-development;
+-implementation; and
+-operation
+
+
+ manage and control changes to the information system during:
+- design
+- development
+- implementation; and
+- modification
+
+
+ implement only organization-approved changes
+
+
+ document approved changes to the information system; and
+
+
+ track security flaws and flaw resolution
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-11
+ Developer Security Testing
+
+
+ The organization requires that information system developers/integrators, in consultation with associated security personnel (including security engineers):
+
+ Create and implement a security test and evaluation plan;
+ Implement a verifiable flaw remediation process to correct weaknesses and deficiencies identified during the security testing and evaluation process; and
+ Document the results of the security testing/evaluation and flaw remediation processes.
+
+
+
+
+
+
+
+ The organization requires that information system developers/integrators employ code analysis tools to examine software for common flaws and document the results of the analysis.
+
+
+
+
+
+
+the organization requires that information system developers/integrators employ code analysis tools to examine software for common flaws
+
+
+the organization requires that information system developers/integrators document the results of the analysis
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires that information system developers/integrators perform a vulnerability analysis to document vulnerabilities, exploitation potential, and risk mitigations.
+
+
+
+
+
+
+the organization requires that information system developers/integrators perform a vulnerability analysis to document vulnerabilities, exploitation potential, and risk mitigations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires that information system developers/integrators create a security test and evaluation plan and implement the plan under the witness of an independent verification and validation agent.
+
+
+
+
+
+
+the organization requires that information system developers/integrators create a security test and evaluation plan
+
+
+the organization requires that information system developers/integrators implement the plan under the witness of an independent verification and validation agent
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization requires that information system developers/integrators, in consultation with associated security personnel (including security engineers):
+-create and implement a security test and evaluation plan;
+-implement a verifiable flaw remediation process to correct weaknesses and deficiencies identified during the security testing and evaluation process; and
+-document the results of the security testing/evaluation and flaw remediation processes
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-12
+ Supply Chain Protection
+
+
+ The organization protects against supply chain threats by employing: [Assignment: organization-defined list of measures to protect against supply chain threats] as part of a comprehensive, defense-in-breadth information security strategy.
+
+
+
+
+
+
+ The organization purchases all anticipated information system components and spares in the initial acquisition.
+
+
+
+
+
+
+the organization purchases all anticipated information system components and spares in the initial acquisition
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization conducts a due diligence review of suppliers prior to entering into contractual agreements to acquire information system hardware, software, firmware, or services.
+
+
+
+
+
+
+the organization conducts a due diligence review of suppliers prior to entering into contractual agreements to acquire information system hardware, software, firmware, or services
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization uses trusted shipping and warehousing for information systems, information system components, and information technology products.
+
+
+
+
+
+
+the organization uses trusted shipping and warehousing for:
+- information systems;
+- information system components; and
+- information technology products
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs a diverse set of suppliers for information systems, information system components, information technology products, and information system services.
+
+
+
+
+
+
+the organization employs a diverse set of suppliers for:
+-information systems;
+-information system components;
+-information technology products; and
+- information system services
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs standard configurations for information systems, information system components, and information technology products.
+
+
+
+
+
+
+the organization employs standard configurations for:
+-information systems;
+-information system components; and
+-information technology products;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization minimizes the time between purchase decisions and delivery of information systems, information system components, and information technology products.
+
+
+
+
+
+
+the organization minimizes the time between purchase decisions and delivery of:
+-information systems;
+-information system components; and
+-information technology products
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs independent analysis and penetration testing against delivered information systems, information system components, and information technology products.
+
+
+
+
+
+
+the organization employs independent analysis and penetration testing against delivered:
+-information systems;
+-information system components; and
+-information technology products
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the measures to be employed to protect against supply chain threats
+
+
+ the organization protects against supply chain threats by employing organizationdefined measures as part of a comprehensive, defense-in-breadth information security strategy
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-13
+ Trustworthiness
+
+
+ The organization requires that the information system meets [Assignment: organization-defined level of trustworthiness].
+
+
+
+
+
+
+ the organization defines the organization's level of trustworthiness
+
+
+ the organization requires that the information system meet the organization-defined level of trustworthiness
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SA-14
+ Critical Information System Components
+
+
+ The organization:
+
+ Determines [Assignment: organization-defined list of critical information system components that require re-implementation]; and
+ Re-implements or custom develops such information system components.
+
+
+
+
+
+
+
+ The organization:
+
+ Identifies information system components for which alternative sourcing is not viable; and
+ Employs [Assignment: organization-defined measures] to ensure that critical security controls for the information system components are not compromised.
+
+
+
+
+
+
+
+the organization identifies information system components for which alternative sourcing is not viable
+
+
+the organization defines the measures to be employed to prevent critical security controls for information system components from being compromised
+
+
+the organization employs organization-defined measures to ensure that critical security controls for information system components are not compromised
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the critical information system components that require reimplementation
+
+
+ the organization re-implements organization-defined critical information system components
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-1
+ System and Communications Protection Policy and Procedures
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented system and communications protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls.
+
+
+
+
+
+
+
+ the organization develops and formally documents system and communications protection policy
+
+
+ the organization system and communications protection policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented system and communications protection policy to elements within the organization having associated system and communications protection roles and responsibilities
+
+
+ the organization develops and formally documents system and communications protection procedures
+
+
+ the organization system and communications protection procedures facilitate implementation of the system and communications protection policy and associated system and communications protection controls
+
+
+ the organization disseminates formal documented system and communications protection procedures to elements within the organization having associated system and communications protection roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of system and communications protection policy reviews/updates
+
+
+ the organization reviews/updates system and communications protection policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of system and communications protection procedure reviews/updates
+
+
+ the organization reviews/updates system and communications protection procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-2
+ Application Partitioning
+
+
+ The information system separates user functionality (including user interface services) from information system management functionality.
+
+
+
+
+
+
+ The information system prevents the presentation of information system management-related functionality at an interface for general (i.e., non-privileged) users.
+
+
+
+
+
+
+the information system prevents the presentation of information system management-related functionality at an interface for general (i.e., non-privileged) users
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system separates user functionality (including user interface services) from information system management functionality
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-3
+ Security Function Isolation
+
+
+ The information system isolates security functions from nonsecurity functions.
+
+
+
+
+
+
+ The information system implements underlying hardware separation mechanisms to facilitate security function isolation.
+
+
+
+
+
+
+the information system implements underlying hardware separation mechanisms to facilitate security function isolation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system isolates security functions enforcing access and information flow control from both nonsecurity functions and from other security functions.
+
+
+
+
+
+
+the information system isolates security functions enforcing access and information flow control from both nonsecurity functions and other security functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization implements an information system isolation boundary to minimize the number of nonsecurity functions included within the boundary containing security functions.
+
+
+
+
+
+
+the organization implements an information system isolation boundary to minimize the number of nonsecurity functions included within the boundary containing security functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization implements security functions as largely independent modules that avoid unnecessary interactions between modules.
+
+
+
+
+
+
+the organization implements security functions as largely independent modules that avoid unnecessary interactions between modules
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization implements security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers.
+
+
+
+
+
+
+the organization implements security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the security functions of the information system to be isolated from nonsecurity functions
+
+
+ the information system isolates security functions from nonsecurity functions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-4
+ Information In Shared Resources
+
+
+ The information system prevents unauthorized and unintended information transfer via shared system resources.
+
+
+
+
+
+
+ The information system does not share resources that are used to interface with systems operating at different security levels.
+
+
+
+
+
+
+the information system does not share resources that are used to interface with systems operating at different security levels
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system prevents unauthorized and unintended information transfer via shared system resources
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-5
+ Denial of Service Protection
+
+
+ The information system protects against or limits the effects of the following types of denial of service attacks: [Assignment: organization-defined list of types of denial of service attacks or reference to source for current list].
+
+
+
+
+
+
+ The information system restricts the ability of users to launch denial of service attacks against other information systems or networks.
+
+
+
+
+
+
+the information system restricts the ability of users to launch denial of service attacks against other information systems or networks
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system manages excess capacity, bandwidth, or other redundancy to limit the effects of information flooding types of denial of service attacks.
+
+
+
+
+
+
+the information system manages excess capacity, bandwidth, or other redundancy to limit the effects of information flooding types of denial of service attacks
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the types of denial of service attacks (or provides references to sources of current denial of service attacks) that can be addressed by the information system
+
+
+ the information system protects against or limits the effects of the organization-defined or referenced types of denial of service attacks
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-6
+ Resource Priority
+
+
+ The information system limits the use of resources by priority.
+
+
+
+
+
+
+ the information system limits the use of resources by priority
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-7
+ Boundary Protection
+
+
+ The information system:
+
+ Monitors and controls communications at the external boundary of the system and at key internal boundaries within the system; and
+ Connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.
+
+
+
+
+
+
+
+ The organization physically allocates publicly accessible information system components to separate subnetworks with separate physical network interfaces.
+
+
+
+
+
+
+the organization physically allocates publicly accessible information system components to separate subnetworks with separate, physical network interfaces
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system prevents public access into the organizations internal networks except as appropriately mediated by managed interfaces employing boundary protection devices.
+
+
+
+
+
+
+the organization defines the mediation necessary for public access to the organization's internal networks
+
+
+the information system prevents public access into the organization's internal networks except as appropriately mediated by managed interfaces employing boundary protection devices
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization limits the number of access points to the information system to allow for more comprehensive monitoring of inbound and outbound communications and network traffic.
+
+
+
+
+
+
+the organization limits the number of access points to the information system to allow for more comprehensive monitoring of inbound and outbound communications and network traffic
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Implements a managed interface for each external telecommunication service;
+ Establishes a traffic flow policy for each managed interface;
+ Employs security controls as needed to protect the confidentiality and integrity of the information being transmitted;
+ Documents each exception to the traffic flow policy with a supporting mission/business need and duration of that need;
+ Reviews exceptions to the traffic flow policy [Assignment: organization-defined frequency]; and
+ Removes traffic flow policy exceptions that are no longer supported by an explicit mission/business need.
+
+
+
+
+
+
+
+the organization defines the frequency for reviewing exceptions to traffic flow policy
+
+
+the organization implements a managed interface for each external telecommunication service
+
+
+the organization establishes a traffic flow policy for each managed interface
+
+
+the organization employs security controls as needed to protect the confidentiality and integrity of the information being transmitted
+
+
+the organization documents each exception to the traffic flow policy with a supporting mission/business need and duration of that need
+
+
+the organization reviews exceptions to the traffic flow policy in accordance with the organization-defined frequency
+
+
+the organization removes traffic flow policy exceptions that are no longer supported by an explicit mission/business need
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system at managed interfaces, denies network traffic by default and allows network traffic by exception (i.e., deny all, permit by exception).
+
+
+
+
+
+
+the information system, at managed interfaces, denies network traffic by default
+
+
+the information system, at managed interfaces, allows network traffic by exception
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization prevents the unauthorized release of information outside of the information system boundary or any unauthorized communication through the information system boundary when there is an operational failure of the boundary protection mechanisms.
+
+
+
+
+
+
+the organization prevents the unauthorized release of information outside of the information system boundary
+
+
+the organization prevents any unauthorized communication through the information system boundary when there is an operational failure of the boundary protection mechanisms
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system prevents remote devices that have established a non-remote connection with the system from communicating outside of that communications path with resources in external networks.
+
+
+
+
+
+
+the information system prevents remote devices that have established a non-remote connection with the system from communicating outside of that communications path with resources in external networks
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system routes [Assignment: organization-defined internal communications traffic] to [Assignment: organization-defined external networks] through authenticated proxy servers within the managed interfaces of boundary protection devices.
+
+
+
+
+
+
+the organization defines the internal communications traffic to be routed to external networks
+
+
+the organization defines the external networks to which the organization-defined internal communications traffic should be routed
+
+
+the information system routes organization-defined internal communications traffic to organization-defined external networks through authenticated proxy servers within the managed interfaces of boundary protection devices
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system, at managed interfaces, denies network traffic and audits internal users (or malicious code) posing a threat to external information systems.
+
+
+
+
+
+
+the information system, at managed interfaces, denies network traffic
+
+
+the information system audits internal users (or malicious code) posing a threat to external information systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization prevents the unauthorized exfiltration of information across managed interfaces.
+
+
+
+
+
+
+the organization prevents the unauthorized exfiltration of information across managed interfaces
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system checks incoming communications to ensure that the communications are coming from an authorized source and routed to an authorized destination.
+
+
+
+
+
+
+the information system checks incoming communications to ensure:
+- the communications are coming from an authorized source; and
+-the communications are routed to an authorized destination
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system implements host-based boundary protection mechanisms for servers, workstations, and mobile devices.
+
+
+
+
+
+
+the information system implements host-based boundary protection mechanisms for:
+-servers;
+-workstations; and
+-mobile devices
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization isolates [Assignment: organization defined key information security tools, mechanisms, and support components] from other internal information system components via physically separate subnets with managed interfaces to other portions of the system.
+
+
+
+
+
+
+the organization defines the key information security tools, mechanisms, and support components to be isolated from other internal information system components
+
+
+the organization isolates organization-defined key information security tools, mechanisms, and support components from other internal information system components via physically separate subnets with managed interfaces to other portions of the system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization protects against unauthorized physical connections across the boundary protections implemented at [Assignment: organization-defined list of managed interfaces].
+
+
+
+
+
+
+the organization defines the managed interfaces where boundary protections are to be implemented
+
+
+the organization defines the measures to protect against unauthorized physical connections across boundary protections implemented at organization-defined managed interfaces
+
+
+the organization protects against unauthorized physical connections across the boundary protections implemented at organization-defined managed interfaces
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system routes all networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.
+
+
+
+
+
+
+the information system routes all networked, privileged accesses through a dedicated, managed interface for purpose of access control
+
+
+the information system routes all networked, privileged accesses through a dedicated, managed interface for purpose of auditing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system prevents discovery of specific system components (or devices) composing a managed interface.
+
+
+
+
+
+
+the information system prevents discovery of specific system components (or devices) composing a managed interface
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to enforce strict adherence to protocol format.
+
+
+
+
+
+
+the organization employs automated mechanisms to enforce strict adherence to protocol format
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system fails securely in the event of an operational failure of a boundary protection device.
+
+
+
+
+
+
+the information system fails securely in the event of an operational failure of a boundary protection device
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the external boundary of the information system
+
+
+ the organization defines key internal boundaries of the information system
+
+
+ the information system monitors and controls communications at the external boundary of the information system and at key internal boundaries within the system
+
+
+ the information system connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-8
+ Transmission Integrity
+
+
+ The information system protects the integrity of transmitted information.
+
+
+
+
+
+
+ The organization employs cryptographic mechanisms to recognize changes to information during transmission unless otherwise protected by alternative physical measures.
+
+
+
+
+
+
+the organization employs cryptographic mechanisms to recognize changes to information during transmission unless otherwise protected by alternative physical measures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system maintains the integrity of information during aggregation, packaging, and transformation in preparation for transmission.
+
+
+
+
+
+
+the information system in preparation for transmission maintains the integrity of information during:
+-aggregation;
+-packaging; and
+-transformation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system protects the integrity of transmitted information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-9
+ Transmission Confidentiality
+
+
+ The information system protects the confidentiality of transmitted information.
+
+
+
+
+
+
+ The organization employs cryptographic mechanisms to prevent unauthorized disclosure of information during transmission unless otherwise protected by [Assignment: organization-defined alternative physical measures].
+
+
+
+
+
+
+the organization optionally defines alternative physical measures to prevent unauthorized disclosure of information during transmission
+
+
+the organization employs cryptographic mechanisms to prevent unauthorized disclosure of information during transmission unless otherwise protected by organization-defined alternative physical measures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system maintains the confidentiality of information during aggregation, packaging, and transformation in preparation for transmission.
+
+
+
+
+
+
+the information system in preparation for transmission maintains the confidentiality of information during:
+-aggregation;
+-packaging; and
+-transformation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system protects the confidentiality of transmitted information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-10
+ Network Disconnect
+
+
+ The information system terminates the network connection associated with a communications session at the end of the session or after [Assignment: organization-defined time period] of inactivity.
+
+
+
+
+
+
+ the organization defines the time period of inactivity before the information system terminates a network connection associated with a communications session
+
+
+ the information system terminates a network connection associated with a communication session at the end of the session or after the organization-defined time period of inactivity
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-11
+ Trusted Path
+
+
+ The information system establishes a trusted communications path between the user and the following security functions of the system: [Assignment: organization-defined security functions to include at a minimum, information system authentication and reauthentication].
+
+
+
+
+
+
+ the organization defines the security functions within the information system to be included in a trusted communications path
+
+
+ the organization-defined security functions include information system authentication and reauthentication
+
+
+ the information system establishes a trusted communications path between the user and the organization-defined security functions within the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-12
+ Cryptographic Key Establishment and Management
+
+
+ The organization establishes and manages cryptographic keys for required cryptography employed within the information system.
+
+
+
+
+
+
+ The organization maintains availability of information in the event of the loss of cryptographic keys by users.
+
+
+
+
+
+
+the organization maintains availability of information in the event of the loss of cryptographic keys by users
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization produces, controls, and distributes symmetric cryptographic keys using [Selection: NIST-approved, NSA-approved] key management technology and processes.
+
+
+
+
+
+
+the organization defines whether it will use NIST-approved or NSA-approved key management technology and processes
+
+
+the organization produces, controls, and distributes symmetric cryptographic keys using the organization-defined key management technology and processes
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization produces, controls, and distributes symmetric and asymmetric cryptographic keys using NSA-approved key management technology and processes.
+
+
+
+
+
+
+the organization produces, controls, and distributes symmetric and asymmetric cryptographic keys using NSA-approved key management technology and processes
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization produces, controls, and distributes asymmetric cryptographic keys using approved PKI Class 3 certificates or prepositioned keying material.
+
+
+
+
+
+
+the organization produces, controls, and distributes asymmetric cryptographic keys using approved PKI Class 3 certificates or prepositioned keying material
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization produces, controls, and distributes asymmetric cryptographic keys using approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user's private key.
+
+
+
+
+
+
+the organization produces, controls, and distributes asymmetric cryptographic keys using approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user's private key
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization establishes and manages cryptographic keys for required cryptography employed within the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-13
+ Use of Cryptography
+
+
+ The information system implements required cryptographic protections using cryptographic modules that comply with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+
+
+
+
+
+
+ The organization employs, at a minimum, FIPS-validated cryptography to protect unclassified information.
+
+
+
+
+
+
+the organization employs, at a minimum, FIPS-validated cryptography to protect unclassified information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs NSA-approved cryptography to protect classified information.
+
+
+
+
+
+
+the organization employs NSA-approved cryptography to protect classified information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs, at a minimum, FIPS-validated cryptography to protect information when such information must be separated from individuals who have the necessary clearances yet lack the necessary access approvals.
+
+
+
+
+
+
+the organization employs, at a minimum, FIPS-validated cryptography to protect information when such information must be separated from individuals who have the necessary clearances yet lack the necessary access approvals
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs [Selection: FIPS-validated; NSA-approved] cryptography to implement digital signatures.
+
+
+
+
+
+
+the organization defines whether it will use NIST-approved or NSA-approved cryptography to implement digital signatures
+
+
+the organization employs the organization-defined cryptography to implement digital signatures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system implements cryptographic protections using cryptographic modules that comply with applicable laws, Executive Orders, directives, policies, regulations, standards, and guidance
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-14
+ Public Access Protections
+
+
+ The information system protects the integrity and availability of publicly available information and applications.
+
+
+
+
+
+
+ the information system protects the integrity and availability of publicly available information and applications
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-15
+ Collaborative Computing Devices
+
+
+ The information system:
+
+ Prohibits remote activation of collaborative computing devices with the following exceptions: [Assignment: organization-defined exceptions where remote activation is to be allowed]; and
+ Provides an explicit indication of use to users physically present at the devices.
+
+
+
+
+
+
+
+ The information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.
+
+
+
+
+
+
+the information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system or supporting environment blocks both inbound and outbound traffic between instant messaging clients that are independently configured by end users and external service providers.
+
+
+
+
+
+
+the information system or supporting environment blocks both inbound and outbound traffic between instant messaging clients that are independently configured by end users and external service providers
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization disables or removes collaborative computing devices from information systems in [Assignment: organization-defined secure work areas].
+
+
+
+
+
+
+the organization defines the secure work areas where collaborative computing devices are prohibited
+
+
+the organization disables or removes collaborative computing devices from information systems in organization-defined secure work areas
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines exceptions to the prohibiting of collaborative computing devices where remote activation is to be allowed
+
+
+ the organization prohibits remote activation of collaborative computing devices, excluding the organization-defined exceptions where remote activation is to be allowed
+
+
+ the organization provides an explicit indication of use to users physically present at the devices
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-16
+ Transmission of Security Attributes
+
+
+ The information system associates security attributes with information exchanged between information systems.
+
+
+
+
+
+
+ The information system validates the integrity of security attributes exchanged between systems.
+
+
+
+
+
+
+the information system validates the integrity of security attributes exchanged between systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system associates security attributes with information exchanged between information systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-17
+ Public Key Infrastructure Certificates
+
+
+ The organization issues public key certificates under an [Assignment: organization-defined certificate policy] or obtains public key certificates under an appropriate certificate policy from an approved service provider.
+
+
+
+
+
+
+ the organization defines a certificate policy for issuing public key certificates
+
+
+ the organization issues public key certificates under the organization-defined certificate policy or obtains public key certificates under a certificate policy from an approved service provider
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-18
+ Mobile Code
+
+
+ The organization:
+
+ Defines acceptable and unacceptable mobile code and mobile code technologies;
+ Establishes usage restrictions and implementation guidance for acceptable mobile code and mobile code technologies; and
+ Authorizes, monitors, and controls the use of mobile code within the information system.
+
+
+
+
+
+
+
+ The information system implements detection and inspection mechanisms to identify unauthorized mobile code and takes corrective actions, when necessary.
+
+
+
+
+
+
+the information system implements detection and inspection mechanisms to identify unauthorized mobile code
+
+
+the information system takes corrective action when unauthorized mobile code is identified
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization ensures the acquisition, development, and/or use of mobile code to be deployed in information systems meets [Assignment: organization-defined mobile code requirements].
+
+
+
+
+
+
+the organization defines requirements for the acquisition, development and/or use of mobile code
+
+
+the organization ensures the acquisition, development, and/or use of mobile code to be deployed in information systems meets the organization-defined mobile code requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system prevents the download and execution of prohibited mobile code.
+
+
+
+
+
+
+the information system prevents the download and execution of prohibited mobile code
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system prevents the automatic execution of mobile code in [Assignment: organization-defined software applications] and requires [Assignment: organization-defined actions] prior to executing the code.
+
+
+
+
+
+
+the organization defines software applications for which automatic mobile code execution is to be prohibited
+
+
+the organization defines actions required by the information system before executing mobile code
+
+
+the information system prevents the automatic execution of mobile code in the organization-defined software applications
+
+
+the information system requires organization-defined actions before executing mobile code
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines acceptable and unacceptable mobile code and mobile code technologies
+
+
+ the organization establishes usage restrictions and implementation guidance for acceptable mobile code and mobile code technologies
+
+
+ the organization authorizes, monitors, and controls the use of mobile code within the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-19
+ Voice Over Internet Protocol
+
+
+ The organization:
+
+ Establishes usage restrictions and implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously; and
+ Authorizes, monitors, and controls the use of VoIP within the information system.
+
+
+
+
+
+
+
+ the organization establishes usage restrictions and implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously
+
+
+ the organization authorizes, monitors, and controls the use of VoIP within the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-20
+ Secure Name / Address Resolution Service (Authoritative Source)
+
+
+ The information system provides additional data origin and integrity artifacts along with the authoritative data the system returns in response to name/address resolution queries.
+
+
+
+
+
+
+ The information system, when operating as part of a distributed, hierarchical namespace, provides the means to indicate the security status of child subspaces and (if the child supports secure resolution services) enable verification of a chain of trust among parent and child domains.
+
+
+
+
+
+
+the information system, when operating as part of a distributed, hierarchical namespace, provides the means to indicate the security status of child subspaces
+
+
+the information system, when operating as part of a distributed, hierarchical namespace, enable verification of a chain of trust among parent and child domains (if the child supports secure resolution services)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system provides additional data origin and integrity artifacts along with the authoritative data the system returns in response to name/address resolution queries
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-21
+ Secure Name / Address Resolution Service (Recursive Or Caching Resolver)
+
+
+ The information system performs data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources when requested by client systems.
+
+
+
+
+
+
+ The information system performs data origin authentication and data integrity verification on all resolution responses whether or not local clients explicitly request this service.
+
+
+
+
+
+
+the information system performs data origin authentication and data integrity verification on all resolution responses received whether or not client systems explicitly request this service
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system performs data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources when requested by client systems
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-22
+ Architecture and Provisioning for Name / Address Resolution Service
+
+
+ The information systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal/external role separation.
+
+
+
+
+
+
+ the information systems that collectively provide name/address resolution service for an organization are fault tolerant
+
+
+ the information systems that collectively provide name/address resolution service for an organization implement internal/external role separation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-23
+ Session Authenticity
+
+
+ The information system provides mechanisms to protect the authenticity of communications sessions.
+
+
+
+
+
+
+ The information system invalidates session identifiers upon user logout or other session termination.
+
+
+
+
+
+
+the information system invalidates session identifiers upon user logout or other session termination
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system provides a readily observable logout capability whenever authentication is used to gain access to web pages.
+
+
+
+
+
+
+the information system provides a readily observable logout capability whenever authentication is used to gain access to Web pages
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system generates a unique session identifier for each session and recognizes only session identifiers that are system-generated.
+
+
+
+
+
+
+the information system generates a unique session identifier for each session
+
+
+the information system recognizes only session identifiers that are system-generated
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system generates unique session identifiers with [Assignment: organization-defined randomness requirements].
+
+
+
+
+
+
+the organization defines requirements for randomly generating unique session identifiers
+
+
+the information system generates unique session identifiers in accordance with organization-defined randomness requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system provides mechanisms to protect the authenticity of communications sessions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-24
+ Fail In Known State
+
+
+ The information system fails to a [Assignment: organization-defined known-state] for [Assignment: organization-defined types of failures] preserving [Assignment: organization-defined system state information] in failure.
+
+
+
+
+
+
+ the organization defines the known-states the information system should fail to in the event of a system failure
+
+
+ the organization defines types of failures for which the information system should fail to an organization-defined known-state
+
+
+ the organization defines the system state information that should be preserved in the event of a system failure
+
+
+ the information system fails to an organization-defined known-state for an organization-defined type of failure
+
+
+ the information system preserves organization-defined system state information in the event of a system failure
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-25
+ Thin Nodes
+
+
+ The information system employs processing components that have minimal functionality and information storage.
+
+
+
+
+
+
+ the information system employs processing components that have minimal functionality and information storage
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-26
+ Honeypots
+
+
+ The information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.
+
+
+
+
+
+
+ The information system includes components that proactively seek to identify web-based malicious code.
+
+
+
+
+
+
+the information system includes components that proactively seek to identify Web-based malicious code
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-27
+ Operating System-independent Applications
+
+
+ The information system includes: [Assignment: organization-defined operating system-independent applications].
+
+
+
+
+
+
+ the organization defines applications that are operating system-independent
+
+
+ the information system includes organization-defined operating system-independent applications
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-28
+ Protection of Information At Rest
+
+
+ The information system protects the confidentiality and integrity of information at rest.
+
+
+
+
+
+
+ The organization employs cryptographic mechanisms to prevent unauthorized disclosure and modification of information at rest unless otherwise protected by alternative physical measures.
+
+
+
+
+
+
+the organization employs cryptographic mechanisms to prevent unauthorized disclosure of information at rest unless otherwise protected by alternative physical measures
+
+
+the organization employs cryptographic mechanisms to prevent unauthorized modification of information at rest unless otherwise protected by alternative physical measures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system protects the confidentiality and integrity of information at rest
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-29
+ Heterogeneity
+
+
+ The organization employs diverse information technologies in the implementation of the information system.
+
+
+
+
+
+
+ the organization employs diverse information technologies in the implementation of the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-30
+ Virtualization Techniques
+
+
+ The organization employs virtualization techniques to present information system components as other types of components, or components with differing configurations.
+
+
+
+
+
+
+ The organization employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed [Assignment: organization-defined frequency].
+
+
+
+
+
+
+the organization defines the frequency of changes to operating systems and applications through the use of virtualization techniques
+
+
+the organization employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs randomness in the implementation of the virtualization techniques.
+
+
+
+
+
+
+the organization employs randomness in the implementation of the virtualization techniques
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization employs virtualization techniques to present information system components as other types of components, or components with differing configurations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-31
+ Covert Channel Analysis
+
+
+ The organization requires that information system developers/integrators perform a covert channel analysis to identify those aspects of system communication that are potential avenues for covert storage and timing channels.
+
+
+
+
+
+
+ The organization tests a subset of the vendor-identified covert channel avenues to determine if they are exploitable.
+
+
+
+
+
+
+the organization tests a subset of the vendor-identified covert channel avenues to determine if such channels are exploitable
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization requires that information system developers/integrators perform a covert channel analysis to identify those aspects of system communication that are potential avenues for covert storage and timing channels
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-32
+ Information System Partitioning
+
+
+ The organization partitions the information system into components residing in separate physical domains (or environments) as deemed necessary.
+
+
+
+
+
+
+ the organization partitions the information system into components residing in separate physical domains (or environments) as deemed necessary
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-33
+ Transmission Preparation Integrity
+
+
+ The information system protects the integrity of information during the processes of data aggregation, packaging, and transformation in preparation for transmission.
+
+
+
+
+
+
+ the information system in preparation for transmission protects the integrity of information during the processes of:
+-data aggregation;
+-packaging; and
+-transformation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SC-34
+ Non-modifiable Executable Programs
+
+
+ The information system at [Assignment: organization-defined information system components]:
+
+ Loads and executes the operating environment from hardware-enforced, read-only media; and
+ Loads and executes [Assignment: organization-defined applications] from hardware-enforced, read-only media.
+
+
+
+
+
+
+
+ The organization employs [Assignment: organization-defined information system components] with no writeable storage that is persistent across component restart or power on/off.
+
+
+
+
+
+
+the organization defines the information system components to be employed with no writeable storage
+
+
+the organization employs organization-defined information system components with no writeable storage that are persistent across component restart or power on/off
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization protects the integrity of the information on read-only media.
+
+
+
+
+
+
+the organization protects the integrity of the information on read-only media
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the applications that are to be loaded and executed from hardware-enforced, read-only media
+
+
+ the organization defines the information system components for which the operating environment and organization-defined applications are loaded and executed from hardware-enforced, read-only media
+
+
+ the information system, at organization-defined information system components, loads and executes:
+-the operating environment from hardware-enforced, read-only media; and
+-organization-defined applications from hardware-enforced, read-only media
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-1
+ System and Information Integrity Policy and Procedures
+
+
+ The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
+
+ A formal, documented system and information integrity policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+ Formal, documented procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls.
+
+
+
+
+
+
+
+ the organization develops and formally documents system and information integrity policy
+
+
+ the organization system and information integrity policy addresses:
+-purpose;
+-scope;
+-roles and responsibilities;
+-management commitment;
+-coordination among organizational entities; and
+-compliance
+
+
+ the organization disseminates formal documented system and information integrity policy to elements within the organization having associated system and information integrity roles and responsibilities
+
+
+ the organization develops and formally documents system and information integrity procedures
+
+
+ the organization system and information integrity procedures facilitate implementation of the system and information integrity policy and associated system and information integrity controls
+
+
+ the organization disseminates formal documented system and information integrity procedures to elements within the organization having associated system and information integrity roles and responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the frequency of system and information integrity policy reviews/updates
+
+
+ the organization reviews/updates system and information integrity policy in accordance with organization-defined frequency
+
+
+ the organization defines the frequency of system and information integrity procedure reviews/updates
+
+
+ the organization reviews/updates system and information integrity procedures in accordance with organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-2
+ Flaw Remediation
+
+
+ The organization:
+
+ Identifies, reports, and corrects information system flaws;
+ Tests software updates related to flaw remediation for effectiveness and potential side effects on organizational information systems before installation; and
+ Incorporates flaw remediation into the organizational configuration management process.
+
+
+
+
+
+
+
+ The organization centrally manages the flaw remediation process and installs software updates automatically.
+
+
+
+
+
+
+the organization centrally manages the flaw remediation process
+
+
+the organization installs software updates automatically
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms [Assignment: organization-defined frequency] to determine the state of information system components with regard to flaw remediation.
+
+
+
+
+
+
+the organization defines the frequency of employing automated mechanisms to determine the state of information system components with regard to flaw remediation
+
+
+the organization employs automated mechanisms in accordance with the organization-defined frequency to determine the state of information system components with regard to flaw remediation
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization measures the time between flaw identification and flaw remediation, comparing with [Assignment: organization-defined benchmarks].
+
+
+
+
+
+
+the organization defines the benchmarks to which the organizationâ??s measurement of time elapsed between flaw identification and flaw remediation should be compared
+
+
+the organization measures the time between flaw identification and flaw remediation
+
+
+the organization compares the time measured between flaw identification and flaw remediation with organization-defined benchmarks
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated patch management tools to facilitate flaw remediation to [Assignment: organization-defined information system components].
+
+
+
+
+
+
+the organization defines information system components for which automated patch management tools are to be employed to facilitate flaw remediation
+
+
+the organization employs automated patch management tools to facilitate flaw remediation to organization-defined information system components
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization identifies, reports, and corrects information system flaws
+
+
+ the organization tests software updates related to flaw remediation for effectiveness before installation
+
+
+ the organization tests software updates related to flaw remediation for potential side effects on organizational information systems before installation
+
+
+ the organization incorporates flaw remediation into the organizational configuration management process
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-3
+ Malicious Code Protection
+
+
+ The organization:
+
+ Employs malicious code protection mechanisms at information system entry and exit points and at workstations, servers, or mobile computing devices on the network to detect and eradicate malicious code: - Transported by electronic mail, electronic mail attachments, web accesses, removable media, or other common means; or - Inserted through the exploitation of information system vulnerabilities;
+ Updates malicious code protection mechanisms (including signature definitions) whenever new releases are available in accordance with organizational configuration management policy and procedures;
+ Configures malicious code protection mechanisms to: - Perform periodic scans of the information system [Assignment: organization-defined frequency] and real-time scans of files from external sources as the files are downloaded, opened, or executed in accordance with organizational security policy; and - [Selection (one or more): block malicious code; quarantine malicious code; send alert to administrator; [Assignment: organization-defined action]] in response to malicious code detection; and
+ Addresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system.
+
+
+
+
+
+
+
+ The organization centrally manages malicious code protection mechanisms.
+
+
+
+
+
+
+the organization centrally manages malicious code protection mechanisms
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system automatically updates malicious code protection mechanisms (including signature definitions).
+
+
+
+
+
+
+the information system automatically updates malicious code protection mechanisms, including signature definitions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system prevents non-privileged users from circumventing malicious code protection capabilities.
+
+
+
+
+
+
+the information system prevents non-privileged users from circumventing malicious code protection capabilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system updates malicious code protection mechanisms only when directed by a privileged user.
+
+
+
+
+
+
+the information system updates malicious code protection mechanisms only when directed by a privileged user
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization does not allow users to introduce removable media into the information system.
+
+
+
+
+
+
+the organization does not allow users to introduce removable media into the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization tests malicious code protection mechanisms [Assignment: organization-defined frequency] by introducing a known benign, non-spreading test case into the information system and subsequently verifying that both detection of the test case and associated incident reporting occur, as required.
+
+
+
+
+
+
+the organization defines the frequency of testing malicious code protection mechanisms
+
+
+the organization tests malicious code protection mechanisms, in accordance with organization-defined frequency, by introducing a known benign, non-spreading test case into the information system and subsequently verifying that both detection of the test case and associated incident reporting occur, as required
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization employs malicious code protection mechanisms at information system entry and exit points to detect and eradicate malicious code:
+-transported by electronic mail, electronic mail attachments, Web accesses, removable media, or other common means; or
+-inserted through the exploitation of information system vulnerabilities
+
+
+ the organization employs malicious code protection mechanisms at workstations, servers, or mobile computing devices on the network to detect and eradicate malicious code:
+-transported by electronic mail, electronic mail attachments, Web accesses, removable media, or other common means; or
+-inserted through the exploitation of information system vulnerabilities
+
+
+ the organization updates malicious code protection mechanisms (including signature definitions) whenever new releases are available in accordance with configuration management policy and procedures defined in CM-1
+
+
+ the organization defines the frequency of periodic scans of the information system by malicious code protection mechanisms
+
+
+ the organization defines one or more of the following actions to be taken in response to malicious code detection:
+-block malicious code;
+-quarantine malicious code; and/or
+-send alert to administrator
+
+
+ the organization configures malicious code protection mechanisms to:
+-perform periodic scans of the information system in accordance with organization-defined frequency;
+-perform real-time scans of files from external sources as the files are downloaded, opened, or executed in accordance with organizational security policy; and
+-take organization-defined action(s) in response to malicious code detection
+
+
+ the organization addresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-4
+ Information System Monitoring
+
+
+ The organization:
+
+ Monitors events on the information system in accordance with [Assignment: organization-defined monitoring objectives] and detects information system attacks;
+ Identifies unauthorized use of the information system;
+ Deploys monitoring devices: (i) strategically within the information system to collect organization-determined essential information; and (ii) at ad hoc locations within the system to track specific types of transactions of interest to the organization;
+ Heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information; and
+ Obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations.
+
+
+
+
+
+
+
+ The organization interconnects and configures individual intrusion detection tools into a systemwide intrusion detection system using common protocols.
+
+
+
+
+
+
+the organization interconnects and configures individual intrusion detection tools into a system-wide intrusion detection system using common protocols
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated tools to support near real-time analysis of events.
+
+
+
+
+
+
+the organization employs automated tools to support near real-time analysis of events
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated tools to integrate intrusion detection tools into access control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination.
+
+
+
+
+
+
+the organization employs automated tools to integrate intrusion detection tools into access control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system monitors inbound and outbound communications for unusual or unauthorized activities or conditions.
+
+
+
+
+
+
+the information system monitors inbound and outbound communications for unusual or unauthorized activities or conditions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system provides near real-time alerts when the following indications of compromise or potential compromise occur: [Assignment: organization-defined list of compromise indicators].
+
+
+
+
+
+
+the organization defines indicators of compromise or potential compromise to the security of the information system
+
+
+the information system provides near real-time alerts when any of the organization-defined list of compromise or potential compromise indicators occurs
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system prevents non-privileged users from circumventing intrusion detection and prevention capabilities.
+
+
+
+
+
+
+the information system prevents non-privileged users from circumventing intrusion detection and prevention capabilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system notifies [Assignment: organization-defined list of incident response personnel (identified by name and/or by role)] of suspicious events and takes [Assignment: organization-defined list of least-disruptive actions to terminate suspicious events].
+
+
+
+
+
+
+the organization defines incident response personnel (identified by name and/or by role) to be notified of suspicious events
+
+
+the organization defines least-disruptive actions to be taken by the information system to terminate suspicious events
+
+
+the information system notifies organization-defined incident response personnel of suspicious events
+
+
+the information system takes organization-defined least-disruptive actions to terminate suspicious events
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization protects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion.
+
+
+
+
+
+
+the organization protects information obtained from intrusion-monitoring tools from:
+-unauthorized access;
+-modification; and
+-deletion
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization tests/exercises intrusion-monitoring tools [Assignment: organization-defined time-period].
+
+
+
+
+
+
+the organization defines the time period for testing/exercising intrusion-monitoring tools
+
+
+the organization tests/exercises intrusion-monitoring tools in accordance with organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization makes provisions so that encrypted traffic is visible to information system monitoring tools.
+
+
+
+
+
+
+the organization makes provisions so that encrypted traffic is visible to information system monitoring tools
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization analyzes outbound communications traffic at the external boundary of the system (i.e., system perimeter) and, as deemed necessary, at selected interior points within the system (e.g., subnets, subsystems) to discover anomalies.
+
+
+
+
+
+
+the organization to discover anomalies analyzes outbound communications traffic at:
+-the external boundary of the system (i.e., system perimeter); and
+-as deemed necessary, at selected interior points within the system (e.g., subnets, subsystems)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to alert security personnel of the following inappropriate or unusual activities with security implications: [Assignment: organization-defined list of inappropriate or unusual activities that trigger alerts].
+
+
+
+
+
+
+the organization defines inappropriate or unusual activities with security implications that should trigger alerts to security personnel
+
+
+the organization employs automated mechanisms to alert security personnel of the organization-defined inappropriate or unusual activities with security implications
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization:
+
+ Analyzes communications traffic/event patterns for the information system;
+ Develops profiles representing common traffic patterns and/or events; and
+ Uses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives to [Assignment: organization-defined measure of false positives] and the number of false negatives to [Assignment: organization-defined measure of false negatives].
+
+
+
+
+
+
+
+the organization analyzes communications traffic/event patterns for the information system
+
+
+the organization develops profiles representing common traffic patterns and/or events
+
+
+the organization defines the respective measurements to which the organization must tune system monitoring devices to reduce the number of false positives and false negatives
+
+
+the organization uses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives and false negatives to their respective organization-defined measures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises/breaches to the information system.
+
+
+
+
+
+
+the organization employs a wireless intrusion detection system to:
+-identify rogue wireless devices to the information system;
+-detect attack attempts to the information system; and
+-detect potential compromises/breaches to the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.
+
+
+
+
+
+
+the organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization correlates information from monitoring tools employed throughout the information system to achieve organization-wide situational awareness.
+
+
+
+
+
+
+the organization correlates information from monitoring tools employed throughout the information system to achieve organization-wide situational awareness
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization correlates results from monitoring physical, cyber, and supply chain activities to achieve integrated situational awareness.
+
+
+
+
+
+
+the organization correlates results from monitoring physical, cyber, and supply chain activities to achieve integrated situational awareness
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines objectives for monitoring events on the information system
+
+
+ the organization monitors events on the information system in accordance with organization-defined objectives and detects information system attacks
+
+
+ the organization identifies unauthorized use of the information system
+
+
+ the organization deploys monitoring devices:
+-strategically within the information system to collect organization-determined essential information; and
+-at ad hoc locations within the system to track specific types of transactions of interest to the organization
+
+
+ the organization heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information
+
+
+ the organization obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-5
+ Security Alerts, Advisories, and Directives
+
+
+ The organization:
+
+ Receives information system security alerts, advisories, and directives from designated external organizations on an ongoing basis;
+ Generates internal security alerts, advisories, and directives as deemed necessary;
+ Disseminates security alerts, advisories, and directives to [Assignment: organization-defined list of personnel (identified by name and/or by role)]; and
+ Implements security directives in accordance with established time frames, or notifies the issuing organization of the degree of noncompliance.
+
+
+
+
+
+
+
+ The organization employs automated mechanisms to make security alert and advisory information available throughout the organization as needed.
+
+
+
+
+
+
+the organization employs automated mechanisms to make security alert and advisory information available throughout the organization
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization receives information system security alerts, advisories, and directives from designated external organizations on an ongoing basis
+
+
+ the organization generates internal security alerts, advisories, and directives
+
+
+ the organization defines personnel (identified by name and/or by role) who should receive security alerts, advisories, and directives
+
+
+ the organization disseminates security alerts, advisories, and directives to organization-identified personnel
+
+
+ the organization implements security directives in accordance with established time frames, or notifies the issuing organization of the degree of noncompliance
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-6
+ Security Functionality Verification
+
+
+ The information system verifies the correct operation of security functions [Selection (one or more): [Assignment: organization-defined system transitional states]; upon command by user with appropriate privilege; periodically every [Assignment: organization-defined time-period]] and [Selection (one or more): notifies system administrator; shuts the system down; restarts the system; [Assignment: organization-defined alternative action(s)]] when anomalies are discovered.
+
+
+
+
+
+
+ The information system provides notification of failed automated security tests.
+
+
+
+
+
+
+the information system provides notification of failed automated security tests
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system provides automated support for the management of distributed security testing.
+
+
+
+
+
+
+the information system provides automated support for the management of distributed security testing
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization reports the result of security function verification to designated organizational officials with information security responsibilities.
+
+
+
+
+
+
+the organization identifies organizational officials with information security responsibilities designated to receive the results of security function verification
+
+
+the organization reports the results of security function verification to designated organizational officials with information security responsibilities
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines the appropriate conditions, including the system transitional states if applicable, for verifying the correct operation of security functions
+
+
+ the organization defines for periodic security function verification, the frequency of the verifications
+
+
+ the organization defines information system responses and alternative action(s) to anomalies discovered during security function verification
+
+
+ the information system verifies the correct operation of security functions in accordance with organization-defined conditions and in accordance with organization-defined frequency (if periodic verification)
+
+
+ the information system responds to security function anomalies in accordance with organization-defined responses and alternative action(s)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-7
+ Software and Information Integrity
+
+
+ The information system detects unauthorized changes to software and information.
+
+
+
+
+
+
+ The organization reassesses the integrity of software and information by performing [Assignment: organization-defined frequency] integrity scans of the information system.
+
+
+
+
+
+
+the organization defines the frequency of integrity scans to be performed on the information system
+
+
+the organization reassesses the integrity of software and information by performing integrity scans of the information system in accordance with the organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs automated tools that provide notification to designated individuals upon discovering discrepancies during integrity verification.
+
+
+
+
+
+
+the organization employs automated tools that provide notification to designated individuals upon discovering discrepancies during integrity verification
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization employs centrally managed integrity verification tools.
+
+
+
+
+
+
+the organization employs centrally managed integrity verification tools
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization requires use of tamper-evident packaging for [Assignment: organization-defined information system components] during [Selection: transportation from vendor to operational site; during operation; both].
+
+
+
+
+
+
+the organization defines information system components that require use of tamper-evident packaging
+
+
+the organization defines the conditions (i.e., transportation from vendor to operational site, during operation, both) under which tamper-evident packaging must be used for organization-defined information system components
+
+
+the organization requires use of tamper-evident packaging for organization-defined information system components during organization-defined conditions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the information system detects unauthorized changes to software and information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-8
+ Spam Protection
+
+
+ The organization:
+
+ Employs spam protection mechanisms at information system entry and exit points and at workstations, servers, or mobile computing devices on the network to detect and take action on unsolicited messages transported by electronic mail, electronic mail attachments, web accesses, or other common means; and
+ Updates spam protection mechanisms (including signature definitions) when new releases are available in accordance with organizational configuration management policy and procedures.
+
+
+
+
+
+
+
+ The organization centrally manages spam protection mechanisms.
+
+
+
+
+
+
+the organization centrally manages spam protection mechanisms
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The information system automatically updates spam protection mechanisms (including signature definitions).
+
+
+
+
+
+
+the information system automatically updates spam protection mechanisms (including signature definitions)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization employs spam protection mechanisms at information system entry and exit points to detect and take action on unsolicited messages transported by electronic mail, electronic mail attachments, Web accesses, removable media, or other common means
+
+
+ the organization employs spam protection mechanisms at workstations, servers, or mobile computing devices on the network to detect and take action on unsolicited messages transported by electronic mail, electronic mail attachments, Web accesses, removable media, or other common means
+
+
+ the organization updates spam protection mechanisms (including signature definitions) when new releases are available in accordance with organizational configuration management policy and procedures defined in CM-1
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-9
+ Information Input Restrictions
+
+
+ The organization restricts the capability to input information to the information system to authorized personnel.
+
+
+
+
+
+
+ the organization restricts the capability to input information to the information system to authorized personnel
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-10
+ Information Input Validation
+
+
+ The information system checks the validity of information inputs.
+
+
+
+
+
+
+ the information system checks the validity of information inputs
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-11
+ Error Handling
+
+
+ The information system:
+
+ Identifies potentially security-relevant error conditions;
+ Generates error messages that provide information necessary for corrective actions without revealing [Assignment: organization-defined sensitive or potentially harmful information] in error logs and administrative messages that could be exploited by adversaries; and
+ Reveals error messages only to authorized personnel.
+
+
+
+
+
+
+
+ the information system identifies potentially security-relevant error conditions
+
+
+ the organization defines sensitive or potentially harmful information that should not be contained in error logs and administrative messages
+
+
+ the information system generates error messages that provide information necessary for corrective actions without revealing organization-defined sensitive or potentially harmful information in error logs and administrative messages that could be exploited by adversaries
+
+
+ the information system reveals error messages only to authorized personnel
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-12
+ Information Output Handling and Retention
+
+
+ The organization handles and retains both information within and output from the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements.
+
+
+
+
+
+
+ the organization handles both information within and output from the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements
+
+
+ the organization retains both information within and output from the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SI-13
+ Predictable Failure Prevention
+
+
+ The organization:
+
+ Protects the information system from harm by considering mean time to failure for [Assignment: organization-defined list of information system components] in specific environments of operation; and
+ Provides substitute information system components, when needed, and a mechanism to exchange active and standby roles of the components.
+
+
+
+
+
+
+
+ The organization takes the information system component out of service by transferring component responsibilities to a substitute component no later than [Assignment: organization-defined fraction or percentage] of mean time to failure.
+
+
+
+
+
+
+the organization defines the maximum fraction or percentage of mean time to failure in order to transfer the responsibilities of an information system component that is out of service to a substitute component
+
+
+the organization takes the information system component out of service by transferring component responsibilities to a substitute component no later than the organization-defined fraction or percentage of mean time to failure
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization does not allow a process to execute without supervision for more than [Assignment: organization-defined time period].
+
+
+
+
+
+
+the organization defines the time period that a process is allowed to execute without supervision
+
+
+the organization does not allow a process to execute without supervision for more than the organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization manually initiates a transfer between active and standby information system components at least once per [Assignment: organization-defined frequency] if the mean time to failure exceeds [Assignment: organization-defined time period].
+
+
+
+
+
+
+the organization defines the minimum frequency with which the organization manually initiates a transfer between active and standby information system components if the mean time to failure exceeds the organization-defined time period
+
+
+the organization defines the time period that the mean time to failure must exceed before the organization manually initiates a transfer between active and standby information system components
+
+
+the organization manually initiates a transfer between active and standby information system components at least once per the organization-defined frequency if the mean time to failure exceeds the organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The organization, if an information system component failure is detected:
+
+ Ensures that the standby information system component successfully and transparently assumes its role within [Assignment: organization-defined time period]; and
+ [Selection (one or more): activates [Assignment: organization-defined alarm]; automatically shuts down the information system].
+
+
+
+
+
+
+
+the organization defines the time period for a standby information system component to successfully and transparently assume the role of an information system component that has failed
+
+
+the organization defines the organization-defined alarm when an information system component failure is detected
+
+
+the organization, if an information system component failure is detected:
+-ensures that the standby information system component successfully and transparently assumes its role within the organization-defined time period; and
+-activates the organization-defined alarm and/or automatically shuts down the information system
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ the organization defines information system components for which mean time to failure rates should be considered to protect the information system from harm
+
+
+ the organization protects the information system from harm by considering mean time to failure rates for organization-defined information system components in specific environments of operation
+
+
+ the organization provides substitute information system components, when needed
+
+
+ the organization provides a mechanism to exchange active and standby roles of the components
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
diff --git a/sources/800-53/sp800-53-feed_1.0.xsd b/sources/800-53/sp800-53-feed_1.0.xsd
new file mode 100644
index 0000000000..34bf55c232
--- /dev/null
+++ b/sources/800-53/sp800-53-feed_1.0.xsd
@@ -0,0 +1,38 @@
+
+
+
+
+
+ **NOTE: This is an internal NVD schema and should not be published.
+ This schema defines the SP800-53 data feed.
+
+
+
+
+
+ The root element of the NVD SP800-53 control data feed. Multiple "control" child elements describe specific controls.
+
+
+
+
+
+
+
+
+ The date the feed was generated.
+
+
+
+
+
+
+ A control as defined in NIST SP 800-53.
+
+
+
diff --git a/sources/800-53/sp800-53_1.0.xsd b/sources/800-53/sp800-53_1.0.xsd
new file mode 100644
index 0000000000..ded494627e
--- /dev/null
+++ b/sources/800-53/sp800-53_1.0.xsd
@@ -0,0 +1,302 @@
+
+
+
+
+ Import general XML schema.
+
+
+
+
+
+ A simplified XHTML 1.1 modular schema driver that implements structural markup for embedding in XML data models.
+
+
+
+
+
+ Import general SCAP schema.
+
+
+
+
+
+
+
+
+
+ The 800-53A objectives for an 800-53 control or control enhancement.
+
+
+
+
+
+ An 800-53A objective.
+
+
+
+
+
+ The decisions associated with the 800-53A objective.
+
+
+
+
+
+ A decision associated with the 800-53A objective. The body of the element contains the description of the decision, encoded as HTML.
+
+
+
+
+
+
+ The name of the decision.
+
+
+
+
+
+
+
+
+
+
+
+
+ The potential assessments associated with the 800-53A objective.
+
+
+
+
+
+ A potential assessment associated with the 800-53A objective.
+
+
+
+
+
+ An object for this potential assessment.
+
+
+
+
+
+ The method of the potential assessment.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ The name of the 800-53A objective.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Defines a security control as specified in NIST Special Publication SP800-53.
+
+
+
+
+ The most general classification of SP800-53 controls.
+ Currently there are three control classes, Management, Technical, Operational
+
+
+
+
+ Grouping of controls within a control class based on dominant characterstics of controls in that family.
+
+
+
+
+ Unique identifier of the control, consists of a two-character family identifier plus the control number within the family.
+ For example, CP-9 is the ninth control in the Contingency Planning (CP) family.
+
+
+
+
+ The title of the control.
+
+
+
+
+ Recommended priority code used for sequencing decisions during security control implementation
+ as described in Appendix D of SP800-53.
+
+
+
+
+ Allocates controls across low-impact, moderate-impact, and high-impact systems
+ as described in Appendix F of SP800-53.
+
+
+
+
+ The body of the control, also known as the control section, provides a concise statement of the specific security capabilities needed to protect a particular aspect of an information system.
+
+
+
+
+ Provides additional information related to a specific security
+ control, but contains no requirements.
+
+
+
+
+
+
+
+ Provides statements of security capability to build
+ in additional functionality and/or increase the strength of a control as defined
+ by NIST SP 800-70.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Indicates when a control has been withdrawn.
+
+
+
+
+
+
+
+
+
+ Indicates when a control has been withdrawn.
+
+
+
+
+
+
+
+
+
+
+
+ Distinguishes between low-impact, moderate-impact, and high-impact systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Priority of controls useful in sequencing decisions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ A schema element that typically spans multiple sentences and paragraphs.
+
+
+
+
+
+
+
+
+
+
+
+
+ Provides statements of security capability to build
+ in additional functionality and/or increase the strength of a control as defined
+ by NIST SP 800-70.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ A schema element that maps the control's relationships to other controls
+
+
+
+
+
diff --git a/sources/OSCAL Overview 20170504.pptx b/sources/OSCAL Overview 20170504.pptx
new file mode 100644
index 0000000000..7f67e963cb
Binary files /dev/null and b/sources/OSCAL Overview 20170504.pptx differ
diff --git a/sources/OSCAL Spreadsheet.xlsx b/sources/OSCAL Spreadsheet.xlsx
new file mode 100644
index 0000000000..cb3ddbd807
Binary files /dev/null and b/sources/OSCAL Spreadsheet.xlsx differ
diff --git a/sources/Thumbs.db b/sources/Thumbs.db
new file mode 100644
index 0000000000..c62700fbcf
Binary files /dev/null and b/sources/Thumbs.db differ
diff --git a/working/COBIT5/cobit5-RACI-values.xml b/working/COBIT5/cobit5-RACI-values.xml
new file mode 100644
index 0000000000..76bb229f84
--- /dev/null
+++ b/working/COBIT5/cobit5-RACI-values.xml
@@ -0,0 +1,33 @@
+
+
+
+ Board
+
+
+ Board
+ Chief Executive Officer
+ Chief Financial Officer
+ Chief Operating Officer
+ Business Executives
+ Business Practice Owners
+ Strategy Executive Committee
+ Steering (Programmes/Projects) Committee
+ Project Management Office
+ Value Management Office
+ Chief Risk Officer
+ Chief Information Security Officer
+ Architecture Board
+ Enterprise Risk Committee
+ Head Human Resources
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
diff --git a/working/COBIT5/cobit5-auto-declarations.xml b/working/COBIT5/cobit5-auto-declarations.xml
new file mode 100644
index 0000000000..1e7aaf5cd5
--- /dev/null
+++ b/working/COBIT5/cobit5-auto-declarations.xml
@@ -0,0 +1,446 @@
+
+
+
+
+
+
+
+
+ Governance
+ Management
+
+
+
+
+ EDM
+ APO
+ BAI
+ DSS
+ MEA
+
+
+
+
+ EDM01
+ EDM02
+ EDM03
+ EDM04
+ EDM05
+ APO01
+ APO02
+ APO03
+ APO04
+ APO05
+ APO06
+ APO07
+ APO08
+ APO09
+ APO10
+ APO11
+ APO12
+ APO13
+ BAI01
+ BAI02
+ BAI03
+ BAI04
+ BAI05
+ BAI06
+ BAI07
+ BAI08
+ BAI09
+ BAI10
+ DSS01
+ DSS02
+ DSS03
+ DSS04
+ DSS05
+ DSS06
+ MEA01
+ MEA02
+ MEA03
+
+
+
+
+
+
+
+
+
+
+
+
+ IT
+
+
+
+
+ 01
+ 03
+ 07
+ 02
+ 04
+ 06
+ 10
+ 14
+ 11
+ 15
+
+
+
+
+
+
+
+ Percent of enterprise strategic goals and requirements supported by IT strategic
+ goals
+ Level of stakeholder satisfaction with scope of the planned portfolio of programmes
+ and services
+ Percent of IT value drivers mapped to business value drivers
+ Percent of executive management roles with clearly defined
+ accountabilities for IT decisions
+ Number of times IT is on the board agenda in a proactive
+ manner
+ Frequency of IT strategy (executive) committee meetings
+ Rate of execution of executive IT-related decisions
+ Number of business disruptions due to IT service incidents
+ Percent of business stakeholders satisfied that IT service delivery meets agreed-on
+ service levels
+ Percent of users satisfied with the quality of IT service delivery
+ Actual vs. target cycle time for key decisions
+ Level of stakeholder satisfaction (measured through surveys)
+ Number of roles, responsibilities and authorities that are defined, assigned and
+ accepted by appropriate business and IT management
+ Degree by which agreed-on governance principles for IT are evidenced in processes
+ and practices (percentage of processes and practices with clear traceability to
+ principles)
+ Number of instances of non-compliance with ethical and professional behaviour
+ guidelines
+ Frequency of independent reviews of governance of IT
+ Frequency of governance of IT reporting to the executive committee and board
+ Number of governance of IT issues reported
+ Cost of IT non-compliance, including settlements and fines, and the impact of
+ reputational loss
+ Number of IT-related non-compliance issues reported to the board or causing public
+ comment or embarrassment
+ Number of non-compliance issues relating to contractual agreements with IT service
+ providers
+ Coverage of compliance assessments
+ Percent of critical business processes, IT services and IT-enabled business
+ programmes covered by risk assessment
+ Number of significant IT-related incidents that were not identified in risk
+ assessment
+ Percent of enterprise risk assessments including IT-related risk
+ Frequency of update of risk profile
+ Percent of investment business cases with clearly defined and approved expected
+ IT-related costs and benefits
+ Percent of IT services with clearly defined and approved operational costs and
+ expected benefits
+ Satisfaction survey of key stakeholders regarding the level of transparency,
+ understanding and accuracy of IT financial information
+ Number of security incidents causing financial loss, business disruption or public
+ embarrassment
+ Number of IT services with outstanding security requirements
+ Time to grant, change and remove access privileges, compared to agreed-on service
+ levels
+ Frequency of security assessment against latest standards and guidelines
+ Level of business user satisfaction with quality and timeliness (or availability) of
+ management information
+ Number of business process incidents caused by non-availability of information
+ Ratio and extent of erroneous business decisions where erroneous or unavailable
+ information was a key factor
+ Number of key security roles clearly defined
+ Number of security related incidents
+ Level of stakeholder satisfaction with the security plan throughout the
+ enterprise
+ Number of security solutions deviating from the plan
+ Number of security solutions deviating from the enterprise architecture
+ Number of services with confirmed alignment to the security plan
+ Number of security incidents caused by non-adherence to the security plan
+ Number of solutions developed with confirmed alignment to the security plan
+ Cost of IT non-compliance, including settlements and fines, and the
+ impact of reputational loss
+ Number of IT-related non-compliance issues reported to the board or
+ causing public comment or embarrassment
+ Number of non-compliance issues relating to contractual agreements
+ with IT service providers
+ Frequency of capability maturity and cost optimisation assessments
+ Trend of assessment results
+ Satisfaction levels of business and IT executives with IT-related
+ costs and capabilities
+ Level of business user satisfaction with quality and timeliness (or
+ availability) of management information
+ Number of business process incidents caused by non-availability of
+ information
+ Ratio and extent of erroneous business decisions where erroneous or
+ unavailable information was a key factor
+ Number of deviations between the configuration repository and live
+ configuration
+ Number of discrepancies relating to incomplete or missing
+ configuration information
+ Percent of critical business processes, IT services and IT-enabled
+ business programmes covered by risk assessment
+ Number of significant IT-related incidents that were not identified
+ in risk assessment
+ Percent of enterprise risk assessments including IT-related
+ risk
+ Number of business disruptions due to IT service incidents
+ Percent of business stakeholders satisfied that IT service delivery
+ meets agreed-on service levels
+ Percent of users satisfied with the quality of IT service
+ delivery
+ Number and percent of incidents causing disruption to
+ business-critical processes
+ Mean time between incidents according to IT-enabled service
+ Percent of incidents resolved within an agreed-on/acceptable period
+ of time
+ Level of user satisfaction with service request fulfilment
+ Mean elapsed time for handling each type of service request
+ Number of incidents related to non-compliance to policy
+ Percent of stakeholders who understand policies
+ Percent of policies supported by effective standards and working
+ practices
+ Frequency of policies review and update
+ Percent of processes with assured output meeting targets within
+ tolerances
+ Percent of processes assured as compliant with internal control
+ targets
+ Percent of assurance initiatives following approved assurance
+ programme and plan standards
+ Percent of processes receiving independent review
+ Number of weaknesses identified by external qualification and
+ certification reports
+ Number of major internal control breaches
+ Time between internal control deficiency occurrence and
+ reporting
+
+
+
+
+ Process
+
+
+
+
+ 1.
+ 2.
+ 3.
+ 4.
+
+
+
+
+
+
+
+ EDM01.01
+ EDM01.02
+ EDM01.03
+ APO13.01
+ APO13.02
+ APO13.03
+
+ BAI10.02
+ BAI10.03
+ BAI10.04
+ BAI10.05
+ DSS02.01
+ DSS02.02
+ DSS02.03
+ DSS02.04
+ DSS02.05
+ DSS02.06
+ DSS02.07
+ MEA02.01
+ MEA02.02
+ MEA02.03
+ MEA02.04
+ MEA02.05
+ MEA02.06
+ MEA02.07
+ MEA02.08
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Board
+ Chief Information Security Officer
+ Head IT Operations
+ Chief Information Officer
+ Service Manager
+ Business Executives
+ Compliance
+ Audit
+ Chief Executive Officer
+
+
+ Chief Executive Officer
+ Business Executives
+ Strategy Executive Committee
+ Chief Information Officer
+ Head IT Administration
+ Information Security Manager
+ Business Process Owners
+ Project Management Office
+ Head Architect
+ Head Development
+ Head IT Operations
+ Service Manager
+ Business Continuity Manager
+ Privacy Officer
+ Audit
+ Chief Risk Officer
+ Compliance
+ Chief Financial Officer
+ Chief Operating Officer
+
+
+ Chief Financial Officer
+ Chief Operating Officer
+ Chief Risk Officer
+ Architecture Board
+ Enterprise Risk Committee
+ Head Human Resources
+ Compliance
+ Audit
+ Head Architect
+ Head Development
+ Head IT Operations
+ Chief Executive Officer
+ Business Executives
+ Strategy Executive Committee
+ Business Continuity Manager
+ Privacy Officer
+ Business Process Owners
+ Service Manager
+ Chief Information Officer
+ Information Security Manager
+ Project Management Office
+ Head IT Administration
+
+
+ Business Process Owners
+ Steering (Programmes/Projects) Committee
+ Project Management Office
+ Value Management Office
+ Chief Information Security Officer
+ Architecture Board
+ Enterprise Risk Committee
+ Head Human Resources
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+ Chief Risk Officer
+ Compliance
+ Audit
+ Head Architect
+ Chief Information Officer
+ Chief Executive Officer
+ Chief Operating Officer
+ Board
+ Strategy Executive Committee
+
+
+
+
+ MEA03.02
+ Outside COBIT
+ MEA01.04
+ MEA01.05
+ MEA02.01
+ MEA02.03
+ MEA02.06
+ MEA03.03
+ MEA03.04
+ APO02.04
+ APO03.02
+ APO12.05
+ DSS02.02
+ BAI07.06
+ BAI09.05
+ BAI06.03
+ BAI09.01
+ BAI09.03
+ APO09.03
+ BAI10.02
+ BAI10.03
+ BAI10.04
+ DSS01.03
+ DSS03.01
+ DSS04.03
+ BAI04.05
+ DSS05.07
+ APO12.06
+ BAI07.07
+ DSS03.03
+ DSS03.04
+ DSS03.02
+ DSS03.05
+ APO12.04
+ APO13.03
+ BAI05.06
+ BAI05.07
+ APO11.05
+ DSS06.01
+ DSS06.04
+ BAI01.05
+ DSS01.02
+
+
+
+
+
+
+
+
+ All EDM
+ APO01.01
+ APO01.03
+ APO01.02
+ APO01.04
+ APO07.03
+ APO07.04
+ APO01.07
+ Internal
+ DSS06.03
+ All APO
+ All BAI
+ All DSS
+ All MEA
+ APO02.05
+ MEA02.01
+ Internal
+ BAI09.01
+ DSS02.01
+ BAI03.11
+ MEA03.03
+ DSS03.01
+ APO08.03
+ APO09.04
+ APO13.03
+ BAI01
+ DSS03.04
+ APO11.04
+ APO12.01
+ MEA01.03
+ EDM01.03
+
+
+
+
+
+
+
diff --git a/working/COBIT5/cobit5-blank-oscal.xml b/working/COBIT5/cobit5-blank-oscal.xml
new file mode 100644
index 0000000000..d09163b822
--- /dev/null
+++ b/working/COBIT5/cobit5-blank-oscal.xml
@@ -0,0 +1,90 @@
+
+
+
+
+
+ COBIT 5 (extracts / examples)
+
+ Blank controls
+
+
+
+
+
+
+
+
+
+
+
+ IT | Process
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Board
+ Chief Executive Officer
+ Chief Financial Officer
+ Chief Operating Officer
+ Business Executives
+ Business Process Owners
+ Strategy Executive Committee
+ Steering (Programmes/Projects) Committee
+ Project Management Office
+ Value Management Office
+ Chief Risk Officer
+ Chief Information Security Officer
+ Architecture Board
+ Enterprise Risk Committee
+ Head Human Resources
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
diff --git a/working/COBIT5/cobit5-selection-oscal.xml b/working/COBIT5/cobit5-selection-oscal.xml
new file mode 100644
index 0000000000..14a93f4c40
--- /dev/null
+++ b/working/COBIT5/cobit5-selection-oscal.xml
@@ -0,0 +1,2437 @@
+
+
+
+
+
+
+ COBIT 5 (extracts / examples)
+
+
+ Evaluate, Direct and Monitor
+ Governance
+ EDM
+
+ Ensure governance framework setting and maintenance
+ EDM01
+
+
Analyse and articulate the requirements for the governance of enterprise IT, and put in
+ place and maintain effective enabling structures, principles, processes and practices,
+ with clarity of responsibilities and authority to achieve the enterprise’s mission, goals
+ and objectives.
+
+
+
Provide a consistent approach integrated and aligned with the enterprise governance
+ approach. To ensure that IT-related decisions are made in line with the enterprise’s
+ strategies and objectives, ensure that IT-related processes are overseen effectively and
+ transparently, compliance with legal and regulatory requirements is confirmed, and the
+ governance requirements for board members are met.
+
+
+ Alignment of IT and business strategy
+ IT
+ 01
+
+ Percent of enterprise strategic goals and requirements supported by IT strategic
+ goals
+ Level of stakeholder satisfaction with scope of the planned portfolio of programmes
+ and services
+ Percent of IT value drivers mapped to business value drivers
+
+
+
+
+ Commitment of executive management for making IT-related decisions
+ IT
+ 03
+
+
+ Percent of executive management roles with clearly defined
+ accountabilities for IT decisions
+ Number of times IT is on the board agenda in a proactive
+ manner
+ Frequency of IT strategy (executive) committee meetings
+ Rate of execution of executive IT-related decisions
+
+
+
+
+ Delivery of IT services in line with business requirements
+ 07
+ IT
+
+
+ Number of business disruptions due to IT service incidents
+ Percent of business stakeholders satisfied that IT service delivery meets agreed-on
+ service levels
+ Percent of users satisfied with the quality of IT service delivery
+
+
+
+
+ Strategic decision-making model for IT is effective and aligned with the enterprise’s
+ internal and external environment and stakeholder requirements
+ Process
+ 1.
+
+
+ Actual vs. target cycle time for key decisions
+ Level of stakeholder satisfaction (measured through surveys)
+
+
+
+
+ The governance system for IT is embedded in the enterprise
+ Process
+ 2.
+
+
+ Number of roles, responsibilities and authorities that are defined, assigned and
+ accepted by appropriate business and IT management
+ Degree by which agreed-on governance principles for IT are evidenced in processes
+ and practices (percentage of processes and practices with clear traceability to
+ principles)
+ Number of instances of non-compliance with ethical and professional behaviour
+ guidelines
+
+
+
+
+ Assurance is obtained that the governance system for IT is operating
+ effectively
+ Process
+ 3.
+
+
+ Frequency of independent reviews of governance of IT
+ Frequency of governance of IT reporting to the executive committee and board
+ Number of governance of IT issues reported
+
+
+
+
+ Evaluate the governance system
+ EDM01.01
+
+
Continually identify and engage with the enterprise’s
+ stakeholders, document an understanding of the
+ requirements, and make a judgement on the current and
+ future design of governance of enterprise IT.
+
+
+
Analyse and identify the internal and external environmental factors (legal, regulatory and
+ contractual obligations) and trends in the business environment that may influence
+ governance design.
+
Determine the significance of IT and its role with respect to the business.
+
Consider external regulations, laws and contractual obligations and determine how
+ they should be applied within the governance of enterprise IT.
+
Align the ethical use and processing of information and its impact on society,
+ natural environment, and internal and external stakeholder interests with the
+ enterprise’s direction, goals and objectives.
+
Determine the implications of the overall enterprise control environment with regard
+ to IT.
+
Articulate principles that will guide the design of governance and decision making of
+ IT.
+
Understand the enterprise’s decision-making culture and determine the optimal
+ decision-making model for IT.
+
Determine the appropriate levels of authority delegation, including threshold rules,
+ for IT decisions.
+
+ Board
+ Chief Executive Officer
+ Chief Financial Officer
+ Chief Operating Officer
+ Business Executives
+ Strategy Executive Committee
+ Chief Risk Officer
+ Architecture Board
+ Enterprise Risk Committee
+ Head Human Resources
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+
+
+ MEA03.02
+
+
Communications of changed compliance requirements
+
+
+
+ Outside COBIT
+
+
+
Business environment trends
+
Regulations
+
Governance/decision-making model
+
Constitution/bylaws/statutes of organisation
+
+
+ All EDM
+ APO01.01
+ APO01.03
+
+
Enterprise governance guiding principles
+
+
+
+ All EDM
+ APO01.01
+
+
Decision-making model
+
+
+ All EDM
+ APO01.02
+
+
Authority levels
+
+
+
+
+ Direct the governance system
+ EDM01.02
+
+
Inform leaders and obtain their support, buy-in and commitment. Guide the structures,
+ processes and practices for the governance of IT in line with agreed-on governance
+ design principles, decision-making models and authority levels. Define the information
+ required for informed decision making.
+
+
+
+
Communicate governance of IT principles and agree with executive management on the
+ way to establish informed and committed leadership.
+
Establish or delegate the establishment of governance structures, processes and
+ practices in line with agreed-on design principles.
+
Allocate responsibility, authority and accountability in line with agreed-on
+ governance design principles, decision-making models and delegation.
+
Ensure that communication and reporting mechanisms provide those responsible for
+ oversight and decision-making with appropriate information.
+
Direct that staff follow relevant guidelines for ethical and professional behaviour
+ and ensure that consequences of non-compliance are known and enforced.
+
Direct the establishment of a reward system to promote desirable cultural change.
+
+
+
+ Board
+ Chief Executive Officer
+ Chief Financial Officer
+ Chief Operating Officer
+ Business Executives
+ Business Process Owners
+ Strategy Executive Committee
+ Steering (Programmes/Projects) Committee
+ Project Management Office
+ Value Management Office
+ Chief Risk Officer
+ Chief Information Security Officer
+ Architecture Board
+ Enterprise Risk Committee
+ Head Human Resources
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
+
+ All EDM
+ APO01.04
+
+
Enterprise governance communications
+
+
+
+ APO07.03
+ APO07.04
+
+
Reward system approach
+
+
+
+
+ Monitor the governance system
+ EDM01.03
+
+
Monitor the effectiveness and performance of the enterprise’s governance of IT. Assess
+ whether the governance system and implemented mechanisms (including structures,
+ principles and processes) are operating effectively and provide appropriate oversight of
+ IT.
+
+
+
+
Assess the effectiveness and performance of those stakeholders given delegated
+ responsibility and authority for governance of enterprise IT.
+
Periodically assess whether agreed-on governance of IT mechanisms (structures,
+ principles, processes, etc.) are established and operating effectively.
+
Assess the effectiveness of the governance design and identify actions to rectify any
+ deviations found.
+
Maintain oversight of the extent to which IT satisfies obligations (regulatory,
+ legislation, common law, contractual), internal policies, standards and professional
+ guidelines.
+
Provide oversight of the effectiveness of, and compliance with, the enterprise’s
+ system of control.
+
Monitor regular and routine mechanisms for ensuring that the use of IT complies with
+ relevant obligations (regulatory, legislation, common law, contractual), standards and
+ guidelines.
+
+
+
+ Board
+ Chief Executive Officer
+ Chief Financial Officer
+ Chief Operating Officer
+ Business Executives
+ Business Process Owners
+ Strategy Executive Committee
+ Steering (Programmes/Projects) Committee
+ Project Management Office
+ Value Management Office
+ Chief Risk Officer
+ Chief Information Security Officer
+ Architecture Board
+ Enterprise Risk Committee
+ Head Human Resources
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
+
+ MEA01.04
+
+
Performance reports
+
+ MEA01.05
+
+
Status and results of actions
+
+
+
+ MEA02.01
+
+
+
Results of benchmarking and other evaluations
+
Results of internal control monitoring and reviews
+
+
+
+ MEA02.03
+
+
Results of reviews of self-assessments
+
+
+
+ MEA02.06
+
+
Assurance plans
+
+
+
+ MEA03.03
+
+
Compliance confirmations
+
+
+
+ MEA03.04
+
+
+
Reports of non-compliance issues and root causes
+
Compliance assurance reports
+
+
+
+
+ Outside COBIT
+
+
+
Obligations
+
Audit reports
+
+
+
+
+
+ All EDM
+ APO01.07
+
+
Feedback on governance effectiveness and performance
+
+
+
+
+
+
+ Committee of Sponsoring Organizations of the Treadway Commission
+ (COSO)
+
+
+ ISO/IEC 38500
+
+
+ King III
+
+
5.1. The board should be responsible for information technology (IT) governance.
+
5.3. The board should delegate to management the responsibility for the
+ implementation of an IT governance framework.
+
+
+
+ Organisation for Economic Co-operation and Development (OECD)
+
Define, operate and monitor a system for information security management.
+
Keep the impact and occurrence of information security incidents within the enterprise’s risk appetite levels.
+
+ IT compliance and support for business compliance with external laws and
+ regulations
+ IT
+ 02
+
+
+ Cost of IT non-compliance, including settlements and fines, and the impact of
+ reputational loss
+ Number of IT-related non-compliance issues reported to the board or causing public
+ comment or embarrassment
+ Number of non-compliance issues relating to contractual agreements with IT service
+ providers
+ Coverage of compliance assessments
+
+
+
+ Managed IT-related business risk
+ IT
+ 04
+
+
+ Percent of critical business processes, IT services and IT-enabled business
+ programmes covered by risk assessment
+ Number of significant IT-related incidents that were not identified in risk
+ assessment
+ Percent of enterprise risk assessments including IT-related risk
+ Frequency of update of risk profile
+
+
+
+
+ Transparency of IT costs, benefits and risk
+ IT
+ 06
+
+
+ Percent of investment business cases with clearly defined and approved expected
+ IT-related costs and benefits
+ Percent of IT services with clearly defined and approved operational costs and
+ expected benefits
+ Satisfaction survey of key stakeholders regarding the level of transparency,
+ understanding and accuracy of IT financial information
+
+
+
+
+ Security of information, processing infrastructure and applications
+ IT
+ 10
+
+
+ Number of security incidents causing financial loss, business disruption or public
+ embarrassment
+ Number of IT services with outstanding security requirements
+ Time to grant, change and remove access privileges, compared to agreed-on service
+ levels
+ Frequency of security assessment against latest standards and guidelines
+
+
+
+
+ Availability of reliable and useful information for decision making
+ 14
+ IT
+
+
+ Level of business user satisfaction with quality and timeliness (or availability) of
+ management information
+ Number of business process incidents caused by non-availability of information
+ Ratio and extent of erroneous business decisions where erroneous or unavailable
+ information was a key factor
+
+
+
+
+ A system is in place that considers and effectively addresses enterprise information
+ security requirements.
+ Process
+ 1.
+
+
+ Number of key security roles clearly defined
+ Number of security related incidents
+
+
+
+
+ A security plan has been established, accepted and communicated throughout the
+ enterprise.
+ Process
+ 2.
+
+
+ Level of stakeholder satisfaction with the security plan throughout the
+ enterprise
+ Number of security solutions deviating from the plan
+ Number of security solutions deviating from the enterprise architecture
+
+
+
+
+ Information security solutions are implemented and operated consistently throughout
+ the enterprise.
+ Process
+ 3.
+
+
+ Number of services with confirmed alignment to the security plan
+ Number of security incidents caused by non-adherence to the security plan
+ Number of solutions developed with confirmed alignment to the security plan
+
+
+
+
+ Establish and maintain an information security management system (ISMS)
+ APO13.01
+
+
Establish and maintain an ISMS that provides a standard, formal and continuous approach
+ to security management for information, enabling secure technology and business
+ processes that are aligned with business requirements and enterprise security
+ management.
+
+
+
+
Define the scope and boundaries of the ISMS in terms of the characteristics of the
+ enterprise, the organisation, its location, assets and technology. Include details of,
+ and justification for, any exclusions from the scope.
+
Define an ISMS in accordance with enterprise policy and aligned with the enterprise,
+ the organisation, its location, assets and technology.
+
Align the ISMS with the overall enterprise approach to the management of
+ security.
+
Obtain management authorisation to implement and operate or change the ISMS.
+
Prepare and maintain a statement of applicability that describes the scope of the
+ ISMS.
+
Define and communicate Information security management roles and
+ responsibilities.
+
Communicate the ISMS approach.
+
+
+
+ Chief Executive Officer
+ Chief Operating Officer
+ Business Executives
+ Business Process Owners
+ Strategy Executive Committee
+ Steering (Programmes/Projects) Committee
+ Project Management Office
+ Chief Risk Officer
+ Chief Information Security Officer
+ Architecture Board
+ Enterprise Risk Committee
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
+
+ Outside COBIT
+
+
Enterprise security approach
+
+
+
+ Internal
+
+
ISMS policy
+
+
+
+ APO01.02
+ DSS06.03
+
+
ISMS scope statement
+
+
+
+
+ Define and manage an information security risk treatment plan.
+ APO13.02
+
+
Maintain an information security plan that describes how information security risk is
+ to be managed and aligned with the enterprise strategy and enterprise architecture.
+ Ensure that recommendations for implementing security improvements are based on approved
+ business cases and implemented as an integral part of services and solutions
+ development, then operated as an integral part of business operation.
+
+
+
+
Formulate and maintain an information security risk treatment plan aligned with
+ strategic objectives and the enterprise architecture. Ensure that the plan identifies
+ the appropriate and optimal management practices and security solutions, with
+ associated resources, responsibilities and priorities for managing identified
+ information security risk.
+
Maintain as part of the enterprise architecture an inventory of solution components
+ that are in place to manage security-related risk.
+
Develop proposals to implement the information security risk treatment plan,
+ supported by suitable business cases, which include consideration of funding and
+ allocation of roles and responsibilities.
+
Provide input to the design and development of management practices and solutions
+ selected from the information security risk treatment plan.
+
Define how to measure the effectiveness of the selected management practices and
+ specify how these measurements are to be used to assess effectiveness to produce
+ comparable and reproducible results.
+
Recommend information security training and awareness programmes.
+
Integrate the planning, design, implementation and monitoring of information security
+ procedures and other controls capable of enabling prompt prevention, detection of
+ security events and response to security incidents.
+
+
+
+ Chief Executive Officer
+ Chief Operating Officer
+ Business Executives
+ Business Process Owners
+ Strategy Executive Committee
+ Steering (Programmes/Projects) Committee
+ Project Management Office
+ Chief Risk Officer
+ Chief Information Security Officer
+ Architecture Board
+ Enterprise Risk Committee
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
+
+ APO02.04
+
+
Gaps and changes required to realise target capability
+
+
+
+ APO03.02
+
+
Baseline domain descriptions and architecture definition
+
+
+
+ APO12.05
+
+
Project proposals for reducing risk
+
+
+
+
+
+ All EDM
+ All APO
+ All BAI
+ All DSS
+ All MEA
+
+
Information security risk treatment plan
+
+
+
+ APO02.05
+
+
Information security business cases
+
+
+
+
+ Monitor and review the ISMS.
+ APO13.03
+
+
Maintain and regularly communicate the need for, and benefits of, continuous
+ information security improvement. Collect and analyse data about the ISMS, and improve
+ the effectiveness of the ISMS. Correct non-conformities to prevent recurrence. Promote a
+ culture of security and continual improvement.
+
+
+
+
Undertake regular reviews of the effectiveness of the ISMS including meeting ISMS
+ policy and objectives, and review of security practices. Take into account results of
+ security audits, incidents, results from effectiveness measurements, suggestions and
+ feedback from all interested parties.
+
Conduct internal ISMS audits at planned intervals.
+
Undertake a management review of the ISMS on a regular basis to ensure that the scope
+ remains adequate and improvements in the ISMS process are identified.
+
Provide input to the maintenance of the security plans to take into account the
+ findings of monitoring and reviewing activities.
+
Record actions and events that could have an impact on the effectiveness or
+ performance of the ISMS.
+
+
+
+ Business Executives
+ Business Process Owners
+ Strategy Executive Committee
+ Project Management Office
+ Chief Information Security Officer
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
+
+ DSS02.02
+
+
Classified and prioritised incidents and service requests
+
+
+
+ MEA02.01
+
+
ISMS audit reports
+
+
+
+ Internal
+
+
Recommendations for improving the ISMS
+
+
+
+
+
+ ISO/IEC 27001:2005
+
Information security management systems—Requirements, Section 4
+
+
+ ISO/IEC 27002:2011
+
+
+ National Institute of Standards and Technology (NIST) SP800-53 Rev 1
+
Recommended Security Controls for USA Federal Information Systems
+
+
+ ITIL V3 2011
+
Service Design, 4.7 Information Security Management
Define and maintain descriptions and relationships between key resources and capabilities
+ required to deliver IT-enabled services, including collecting configuration information,
+ establishing baselines, verifying and auditing configuration information, and updating the
+ configuration repository.
+
+
+
Provide sufficient information about service assets to enable the service to be
+ effectively managed, assess the impact of changes and deal with service incidents.
+
+
+ IT compliance and support for business compliance with external laws and
+ regulations
+ IT
+ 02
+
+ Cost of IT non-compliance, including settlements and fines, and the
+ impact of reputational loss
+ Number of IT-related non-compliance issues reported to the board or
+ causing public comment or embarrassment
+ Number of non-compliance issues relating to contractual agreements
+ with IT service providers
+ Coverage of compliance assessments
+
+
+
+ Optimisation of IT assets, resources and capabilities
+ IT
+ 11
+
+ Frequency of capability maturity and cost optimisation assessments
+ Trend of assessment results
+ Satisfaction levels of business and IT executives with IT-related
+ costs and capabilities
+
+
+
+ Availability of reliable and useful information for decision making
+ IT
+ 14
+
+ Level of business user satisfaction with quality and timeliness (or
+ availability) of management information
+ Number of business process incidents caused by non-availability of
+ information
+ Ratio and extent of erroneous business decisions where erroneous or
+ unavailable information was a key factor
+
+
+
+ Configuration repository is accurate, complete and up to date.
+ Process
+ 1.
+
+ Number of deviations between the configuration repository and live
+ configuration
+ Number of discrepancies relating to incomplete or missing
+ configuration information
+
+
+
+ Establish and maintain a configuration model.
+ BAI10.01
+
+
Establish and maintain a logical model of the services, assets and infrastructure and
+ how to record configuration items (CIs) and the relationships amongst them. Include the
+ CIs considered necessary to manage services effectively and to provide a single reliable
+ description of the assets in a service.
+
+
+
+
Define and agree on the scope and level of detail for configuration management
+ (i.e., which services, assets and infrastructure configurable items to include).
+
Establish and maintain a logical model for configuration management, including
+ information on configuration item types, configuration item attributes, relationship
+ types, relationship attributes and status codes.
+
+
+
+ Business Process Owners
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+
+
+ BAI07.06
+
+
Release plan
+
+
+
+ Internal
+
+
Scope of configuration management model
+
+
+
+ Internal
+
+
Logical configuration model
+
+
+
+
+ Establish and maintain a configuration repository and baseline.
+ BAI10.02
+
+
Establish and maintain a configuration management repository and create controlled
+ configuration baselines.
+
+
+
+
Identify and classify configuration items and populate the repository.
+
Create, review and formally agree on configuration baselines of a service,
+ application or infrastructure.
+
+
+
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+
+
+ BAI09.05
+
+
Register of software licences
+
+
+
+ BAI09.01
+ DSS02.01
+
+
Configuration repository
+
+
+
+ BAI03.11
+
+
Configuration baseline
+
+
+
+
+ Maintain and control configuration items.
+ BAI10.03
+
+
Maintain an up-to-date repository of configuration items by populating with
+ changes.
+
+
+
+
Regularly identify all changes to configuration items.
+
Review proposed changes to configuration items against the baseline to ensure
+ completeness and accuracy.
+
Update configuration details for approved changes to configuration items.
+
Create, review and formally agree on changes to configuration baselines whenever
+ needed.
+
+
+
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+
+
+ BAI06.03
+
+
Change request status reports
+
+
+
+ BAI09.01
+
+
+
Results of physical inventory checks
+
Asset register
+
+
+
+
+ BAI09.03
+
+
+
Authorised asset retirements
+
Updated asset register
+
+
+
+
+ DSS02.01
+
+
Updated repository with configuration items
+
+
+
+ BAI03.11
+
+
Approved changes to baseline
+
+
+
+
+ Produce status and configuration reports.
+ BAI10.04
+
+
Define and produce configuration reports on status changes of configuration items.
+
+
+
+
Identify status changes of configuration items and report against the baseline.
+
Match all configuration changes with approved requests for change to identify any
+ unauthorised changes. Report unauthorised changes to change management.
+
Identify reporting requirements from all stakeholders, including content, frequency
+ and media. Produce reports according to the identified requirements.
+
+
+
+ Business Process Owners
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+
+
+ BAI09.01
+
+
Results of physical inventory checks
+
+
+
+ BAI03.11
+ DSS02.01
+
+
Configuration status reports
+
+
+
+
+ Verify and review integrity of the configuration repository.
+ BAI10.05
+
+
Periodically review the configuration repository and verify completeness and
+ correctness against the desired target.
+
+
+
+
Periodically verify live configuration items against the configuration repository by
+ comparing physical and logical configurations and using appropriate discovery tools,
+ as required.
+
Report and review all deviations for approved corrections or action to remove any
+ unauthorised assets.
+
Periodically verify that all physical configuration items, as defined in the
+ repository, physically exist. Report any deviations to management.
+
Set and periodically review the target for completeness of the configuration
+ repository based on business need.
+
Periodically compare the degree of completeness and accuracy against targets and
+ take remedial action, as necessary, to improve the quality of the repository
+ data.
+
+
+
+ Business Process Owners
+ Audit
+ Head Architect
+ Head Development
+ Head IT Operations
+ Service Manager
+
+
+ Internal
+
+
Results of physical verification of configuration items
+
+
+
+ MEA03.03
+
+
Licence deviations
+
+
+
+ Internal
+
+
Results of repository completeness reviews
+
+
+
+
+
+ ISO/IEC 20000
+
9.1 Configuration management
+
+
+ ITIL V3 2011
+
+
+
Service Transition, 4.3 Service Asset and Configuration Management
+
+
+
+
+
+ Deliver, Service and Support
+ Management
+ DSS
+
+ Manage operations
+ DSS01
+
+
+ Manage service requests and incidents
+ DSS02
+
+
Provide timely and effective response to user requests and resolution of all types of
+ incidents. Restore normal service; record and fulfil user requests; and record,
+ investigate, diagnose, escalate and resolve incidents.
+
+
+
Achieve increased productivity and minimise disruptions through quick resolution of user
+ queries and incidents.
+
+
+ Managed IT-related business risk
+ IT
+ 04
+
+ Percent of critical business processes, IT services and IT-enabled
+ business programmes covered by risk assessment
+ Number of significant IT-related incidents that were not identified
+ in risk assessment
+ Percent of enterprise risk assessments including IT-related
+ risk
+ Frequency of update of risk profile
+
+
+
+ Delivery of IT services in line with business requirements
+ IT
+ 07
+
+ Number of business disruptions due to IT service incidents
+ Percent of business stakeholders satisfied that IT service delivery
+ meets agreed-on service levels
+ Percent of users satisfied with the quality of IT service
+ delivery
+
+
+
+ IT-related services are available for use.
+ Process
+ 1.
+
+ Number and percent of incidents causing disruption to
+ business-critical processes
+ Mean time between incidents according to IT-enabled service
+
+
+
+ Incidents are resolved according to agreed-on service levels.
+ Process
+ 2.
+
+ Percent of incidents resolved within an agreed-on/acceptable period
+ of time
+
+
+
+ Service requests are dealt with according to agreed-on service levels and to the
+ satisfaction of users.
+ Process
+ 3.
+
+ Level of user satisfaction with service request fulfilment
+ Mean elapsed time for handling each type of service request
+
+
+
+ Define incident and service request classification schemes.
+ DSS02.01
+
+
Define incident and service request classification schemes and models.
+
+
+
+
Define incident and service request classification and prioritisation schemes and
+ criteria for problem registration, to ensure consistent approaches for handling,
+ informing users about and conducting trend analysis.
+
Define incident models for known errors to enable efficient and effective
+ resolution.
+
Define service request models according to service request type to enable self-help
+ and efficient service for standard requests.
+
Define incident escalation rules and procedures, especially for major incidents and
+ security incidents.
+
Define incident and request knowledge sources and their use.
+
+
+
+ Business Process Owners
+ Chief Risk Officer
+ Chief Information Security Officer
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
+
+ APO09.03
+
+
SLAs
+
+
+
+ BAI10.02
+
+
Configuration repository
+
+
+
+ BAI10.03
+
+
Updated repository with configuration items
+
+
+
+ BAI10.04
+
+
Configuration status reports
+
+
+
+ DSS01.03
+
+
Asset monitoring rules and event conditions
+
+
+
+ DSS03.01
+
+
Problem classification scheme
+
+
+
+ DSS04.03
+
+
Incident response actions and communications
+
+
+
+ Internal
+
+
Incident and service request classification schemes and models
+
+
+
+ Internal
+
+
Rules for incident escalation
+
+
+
+ DSS03.01
+
+
Criteria for problem registration
+
+
+
+
+ Record, classify and prioritise requests and incidents.
+ DSS02.02
+
+
Identify, record and classify service requests and incidents, and assign a priority
+ according to business criticality and service agreements.
+
+
+
+
Log all service requests and incidents, recording all relevant information so that
+ they can be handled effectively and a full historical record can be maintained.
+
To enable trend analysis, classify service requests and incidents by identifying
+ type and category.
+
Prioritise service requests and incidents based on SLA service definition of
+ business impact and urgency.
+
+
+
+ Business Process Owners
+ Chief Risk Officer
+ Chief Information Security Officer
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
+
+ APO09.03
+
+
SLAs
+
+
+
+ BAI04.05
+
+
Emergency escalation procedure
+
+
+
+ DSS01.03
+
+
+
Incident tickets
+
Asset monitoring rules and event conditions
+
+
+
+
+ DSS05.07
+
+
Security incident tickets
+
+
+
+ Internal
+
+
Incident and service request log
+
+
+
+ APO08.03
+ APO09.04
+ APO13.03
+
+
Classified and prioritised incidents and service requests
+
+
+
+
+ Verify, approve and fulfil service requests.
+ DSS02.03
+
+
Select the appropriate request procedures and verify that the service requests fulfil
+ defined request criteria. Obtain approval, if required, and fulfil the requests
+
+
+
+
Verify entitlement for service requests using, where possible, a predefined process
+ flow and standard changes.
+
Obtain financial and functional approval or sign-off, if required, or predefined
+ approvals for agreed-on standard changes.
+
Fulfil the requests by performing the selected request procedure, using, where
+ possible, self-help automated menus and predefined request models for frequently
+ requested items.
+
+
+
+ Business Process Owners
+ Chief Risk Officer
+ Chief Information Security Officer
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
+
+ APO12.06
+
+
Identify and record incident symptoms, determine possible causes, and allocate for
+ resolution.
+
+
+
+
Identify and describe relevant symptoms to establish the most probable causes, of
+ the incidents. Reference available knowledge resources (including known errors and
+ problems) to identify possible incident resolutions (temporary workarounds and/or
+ permanent solutions).
+
If a related problem or known error does not already exist and if the incident
+ satisfies agreed-on criteria for problem registration, log a new problem.
+
Assign incidents to specialist functions if deeper expertise is needed, and engage
+ the appropriate level of management, where and if needed.
+
+
+
+ Business Process Owners
+ Chief Risk Officer
+ Chief Information Security Officer
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Service Manager
+ Information Security Manager
+
+
+ BAI07.07
+
+
Supplemental support plan
+
+
+
+ Internal
+
+
Incident symptoms
+
+
+
+ DSS03.01
+
+
Problem log
+
+
+
+
+ Resolve and recover from incidents.
+ DSS02.05
+
+
Document, apply and test the identified solutions or workarounds and perform recovery
+ actions to restore the IT-related service.
+
+
+
+
Select and apply the most appropriate incident resolutions (temporary workaround
+ and/or permanent solution).
+
Record whether workarounds were used for incident resolution.
+
Perform recovery actions, if required.
+
Document incident resolution and assess if the resolution can be used as a future
+ knowledge source.
+
+
+
+ Business Process Owners
+ Chief Risk Officer
+ Chief Information Security Officer
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Service Manager
+ Information Security Manager
+ Privacy Officer
+
+
+ APO12.06
+
+
Risk-related incident response plans
+
+
+
+ DSS03.03
+
+
Known error records
+
+
+
+ DSS03.04
+
+
Communication of knowledge learned
+
+
+
+ DSS03.04
+
+
Incident resolutions
+
+
+
+
+ Close service requests and incidents.
+ DSS02.06
+
+
Verify satisfactory incident resolution and/or request fulfilment, and close.
+
+
+
+
Verify with the affected users (if agreed on) that the service request has been
+ satisfactory fulfilled or the incident has been satisfactory resolved.
+
Close service requests and incidents.
+
+
+
+ Business Process Owners
+ Chief Risk Officer
+ Chief Information Security Officer
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Service Manager
+ Information Security Manager
+ Privacy Officer
+
+
+ DSS03.04
+
+
Closed problem records
+
+
+
+ APO08.03
+ APO09.04
+ DSS03.04
+
+
Closed service requests and incidents
+
+
+
+ APO08.03
+
+
User confirmation of satisfactory fulfilment or resolution
+
+
+
+
+ Track status and produce reports.
+ DSS02.07
+
+
Regularly track, analyse and report incident and request fulfilment trends to provide
+ information for continual improvement.
+
+
+
+
Monitor and track incident escalations and resolutions and request handling
+ procedures to progress towards resolution or completion.
+
Identify information stakeholders and their needs for data or reports. Identify
+ reporting frequency and medium.
+
Analyse incidents and service requests by category and type to establish trends and
+ identify patterns of recurring issues, SLA breaches or inefficiencies. Use the
+ information as input to continual improvement planning.
+
Produce and distribute timely reports or provide controlled access to online
+ data.
+
+
+
+ Business Process Owners
+ Chief Risk Officer
+ Chief Information Security Officer
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Service Manager
+ Information Security Manager
+
+
+ APO09.03
+
+
+
+
+
+
+
+
+ Manage problems
+ DSS03
+
+
+ Manage continuity
+ DSS04
+
+
+ Manage security services
+ DSS05
+
+
+ Manage business process controls
+ DSS06
+
+
+
+ Monitor, Evaluate and Assess
+ Management
+ MEA
+
+ Monitor, evaluate and assess performance and conformance
+ MEA01
+
+
+ Monitor, evaluate and assess the system of internal control
+ MEA02
+
+
Continuously monitor and evaluate the control environment, including self-assessments and
+ independent assurance reviews. Enable management to identify control deficiencies and
+ inefficiencies and to initiate improvement actions. Plan, organise and maintain standards
+ for internal control assessment and assurance activities.
+
+
+
Obtain transparency for key stakeholders on the adequacy of the system of internal
+ controls and thus provide trust in operations, confidence in the achievement of enterprise
+ objectives and an adequate understanding of residual risk.
+
+
+ IT compliance and support for business compliance with external laws and
+ regulations
+ IT
+ 02
+
+ Cost of IT non-compliance, including settlements and fines, and the
+ impact of reputational loss
+ Number of IT-related non-compliance issues reported to the board or
+ causing public comment or embarrassment
+ Number of non-compliance issues relating to contractual agreements
+ with IT service providers
+ Coverage of compliance assessments
+
+
+
+ Managed IT-related business risk
+ IT
+ 04
+
+ Percent of critical business processes, IT services and IT-enabled
+ business programmes covered by risk assessment
+ Number of significant IT-related incidents that were not identified
+ in risk assessment
+ Percent of enterprise risk assessments including IT-related
+ risk
+ Frequency of update of risk profile
+
+
+
+ IT compliance with internal policies
+ IT
+ 15
+
+ Number of incidents related to non-compliance to policy
+ Percent of stakeholders who understand policies
+ Percent of policies supported by effective standards and working
+ practices
+ Frequency of policies review and update
+
+
+
+ Processes, resources and information meet enterprise internal control system
+ requirements.
+ Process
+ 1.
+
+ Percent of processes with assured output meeting targets within
+ tolerances
+ Percent of processes assured as compliant with internal control
+ targets
+
+
+
+ All assurance initiatives are planned and executed effectively.
+ Process
+ 2.
+
+ Percent of assurance initiatives following approved assurance
+ programme and plan standards
+
+
+
+ Independent assurance that the system of internal control is operational and
+ effective is provided.
+ Process
+ 3.
+
+ Percent of processes receiving independent review
+
+
+
+ Internal control is established and deficiencies are identified and reported.
+ Process
+ 4.
+
+ Number of weaknesses identified by external qualification and
+ certification reports
+ Number of major internal control breaches
+ Time between internal control deficiency occurrence and
+ reporting
+
+
+
+ Monitor internal controls.
+ MEA02.01
+
+
Continuously monitor, benchmark and improve the IT control environment and control
+ framework to meet organisational objectives.
+
+
+
+
Perform internal control monitoring and evaluation activities based on organisational
+ governance standards and industry-accepted frameworks and practices. Include
+ monitoring and evaluation of the efficiency and effectiveness of managerial
+ supervisory reviews.
+
Consider independent evaluations of the internal control system (e.g., by internal
+ audit or peers).
+
Identify the boundaries of the IT internal control system (e.g., consider how
+ organisational IT internal controls take into account outsourced and/or offshore
+ development or production activities).
+
Ensure that control activities are in place and exceptions are promptly reported,
+ followed up and analysed, and appropriate corrective actions are prioritised and
+ implemented according to the risk management profile (e.g., classify certain
+ exceptions as a key risk and others as a non-key risk).
+
Maintain the IT internal control system, considering ongoing changes in business and
+ IT risk, the organisational control environment, relevant business and IT processes,
+ and IT risk. If gaps exist, evaluate and recommend changes.
+
Regularly evaluate the performance of the IT control framework, benchmarking against
+ industry accepted standards and good practices. Consider formal adoption of a
+ continuous improvement approach to internal control monitoring.
+
Assess the status of external service providers’ internal controls and confirm that
+ service providers comply with legal and regulatory requirements and contractual
+ obligations.
+
+
+
+ Chief Executive Officer
+ Chief Financial Officer
+ Chief Operating Officer
+ Business Executives
+ Business Process Owners
+ Project Management Office
+ Chief Risk Officer
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
+
+ APO12.04
+
+
Results of third-party risk assessments
+
+
+
+ APO13.03
+
+
ISMS audit reports
+
+
+
+ Outside COBIT
+
+
Industry standards and good practices
+
+
+
+ EDM01.03
+ All APO
+ All BAI
+ All DSS
+ All MEA
+
+
Results of internal control monitoring and reviews
+
+
+
+ EDM01.03
+ All APO
+ All BAI
+ All DSS
+ All MEA
+
+
Results of benchmarking and other evaluations
+
+
+
+
+ Review business process controls effectiveness.
+ MEA02.02
+
+
Review the operation of controls, including a review of monitoring and test evidence,
+ to ensure that controls within business processes operate effectively. Include
+ activities to maintain evidence of the effective operation of controls through
+ mechanisms such as periodic testing of controls, continuous controls monitoring,
+ independent assessments, command and control centres, and network operations centres.
+ This provides the business with the assurance of control effectiveness to meet
+ requirements related to business, regulatory and social responsibilities.
+
+
+
+
Understand and prioritise risk to organisational objectives.
+
Identify key controls and develop a strategy suitable for validating controls.
+
Identify information that will persuasively indicate whether the internal control
+ environment is operating effectively.
+
Develop and implement cost-effective procedures to determine that persuasive
+ information is based on the information criteria.
+
Maintain evidence of control effectiveness.
+
+
+
+ Board
+ Chief Executive Officer
+ Chief Financial Officer
+ Chief Operating Officer
+ Business Executives
+ Business Process Owners
+ Strategy Executive Committee
+ Chief Risk Officer
+ Chief Information Security Officer
+ Compliance
+ Audit
+ Chief Information Officer
+ Head IT Operations
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+
+
+ BAI05.06
+
+
Encourage management and process owners to take positive ownership of control
+ improvement through a continuing programme of self-assessment to evaluate the
+ completeness and effectiveness of management’s control over processes, policies and
+ contracts.
+
+
+
+
Maintain plans and scope and identify evaluation criteria for conducting
+ self-assessments. Plan the communication of results of the self-assessment process to
+ business, IT and general management and the board. Consider internal audit standards
+ in the design of self-assessments.
+
Determine the frequency of periodic self-assessments, considering the overall
+ effectiveness and efficiency of ongoing monitoring.
+
Assign responsibility for self-assessment to appropriate individuals to ensure
+ objectivity and competence.
+
Provide for independent reviews to ensure objectivity of the self-assessment and
+ enable the sharing of internal control good practices from other enterprises.
+
Compare the results of the self-assessments against industry standards and good
+ practices.
+
Summarise and report outcomes of self-assessments and benchmarking for remedial
+ actions.
+
Define an agreed-on, consistent approach for performing control self-assessments and
+ co-ordinating with internal and external auditors.
+
+
+
+ Chief Executive Officer
+ Chief Financial Officer
+ Chief Operating Officer
+ Business Executives
+ Business Process Owners
+ Project Management Office
+ Chief Risk Officer
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
+
+ All APO
+ All BAI
+ All DSS
+ All MEA
+
+
Self-assessment plans and criteria
+
+
+
+ Internal
+
+
Results of self-assessments
+
+
+
+ EDM01.03
+ All APO
+ All BAI
+ All DSS
+ All MEA
+
+
Results of reviews of self-assessments
+
+
+
+
+ Identify and report control deficiencies.
+ MEA02.04
+
+
Identify control deficiencies and analyse and identify their underlying root causes.
+ Escalate control deficiencies and report to stakeholders.
+
+
+
+
Identify, report and log control exceptions, and assign responsibility for resolving
+ them and reporting on the status.
+
Consider related enterprise risk to establish thresholds for escalation of control
+ exceptions and breakdowns.
+
Communicate procedures for escalation of control exceptions, root cause analysis, and
+ reporting to process owners and IT stakeholders.
+
Decide which control exceptions should be communicated to the individual responsible
+ for the function and which exceptions should be escalated. Inform affected process
+ owners and stakeholders.
+
Follow up on all exceptions to ensure that agreed-on actions have been addressed.
+
Identify, initiate, track and implement remedial actions arising from control
+ assessments and reporting.
+
+
+
+ Chief Executive Officer
+ Chief Financial Officer
+ Chief Operating Officer
+ Business Executives
+ Business Process Owners
+ Project Management Office
+ Chief Risk Officer
+ Chief Information Security Officer
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
+
+ APO11.05
+
+
Root causes of quality delivery failures
+
+
+
+ APO12.06
+
+
Risk-related root causes
+
+
+
+ DSS06.01
+
+
+
Root cause analyses and recommendations
+
Results of processing effectiveness reviews
+
+
+
+
+ DSS06.04
+
+
Evidence of error correction and remediation
+
+
+
+ All APO
+ All BAI
+ All DSS
+ All MEA
+
+
Control deficiencies
+
+
+
+ All APO
+ All BAI
+ All DSS
+ All MEA
+
+
Remedial actions
+
+
+
+
+ Ensure that assurance providers are independent and qualified.
+ MEA02.05
+
+
Ensure that the entities performing assurance are independent from the function, groups
+ or organisations in scope. The entities performing assurance should demonstrate an
+ appropriate attitude and appearance, competence in the skills and knowledge necessary to
+ perform assurance, and adherence to codes of ethics and professional standards.
+
+
+
+
Establish adherence to applicable codes of ethics and standards (e.g., Code of
+ Professional Ethics of ISACA) and (industry- and geography-specific) assurance
+ standards, e.g., IT Audit and Assurance Standards of ISACA and the International
+ Auditing and Assurance Standards Board’s (IAASB’s) International Framework for
+ Assurance Engagements (IAASB Assurance Framework).
+
Establish independence of assurance providers.
+
Establish competency and qualification of assurance providers.
+
+
+
+ Business Process Owners
+ Compliance
+ Audit
+ Chief Information Officer
+
+
+ Internal
+
+
Plan assurance initiatives based on enterprise objectives BAI01.05 and strategic
+ priorities, inherent risk, resource constraints, and sufficient knowledge of the
+ enterprise.
+
+
+
+
Determine the intended users of the assurance initiative output and the object of the
+ review.
+
Perform a high-level risk assessment and/or assessment of process capability to
+ diagnose risk and identify critical IT processes.
+
Select, customise and reach agreement on the control objectives for critical
+ processes that will be the basis for the control assessment.
+
+
+
+ Chief Executive Officer
+ Business Executives
+ Business Process Owners
+ Project Management Office
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
+
+ BAI01.05
+
+
Programme audit plans
+
+
+
+ DSS01.02
+
+
Independent assurance plans
+
+
+
+ Internal
+
+
High-level assessments
+
+
+
+ EDM01.03
+ All APO
+ All BAI
+ All DSS
+ All MEA
+
+
Define and agree with management on the scope of the assurance initiative, based on the
+ assurance objectives.
+
+
+
+
Define the actual scope by identifying the enterprise and IT goals for the
+ environment under review, the set of IT processes and resources, and all the relevant
+ auditable entities within the enterprise and external to the enterprise (e.g., service
+ providers), if applicable.
+
Define the engagement plan and resource requirements.
+
Define practices for gathering and evaluating information from process(es) under
+ review to identify controls to be validated, and current findings (both positive
+ assurance and any deficiencies) for risk evaluation.
+
Define practices to validate control design and outcomes and determine whether the
+ level of effectiveness supports acceptable risk (required by organisational or process
+ risk assessment).
+
Where control effectiveness is not acceptable, define practices to identify residual
+ risk (in preparation for reporting).
+
+
+
+ Chief Operating Officer
+ Business Executives
+ Business Process Owners
+ Project Management Office
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
+
+ APO11.05
+
+
Execute the planned assurance initiative. Report on identified findings. Provide
+ positive assurance opinions, where appropriate, and recommendations for improvement
+ relating to identified operational performance, external compliance and internal control
+ system residual risk.
+
+
+
+
Refine the understanding of the IT assurance subject.
+
Refine the scope of key control objectives for the IT assurance subject.
+
Test the effectiveness of the control design of the key control objectives.
+
Alternatively/additionally test the outcome of the key control objectives.
+
Document the impact of control weaknesses.
+
Communicate with management during execution of the initiative so that there is a
+ clear understanding of the work performed and agreement on and acceptance of the
+ preliminary findings and recommendations.
+
Supervise the assurance activities and make sure the work done is complete, meets
+ objectives and is of an acceptable quality.
+
Provide management with a report (aligned with the terms of reference, scope and
+ agreed-on reporting standards) that supports the results of the initiative and enables
+ a clear focus on key issues and important actions. M
+
+
+
+ Board
+ Chief Executive Officer
+ Business Executives
+ Business Process Owners
+ Project Management Office
+ Chief Risk Officer
+ Chief Information Security Officer
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Monitor, evaluate and assess compliance with external requirements
+ MEA03
+
+
+
+
diff --git a/working/COBIT5/cobit5-tuned-declarations.xml b/working/COBIT5/cobit5-tuned-declarations.xml
new file mode 100644
index 0000000000..a4195a6ef9
--- /dev/null
+++ b/working/COBIT5/cobit5-tuned-declarations.xml
@@ -0,0 +1,314 @@
+
+
+
+
+
+
+
+
+
+ Governance
+ Management
+
+
+
+
+
+ EDM
+ APO
+ BAI
+ DSS
+ MEA
+
+
+
+
+
+ 01
+
+
+
+
+
+
+
+
+
+
+
+
+
+ IT
+
+
+
+
+ \d\d
+
+
+
+
+
+
+
+
+
+
+ Process
+
+
+
+
+
+ 1.
+
+
+
+
+
+
+
+ .01
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Board
+ Chief Executive Officer
+ Chief Financial Officer
+ Chief Operating Officer
+ Business Executives
+ Business Process Owners
+ Strategy Executive Committee
+ Steering (Programmes/Projects) Committee
+ Project Management Office
+ Value Management Office
+ Chief Risk Officer
+ Chief Information Security Officer
+ Architecture Board
+ Enterprise Risk Committee
+ Head Human Resources
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
+
+ Board
+ Chief Executive Officer
+ Chief Financial Officer
+ Chief Operating Officer
+ Business Executives
+ Business Process Owners
+ Strategy Executive Committee
+ Steering (Programmes/Projects) Committee
+ Project Management Office
+ Value Management Office
+ Chief Risk Officer
+ Chief Information Security Officer
+ Architecture Board
+ Enterprise Risk Committee
+ Head Human Resources
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
+
+ Board
+ Chief Executive Officer
+ Chief Financial Officer
+ Chief Operating Officer
+ Business Executives
+ Business Process Owners
+ Strategy Executive Committee
+ Steering (Programmes/Projects) Committee
+ Project Management Office
+ Value Management Office
+ Chief Risk Officer
+ Chief Information Security Officer
+ Architecture Board
+ Enterprise Risk Committee
+ Head Human Resources
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
+
+ Board
+ Chief Executive Officer
+ Chief Financial Officer
+ Chief Operating Officer
+ Business Executives
+ Business Process Owners
+ Strategy Executive Committee
+ Steering (Programmes/Projects) Committee
+ Project Management Office
+ Value Management Office
+ Chief Risk Officer
+ Chief Information Security Officer
+ Architecture Board
+ Enterprise Risk Committee
+ Head Human Resources
+ Compliance
+ Audit
+ Chief Information Officer
+ Head Architect
+ Head Development
+ Head IT Operations
+ Head IT Administration
+ Service Manager
+ Information Security Manager
+ Business Continuity Manager
+ Privacy Officer
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
diff --git a/working/COBIT5/profile-cobit5.xml b/working/COBIT5/profile-cobit5.xml
new file mode 100644
index 0000000000..95d32d1029
--- /dev/null
+++ b/working/COBIT5/profile-cobit5.xml
@@ -0,0 +1,12 @@
+
+
+
+
+
+ Business Process Owners
+ Business Process Owners
+ Business Process Owners
+ Business Process Owners
+
+
+
\ No newline at end of file
diff --git a/working/ISO-27002/Convert-ISO-epub-to-OSCAL.xsl b/working/ISO-27002/Convert-ISO-epub-to-OSCAL.xsl
new file mode 100644
index 0000000000..7818c7fe6e
--- /dev/null
+++ b/working/ISO-27002/Convert-ISO-epub-to-OSCAL.xsl
@@ -0,0 +1,270 @@
+
+
+
+
+
+
+
+
+
+
+
+ ISO/IEC 27002
+
+
+
+
+
+
+
+
+
+ Control
+ Implementation guidance
+ Other information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
XX XXXXXXX XXXXXXXXXX XXXXXXXXX XXX XXXXXXX XXX XXXXXXXXXXX XXXXXXXX XX XXXXXXXXXX XXXX XXXXXXXX XXXXXXXXXXXX XXX XXXXXXXX XXXX XXX XXXXXXXXXXX.
+
+
+ Policies for information security
+ 5.1.1
+
+
X XXX XX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXX, XXXXXXXX XX XXXXXXXXXX, XXXXXXXXX XXX XXXXXXXXXXXX XX XXXXXXXXX XXX XXXXXXXX XXXXXXXX XXXXXXX.
+
+
+
XX XXX XXXXXXX XXXXX, XXXXXXXXXXXXX XXXXXX XXXXXX XX “XXXXXXXXXXX XXXXXXXX XXXXXX” XXXXX XX XXXXXXXX XX XXXXXXXXXX XXX XXXXX XXXX XXX XXX XXXXXXXXXXXX’X XXXXXXXX XX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX.
XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX, XXXXXXXXXX XXX XXXXXXXXXX XX XXXXX XXX XXXXXXXXXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXX;
+
XXXXXXXXXX XX XXXXXXX XXX XXXXXXXX XXXXXXXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XX XXXXXXX XXXXX;
+
XXXXXXXXX XXX XXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX.
+
+
XX X XXXXX XXXXX, XXX XXXXXXXXXXX XXXXXXXX XXXXXX XXXXXX XX XXXXXXXXX XX XXXXX-XXXXXXXX XXXXXXXX, XXXXX XXXXXXX XXXXXXX XXX XXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXX XXX XXXXXXXXX XXXXXXXXXX XX XXXXXXX XXX XXXXX XX XXXXXXX XXXXXX XXXXXX XXXXXX XX XXXXXXXXXXXX XX XX XXXXX XXXXXXX XXXXXX.
XXXXX XXXXXXXX XXXXXX XX XXXXXXXXXXXX XX XXXXXXXXX XXX XXXXXXXX XXXXXXXX XXXXXXX XX X XXXX XXXX XX XXXXXXXX, XXXXXXXXXX XXX XXXXXXXXXXXXXX XX XXX XXXXXXXX XXXXXX, X.X. XX XXX XXXXXXX XX XX “XXXXXXXXXXX XXXXXXXX XXXXXXXXX, XXXXXXXXX XXX XXXXXXXX XXXXXXXXX” (XXX 7.2.2).
+
+
+
XXX XXXX XXX XXXXXXXX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XXXXXX XXXXXXXXXXXXX. XXXXXXXX XXXXXXXX XXX XXXXXXXXXX XXXXXX XX XXXXXX XXX XXXX XXXXXXX XXXXXXXXXXXXX XXXXX XXXXX XXXXXXXX XXX XXXXXXXXX XXX XXXXXXXX XXXXXX XX XXXXXXX XXX XXXXXXXXXX XXXX XXXXX XXXXXXXXXXXX XXX XXXXXXXX XX XX XXXXXXXXXX XXXXX X XXXXXX XXXXXXX XX XXXX XXXXXXXXX XXXXXX XX XXXXXXXXX XX XXX XXXXXXXXXXXX. XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXX XX XXXXXX XX X XXXXXX “XXXXXXXXXXX XXXXXXXX XXXXXX” XXXXXXXX XX XX X XXX XX XXXXXXXXXX XXX XXXXXXX XXXXXXXXX.
+
XX XXX XX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXX XXXXXXXXXXX XXXXXXX XXX XXXXXXXXXXXX, XXXX XXXXXX XX XXXXX XXX XX XXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX.
+
XXXX XXXXXXXXXXXXX XXX XXXXX XXXXX XXX XXXXX XXXXXX XXXXXXXXX, XXXX XX “XXXXXXXXX”, “XXXXXXXXXX” XX “XXXXX”.
+
+
+
+ Review of the policies for information security
+ 5.1.2
+
+
XXX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXX XX XXXXXXX XXXXXXXXX XX XX XXXXXXXXXXX XXXXXXX XXXXX XX XXXXXX XXXXX XXXXXXXXXX XXXXXXXXXXX, XXXXXXXX XXX XXXXXXXXXXXXX.
+
+
+
XXXX XXXXXX XXXXXX XXXX XX XXXXX XXX XXX XXXXXXXX XXXXXXXXXX XXXXXXXXXXXXXX XXX XXX XXXXXXXXXXX, XXXXXX XXX XXXXXXXXXX XX XXX XXXXXXXX. XXX XXXXXX XXXXXX XXXXXXX XXXXXXXXX XXXXXXXXXXXXX XXX XXXXXXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXX XXX XXXXXXXX XX XXXXXXXX XXXXXXXXXXX XXXXXXXX XX XXXXXXXX XX XXXXXXX XX XXX XXXXXXXXXXXXXX XXXXXXXXXXX, XXXXXXXX XXXXXXXXXXXXX, XXXXX XXXXXXXXXX XX XXXXXXXXX XXXXXXXXXXX.
+
XXX XXXXXX XX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XXXX XXX XXXXXXX XX XXXXXXXXXX XXXXXXX XXXX XXXXXXX.
+
XXXXXXXXXX XXXXXXXX XXX X XXXXXXX XXXXXX XXXXXX XX XXXXXXXX.
+
+
+
+
+
+ Organization of information security
+ 6
+
+ Internal organization
+ 6.1
+
+
XX XXXXXXXXX X XXXXXXXXXX XXXXXXXXX XX XXXXXXXX XXX XXXXXXX XXX XXXXXXXXXXXXXX XXX XXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXX XXX XXXXXXXXXXXX.
+
+
+ Information security roles and responsibilities
+ 6.1.1
+
+
XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXXXXXX XXXXXX XX XXXXXXX XXX XXXXXXXXX.
+
+
+
XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXXXXXX XXXXXX XX XXXX XX XXXXXXXXXX XXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXX (XXX 5.1.1). XXXXXXXXXXXXXXXX XXX XXX XXXXXXXXXX XX XXXXXXXXXX XXXXXX XXX XXX XXXXXXXX XXX XXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXXX. XXXXXXXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXX XXXXXXXXXX XXXXXXXXXX XXX XX XXXXXXXXXX XXX XXXXXXXXXX XX XXXXXXXX XXXXX XXXXXX XX XXXXXXX. XXXXX XXXXXXXXXXXXXXXX XXXXXX XX XXXXXXXXXXXX, XXXXX XXXXXXXXX, XXXX XXXX XXXXXXXX XXXXXXXX XXX XXXXXXXX XXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX. XXXXX XXXXXXXXXXXXXXXX XXX XXX XXXXXXXXXX XX XXXXXX XXX XXX XXXXXXXX XXX XXXXXXXX XXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXX.
XXX XXXXXX XXXXXXXXXXX XXX XXXX XXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXX XXXXXX XX XXXXXXXX XXX XXX XXXXXXX XX XXXX XXXXXXXXXXXXXX XXXXXX XX XXXXXXXXXX (XXX 8.1.2);
+
XXXXXXXXXXXXX XXXXXX XXXXXX XX XXXXXXX XXX XXXXXXXXXX;
+
XX XX XXXX XX XXXXXX XXXXXXXXXXXXXXXX XX XXX XXXXXXXXXXX XXXXXXXX XXXX XXX XXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXX XX XXX XXXX XXX XX XXXXX XXXXXXXXXXXXX XX XXXX XX XX XXXX XXXX XXXXXXXXXXXX;
+
XXXXXXXXXXXX XXX XXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXX XX XXXXXXXX XXXXXXXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXXXX.
+
+
+
+
XXXX XXXXXXXXXXXXX XXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXX XX XXXX XXXXXXX XXXXXXXXXXXXXX XXX XXX XXXXXXXXXXX XXX XXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXX XX XXXXXXX XXX XXXXXXXXXXXXXX XX XXXXXXXX.
XXXXXXXXXXX XXXXXX XXX XXXXX XX XXXXXXXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXX XXXXXXXXXXXXX XXX XXXXXXXXXXXX XX XXXXXXXXXXXXX XXXXXXXXXXXX XX XXXXXX XX XXX XXXXXXXXXXXX’X XXXXXX.
+
+
+
XXXX XXXXXX XX XXXXX XXXX XX XXXXXX XXXXXX XXX XXXXXX, XXXXXX XX XXX XXXXXX XXXXXXX XXXXXXXXXXXXX XX XXXXXXXXX. XXX XXXXXXXXXX XX XX XXXXX XXXXXX XX XXXXXXXXX XXXX XXX XXXXXXXXXXXXX. XXX XXXXXXXXXXX XX XXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXXXX XXX XXXXXXXX.
+
XXXXX XXXXXXXXXXXXX XXX XXXX XXXXXXXXXXX XX XXXXXX XXXXXXXXX XX XXXXXXX, XXX XXX XXXXXXXXX XXXXXX XX XXXXXXX XX XXX XX XX XXXXXXXX XXX XXXXXXXXXXX. XXXXXXXX XX XX XXXXXXXXX XX XXXXXXXXX, XXXXX XXXXXXXX XXXX XX XXXXXXXXXX XX XXXXXXXXXX, XXXXX XXXXXX XXX XXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX.
+
+
+
XXXXXXXXXXX XX XXXXXX XX X XXXXXX XXX XXXXXXXX XXX XXXX XX XXXXXXXXXX XX XXXXXXXXXX XXXXXX XX XX XXXXXXXXXXXX’X XXXXXX.
+
+
+
+ Contact with authorities
+ 6.1.3
+
+
XXXXXXXXXXX XXXXXXXX XXXX XXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX.
+
+
+
XXXXXXXXXXXXX XXXXXX XXXX XXXXXXXXXX XX XXXXX XXXX XXXXXXX XXXX XXX XX XXXX XXXXXXXXXXX (X.X. XXX XXXXXXXXXXX, XXXXXXXXXX XXXXXX, XXXXXXXXXXX XXXXXXXXXXX) XXXXXX XX XXXXXXXXX XXX XXX XXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXX XX X XXXXXX XXXXXX (X.X. XX XX XX XXXXXXXXX XXXX XXXX XXX XXXX XXXX XXXXXX).
XXXXXXXXXX XX XXXXXXX XXX XXXXXXXX XXX XX XXX XXXXXXX, XXXXXXXXX XXXXX XXXXXXXX XX XXXXXXX XXXX XXXXXXXXXX XXX XXXXXXX XXXXXXXX XXXX XX X XXXXXXX XXXXXX;
+
XXXXXXXXX XXXXXX XX XXXXXXXX XXXXXXXXXXX XXXX XXXXX XXXXX XXXX XXXXXX XX XXX XXXX XXXXXXXXX XXXXXXXXXXXXX XXXXX XXXXXX (XXXXXXXX XXXXXXXXXX, XXXXXXXX XXXXXXXX, XXX.), XXXXXXX XXXXXXXXX XX XXXXXXXX XXXX, XXXXXXXX XXXXXX XXXXXX XX XXXX XX XXX XXXXXXXXXXXX XX XXXX XX XXXXX XX XXXX XX XXX XXXXXX XX XXXX XX XXXXXX XXXXXXXXXX XX XXX XXX XXXXXXX. XXXX XXXXXX XXXXX XX XXXX XXXXXXX XX XXXXXXX XXXXXXXXXXX.
+
+
+
+
XXXXXX XXXXXX XXXXXXXX XXXXXXXXXXX XXX XXXXXXX XX XXXXX XXXXX XX XXXXXXX XXXXXXXXXX, XXX XXXX XXXXXXXXX XXXXXXXXXXX XXXX XXXXXX XX XXXXXXXXXX XXXX XXXXXXXXXXX XXXXXXXX. XXXXXXX XXXXXXXXXXX XXX:
XXXXXXXXXXX XXXXXX XX XXXXXX XXXXXXX XXX XXX XX XXXXXX-XX XXXXXXX XX XXXXXXX XXXXXXX XXXXXXXXX XX XXXXXXX XXXXXX XXXXXXX XXX XXX XX XXXXXXXXX XX XXX XXXXX XXXX XXXXXXX XXX XXXXXXXXX.
XXX XXXXXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX, XXXXXX XXXX XXXXXXX XXX XXXX XXX XXXXXX XXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXX XXXXXXX, XXX XXXXXXXXXXX XX XXX XXXXXXXXXXX XXXX XXXX XX XXXXXXXX XXX XXXXXX XXXX XXX XXXXXXXXXXXXX XXXX XXX XXX XXXXXXXXXXX XX XXX XXXXXXXX XXXXXX;
+
XXX XXXXXXXXX XX XXXXXXX XXXXXXX XXXXXX XXXX XXXXXXXX XXXXXXXXXX XXX XXXXXXX XX XXXXXXXXXXX XX XXXXXXXXX XXXXX XXXXXXXXX;
+
XXX XXXXXX XX XXXXXXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXXXXX XXXX XXXXX XXXXXXX XXXXX XXX XXXXXXXXXXXXX, X.X. XXXXXX XXX XXXXXXX;
+
XXX XXX XX XXXX XXXXXXXX XXX XXXXXXXXXXXX XX XXXXXXXXXXXX XX XXX XXXXXXXXXXXXX XX XXXXXXXX XXXXXXX XXXXXXXX;
+
XXXXXXXX XXX XXXXXXXXXX XX XXXXXXX XXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXXXX XXXXXXXX XXXXXXXXX XX XXXXXXXXX XXXXX XXXXXXXXX;
+
XXXXXX XX XXXXXXXXX XXXXX XXXXXXXXX (XX XXXXXX XXX XXXXXXXX XX XXX XXXXXXX XX XXXXXX XX XXXXXXXXXXXXX), XXXXX XXX XX XXXXXXXXX XX XXXXXXXXXXX;
+
XXXXXXXX XXXXXXXXX XXXXXXXXXX XXXX XXX XXXX XXXX XXXXXXXXXXXXX XXX XXXXXX XXXXXX XXX XXXXXXXXX XXX XXXXXX XXXXXXXX XX XXXXXXXXXXXX XXXXX XXXXXXXXX XX XXXXXXXXX XX XXXXXXXX XXXXX XXXXX;
+
XXXXXXX XXXXXXXXXX XXX XXXXXXXX XXXXXXXXXXXX.
+
+
XXX XXXXXXXXXX XXX XXXXXXXXXXXX XX XX XXXXXXXXXX XXXXXX XXXXXXX:
+
+
XXX XXXXXXXXX XX XXXXXXXX XXXXXXXXX XXX XXXXXXX XXXXXXXXX XXX XXX XXXXXXXXXXX XXXXXXXXXX, XXXXX XXX XXX XX XXXXXXXXX XXXXX XXXXXXXXX XXXX XX XXX XXXXX XXX XXXXXXX XX XXX XXXXXXXXXXXX XX XXX XXXXXXX;
+
X XXXXXXXXXX XX XXX XXXX XXXXXXXXX, XXX XXXXX XX XXXX, XXX XXXXXXXXXXXXXX XX XXXXXXXXXXX XXXX XXX XX XXXX XXX XXX XXXXXXXX XXXXXXX XXX XXXXXXXX XXXX XXX XXXXXXXXXX XX XXXXXXXXXX XX XXXXXX;
XXXXXXXXXX XX XXXXXXXXX XXX XXXXXX XXXXXX, XXX XXX XXXXXX XX XXXXXXXXX XXXX XXX XXXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX.
+
+
+
+
XXXXXXXXXXX XXXXXX XX XXX XXXXX XX XXXX XXXXXXX XX XXX XXXXXX, XXXXXXXXX XXX-XXXXXXXXXXX XXXX XXXXXXXXXXXX, XXXX XX XXXXX XXXXXXXX XX XX “XXXXXXXXXXXXX”, “XXXXXXXX XXXXXXXXX”, “XXXXXX XXXX” XXX “XXXXXXX XXXX” XXXXXXXXXXXX.
+
+
+
+
+
+ Human resource security
+ 7
+
+ Prior to employment
+ 7.1
+
+
XXXXXXXXXX XXXXXXXXXXXX XXXXXX XX XXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXX XX XXXXXXX XXX XX XXXXXXXXXX XXXX XXXXXXXX XXXX, XXXXXXXXXXX XXX XXXXXX XXX XXXXXX XX XXXXXXXXXXXX XX XXX XXXXXXXX XXXXXXXXXXXX, XXX XXXXXXXXXXXXXX XX XXX XXXXXXXXXXX XX XX XXXXXXXX XXX XXX XXXXXXXXX XXXXX.
XXX XXXXXXXXXXX XXXXXXXXXXX XXX XXXXXXXXX XX XXXXXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XX XXXXXXXX XX XXXXXXXXXX XXX XXXXXXX:
+
+
XXXX XXX XXXXXXXXX XXX XXXXXXXXXXX XXX XXX XXXXX XXXXXX XX XXXXXXXXXXXX XXXXXXXXXXX XXXXXX XXXX X XXXXXXXXXXXXXXX XX XXX-XXXXXXXXXX XXXXXXXXX XXXXX XX XXXXX XXXXX XXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX (XXX 13.2.4);
+
XXX XXXXXXXX’X XX XXXXXXXXXX’X XXXXX XXXXXXXXXXXXXXXX XXX XXXXXX, X.X. XXXXXXXXX XXXXXXXXX XXXX XX XXXX XXXXXXXXXX XXXXXXXXXXX (XXX 18.1.2 XXX 18.1.4);
+
XXXXXXXXXXXXXXXX XXX XXX XXXXXXXXXXXXXX XX XXXXXXXXXXX XXX XXXXXXXXXX XX XXXXXXXXXXXXXX XXXXXX XXXXXXXXXX XXXX XXXXXXXXXXX, XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXX XX XXX XXXXXXXX XX XXXXXXXXXX (XXX Clause 8);
+
XXXXXXXXXXXXXXXX XX XXX XXXXXXXX XX XXXXXXXXXX XXX XXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXX XXXXX XXXXXXXXX XX XXXXXXXX XXXXXXX;
+
XXXXXXX XX XX XXXXX XX XXX XXXXXXXX XX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXX XXXXXXXXXXXX (XXX 7.2.3).
+
+
XXXXXXXXXXX XXXXXXXX XXXXX XXX XXXXXXXXXXXXXXXX XXXXXX XX XXXXXXXXXXXX XX XXX XXXXXXXXXX XXXXXX XXX XXX-XXXXXXXXXX XXXXXXX.
+
XXX XXXXXXXXXXXX XXXXXX XXXXXX XXXX XXXXXXXXX XXX XXXXXXXXXXX XXXXX XX XXXXX XXX XXXXXXXXXX XXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXX XX XXX XXXXXX XXX XXXXXX XX XXXXXX XXXX XXXX XXXX XX XXX XXXXXXXXXXXX’X XXXXXX XXXXXXXXXX XXXX XXXXXXXXXXX XXXXXXX XXX XXXXXXXX.
+
XXXXX XXXXXXXXXXX, XXXXXXXXXXXXXXXX XXXXXXXXX XXXXXX XXX XXXXX XXX XXXXXXXXXX XX XXXXXXXXXX XXXXXX XXXXXXXX XXX X XXXXXXX XXXXXX XXXXX XXX XXX XX XXX XXXXXXXXXX (XXX 7.3).
+
+
+
X XXXX XX XXXXXXX XXX XX XXXX XX XXXXX XXX XXXXXXXX’X XX XXXXXXXXXX’X XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXX, XXXX XXXXXXXXXX, XXXXXX, XXXXXXXXXXX XXX XX XXX XXXXXXXXXXXX’X XXXXXXXXX XXX XXXXXXXXXX, XX XXXX XX XXXXXXXXX XXXXXXXXX XXXXXXXX XX XXX XXXXXXXXXXXX. XX XXXXXXXX XXXXX, XXXX XXXXX X XXXXXXXXXX XX XXXXXXXXXX, XXX XX XXXXXXXX XX XXXXX XXXX XXXXXXXXXXX XXXXXXXXXXXX XX XXXXXX XX XXX XXXXXXXXXX XXXXXXXXXX.
+
+
+
+
+ During employment
+ 7.2
+
+
XX XXXXXX XXXX XXXXXXXXX XXX XXXXXXXXXXX XXX XXXXX XX XXX XXXXXX XXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXXXXXX.
+
+
+ Management responsibilities
+ 7.2.1
+
+
XXXXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXX XXX XXXXXXXXXXX XX XXXXX XXXXXXXXXXX XXXXXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXXXXX XXXXXXXX XXX XXXXXXXXXX XX XXX XXXXXXXXXXXX.
XXX XXXXXXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXX XXX XXXXXXXX XXXXXXXXX XX XXXXX XX XXXXXXX XXX XXXXXXXXX XXX XXXXXXXX XXXXXXXXXXX. XXX XXXXXXXXX XXXXXX XX XX XXXX XXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XXXXXXXX XXXXXXXX XXX XXXXXXXX XXXXXXXXXX, XXXXXX XXXX XXXXXXXXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XX XX XXXXXXXXX XXX XXX XXXXXXXX XXXX XXXX XXXX XXXXXXXXXXX XX XXXXXXX XXX XXXXXXXXXXX. XXX XXXXXXXXX XXXXXX XXXXXXXX XXXXXXXXX XXXXX XX XXXXXXXXX XXX XXXXXXXX, X.X. XXXXXXXX XX XXXX-XXXXXXX.
+
+
+
XXXX XXXXXXXXX XX XXXXXXXXX XXXXXXXXX, XX XX XXXXXXXXX XXX XXXX XX XXXXX XX XXX ‘XXXX’ XXX ‘XXX’, XXX XXXX XXX ‘XXX’. XX XX XXXXXXXXX XXXX XXXXXXXXX XXXXXXXXXX XXX XXX XX XXXXXXXXXXX XXXXXXXX XXX XXX XXXXXXXXX XXXXXX, XXXXXXXX XXX XXXXXXXX, XX XXX XXXXXXXXXXXX XX XXXXX XXX XXXXXXXXX.
+
XXXXXXXXX, XXXXXXXXX XXX XXXXXXXX XXX XX XXXX XX, XX XXXXXXXXX XX XXXXXXXXXXXXX XXXX, XXXXX XXXXXXXX XXXXXXXXXX, XXX XXXXXXX XXXXXXX XX XX XXXXXXX XXXXXXXX XXXXXXXX. XXXXXXXXX, XXXXXXXXX XXX XXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXX XXX XXXXXXXX XX XXX XXXXXXXXXX’X XXXXX, XXXXXXXXXXXXXXXX XXX XXXXXX.
+
XX XXXXXXXXXX XX XXX XXXXXXXXX’ XXXXXXXXXXXXX XXXXX XX XXXXXXXXX XX XXX XXX XX XX XXXXXXXXX, XXXXXXXXX XXX XXXXXXXX XXXXXX XX XXXX XXXXXXXXX XXXXXXXX.
+
+
+
+ Disciplinary process
+ 7.2.3
+
+
XXXXX XXXXXX XX X XXXXXX XXX XXXXXXXXXXXX XXXXXXXXXXXX XXXXXXX XX XXXXX XX XXXX XXXXXX XXXXXXX XXXXXXXXX XXX XXXX XXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXX.
+
+
+
XXX XXXXXXXXXXXX XXXXXXX XXXXXX XXX XX XXXXXXXXX XXXXXXX XXXXX XXXXXXXXXXXX XXXX XX XXXXXXXXXXX XXXXXXXX XXXXXX XXX XXXXXXXX (XXX 16.1.7).
+
XXX XXXXXX XXXXXXXXXXXX XXXXXXX XXXXXX XXXXXX XXXXXXX XXX XXXX XXXXXXXXX XXX XXXXXXXXX XXX XXX XXXXXXXXX XX XXXXXXXXXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXX. XXX XXXXXX XXXXXXXXXXXX XXXXXXX XXXXXX XXXXXXX XXX X XXXXXXXXX XXXXXXXX XXXX XXXXX XXXX XXXXXXXXXXXXX XXXXXXX XXXX XX XXX XXXXXX XXX XXXXXXX XX XXX XXXXXX XXX XXX XXXXXX XX XXXXXXXX, XXXXXXX XX XXX XXXX XX X XXXXX XX XXXXXX XXXXXXX, XXXXXXX XX XXX XXX XXXXXXXX XXX XXXXXXXX XXXXXXX, XXXXXXXX XXXXXXXXXXX, XXXXXXXX XXXXXXXXX XXX XXXXX XXXXXXX XX XXXXXXXX.
+
XXX XXXXXXXXXXXX XXXXXXX XXXXXX XXXX XX XXXX XX X XXXXXXXXX XX XXXXXXX XXXXXXXXX XXXX XXXXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XXXXXXXX XXXXXXXX XXX XXXXXXXXXX XXX XXX XXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXX. XXXXXXXXXX XXXXXXXX XXX XXXXXXX XXXXXXXXX XXXXXXX.
+
+
+
XXX XXXXXXXXXXXX XXXXXXX XXX XXXX XXXXXX X XXXXXXXXXX XX XX XXXXXXXXX XX XXXXXXXX XXXXXXXXX XXX XXXXXXX XXX XXXXXXXXXX XXXXXXXXX XXXX XXXXXXX XX XXXXXXXXXXX XXXXXXXX.
+
+
+
+
+ Termination and change of employment
+ 7.3
+
+
XX XXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXX XX XXXX XX XXX XXXXXXX XX XXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX.
+
+
+ Termination or change of employment responsibilities
+ 7.3.1
+
+
XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXXXXXX XXX XXXXXX XXXX XXXXXX XXXXX XXXXX XXXXXXXXXXX XX XXXXXX XX XXXXXXXXXX XXXXXX XX XXXXXXX, XXXXXXXXXXXX XX XXX XXXXXXXX XX XXXXXXXXXX XXX XXXXXXXX.
+
+
+
XXX XXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXXXXXXXX XXXXXX XXXXXXX XX-XXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXX XXXXX XXXXXXXXXXXXXXXX XXX, XXXXX XXXXXXXXXXX, XXXXXXXXXXXXXXXX XXXXXXXXX XXXXXX XXX XXXXXXXXXXXXXXX XXXXXXXXX (XXX 13.2.4) XXX XXX XXXXX XXX XXXXXXXXXX XX XXXXXXXXXX (XXX 7.1.2) XXXXXXXXXX XXX X XXXXXXX XXXXXX XXXXX XXX XXX XX XXX XXXXXXXX’X XX XXXXXXXXXX’X XXXXXXXXXX.
+
XXXXXXXXXXXXXXXX XXX XXXXXX XXXXX XXXXX XXXXX XXXXXXXXXXX XX XXXXXXXXXX XXXXXX XX XXXXXXXXX XX XXX XXXXXXXX’X XX XXXXXXXXXX’X XXXXX XXX XXXXXXXXXX XX XXXXXXXXXX (XXX 7.1.2).
+
XXXXXXX XX XXXXXXXXXXXXXX XX XXXXXXXXXX XXXXXX XX XXXXXXX XX XXX XXXXXXXXXXX XX XXX XXXXXXX XXXXXXXXXXXXXX XX XXXXXXXXXX XXXXXXXX XXXX XXX XXXXXXXXXX XX XXX XXX XXXXXXXXXXXXXX XX XXXXXXXXXX.
+
+
+
XXX XXXXX XXXXXXXXX XXXXXXXX XX XXXXXXXXX XXXXXXXXXXX XXX XXX XXXXXXX XXXXXXXXXXX XXXXXXX XXX XXXXX XXXXXXXX XXXX XXX XXXXXXXXXXX XXXXXXX XX XXX XXXXXX XXXXXXX XX XXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXX XX XXX XXXXXXXX XXXXXXXXXX. XX XXX XXXX XX X XXXXXXXXXX XXXXXXXX XXXXXXX XX XXXXXXXX XXXXX, XXXX XXXXXXXXXXX XXXXXXX XX XXXXXXXXXX XX XXX XXXXXXXX XXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXX XXXXXXX XXX XXXXXXXXXXXX XXX XXX XXXXXXXX XXXXX.
+
XX XXX XX XXXXXXXXX XX XXXXXX XXXXXXXXX, XXXXXXXXX XX XXXXXXXXXXX XX XXXXXXX XX XXXXXXXXX XXX XXXXXXXXX XXXXXXXXXXXX.
XX XXXXXXXX XXXXXXXXXXXXXX XXXXXX XXX XXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXXXXXXXX.
+
+
+ Inventory of assets
+ 8.1.1
+
+
XXXXXX XXXXXXXXXX XXXX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XXX XX XXXXXXXXX XX XXXXX XXXXXX XXXXXX XX XXXXX XX XXX XXXXXXXXXX.
+
+
+
XX XXXXXXXXXXXX XXXXXX XXXXXXXX XXXXXX XXXXXXXX XX XXX XXXXXXXXX XX XXXXXXXXXXX XXX XXXXXXXX XXXXX XXXXXXXXXX. XXX XXXXXXXXX XX XXXXXXXXXXX XXXXXX XXXXXXX XXXXXXXX, XXXXXXXXXX, XXXXXXX, XXXXXXXXXXXX, XXXXXXXX XXX XXXXXXXXXXX. XXXXXXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXXXX XX XXXXXXXX XXXXXXXXXXX XX XXXXXXXXXXX.
+
XXX XXXXX XXXXXXXXX XXXXXX XX XXXXXXXX, XX XX XXXX, XXXXXXXXXX XXX XXXXXXX XXXX XXXXX XXXXXXXXXXX.
+
XXX XXXX XX XXX XXXXXXXXXX XXXXXX, XXXXXXXXX XX XXX XXXXX XXXXXX XX XXXXXXXX (XXX 8.1.2) XXX XXX XXXXXXXXXXXXXX XXXXXX XX XXXXXXXXXX (XXX 8.2).
+
+
+
XXXXXXXXXXX XX XXXXXX XXXX XX XXXXXX XXXX XXXXXXXXX XXXXXXXXXX XXXXX XXXXX, XXX XXX XXXX XX XXXXXXXX XXX XXXXX XXXXXXXX, XXXX XX XXXXXX XXX XXXXXX, XXXXXXXXX XX XXXXXXXXX (XXXXX XXXXXXXXXX) XXXXXXX.
+
XXX/XXX XXXXX[11] XXXXXXXX XXXXXXXX XX XXXXXX XXXX XXXXX XXXX XX XX XXXXXXXXXX XX XXX XXXXXXXXXXXX XXXX XXXXXXXXXXX XXXXXX. XXX XXXXXXX XX XXXXXXXXX XX XXXXXXXXX XX XXXXXX XX XX XXXXXXXXX XXXXXXXXXXXX XX XXXX XXXXXXXXXX (XXX XXXX XXX/XXX XXXXX XXX XXX/XXX XXXXX[11]).
+
+
+
+ Ownership of assets
+ 8.1.2
+
+
XXXXXX XXXXXXXXXX XX XXX XXXXXXXXX XXXXXX XX XXXXX.
+
+
+
XXXXXXXXXXX XX XXXX XX XXXXX XXXXXXXX XXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXXXXXXX XXX XXX XXXXX XXXXXXXXX XXXXXXX XX XX XXXXXXXX XX XXXXX XXXXXX.
+
X XXXXXXX XX XXXXXX XXXXXX XXXXXXXXXX XX XXXXX XXXXXXXXX XX XXXXXXX XXXXXXXXXXX. XXXXXXXXX XXXXXX XX XXXXXXXX XXXX XXXXXX XXX XXXXXXX XX XXXX XXXXXX XXX XXXXXXXXXXX XX XXX XXXXXXXXXXXX. XXX XXXXX XXXXX XXXXXX XX XXXXXXXXXXX XXX XXX XXXXXX XXXXXXXXXX XX XX XXXXX XXXX XXX XXXXX XXXXX XXXXXXXXX.
XXXXXX XXXXXX XXXXXXXX XXXX XXX XXXXX XX XXXXXXX XX XXXXXXXXX.
+
+
+
+
XXX XXXXXXXXXX XXXXX XXX XX XXXXXX XX XXXXXXXXXX XX XX XXXXXX XXX XXX XXXXXXXX XXXXXXXXXX XXXXXXXXXXXXXX XXX XXXXXXXXXXX XXX XXXXX XXXXXXXXX XX XX XXXXX. XXX XXXXXXXXXX XXXXX XXXX XXX XXXXXXXXXXX XXXX XXX XXXXXXXX XXXXXX XX XXX XXXXX.
+
XXXXXXX XXXXX XXX XX XXXXXXXXX, X.X. XX X XXXXXXXXX XXXXXXX XXXXX XXX XXXXXX XX X XXXXX XXXXX, XXX XXX XXXXXXXXXXXXXX XXXXXXX XXXX XXX XXXXX.
+
XX XXXXXXX XXXXXXXXXXX XXXXXXX, XX XXX XX XXXXXX XX XXXXXXXXX XXXXXX XX XXXXXX XXXXX XXX XXXXXXXX XX XXXXXXX X XXXXXXXXXX XXXXXXX. XX XXXX XXXX XXX XXXXX XX XXXX XXXXXXX XX XXXXXXXXXXX XXX XXX XXXXXXXX XX XXX XXXXXXX, XXXXXXXXX XXX XXXXXXXXX XX XXX XXXXXX.
+
+
+
+ Acceptable use of assets
+ 8.1.3
+
+
XXXXX XXX XXX XXXXXXXXXX XXX XX XXXXXXXXXXX XXX XX XXXXXX XXXXXXXXXX XXXX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX, XXXXXXXXXX XXX XXXXXXXXXXX.
+
+
+
XXXXXXXXX XXX XXXXXXXX XXXXX XXXXX XXXXX XX XXXXXX XXXXXX XX XXX XXXXXXXXXXXX’X XXXXXX XXXXXX XX XXXX XXXXX XX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXX XXXXXXXXXX XXXX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXX. XXXX XXXXXX XX XXXXXXXXXXX XXX XXXXX XXX XX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXX XXX XX XXX XXXX XXX XXXXXXX XXX XXXXX XXXXX XXXXXXXXXXXXXX.
+
+
+
+ Return of assets
+ 8.1.4
+
+
XXX XXXXXXXXX XXX XXXXXXXX XXXXX XXXXX XXXXXX XXXXXX XXX XX XXX XXXXXXXXXXXXXX XXXXXX XX XXXXX XXXXXXXXXX XXXX XXXXXXXXXXX XX XXXXX XXXXXXXXXX, XXXXXXXX XX XXXXXXXXX.
+
+
+
XXX XXXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXX XXX XXXXXX XX XXX XXXXXXXXXX XXXXXX XXXXXXXX XXX XXXXXXXXXX XXXXXX XXXXX XX XX XXXXXXXXX XX XXX XXXXXXXXXXXX.
+
XX XXXXX XXXXX XX XXXXXXXX XX XXXXXXXX XXXXX XXXX XXXXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXX XX XXXX XXXXX XXX XXXXXXXX XXXXXXXXX, XXXXXXXXXX XXXXXX XX XXXXXXXX XX XXXXXX XXXX XXX XXXXXXXX XXXXXXXXXXX XX XXXXXXXXXXX XX XXX XXXXXXXXXXXX XXX XXXXXXXX XXXXXX XXXX XXX XXXXXXXXX (XXX 11.2.7).
+
XX XXXXX XXXXX XX XXXXXXXX XX XXXXXXXX XXXXX XXXX XXX XXXXXXXXX XXXX XX XXXXXXXXX XX XXXXXXX XXXXXXXXXX, XXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXXXXX XX XXX XXXXXXXXXXXX.
+
XXXXXX XXX XXXXXX XXXXXX XX XXXXXXXXXXX, XXX XXXXXXXXXXXX XXXXXX XXXXXXX XXXXXXXXXXXX XXXXXXX XX XXXXXXXX XXXXXXXXXXX (X.X. XXXXXXXXXXXX XXXXXXXX) XX XXXXXXXXXX XXXXXXXXX XXX XXXXXXXXXXX.
+
+
+
+
+ Information classification
+ 8.2
+
+
XX XXXXXX XXXX XXXXXXXXXXX XXXXXXXX XX XXXXXXXXXXX XXXXX XX XXXXXXXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXXXX XX XXX XXXXXXXXXXXX.
+
+
+ Classification of information
+ 8.2.1
+
+
XXXXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXX XX XXXXX XXXXXXXXXXXX, XXXXX, XXXXXXXXXXX XXX XXXXXXXXXXX XX XXXXXXXXXXXX XXXXXXXXXX XX XXXXXXXXXXXX.
+
+
+
XXXXXXXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXX XXXXXXXX XXX XXXXXXXXXXX XXXXXX XXXX XXXXXXX XX XXXXXXXX XXXXX XXX XXXXXXX XX XXXXXXXXXXX XXXXXXXXXXX, XX XXXX XX XXXXX XXXXXXXXXXXX. XXXXXX XXXXX XXXX XXXXXXXXXXX XXX XXXX XX XXXXXXXXXX XX XXXXXXXXXXX XXXX XXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXX XX XXXXXX XX, XXXXXXXXX XX XX XXXXXXXXX XXXXXXX XX XXXXXXXXX XX XXX XXXXX.
+
XXXXXX XX XXXXXXXXXXX XXXXXX XXXXXX XX XXXXXXXXXXX XXX XXXXX XXXXXXXXXXXXXX.
+
XXX XXXXXXXXXXXXXX XXXXXX XXXXXX XXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXXXXX XXX XXXXXXXX XXX XXXXXX XX XXX XXXXXXXXXXXXXX XXXX XXXX. XXX XXXXX XX XXXXXXXXXX XX XXX XXXXXX XXXXXX XX XXXXXXXX XX XXXXXXXXX XXXXXXXXXXXXXXX, XXXXXXXXX XXX XXXXXXXXXXXX XXX XXX XXXXX XXXXXXXXXXXX XXX XXX XXXXXXXXXXX XXXXXXXXXX. XXX XXXXXX XXXXXX XX XXXXXXX XX XXX XXXXXX XXXXXXX XXXXXX (XXX 9.1.1).
+
XXXX XXXXX XXXXXX XX XXXXX X XXXX XXXX XXXXX XXXXX XX XXX XXXXXXX XX XXX XXXXXXXXXXXXXX XXXXXX’X XXXXXXXXXXX.
+
XXX XXXXXX XXXXXX XX XXXXXXXXXX XXXXXX XXX XXXXX XXXXXXXXXXXX XX XXXX XXXXXXXX XXXX XXXXXXXX XXXXXXXXXXX XXX XXXXXXX XXXXXX XX XXX XXXX XXX, XXXX X XXXXXX XXXXXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXXX XXX XXXXX XXX XXXXXXXXXXX XXXXXXXXXX.
+
XXXXXXXXXXXXXX XXXXXX XX XXXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXXX, XXX XX XXXXXXXXXX XXX XXXXXXXX XXXXXX XXX XXXXXXXXXXXX. XXXXXXX XX XXXXXXXXXXXXXX XXXXXX XXXXXXXX XXXXX XX XXXXXX XXXXXXXXX XX XXXXX XXXXXXXXXXX XXX XXXXXXXXXXX XX XXX XXXXXXXXXXXX, X.X. XX XXXXX XX XXXXXXXXXXXXXXX, XXXXXXXXX XXX XXXXXXXXXXXX. XXXXXXX XX XXXXXXXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXXXXXX XXXX XXXXXXX XX XXXXX XXXXX, XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXX XXXXX XXXX-XXXXX.
+
+
+
XXXXXXXXXXXXXX XXXXXXXX XXXXXX XXX XXXX XXXX XXXXXXXXXXX XXXX X XXXXXXX XXXXXXXXXX XX XXX XX XXXXXX XXX XXXXXXX XX. XXXXXXXX XXXXXX XX XXXXXXXXXXX XXXX XXXXXXX XXXXXXXXXX XXXXX XXX XXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXX XXXXX XX XXX XXX XXXXXXXXXXX XX XXXX XXXXX XXXXXXXXXXX XXXX. XXXX XXXXXXXX XXXXXXX XXX XXXX XXX XXXX-XX-XXXX XXXX XXXXXXXXXX XXX XXXXXX XXXXXX XX XXXXXXXX.
+
XXXXXXXXXXX XXX XXXXX XX XX XXXXXXXXX XX XXXXXXXX XXXXX X XXXXXXX XXXXXX XX XXXX, XXX XXXXXXX, XXXX XXX XXXXXXXXXXX XXX XXXX XXXX XXXXXX. XXXXX XXXXXXX XXXXXX XX XXXXX XXXX XXXXXXX, XX XXXX-XXXXXXXXXXXXXX XXX XXXX XX XXX XXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XX XXXXXXXXXX XXXXXXX XX XX XXX XXXXXXXX XXXXX-XXXXXXXXXXXXXX XXX XXXXXXXX XXX XXXXXXXXXXX XX XXXXXXXX XXXXXXXXXX.
+
XX XXXXXXX XX XX XXXXXXXXXXX XXXXXXXXXXXXXXX XXXXXXXXXXXXXX XXXXXX XXXXX XX XXXXX XX XXXX XXXXXX XX XXXXXXX:
+
+
XXXXXXXXXX XXXXXX XX XXXX;
+
XXXXXXXXXX XXXXXX XXXXX XXXXXXXXXXXXX XX XXXXX XXXXXXXXXXX XXXXXXXXXXXXX;
+
XXXXXXXXXX XXX X XXXXXXXXXXX XXXXX XXXX XXXXXX XX XXXXXXXXXX XX XXXXXXXX XXXXXXXXXX;
+
XXXXXXXXXX XXX X XXXXXXX XXXXXX XX XXXX XXXX XXXXXXXXX XXXXXXXXXX XX XXXX XXX XXXXXXXX XX XXX XXXXXXXXXXXX XX XXXX.
+
+
+
+
+ Labelling of information
+ 8.2.2
+
+
XX XXXXXXXXXXX XXX XX XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXXXXX XXXXXXXXXXXXXX XXXXXX XXXXXXX XX XXX XXXXXXXXXXXX.
+
“XXXXXXXXXXXXXX XXXXXXXX”
+
XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXX XXXX XX XXXXX XXXXXXXXXXX XXX XXX XXXXXXX XXXXXX XX XXXXXXXX XXX XXXXXXXXXX XXXXXXX. XXX XXXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXXXXXXX XXXXXX XXXXXXXXXXX XX 8.2.1. XXX XXXXXX XXXXXX XX XXXXXX XXXXXXXXXXXX. XXX XXXXXXXXXX XXXXXX XXXX XXXXXXXX XX XXXXX XXX XXX XXXXXX XXX XXXXXXXX XX XXXXXXXXXXXXX XX XXX XXX XXXXXXXXXXX XX XXXXXXXX XX XXX XXXXXX XXX XXXXXXX XXXXXXXXX XX XXX XXXXX XX XXXXX. XXX XXXXXXXXXX XXX XXXXXX XXXXX XXXXX XXXXXXXXX XX XXXXXXX, X.X. XXXXXXXXX XX XXX-XXXXXXXXXXXX XXXXXXXXXXX XX XXXXXX XXXXXXXXX. XXXXXXXXX XXX XXXXXXXXXXX XXXXXX XX XXXX XXXXX XX XXXXXXXXX XXXXXXXXXX.
+
XXXXXX XXXX XXXXXXX XXXXXXXXXX XXXXXXXXXXX XXXX XX XXXXXXXXXX XX XXXXX XXXXXXXXX XX XXXXXXXX XXXXXX XXXXX XX XXXXXXXXXXX XXXXXXXXXXXXXX XXXXX.
+
+
+
XXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXX XX X XXX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXX XXXXXXXXXXXX. XXXXXXXX XXXXXX XXX XXXXXXXX XXX X XXXXXX XXXX XX XXXXXXXXX.
+
XXXXXXXXX XX XXXXXXXXXXX XXX XXX XXXXXXX XXXXXX XXX XXXXXXXXX XXXX XXXXXXXX XXXXXXX. XXXXXXXXXX XXXXXX XXX XXXXXX XX XXXXXXXX XXX XXXXXXXXXXX XX XXXXX XX XXXXXXXX XX XXXXXXXX XXXXXXXXX.
+
+
+
+ Handling of assets
+ 8.2.3
+
+
XXXXXXXXXX XXX XXXXXXXX XXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXXXXX XXXXXXXXXXXXXX XXXXXX XXXXXXX XX XXX XXXXXXXXXXXX.
+
+
+
XXXXXXXXXX XXXXXX XX XXXXX XX XXX XXXXXXXX, XXXXXXXXXX, XXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXX XXX XXXXXXXXXXXXXX (XXX 8.2.1).
XXXXXXXXXXX XX X XXXXXX XXXXXX XX XXX XXXXXXXXXX XXXXXXXXXX XX XXXXXX;
+
XXXXXXXXXX XX XXXXXXXXX XX XXXXXXXXX XXXXXX XX XXXXXXXXXXX XX X XXXXX XXXXXXXXXX XXXX XXX XXXXXXXXXX XX XXX XXXXXXXX XXXXXXXXXXX;
+
XXXXXXX XX XX XXXXXX XX XXXXXXXXXX XXXX XXXXXXXXXXXXX’ XXXXXXXXXXXXXX;
+
XXXXX XXXXXXX XX XXX XXXXXX XX XXXXX XXX XXX XXXXXXXXX XX XXX XXXXXXXXXX XXXXXXXXX.
+
+
XXX XXXXXXXXXXXXXX XXXXXX XXXX XXXXXX XXX XXXXXXXXXXXX XXX XXX XX XXXXXXXXXX XX XXX XXXXXXX XXXX XX XXXXX XXXXXXXXXXXXX, XXXX XX XXX XXXXX XXX XXXXXX XXX XXXXXXX; XX XXXXXXXX, XXXXXXXXXXX XXXXXX XXXXXXX XXXXXXXXXXXXX XXX XXXX XX XXXXXXXXXXXXXX XXXXXXXXX XX XXX XXXXXXX XX XXXX XXXXXXXXXXXX, XXXX XX XXXXX XXXXXXXXXXXXXX XXXXXXX XXX XXXXXXXXX.
+
XXXXXXXXXX XXXX XXXXX XXXXXXXXXXXXX XXXX XXXXXXX XXXXXXXXXXX XXXXXXX XXXXXX XXXXXXX XXXXXXXXXX XX XXXXXXXX XXX XXXXXXXXXXXXXX XX XXXX XXXXXXXXXXX XXX XX XXXXXXXXX XXX XXXXXXXXXXXXXX XXXXXX XXXX XXXXX XXXXXXXXXXXXX.
+
+
+
+
+ Media handling
+ 8.3
+
+
XX XXXXXXX XXXXXXXXXXXX XXXXXXXXXX, XXXXXXXXXXXX, XXXXXXX XX XXXXXXXXXXX XX XXXXXXXXXXX XXXXXX XX XXXXX.
+
+
+ Management of removable media
+ 8.3.1
+
+
XXXXXXXXXX XXXXXX XX XXXXXXXXXXX XXX XXX XXXXXXXXXX XX XXXXXXXXX XXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXXXXXXXX XXXXXX XXXXXXX XX XXX XXXXXXXXXXXX.
+
+
+
XXX XXXXXXXXX XXXXXXXXXX XXX XXX XXXXXXXXXX XX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX:
+
+
XX XX XXXXXX XXXXXXXX, XXX XXXXXXXX XX XXX XX-XXXXXX XXXXX XXXX XXX XX XX XXXXXXX XXXX XXX XXXXXXXXXXXX XXXXXX XX XXXX XXXXXXXXXXXXX;
+
XXXXX XXXXXXXXX XXX XXXXXXXXX, XXXXXXXXXXXXX XXXXXX XX XXXXXXXX XXX XXXXX XXXXXXX XXXX XXX XXXXXXXXXXXX XXX X XXXXXX XX XXXX XXXXXXXX XXXXXX XX XXXX XX XXXXX XX XXXXXXXX XX XXXXX XXXXX;
+
XXX XXXXX XXXXXX XX XXXXXX XX X XXXX, XXXXXX XXXXXXXXXXX, XX XXXXXXXXXX XXXX XXXXXXXXXXXXX’ XXXXXXXXXXXXXX;
+
XX XXXX XXXXXXXXXXXXXXX XX XXXXXXXXX XXX XXXXXXXXX XXXXXXXXXXXXXX, XXXXXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXX XX XXXXXXX XXXX XX XXXXXXXXX XXXXX;
+
XX XXXXXXXX XXX XXXX XX XXXXX XXXXXXXXX XXXXX XXXXXX XXXX XXX XXXXX XXXXXX, XXX XXXX XXXXXX XX XXXXXXXXXXX XX XXXXX XXXXX XXXXXX XXXXXXXX XXXXXXXXXX;
+
XXXXXXXX XXXXXX XX XXXXXXXX XXXX XXXXXX XX XXXXXX XX XXXXXXXX XXXXX XX XXXXXXX XXXXXX XXX XXXX XX XXXXXXXXXXXX XXXX XXXXXX XX XXXX;
+
XXXXXXXXXXXX XX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX XX XXXXX XXX XXXXXXXXXXX XXX XXXX XXXX;
+
XXXXXXXXX XXXXX XXXXXX XXXXXX XXXX XX XXXXXXX XX XXXXX XX X XXXXXXXX XXXXXX XXX XXXXX XX;
+
XXXXX XXXXX XX X XXXX XX XXX XXXXXXXXX XXXXX XXX XXXXXXXX XX XXXXXXXXXXX XX XXXX XXXXX XXXXXX XX XXXXXXXXX.
+
+
XXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXX XXXXXX XX XXXXXXXXXX.
+
+
+
+ Disposal of media
+ 8.3.2
+
+
XXXXX XXXXXX XX XXXXXXXX XX XXXXXXXX XXXX XX XXXXXX XXXXXXXX, XXXXX XXXXXX XXXXXXXXXX.
+
+
+
XXXXXX XXXXXXXXXX XXX XXX XXXXXX XXXXXXXX XX XXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXXXX XXX XXXX XX XXXXXXXXXXXX XXXXXXXXXXX XXXXXXX XX XXXXXXXXXXXX XXXXXXX. XXX XXXXXXXXXX XXX XXXXXX XXXXXXXX XX XXXXX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXXXX XX XXX XXXXXXXXXXX XX XXXX XXXXXXXXXXX. XXX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX:
+
+
XXXXX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXX XXX XXXXXXXX XX XXXXXXXX, X.X. XX XXXXXXXXXXXX XX XXXXXXXXX, XX XXXXXXX XX XXXX XXX XXX XX XXXXXXX XXXXXXXXXXX XXXXXX XXX XXXXXXXXXXXX;
+
XXXXXXXXXX XXXXXX XX XX XXXXX XX XXXXXXXX XXX XXXXX XXXX XXXXX XXXXXXX XXXXXX XXXXXXXX;
+
XX XXX XX XXXXXX XX XXXXXXX XXX XXX XXXXX XXXXX XX XX XXXXXXXXX XXX XXXXXXXX XX XXXXXXXX, XXXXXX XXXX XXXXXXXXXX XX XXXXXXXX XXX XXX XXXXXXXXX XXXXX;
+
XXXX XXXXXXXXXXXXX XXXXX XXXXXXXXXX XXX XXXXXXXX XXXXXXXX XXX XXXXX; XXXX XXXXXX XX XXXXX XX XXXXXXXXX X XXXXXXXX XXXXXXXX XXXXX XXXX XXXXXXXX XXXXXXXX XXX XXXXXXXXXX;
+
XXXXXXXX XX XXXXXXXXX XXXXX XXXXXX XX XXXXXX XX XXXXX XX XXXXXXXX XX XXXXX XXXXX.
+
+
XXXX XXXXXXXXXXXX XXXXX XXX XXXXXXXX, XXXXXXXXXXXXX XXXXXX XX XXXXX XX XXX XXXXXXXXXXX XXXXXX, XXXXX XXX XXXXX X XXXXX XXXXXXXX XX XXX-XXXXXXXXX XXXXXXXXXXX XX XXXXXX XXXXXXXXX.
+
+
+
XXXXXXX XXXXXXX XXXXXXXXXX XXXXXXXXX XXXX XXX XXXXXXX X XXXX XXXXXXXXXX XX XXXXXXXXX XXXXXXX XXX XXXXX XXXXXX XX XXXXXXXXXX XXXXXXXXX XXXXXX XXXX XXXX XXX XXXXXX XX XXXXXXXXX (XXX 11.2.7).
+
+
+
+ Physical media transfer
+ 8.3.3
+
+
XXXXX XXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXX XXXXXXX XXXXXXXXXXXX XXXXXX, XXXXXX XX XXXXXXXXXX XXXXXX XXXXXXXXXXXXXX.
+
+
+
XXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXX XXXXX XXXXXXXXXX XXXXXXXXXXX XXXXX XXXXXXXXXXX:
+
+
XXXXXXXX XXXXXXXXX XX XXXXXXXX XXXXXX XX XXXX;
+
X XXXX XX XXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXX XXXX XXXXXXXXXX;
+
XXXXXXXXXX XX XXXXXX XXX XXXXXXXXXXXXXX XX XXXXXXXX XXXXXX XX XXXXXXXXX;
+
XXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXX XXX XXXXXXXX XXXX XXX XXXXXXXX XXXXXX XXXXXX XX XXXXX XXXXXX XXXXXXX XXX XX XXXXXXXXXX XXXX XXX XXXXXXXXXXXXX’ XXXXXXXXXXXXXX, XXX XXXXXXX XXXXXXXXXX XXXXXXX XXX XXXXXXXXXXXXX XXXXXXX XXXX XXX XXXXXX XXX XXXXX’X XXXXXXXXXXX XXXXXXXXXXXXX XXXX XX XXXXXXXX XX XXXX, XXXXXXXX XX XXXXXXXXXXXXXXX XXXXXX;
+
XXXX XXXXXX XX XXXX, XXXXXXXXXXX XXX XXXXXXX XX XXX XXXXX, XXX XXXXXXXXXX XXXXXXX XX XXXX XX XXXXXXXXX XXX XXXXX XX XXXXXXXX XX XXX XXXXXXX XXXXXXXXXX XXX XXXXXXX XX XXX XXXXXXXXXXX.
+
+
+
+
XXXXXXXXXXX XXX XX XXXXXXXXXX XX XXXXXXXXXXXX XXXXXX, XXXXXX XX XXXXXXXXXX XXXXXX XXXXXXXX XXXXXXXXX, XXX XXXXXXXX XXXX XXXXXXX XXXXX XXX XXX XXXXXX XXXXXXX XX XXX XXXXXXX. XX XXXX XXXXXXX, XXXXX XXXXXXX XXXXX XXXXXXXXX.
+
XXXX XXXXXXXXXXXX XXXXXXXXXXX XX XXXXX XX XXX XXXXXXXXX, XXXXXXXXXX XXXXXXXX XXXXXXXXXX XX XXX XXXXX XXXXXX XX XXXXXXXXXX.
+
+
+
+
+
+ Access control
+ 9
+
+ Business requirements of access control
+ 9.1
+
+
XX XXXXX XXXXXX XX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX.
+
+
+ Access control policy
+ 9.1.1
+
+
XX XXXXXX XXXXXXX XXXXXX XXXXXX XX XXXXXXXXXXX, XXXXXXXXXX XXX XXXXXXXX XXXXX XX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX.
XXXX XXXXXX XX XXXXX XXXX XXXXXXXXXX XXXXXX XXXXXXX XXXXX XX XXXXXXXX:
+
+
XXXXXXXXXXXX XXXXX XXXXX XX XXX XXXXXXX “XXXXXXXXXX XX XXXXXXXXX XXXXXXXXX XXXXXX XXXXXXXXX XXXXXXXXX” XXXXXX XXXX XXX XXXXXX XXXX “XXXXXXXXXX XX XXXXXXXXX XXXXXXXXX XXXXXX XXXXXXXXX XXXXXXXXX”;
+
XXXXXXX XX XXXXXXXXXXX XXXXXX (XXX 8.2.2) XXXX XXX XXXXXXXXX XXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXX XXXXX XXXXXXXXX XX XXX XXXXXXXXXX XX X XXXX;
+
XXXXXXX XX XXXX XXXXXXXXXXX XXXX XXX XXXXXXXXX XXXXXXXXXXXXX XX XXX XXXXXXXXXXX XXXXXX XXX XXXXX XXXXXXXXX XX XX XXXXXXXXXXXXX;
XXXXXXXXX XX XXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XX XXXXXXX X XXX-XXXX XXXXXXXXX:
+
+
XXXXXXXXX XXX XXXXXXXX, XX XXXXXXXX, X XXXX XX;
+
XXXXXXXXX, XX XXXXXXXX, XXXXXX XXXXXX XX XXXX XXXX XX (XXX 9.2.2).
+
+
+
+
+ User access provisioning
+ 9.2.2
+
+
X XXXXXX XXXX XXXXXX XXXXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXX XX XXXXXX XXXXXX XXXXXX XXX XXX XXXX XXXXX XX XXX XXXXXXX XXX XXXXXXXX.
+
+
+
XXX XXXXXXXXXXXX XXXXXXX XXX XXXXXXXXX XX XXXXXXXX XXXXXX XXXXXX XXXXXXX XX XXXX XXX XXXXXX XXXXXXX:
+
+
XXXXXXXXX XXXXXXXXXXXXX XXXX XXX XXXXX XX XXX XXXXXXXXXXX XXXXXX XX XXXXXXX XXX XXX XXX XX XXX XXXXXXXXXXX XXXXXX XX XXXXXXX (XXX XXXXXXX 8.1.2); XXXXXXXX XXXXXXXX XXX XXXXXX XXXXXX XXXX XXXXXXXXXX XXX XXXX XX XXXXXXXXXXX;
+
XXXXXXXXX XXXX XXX XXXXX XX XXXXXX XXXXXXX XX XXXXXXXXXXX XX XXX XXXXXX XXXXXXXX (XXX 9.1) XXX XX XXXXXXXXXX XXXX XXXXX XXXXXXXXXXXX XXXX XX XXXXXXXXXXX XX XXXXXX (XXX 6.1.2);
XXXXXXXXXXX X XXXXXXX XXXXXX XX XXXXXX XXXXXX XXXXXXX XX X XXXX XX XX XXXXXX XXXXXXXXXXX XXXXXXX XXX XXXXXXXX;
+
XXXXXXXX XXXXXX XXXXXX XX XXXXX XXX XXXX XXXXXXX XXXXX XX XXXX XXX XXXXXXXXXXX XXXXXXXX XX XXXXXXXX XXXXXX XXXXXX XX XXXXX XXX XXXX XXXX XXX XXXXXXXXXXXX;
+
XXXXXXXXXXXX XXXXXXXXX XXXXXX XXXXXX XXXX XXXXXX XX XXX XXXXXXXXXXX XXXXXXX XX XXXXXXXX (XXX 9.2.5).
+
+
+
+
XXXXXXXXXXXXX XXXXXX XX XXXXX XX XXXXXXXXXXXX XXXX XXXXXX XXXXX XXXXX XX XXXXXXXX XXXXXXXXXXXX XXXX XXXXXXXXX X XXXXXX XX XXXXXX XXXXXX XXXX XXXXXXX XXXX XXXXXX XXXXXXXX. XXXXXX XXXXXXXX XXX XXXXXXX (XXX 9.2.4) XXX XXXXXX XXXXXXX XX XXX XXXXX XX XXXX XXXXX XXXX XX XXX XXXXX XX XXXXXXXXXX XXXXXX.
+
XXXXXXXXXXXXX XXXXXX XX XXXXX XX XXXXXXXXX XXXXXXX XX XXXXXXXXX XXXXXXXXX XXX XXXXXXX XXXXXXXXX XXXX XXXXXXX XXXXXXXXX XX XXXXXXXXXXXX XXXXXX XX XXXXXXXXX XX XXXXXXXXX XX XXXXXXXXXXX (XXX 7.1.2, 7.2.3, 13.2.4, 15.1.2).
+
+
+
+ Management of privileged access rights
+ 9.2.3
+
+
XXX XXXXXXXXXX XXX XXX XX XXXXXXXXXX XXXXXX XXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXXXX.
+
+
+
XXX XXXXXXXXXX XX XXXXXXXXXX XXXXXX XXXXXX XXXXXX XX XXXXXXXXXX XXXXXXX X XXXXXX XXXXXXXXXXXXX XXXXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXX XXXXXX XXXXXXX XXXXXX (XXX XXXXXXX 9.1.1). XXX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX:
+
+
XXX XXXXXXXXXX XXXXXX XXXXXX XXXXXXXXXX XXXX XXXX XXXXXX XX XXXXXXX, X.X. XXXXXXXXX XXXXXX, XXXXXXXX XXXXXXXXXX XXXXXX XXX XXXX XXXXXXXXXXX XXX XXX XXXXX XX XXXX XXXX XXXX XX XX XXXXXXXXX XXXXXX XX XXXXXXXXXX;
+
XXXXXXXXXX XXXXXX XXXXXX XXXXXX XX XXXXXXXXX XX XXXXX XX X XXXX-XX-XXX XXXXX XXX XX XX XXXXX-XX-XXXXX XXXXX XX XXXX XXXX XXX XXXXXX XXXXXXX XXXXXX (XXX 9.1.1), X.X. XXXXX XX XXX XXXXXXX XXXXXXXXXXX XXX XXXXX XXXXXXXXXX XXXXX;
+
XX XXXXXXXXXXXXX XXXXXXX XXX X XXXXXX XX XXX XXXXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXXX. XXXXXXXXXX XXXXXX XXXXXX XXXXXX XXX XX XXXXXXX XXXXX XXX XXXXXXXXXXXXX XXXXXXX XX XXXXXXXX;
+
XXXXXXXXXXXX XXX XXXXXX XX XXXXXXXXXX XXXXXX XXXXXX XXXXXX XX XXXXXXX;
+
XXXXXXXXXX XXXXXX XXXXXX XXXXXX XX XXXXXXXX XX X XXXX XX XXXXXXXXX XXXX XXXXX XXXX XXX XXXXXXX XXXXXXXX XXXXXXXXXX. XXXXXXX XXXXXXXX XXXXXXXXXX XXXXXX XXX XX XXXXXXXXX XXXX XXXXXXXXXX XX;
+
XXX XXXXXXXXXXX XX XXXXX XXXX XXXXXXXXXX XXXXXX XXXXXX XXXXXX XX XXXXXXXX XXXXXXXXX XX XXXXX XX XXXXXX XX XXXX XXX XX XXXX XXXX XXXXX XXXXXX;
+
XXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXXX XXX XXXXXXXXXX XX XXXXX XX XXXXX XXX XXXXXXXXXXXX XXX XX XXXXXXX XXXXXXXXXXXXXX XXXX XXX, XXXXXXXXX XX XXXXXXX’ XXXXXXXXXXXXX XXXXXXXXXXXX;
+
XXX XXXXXXX XXXXXXXXXXXXXX XXXX XXX, XXX XXXXXXXXXXXXXXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX XXXX XXXXXX (X.X. XXXXXXXX XXXXXXXXX XXXXXXXXXX XXX XX XXXX XX XXXXXXXX XXXX X XXXXXXXXXX XXXX XXXXXX XX XXXXXXX XXX, XXXXXXXXXXXXX XXXX XXXXX XXXXXXXXXX XXXXX XXXX XXXXXXXXXXX XXXXXXXXXX).
+
+
+
+
XXXXXXXXXXXXX XXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXX (XXX XXXXXXX XX XXXXXXXX XX XX XXXXXXXXXXX XXXXXX XXXX XXXXXXX XXX XXXX XX XXXXXXXX XXXXXX XX XXXXXXXXXXX XXXXXXXX) XX X XXXXX XXXXXXXXXXXX XXXXXX XX XXXXXXXX XX XXXXXXXX XX XXXXXXX.
+
+
+
+ Management of secret authentication information of users
+ 9.2.4
+
+
XXX XXXXXXXXXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX XXXXXXX X XXXXXX XXXXXXXXXX XXXXXXX.
XXXXX XXXXXX XX XXXXXXXX XX XXXX X XXXXXXXXX XX XXXX XXXXXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXXXXXXXX XXX XX XXXX XXXXX (X.X. XXXXXX) XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXX XXXXXX XXX XXXXXXX XX XXX XXXXX; XXXX XXXXXX XXXXXXXXX XXX XX XXXXXXXX XX XXX XXXXX XXX XXXXXXXXXX XX XXXXXXXXXX (XXX 7.1.2);
+
XXXX XXXXX XXX XXXXXXXX XX XXXXXXXX XXXXX XXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXX XXXXXX XX XXXXXXXX XXXXXXXXX XXXX XXXXXX XXXXXXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXXX, XXXXX XXXX XXX XXXXXX XX XXXXXX XX XXXXX XXX;
+
XXXXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXX XXX XXXXXXXX XX X XXXX XXXXX XX XXXXXXXXX XXX, XXXXXXXXXXX XX XXXXXXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX;
+
XXXXXXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXX XX XXXXX XX X XXXXXX XXXXXX; XXX XXX XX XXXXXXXX XXXXXXX XX XXXXXXXXXXX (XXXXX XXXX) XXXXXXXXXX XXXX XXXXXXXX XXXXXX XX XXXXXXX;
+
XXXXXXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXX XX XX XXXXXXXXXX XXX XXXXXX XXX XX XXXXXXXXX;
+
XXXXX XXXXXX XXXXXXXXXXX XXXXXXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX;
+
XXXXXXX XXXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXX XXXXXXXXX XXXXXXXXXXXX XX XXXXXXX XX XXXXXXXX.
+
+
+
+
XXXXXXXXX XXX X XXXXXXXX XXXX XXXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXX XXX X XXXXXX XXXXX XX XXXXXXXXX X XXXX’X XXXXXXXX. XXXXX XXXXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXXXX XXXX XXX XXXXX XXXX XXXXXX XX XXXXXXXX XXXXXX (X.X. XXXXX XXXXX) XXXX XXXXXXX XXXXXXXXXXXXXX XXXXX.
+
+
+
+ Review of user access rights
+ 9.2.5
+
+
XXXXX XXXXXX XXXXXX XXXXXX XXXXX’ XXXXXX XXXXXX XX XXXXXXX XXXXXXXXX.
+
+
+
XXX XXXXXX XX XXXXXX XXXXXX XXXXXX XXXXXXXX XXX XXXXXXXXX:
+
+
XXXXX’ XXXXXX XXXXXX XXXXXX XX XXXXXXXX XX XXXXXXX XXXXXXXXX XXX XXXXX XXX XXXXXXX, XXXX XX XXXXXXXXX, XXXXXXXX XX XXXXXXXXXXX XX XXXXXXXXXX (XXX Clause 7);
+
XXXX XXXXXX XXXXXX XXXXXX XX XXXXXXXX XXX XX-XXXXXXXXX XXXX XXXXXX XXXX XXX XXXX XX XXXXXXX XXXXXX XXX XXXX XXXXXXXXXXXX;
+
XXXXXXXXXXXXXX XXX XXXXXXXXXX XXXXXX XXXXXX XXXXXX XX XXXXXXXX XX XXXX XXXXXXXX XXXXXXXXX;
+
XXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXXX XXXXXXXXX XX XXXXXX XXXX XXXXXXXXXXXX XXXXXXXXXX XXXX XXX XXXX XXXXXXXX;
+
XXXXXXX XX XXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXX XXX XXXXXXXX XXXXXX.
+
+
+
+
XXXX XXXXXXX XXXXXXXXXXX XXX XXXXXXXX XXXXXXXXXX XX XXX XXXXXXXXX XX XXXXXXXX 9.2.1, 9.2.2 XXX 9.2.6.
+
+
+
+ Removal or adjustment of access rights
+ 9.2.6
+
+
XXX XXXXXX XXXXXX XX XXX XXXXXXXXX XXX XXXXXXXX XXXXX XXXXX XX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXX XXXX XXXXXXXXXXX XX XXXXX XXXXXXXXXX, XXXXXXXX XX XXXXXXXXX, XX XXXXXXXX XXXX XXXXXX.
+
+
+
XXXX XXXXXXXXXXX, XXX XXXXXX XXXXXX XX XX XXXXXXXXXX XX XXXXXXXXXXX XXX XXXXXX XXXXXXXXXX XXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXXX XXXXXX XX XXXXXXX XX XXXXXXXXX. XXXX XXXX XXXXXXXXX XXXXXXX XX XX XXXXXXXXX XX XXXXXX XXXXXX XXXXXX. XXXXXXX XX XXXXXXXXXX XXXXXX XX XXXXXXXXX XX XXXXXXX XX XXX XXXXXX XXXXXX XXXX XXXX XXX XXXXXXXX XXX XXX XXX XXXXXXXXXX. XXX XXXXXX XXXXXX XXXX XXXXXX XX XXXXXXX XX XXXXXXXX XXXXXXX XXXXX XX XXXXXXXX XXX XXXXXXX XXXXXX. XXXXXXX XX XXXXXXXXXX XXX XX XXXX XX XXXXXXX, XXXXXXXXXX XX XXXXXXXXXXX XX XXXX, XXXXXXXXXXXXXX XXXXX, XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XX XXXXXXXXXXXXX. XXX XXXXXXXXXXXXX XXXX XXXXXXXXXX XXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXXXXX XXXXXX XXXXXXX XXX XXXXXXX XX XXXXXXXXXX XX XXXXXX XXXXXX. XX X XXXXXXXXX XXXXXXXX XX XXXXXXXX XXXXX XXXX XXX XXXXX XXXXXXXXX XXX XXXX XXX XXXXXXXXX XXXXXX, XXXXX XXXXXX XX XXXXXXX XXXX XXXXXXXXXXX XX XXXXXX XX XXXXXXXXXX, XXXXXXXX XX XXXXXXXXX.
+
XXXXXX XXXXXX XXX XXXXXXXXXXX XXX XXXXXX XXXXXXXXXX XXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXXX XXXXXX XXX XXXXXXXXXX XXXXXXXXXX XX XXXXXXX, XXXXXXXXX XX XXX XXXXXXXXXX XX XXXX XXXXXXX XXXX XX:
+
+
XXXXXXX XXX XXXXXXXXXXX XX XXXXXX XX XXXXXXXXX XX XXX XXXXXXXX, XXX XXXXXXXX XXXXX XXXX XX XX XXXXXXXXXX, XXX XXX XXXXXX XXX XXXXXXXXXXX;
+
XXX XXXXXXX XXXXXXXXXXXXXXXX XX XXX XXXXXXXX, XXXXXXXX XXXXX XXXX XX XXX XXXXX XXXX;
+
XXX XXXXX XX XXX XXXXXX XXXXXXXXX XXXXXXXXXX.
+
+
+
+
XX XXXXXXX XXXXXXXXXXXXX XXXXXX XXXXXX XXX XX XXXXXXXXX XX XXX XXXXX XX XXXXX XXXXXXXXX XX XXXX XXXXXX XXXX XXX XXXXXXXXX XXXXXXXX XX XXXXXXXX XXXXX XXXX, X.X. XXXXX XXX. XX XXXX XXXXXXXXXXXXX, XXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXX XXXX XXX XXXXX XXXXXX XXXXX XXX XXXXXXXXXXXX XXXXXX XX XXXX XX XXXXXX XXX XXXXX XXXXXXXXX XXX XXXXXXXX XXXXX XXXXX XXXXXXXX XX XX XXXXXX XXXXX XXXX XXXXXXXXXXX XXXX XXX XXXXXX XXXXXXXXX.
+
XX XXXXX XX XXXXXXXXXX-XXXXXXXXX XXXXXXXXXXX, XXXXXXXXXXX XXXXXXXXX XX XXXXXXXX XXXXX XXXXX XXX XXXXXXXXXXXX XXXXXXX XXXXXXXXXXX XX XXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX. XX XXXXX XX XXXXXXX XXXXXXXXX XX XXXXX XXXXXXXXX, XXXX XXX XX XXXXXXX XX XXXXXXX XXXXXXXXXXX XXX XXXXXX XXX.
+
+
+
+
+ User responsibilities
+ 9.3
+
+
XX XXXX XXXXX XXXXXXXXXXX XXX XXXXXXXXXXXX XXXXX XXXXXXXXXXXXXX XXXXXXXXXXX.
+
+
+ Use of secret authentication information
+ 9.3.1
+
+
XXXXX XXXXXX XX XXXXXXXX XX XXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXX XX XXX XXX XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX.
+
+
+
XXX XXXXX XXXXXX XX XXXXXXX XX:
+
+
XXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXXXXXXXX, XXXXXXXX XXXX XX XX XXX XXXXXXXX XX XXX XXXXX XXXXXXX, XXXXXXXXX XXXXXX XX XXXXXXXXX;
+
XXXXX XXXXXXX X XXXXXX (X.X. XX XXXXX, XXXXXXXX XXXX XX XXXX-XXXX XXXXXX) XX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX, XXXXXX XXXX XXX XX XXXXXX XXXXXXXX XXX XXX XXXXXX XX XXXXXXX XXX XXXX XXXXXXXX (X.X. XXXXXXXX XXXXX);
+
XXXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXX XX XXX XXXXXXXXXX XX XXX XXXXXXXX XXXXXXXXXX;
XXXXXXXX XXX XXX-XX XXXXXXXXXXX XXXX XX XXXXXXXXXX XX XXX XXXXX XXXX. XX XX XXXXX XXXXXXXXX XXXXXX, XXX XXXXXX XXXXXX XXX XXXXXXXX XXXXX XXXX XX XXX XXXX XX XXXXXXX XX XXXXXXXXX;
+
XXXXXXX XXXXXXX XXXXX XXXXX XXX-XX XXXXXXXX;
+
XXX XXXXXXXXXXXX XXX XXXXXXXXXX XXXXXXXX;
+
XXXXX X XXXXXXXX XXXXX XX X XXXXXXXXX XXXXXXXXX XX XXXXXXXXXX XXXXXX XX XXX-XX XXXXXXXX XX XXXXXXXX;
+
XXXXXXX XXX XXXXXXXXX XXXXXXXXXXX XX XXXXXXXXXX XX X XXXXXXXXXX XXX-XX:
+
XXX XXXXXXXX XXXXXXXXX XX XXXXX XXXX XXXX X XXXXXXX;
+
XXXXXXXXX XXXXXXXX XXXXXXXX XXXXX X XXXXXXX XXXXXX XX XXXXXXXXXX, XXXXXXXXXX XX XXXX XXXX XXXXXXXXX XXXX XX XXXXXX XX XXXXXXXX XXXXX XXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXX XXXXXXXXXX XX XX XXXXXX XXXXXXX;
+
XXXXXXXX XXXXXXXXXX XXXXX XX XXXXXXX XXXXXXXXXX XXXXXXXX XXX XXXX-XXXX XXXXXXXXXXXX XXX XXXXXX XXX XXXXXX XX XXXXXXXXXXX XXX XXXXXXXXXXXX XXXXXX.
+
+
+
+
XXXXXXXXX XXX X XXXXXX XXX XX XXXXXXX XXXXXXXXXXXXXX XXX XXXXXXXXXXXXXX XXXXX XX X XXXXXX XXXX XXXX XXX XXXX XXXXX. XXX XXXX XXX XXXX XX XXXXXXXX XXXX XXXXXXXXXXXXX XXXXX XXX XXXXXXXXXXXXXX XXXXXXXXX. XXX XXXXXXXX XX XXXX XXXXXXXXXXXXXX XXXXXX XX XXXXXXXXXXX XXX XXX XXXXXXXXXXXXXX XX XXX XXXXXXXXXXX XX XX XXXXXXXX.
+
XX XXXXXXXXX XXX XXXXXXXXXXX XX XXXXX XXXX XXXXXX XXX XXX-XX XXXXXXX XXXX X XXXXXXX, XXXX XXX XX XXXXXXXX XX X XXXXXXX ”XXXXXXX” XXXXXXX.
XXXX XXXXXXXXXXXX XXXXXXX XXXX XXXXXXXXX XX XX XXXXXXXX XX XX XXXXXXXXXXX XXXXXXXXX; XX XXXX XXXXX, XXXXXX X), X) XXX X) XX XXX XXXXX XXXXXXXX XX XXX XXXXX. XX XXXX XXXXX XXX XXXXXXXXX XXX XXXXXXXX XXX XXXXXXXXXX XX XXXXX.
+
+
+
+ Use of privileged utility programs
+ 9.4.4
+
+
XXX XXX XX XXXXXXX XXXXXXXX XXXX XXXXX XX XXXXXXX XX XXXXXXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXX XXXXXXXXXX.
+
+
+
XXX XXXXXXXXX XXXXXXXXXX XXX XXX XXX XX XXXXXXX XXXXXXXX XXXX XXXXX XX XXXXXXX XX XXXXXXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX:
+
+
XXX XX XXXXXXXXXXXXXX, XXXXXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXX XXXXXXX XXXXXXXX;
+
XXXXXXXXXXX XX XXXXXXX XXXXXXXX XXXX XXXXXXXXXXXX XXXXXXXX;
+
XXXXXXXXXX XX XXX XXX XX XXXXXXX XXXXXXXX XX XXX XXXXXXX XXXXXXXXX XXXXXX XX XXXXXXX, XXXXXXXXXX XXXXX (XXX 9.2.3);
+
XXXXXXXXXXXXX XXX XX XXX XXX XX XXXXXXX XXXXXXXX;
+
XXXXXXXXXX XX XXX XXXXXXXXXXXX XX XXXXXXX XXXXXXXX, X.X. XXX XXX XXXXXXXX XX XX XXXXXXXXXX XXXXXX;
+
XXXXXXX XX XXX XXX XX XXXXXXX XXXXXXXX;
+
XXXXXXXX XXX XXXXXXXXXXX XX XXXXXXXXXXXXX XXXXXX XXX XXXXXXX XXXXXXXX;
+
XXXXXXX XX XXXXXXXXX XX XXX XXXXXXXXXXX XXXXXXX XXXXXXXX;
+
XXX XXXXXX XXXXXXX XXXXXXXX XXXXXXXXX XX XXXXX XXX XXXX XXXXXX XX XXXXXXXXXXXX XX XXXXXXX XXXXX XXXXXXXXXXX XX XXXXXX XX XXXXXXXX.
+
+
+
+
XXXX XXXXXXXX XXXXXXXXXXXXX XXXX XXX XX XXXX XXXXXXX XXXXXXXX XXXX XXXXX XX XXXXXXX XX XXXXXXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXXX.
+
+
+
+ Access control to program source code
+ 9.4.5
+
+
XXXXXX XX XXXXXXX XXXXXX XXXX XXXXXX XX XXXXXXXXXX.
+
+
+
XXXXXX XX XXXXXXX XXXXXX XXXX XXX XXXXXXXXXX XXXXX (XXXX XX XXXXXXX, XXXXXXXXXXXXXX, XXXXXXXXXXXX XXXXX XXX XXXXXXXXXX XXXXX) XXXXXX XX XXXXXXXX XXXXXXXXXX, XX XXXXX XX XXXXXXX XXX XXXXXXXXXXXX XX XXXXXXXXXXXX XXXXXXXXXXXXX XXX XX XXXXX XXXXXXXXXXXXX XXXXXXX XX XXXX XX XX XXXXXXXX XXX XXXXXXXXXXXXXXX XX XXXXXXXX XXXXXXXXXXXX XXXXXXXX. XXX XXXXXXX XXXXXX XXXX, XXXX XXX XX XXXXXXXX XX XXXXXXXXXX XXXXXXX XXXXXXX XX XXXX XXXX, XXXXXXXXXX XX XXXXXXX XXXXXX XXXXXXXXX. XXX XXXXXXXXX XXXXXXXXXX XXXXXX XXXX XX XXXXXXXXXX XX XXXXXXX XXXXXX XX XXXX XXXXXXX XXXXXX XXXXXXXXX XX XXXXX XX XXXXXX XXX XXXXXXXXX XXX XXXXXXXXXX XX XXXXXXXX XXXXXXXX:
+
+
XXXXX XXXXXXXX, XXXXXXX XXXXXX XXXXXXXXX XXXXXX XXX XX XXXX XX XXXXXXXXXXX XXXXXXX;
+
XXX XXXXXXX XXXXXX XXXX XXX XXX XXXXXXX XXXXXX XXXXXXXXX XXXXXX XX XXXXXXX XXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX;
XXX XXXXXXXX XX XXXXXXX XXXXXX XXXXXXXXX XXX XXXXXXXXXX XXXXX XXX XXX XXXXXXX XX XXXXXXX XXXXXXX XX XXXXXXXXXXX XXXXXX XXXX XX XXXXXXXXX XXXXX XXXXXXXXXXX XXXXXXXXXXXXX XXX XXXX XXXXXXXX;
+
XXXXXXX XXXXXXXX XXXXXX XX XXXX XX X XXXXXX XXXXXXXXXXX;
+
XX XXXXX XXX XXXXXX XX XXXXXXXXXX XX XXX XXXXXXXX XX XXXXXXX XXXXXX XXXXXXXXX;
+
XXXXXXXXXXX XXX XXXXXXX XX XXXXXXX XXXXXX XXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXX XXXXXX XXXXXXX XXXXXXXXXX (XXX 14.2.2).
+
+
XX XXX XXXXXXX XXXXXX XXXX XX XXXXXXXX XX XX XXXXXXXXX, XXXXXXXXXX XXXXXXXX XX XXXX XXXXXXX XXXXXXXXX XX XXX XXXXXXXXX (X.X. XXXXXXX XXXXXXXXX) XXXXXX XX XXXXXXXXXX.
XXXXX XX X XXXX XXXXXXXXXX, XXX XXXXXXXX XXXXX XX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XXXXXX XXXX XXXXXXX XXX XXXX, XXXXXXXX XXX XXXXXXX XX XXX XXXXXXXXXX XXXXXXXXX XXXXXXXX;
+
XXX XXX XX XXXXXXXXXX XXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXXX XX XXXXXX XX XXXXXXXXX XXXXX XXXXXXX XX XXXXXX XXXXXXXXXXXXX XXXXX;
+
XXX XXXXXXXX XX XXX XXXXXXXXXX, XXXXXXXXX XXXXXXX XX XXXX XXXX XXX XXXXXXXXXX XX XXXXXXXXXXXXX XXXX XXX XXX XXXXXXXX XX XXXXXXXXX XXXXXXXXXXX XX XXX XXXX XX XXXX, XXXXXXXXXXX XX XXXXXXX XXXX;
+
XXXXX XXX XXXXXXXXXXXXXXXX, X.X. XXX XX XXXXXXXXXXX XXX:
+
XXX XXXXXXXXX XX XX XXXXXXX XXX XXXXXXXXX XXXXXXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXXX (XXXXX XXXXXXXX XX XXXX XXX XXXXX XXXXXXXX XXXXXXXXX);
+
XXX XXXXXX XX XXXXX XXXXXXXXX XXXXXXXXXXX XX XXXXXXXX XXXX XXXX XXXX XXXXXXX XXXXXXXXXX (X.X. XXXXXXX XXXXXXXXX).
+
+
XXXX XXXXXXXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXXXX XXXXXX, XXXXXXXXXXXXX XXXXXX XX XXXXX XX XXX XXXXXXXXXXX XXX XXXXXXXX XXXXXXXXXXXX XXXX XXXXX XXXXX XX XXX XXX XX XXXXXXXXXXXXX XXXXXXXXXX XX XXXXXXXXX XXXXX XX XXX XXXXX XXX XX XXX XXXXXX XX XXXXX-XXXXXX XXXX XX XXXXXXXXX XXXXXXXXXXX (XXX 18.1.5).
+
XXXXXXXXXXXXX XXXXXXXX XXX XX XXXX XX XXXXXXX XXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX, X.X.:
+
+
XXXXXXXXXXXXXXX: XXXXX XXXXXXXXXX XX XXXXXXXXXXX XX XXXXXXX XXXXXXXXX XX XXXXXXXX XXXXXXXXXXX, XXXXXX XXXXXX XX XXXXXXXXXXX;
+
: XXXXX XXXXXXX XXXXXXXXXX XX XXXXXXX XXXXXXXXXXXXXX XXXXX XX XXXXXX XXX XXXXXXXXXXXX XX XXXXXXXXX XX XXXXXX XX XXXXXXXXXXX XXXXXXXXX XX XXXXXXXX XXXXXXXXXXX;
+
XXX-XXXXXXXXXXX: XXXXX XXXXXXXXXXXXX XXXXXXXXXX XX XXXXXXX XXXXXXXX XX XXX XXXXXXXXXX XX XXX-XXXXXXXXXX XX XX XXXXX XX XXXXXX;
+
XXXXXXXXXXXXXX: XXXXX XXXXXXXXXXXXX XXXXXXXXXX XX XXXXXXXXXXXX XXXXX XXX XXXXX XXXXXX XXXXXXXX XXXXXXXXXX XXXXXX XX XX XXXXXXXXXXX XXXX XXXXXX XXXXX, XXXXXXXX XXX XXXXXXXXX.
+
+
+
+
XXXXXX X XXXXXXXX XX XX XXXXXXX X XXXXXXXXXXXXX XXXXXXXX XX XXXXXXXXXXX XXXXXX XX XXXX XX XXXX XX XXX XXXXX XXXXXXX XX XXXX XXXXXXXXXX XXX XXXXXXXXX XX XXXXXXXX. XXXX XXXXXXXXXX XXX XXXX XX XXXX XX XXXXXXXXX XXXXXXX X XXXXXXXXXXXXX XXXXXXX XX XXXXXXXXXXX, XXXX XXXX XX XXXXXXX XXXXXX XX XXXXXXX XXX XXX XXXX XXXXXXX XXX XXXXXXXX XXXXXXXXX.
+
X XXXXXX XX XXX XXX XX XXXXXXXXXXXXX XXXXXXXX XX XXXXXXXXX XX XXXXXXXX XXX XXXXXXXX XXX XXXXXXXX XXX XXXXX XX XXXXX XXXXXXXXXXXXX XXXXXXXXXX XXX XX XXXXX XXXXXXXXXXXXX XX XXXXXXXXX XXX.
+
XXXXXXXXXX XXXXXX XXXXXX XX XXXXXX XX XXXXXXXXX XXXXXXXXXXX XXXXXXXXXXXXX XXXXXXXX XX XXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XXXXXXXXXX.
+
+
+
+ Key management
+ 10.1.2
+
+
X XXXXXX XX XXX XXX, XXXXXXXXXX XXX XXXXXXXX XX XXXXXXXXXXXXX XXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXXXXX XXXXXXX XXXXX XXXXX XXXXXXXXX.
XXXXXXXXXXXX XXXX XX XXXXXXXX XXXXXXXX, XXXXXXXXX XXX XXXX XXXXXX XX XXXXXXXXX XXXX XXXXXXXX;
+
XXXXXXX XXXX, XXXXXXXXX XXX XXXXXXXXXX XXXXX XXXXXX XXXXXX XX XXXX;
+
XXXXXXXX XX XXXXXXXX XXXX XXXXXXXXX XXXXX XX XXXX XXXX XXXXXX XX XXXXXXX XXX XXX XXXX XXXX XX XXXX;
+
XXXXXXX XXXX XXXXXXXXXXX XXXX;
+
XXXXXXXX XXXX XXXXXXXXX XXX XXXX XXXXXX XX XXXXXXXXX XX XXXXXXXXXXX, X.X. XXXX XXXX XXXX XXXX XXXXXXXXXXX XX XXXX X XXXX XXXXXX XX XXXXXXXXXXXX (XX XXXXX XXXX XXXX XXXXXX XXXX XX XXXXXXXX);
+
XXXXXXXXXX XXXX XXXX XXX XXXX XX XXXXXXXXX;
+
XXXXXXX XX XX XXXXXXXXX XXXX;
+
XXXXXXXXXX XXXX;
+
XXXXXXX XXX XXXXXXXX XX XXX XXXXXXXXXX XXXXXXX XXXXXXXXXX.
+
+
XX XXXXX XX XXXXXX XXX XXXXXXXXXX XX XXXXXXXX XXX, XXXXXXXXXX XXX XXXXXXXXXXXX XXXXX XXX XXXX XXXXXX XX XXXXXXX XX XXXX XXX XXXX XXX XXXX XX XXXX XXX XXX XXXXXX XX XXXX XXXXXXX XX XXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXX.
+
XX XXXXXXXX XX XXXXXXXX XXXXXXXX XXXXXX XXX XXXXXXX XXXX, XXX XXXXXXXXXXXX XX XXXXXX XXXX XXXXXX XXXX XX XXXXXXXXXX. XXXX XXXXXXXXXXXXXX XXXXXXX XXX XX XXXX XXXXX XXXXXX XXX XXXXXXXXXXXX, XXXXX XXX XXXXXXXX XXXXXX XX X XXXXXXXXXXXXX XXXXXXXXX, XXXXX XXXXXX XX X XXXXXXXXXX XXXXXXXXXXXX XXXX XXXXXXXX XXXXXXXX XXX XXXXXXXXXX XX XXXXX XX XXXXXXX XXX XXXXXXXX XXXXXX XX XXXXX.
+
XXX XXXXXXXX XX XXXXXXX XXXXX XXXXXXXXXX XX XXXXXXXXX XXXX XXXXXXXX XXXXXXXXX XX XXXXXXXXXXXXX XXXXXXXX, X.X. XXXX X XXXXXXXXXXXXX XXXXXXXXX, XXXXXX XXXXX XXXXXX XX XXXXXXXXX, XXXXXXXXXXX XX XXXXXXXX XXX XXXXXXXX XXXXX XXX XXX XXXXXXXXX XX XXXXXXXX (XXX 15.2).
+
+
+
XXX XXXXXXXXXX XX XXXXXXXXXXXXX XXXX XX XXXXXXXXX XX XXX XXXXXXXXX XXX XX XXXXXXXXXXXXX XXXXXXXXXX. XXX/XXX XXXXX[2][3][4] XXXXXXXX XXXXXXX XXXXXXXXXXX XX XXX XXXXXXXXXX.
+
XXXXXXXXXXXXX XXXXXXXXXX XXX XXXX XX XXXX XX XXXXXXX XXXXXXXXXXXXX XXXX. XXXXXXXXXX XXX XXXX XX XX XXXXXXXXXX XXX XXXXXXXX XXXXX XXXXXXXX XXX XXXXXX XX XXXXXXXXXXXXX XXXX, X.X. XXXXXXXXX XXXXXXXXXXX XXX XX XXXXXXXX XX XX XXXX XXXXXXXXX XX XX XXXXXXXXXXX XXXX XX XXXXXXXX XX X XXXXX XXXX.
+
+
+
+
+
+ Physical and environmental security
+ 11
+
+ Secure areas
+ 11.1
+
+
XX XXXXXXX XXXXXXXXXXXX XXXXXXXX XXXXXX, XXXXXX XXX XXXXXXXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX.
+
+
+ Physical security perimeter
+ 11.1.1
+
+
XXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXX XXX XXXX XX XXXXXXX XXXXX XXXX XXXXXXX XXXXXX XXXXXXXXX XX XXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX.
XXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXX, XXX XXX XXXXXX XXX XXXXXXXX XX XXXX XX XXX XXXXXXXXXX XXXXXX XXXXXX XX XXX XXXXXXXX XXXXXXXXXXXX XX XXX XXXXXX XXXXXX XXX XXXXXXXXX XXX XXX XXXXXXX XX X XXXX XXXXXXXXXX;
+
XXXXXXXXXX XX X XXXXXXXX XX XXXX XXXXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XXXXX (X.X. XXXXX XXXXXX XX XX XXXX XX XXX XXXXXXXXX XX XXXXX XXXXX X XXXXX-XX XXXXX XXXXXX XXXXX); XXX XXXXXXXX XXXX, XXXXX XXX XXXXXXXX XX XXX XXXX XXXXXX XX XX XXXXX XXXXXXXXXXXX XXX XXX XXXXXXXX XXXXX XXXXXX XX XXXXXXXX XXXXXXXXX XXXXXXX XXXXXXXXXXXX XXXXXX XXXX XXXXXXX XXXXXXXXXX, (X.X. XXXX, XXXXXX, XXXXX); XXXXX XXX XXXXXXX XXXXXX XX XXXXXX XXXX XXXXXXXXXX XXX XXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXX, XXXXXXXXXXXX XX XXXXXX XXXXX;
+
X XXXXXX XXXXXXXXX XXXX XX XXXXX XXXXX XX XXXXXXX XXXXXXXX XXXXXX XX XXX XXXX XX XXXXXXXX XXXXXX XX XX XXXXX; XXXXXX XX XXXXX XXX XXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXXXXX XXXXXXXXX XXXX;
+
XXXXXXXX XXXXXXXX XXXXXX, XXXXX XXXXXXXXXX, XX XXXXX XX XXXXXXX XXXXXXXXXXXX XXXXXXXX XXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXXXXX;
+
XXX XXXX XXXXX XX X XXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXX, XXXXXXXXX XXX XXXXXX XX XXXXXXXXXXX XXXX XXX XXXXX XX XXXXXXXXX XXX XXXXXXXX XXXXX XX XXXXXXXXXX XX XXXXXXXXXX XXXX XXXXXXXX XXXXXXXX, XXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXX; XXXX XXXXXX XXXXXXX XX XXXXXXXXXX XXXX XXX XXXXX XXXX XXXX XX X XXXXXXXX XXXXXX;
+
XXXXXXXX XXXXXXXX XXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXX XX XXXXXXXX, XXXXXXXX XX XXXXXXXXXXXXX XXXXXXXXX XXX XXXXXXXXX XXXXXX XX XXXXX XXX XXXXXXXX XXXXX XXX XXXXXXXXXX XXXXXXX; XXXXXXXXXX XXXXX XXXXXX XX XXXXXXX XX XXX XXXXX; XXXXX XXXXXX XXXX XX XXXXXXXX XXX XXXXX XXXXX, X.X. XXXXXXXX XXXX XX XXXXXXXXXXXXXX XXXXX;
+
XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXXX XX XXX XXXXXXXXXXXX XXXXXX XX XXXXXXXXXX XXXXXXXXX XXXX XXXXX XXXXXXX XX XXXXXXXX XXXXXXX.
+
+
+
+
XXXXXXXX XXXXXXXXXX XXX XX XXXXXXXX XX XXXXXXXX XXX XX XXXX XXXXXXXX XXXXXXXX XXXXXX XXX XXXXXXXXXXXX’X XXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX. XXX XXX XX XXXXXXXX XXXXXXXX XXXXX XXXXXXXXXX XXXXXXXXXX, XXXXX XXX XXXXXXX XX X XXXXXX XXXXXXX XXXX XXX XXXX XXXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXXXXX.
+
X XXXXXX XXXX XXX XX X XXXXXXXX XXXXXX XX XXXXXXX XXXXX XXXXXXXXXX XX X XXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXX XXXXXXX. XXXXXXXXXX XXXXXXXX XXX XXXXXXXXXX XX XXXXXXX XXXXXXXX XXXXXX XXX XX XXXXXX XXXXXXX XXXXX XXXX XXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXXXXX XXX XXXXXXXX XXXXXXXXX. XXXXXXX XXXXXXXXX XX XXXXXXXX XXXXXX XXXXXXXX XXXXXX XX XXXXX XX XXX XXXX XX XXXXXXXXX XXXXXXX XXXXXX XXX XXXXXXXX XXXXXXXXXXXXX.
+
XXX XXXXXXXXXXX XX XXXXXXXX XXXXXXXX, XXXXXXXXXX XXX XXX XXXXXX XXXXX, XXXXXX XX XXXXXXX XX XXX XXXXXXXXX XXX XXXXXXXX XXXXXXXXXXXXX XX XXX XXXXXXXXXXXX, XX XXX XXXXX XX XXX XXXX XXXXXXXXXX.
+
+
+
+ Physical entry controls
+ 11.1.2
+
+
XXXXXX XXXXX XXXXXX XX XXXXXXXXX XX XXXXXXXXXXX XXXXX XXXXXXXX XX XXXXXX XXXX XXXX XXXXXXXXXX XXXXXXXXX XXX XXXXXXX XXXXXX.
+
+
+
XXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX:
+
+
XXX XXXX XXX XXXX XX XXXXX XXX XXXXXXXXX XX XXXXXXXX XXXXXX XX XXXXXXXX, XXX XXX XXXXXXXX XXXXXX XX XXXXXXXXXX XXXXXX XXXXX XXXXXX XXX XXXX XXXXXXXXXX XXXXXXXX; XXXX XXXXXX XXXX XX XXXXXXX XXXXXX XXX XXXXXXXX, XXXXXXXXXX XXXXXXXX XXX XXXXXX XX XXXXXX XXXX XXXXXXXXXXXX XX XXX XXXXXXXX XXXXXXXXXXXX XX XXX XXXX XXX XX XXXXXXXXX XXXXXXXXXX. XXX XXXXXXXX XX XXXXXXXX XXXXXX XX XXXXXXXXXXXXX XX XX XXXXXXXXXXX XXXXX;
+
XXXXXX XX XXXXX XXXXX XXXXXXXXXXXX XXXXXXXXXXX XX XXXXXXXXX XX XXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXX XXXX XX XXXXXXXXXXXX XXXXXXXXXXX XXXXXX XXXXXXXX, X.X. XX XXXXXXXXXXXX X XXX-XXXXXX XXXXXXXXXXXXXX XXXXXXXXX XXXX XX XX XXXXXX XXXX XXX XXXXXX XXX;
+
X XXXXXXXX XXX XXXX XX XXXXXXXXXX XXXXX XXXXX XX XXX XXXXXX XXXXXX XX XXXXXXXX XXXXXXXXXX XXX XXXXXXXXX;
+
XXX XXXXXXXXX, XXXXXXXXXXX XXX XXXXXXXX XXXXXXX XXXXXX XX XXXXXXXX XX XXXX XXXX XXXX XX XXXXXXX XXXXXXXXXXXXXX XXX XXXXXX XXXXXXXXXXX XXXXXX XXXXXXXX XXXXXXXXX XX XXXX XXXXXXXXX XXXXXXXXXX XXXXXXXX XXX XXXXXX XXX XXXXXXX XXXXXXX XXXXXXXXXXXXXX;
+
XXXXXXXX XXXXX XXXXXXX XXXXXXX XXXXXXXXX XXXXXX XX XXXXXXX XXXXXXXXXX XXXXXX XX XXXXXX XXXXX XX XXXXXXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXX XXXX XXXXXXXX; XXXX XXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXXX;
+
XXXXXX XXXXXX XX XXXXXX XXXXX XXXXXX XX XXXXXXXXX XXXXXXXX XXX XXXXXXX, XXX XXXXXXX XXXX XXXXXXXXX (XXX 9.2.5 XXX 9.2.6).
XXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXX XXXXXXX, XXXXX XXX XXXXXXXXXX:
+
+
XXX XXXXXXXXXX XXXXXX XX XXXXX XX XXXXX XXXXXX XX XXX XXXXXX;
+
XXXXX XXXXXXXXXX, XXXXXXXXX XXXXXX XX XXXXXXXXXXX XXX XXXX XXXXXXX XXXXXXXXXX XX XXXXX XXXXXXX, XXXX XX XXXXXXX XXXXX, XXXXXXX XX XXXXXX XXX XXXXXXXX, XXXXXXXXXXX XXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX;
+
XXXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XX XXXXXXXXXX XXXX XXXXX XXXXXXX XXX XXXXXXX XXXX XXX XXXXXXX. XXXXXXXXXXXXXXX XXXXXXXXX XXXXXX XXXX XX XXXXXXXXXX XX XXXXXXXXXXX;
+
XXXXXXXXXXX XXX XXXXXXXX XXXXXXXXX XXXXX XXXXXXXXXXX XXXXXXXXX XX XXXXXXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXX XXX XX XXXXXXX XXXXXXXXXX XX XXXXXX XXXXXXXXXXXX.
+
+
+
+
+ Protecting against external and environmental threats
+ 11.1.4
+
+
XXXXXXXX XXXXXXXXXX XXXXXXX XXXXXXX XXXXXXXXX, XXXXXXXXX XXXXXX XX XXXXXXXXX XXXXXX XX XXXXXXXX XXX XXXXXXX.
+
+
+
XXXXXXXXXX XXXXXX XXXXXX XX XXXXXXXX XX XXX XX XXXXX XXXXXX XXXX XXXX, XXXXX, XXXXXXXXXX, XXXXXXXXX, XXXXX XXXXXX XXX XXXXX XXXXX XX XXXXXXX XX XXX-XXXX XXXXXXXX.
+
+
+
+ Working in secure areas
+ 11.1.5
+
+
XXXXXXXXXX XXX XXXXXXX XX XXXXXX XXXXX XXXXXX XX XXXXXXXX XXX XXXXXXX.
+
+
+
XXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX:
+
+
XXXXXXXXX XXXXXX XXXX XX XXXXX XX XXX XXXXXXXXX XX, XX XXXXXXXXXX XXXXXX, X XXXXXX XXXX XX X XXXX-XX-XXXX XXXXX;
+
XXXXXXXXXXXX XXXXXXX XX XXXXXX XXXXX XXXXXX XX XXXXXXX XXXX XXX XXXXXX XXXXXXX XXX XX XXXXXXX XXXXXXXXXXXXX XXX XXXXXXXXX XXXXXXXXXX;
+
XXXXXX XXXXXX XXXXX XXXXXX XX XXXXXXXXXX XXXXXX XXX XXXXXXXXXXXX XXXXXXXX;
+
XXXXXXXXXXXX, XXXXX, XXXXX XX XXXXX XXXXXXXXX XXXXXXXXX, XXXX XX XXXXXXX XX XXXXXX XXXXXXX, XXXXXX XXX XX XXXXXXX, XXXXXX XXXXXXXXXX.
XXXXXX XXXXXX XXXX XX XXXXXXXX XXX XXXXXXX XXXXX XXX XXXXX XXXXXX XXXXX XXXXXXXXXXXX XXXXXXX XXXXX XXXXX XXX XXXXXXXX XXXXXX XX XXXXXXXXXX XXX, XX XXXXXXXX, XXXXXXXX XXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XX XXXXX XXXXXXXXXXXX XXXXXX.
+
+
+
XXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX:
+
+
XXXXXX XX X XXXXXXXX XXX XXXXXXX XXXX XXXX XXXXXXX XX XXX XXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXX;
+
XXX XXXXXXXX XXX XXXXXXX XXXX XXXXXX XX XXXXXXXX XX XXXX XXXXXXXX XXX XX XXXXXX XXX XXXXXXXX XXXXXXX XXXXXXXX XXXXXXXXX XXXXXXX XXXXXX XX XXXXX XXXXX XX XXX XXXXXXXX;
+
XXX XXXXXXXX XXXXX XX X XXXXXXXX XXX XXXXXXX XXXX XXXXXX XX XXXXXXX XXXX XXX XXXXXXXX XXXXX XXX XXXXXX;
+
XXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXX XXX XXXXXXXXXX, XXXXXXXXX XX XXXXX XXXXXXXXX XXXXXXXXX, XXXXXX XX XX XXXXX XXXX X XXXXXXXX XXX XXXXXXX XXXX;
+
XXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXXXXX XXXX XXXXX XXXXXXXXXX XXXXXXXXXX (XXX Clause 8) XX XXXXX XX XXX XXXX;
+
XXXXXXXX XXX XXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXXX XXXXXXXXXX, XXXXX XXXXXXXX;
+
XXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXX XX XXXXXXXXX XX XXXXX. XX XXXX XXXXXXXXX XX XXXXXXXXXX XX XXXXXX XX XXXXXXXXXXX XXXXXXXX XX XXXXXXXX XXXXXXXXX.
+
+
+
+
+
+ Equipment
+ 11.2
+
+
XX XXXXXXX XXXX, XXXXXX, XXXXX XX XXXXXXXXXX XX XXXXXX XXX XXXXXXXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXXXX.
XXXXXXX XXXXXX XX XXXX XX XXX XXXXXXXXX XX XXXXXX XXXXXX, XXX XX XXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXXX;
+
XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXXX XXXX XXXXXXXXX XX XXXXXXXXX XXX XXXXXXXXXXX, XXXXXX XXXX XXXXXXX XXXXXXX XXXX XXXXXXXXXXX XX XXXXXXXXX XX XXXXXXXXX XX XXXX XX XXXXXXXX XX XXX XXXXXXXXXXXX; XXXXX XXXXXXXXX, XXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXX XXXX XXX XXXXXXXXX XX XXX XXXXXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXXXXX XXXXXXX;
+
XXX XXXXXXXXXXX XXXXXXXXXXXX XXXXXXX XX XXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXX XXXX;
+
XXXXXX XXXXXXX XXXXXXXXX XXXX XXXX XXXXXXXXX XXXXX XXX XXXXXXXXXXX, XX XXXXXX XX XXXXXXXXX XX XXXXXX XXXX XXX XXXXXXXXX XXX XXX XXXX XXXXXXXX XXXX XXX XXXX XXX XXXXXXXXXXX.
+
+
+
+
+ Removal of assets
+ 11.2.5
+
+
XXXXXXXXX, XXXXXXXXXXX XX XXXXXXXX XXXXXX XXX XX XXXXX XXX-XXXX XXXXXXX XXXXX XXXXXXXXXXXXX.
+
+
+
XXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX:
+
+
XXXXXXXXX XXX XXXXXXXX XXXXX XXXXX XXX XXXX XXXXXXXXX XX XXXXXX XXX-XXXX XXXXXXX XX XXXXXX XXXXXX XX XXXXXXXXXX;
XXXXX XXXXXXXXX XXX XXXXXXXXXXX, XXXXXX XXXXXX XX XXXXXXXX XX XXXXX XXXXXXX XXX-XXXX XXX XXXXXXXX XXXX XXXXXXXX;
+
XXX XXXXXXXX, XXXX XXX XXXXXXXXXXX XX XXXXXX XXX XXXXXXX XX XXXX XXXXXX XXXXXX XX XXXXXXXXXX XXX XXXX XXXXXXXXXXXXX XXXXXXXX XXXX XXX XXXXXXXXX, XXXXXXXXXXX XX XXXXXXXX.
+
+
+
+
XXXX XXXXXX, XXXXXXXXXX XX XXXXXX XXXXXXXXXXXX XXXXXXX XX XXXXXX, XXX XXXX XX XXXXXXXXX XX XXXXXX XXXXXXXXXXXX XXXXXXXXX XXXXXXX, XXXXXXX, XXX., XXX XX XXXXXXX XXXXX XXXXX XXXX XXX XXXX XXXX, XXX XXXX. XXXX XXXX XXXXXX XXXXXX XX XXXXXXX XXX XX XXXXXXXXXX XXXX XXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXX. XXXXXXXXXXX XXXXXX XX XXXX XXXXX XXXX XXXX XXXXXX XXX XXXXXXX XXX, XXX XXX XXXXXXXXXXXXX XXXXXX XXXX XX XXXXXXXXX XXXX XXXXXXXXXXXXX XXXXXXXXXXX XXX XXX XXXXX XXX XXXXXXXXXX XXXXXXXXXXXX.
+
+
+
+ Security of equipment and assets off-premises
+ 11.2.6
+
+
XXXXXXXX XXXXXX XX XXXXXXX XX XXX-XXXX XXXXXX XXXXXX XXXX XXXXXXX XXX XXXXXXXXX XXXXX XX XXXXXXX XXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXX.
+
+
+
XXX XXX XX XXX XXXXXXXXXXX XXXXXXX XXX XXXXXXXXXX XXXXXXXXX XXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXXXXX. XXXX XXXXXXX XX XXXXXXXXX XXXXX XX XXX XXXXXXXXXXXX XXX XXXX XXXXXXXXX XXXXX XXXXXXXXX XXX XXXX XX XXXXXX XX XXX XXXXXXXXXXXX.
+
XXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXX XXXXXXXXXX XX XXX-XXXX XXXXXXXXX:
+
+
XXXXXXXXX XXX XXXXX XXXXX XXX XXXXXXXX XXXXXX XXX XX XXXX XXXXXXXXXX XX XXXXXX XXXXXX;
+
XXXXXXXXXXXXX’ XXXXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXX XX XXX XXXXX, X.X. XXXXXXXXXX XXXXXXX XXXXXXXX XX XXXXXX XXXXXXXXXXXXXXX XXXXXX;
+
XXXXXXXX XXX XXX-XXXXXXXX XXXXXXXXX, XXXX XX XXXX-XXXXXXX, XXXXXXXXXXX XXX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX XX X XXXX XXXXXXXXXX XXX XXXXXXXX XXXXXXXX XXXXXXX XX XXXXXXXXXXX, X.X. XXXXXXXX XXXXXX XXXXXXXX, XXXXX XXXX XXXXXX, XXXXXX XXXXXXXX XXX XXXXXXXXX XXX XXXXXX XXXXXXXXXXXXX XXXX XXX XXXXXX (XXX XXXX XXX/XXX XXXXX[15][16][17][18][19]);
+
XXXX XXX-XXXXXXXX XXXXXXXXX XX XXXXXXXXXXX XXXXX XXXXXXXXX XXXXXXXXXXX XX XXXXXXXX XXXXXXX, X XXX XXXXXX XX XXXXXXXXXX XXXX XXXXXXX XXX XXXXX XX XXXXXXX XXX XXX XXXXXXXXX XXXXXXXXX XX XXXXX XXXXX XXX XXXXXXXXXXXXX XX XXXXX XXX XXX XXXXXXXXXXX XXX XXX XXXXXXXXX.
+
+
XXXXX, X.X. XX XXXXXX, XXXXX XX XXXXXXXXXXXXX, XXX XXXX XXXXXXXXXXXX XXXXXXX XXXXXXXXX XXX XXXXXX XX XXXXX XXXX XXXXXXX XX XXXXXXXXXXX XXX XXXX XXXXXXXXXXX XXXXXXXX.
+
+
+
XXXXXXXXXXX XXXXXXX XXX XXXXXXXXXX XXXXXXXXX XXXXXXXX XXX XXXXX XX XXXXXXXX XXXXXXXXX, XXXXXXXXXX, XXXXXX XXXXXX, XXXXX XXXXX, XXXXX XX XXXXX XXXX, XXXXX XX XXXX XXX XXXX XXXXXXX XX XXXXX XXXXXXXXXXX XXXX XXXX XXX XXXXXX XXXX XXXXXXXX.
+
XXXX XXXXXXXXXXX XXXXX XXXXX XXXXXXX XX XXXXXXXXXX XXXXXX XXXXXXXXX XXX XX XXXXX XX 6.2.
+
XX XXX XX XXXXXXXXXXX XX XXXXX XXX XXXX XX XXXXXXXXXXXX XXXXXXX XXXXXXXXX XXXX XXXXXXX XXX-XXXX XX XX XXXXXXXXXXX XXXXX XXX XX XXXXXXXX XX XXXXXXXXX;
+
+
+
+ Secure disposal or re-use of equipment
+ 11.2.7
+
+
XXX XXXXX XX XXXXXXXXX XXXXXXXXXX XXXXXXX XXXXX XXXXXX XX XXXXXXXX XX XXXXXX XXXX XXX XXXXXXXXX XXXX XXX XXXXXXXX XXXXXXXX XXX XXXX XXXXXXX XX XXXXXXXX XXXXXXXXXXX XXXXX XX XXXXXXXX XX XX-XXX.
+
+
+
XXXXXXXXX XXXXXX XX XXXXXXXX XX XXXXXX XXXXXXX XX XXX XXXXXXX XXXXX XX XXXXXXXXX XXXXX XX XXXXXXXX XX XX-XXX.
+
XXXXXXX XXXXX XXXXXXXXXX XXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX XXXXXXXXX XX XXX XXXXXXXXXXX XXXXXX XX XXXXXXXXX, XXXXXXX XX XXXXXXXXXXX XXXXX XXXXXXXXXX XX XXXX XXX XXXXXXXX XXXXXXXXXXX XXX-XXXXXXXXXXX XXXXXX XXXX XXXXX XXX XXXXXXXX XXXXXX XX XXXXXX XXXXXXXX.
+
+
+
XXXXXXX XXXXXXXXX XXXXXXXXXX XXXXXXX XXXXX XXX XXXXXXX X XXXX XXXXXXXXXX XX XXXXXXXXX XXXXXXX XXX XXXXX XXXXXX XX XXXXXXXXXX XXXXXXXXX XXXXXX XXXX XXXX XXX XXXXXX XX XXXXXXXXX. XXXXXXXXXXX XXX XX XXXXXXXXXXX XXXXXXX XXXXXXXX XXXXXXXX XX XX-XXX XX XXXXXXXXX.
+
XX XXXXXXXX XX XXXXXX XXXX XXXXXXX, XXXXX-XXXX XXXXXXXXXX XXXXXXX XXX XXXX XX XXXXXXXXXX XX XXXXXXXXXXXX XXXXXXXXXXX XXXX XXXXXXXXX XX XXXXXXXX XX XX XXXXXXXXXX, XXXXXXXX XXXX:
XXXXXXXXX XX XXXXXXXX XXXXXXXX XXXXXXXXXXX, X.X. XX XXXXX XX XX XXXXXXXXXX XXXXXXX XXXXX, XXXXXX XX XXXXXX XXXX (XXXXXXX XX X XXXX XX XXXXXXX XX XXXXX XXXXX XX XXXXXXXX XXXXXXXXX) XXXX XXX XXXXXXXX, XXXXXXXXXX XXXX XXX XXXXXX XX XXXXXXX.
+
XXXXXXXXX XXX XXXXXXXXX XXXXXX XX XXXX XXXXXX XXX XX XXXXXXXXX XXXX X XXXXXX XXX XXXXXXXX XXXXXXX XXXXXXXXX XXXXXXXXXX XX X XXXXXXXX, XXXXX XX XXXXXXX XXXX XXXXXXXXXXXXXX XXXXXXXXX XXXX XXXXXXXXXX XXX XXXXXX XX XXXXXXXXX XX XXX XXXXX, XXXXXXXXX XX XXXXX XXXXXXXX XXXX XXX XX XXX;
+
XXXXXXXXXXXX XXX XX XXXXXXXXXXXX XXX XXXXX XXXXXXXXXXXX XXXXXXXXXX (X.X. XXXXXXXX, XXXXXXX XXXXXXX) XXXXXX XX XXXXXXXXX;
+
XXXXX XXXXXXXXXX XXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXX XXXX XXXXXXXX XXXXXXXXXXX.
+
+
+
+
X XXXXX XXXX/XXXXX XXXXXX XXXXXX XXXXXXX XXX XXXXX XX XXXXXXXXXXXX XXXXXX, XXXX XX XXX XXXXXX XX XXXXXXXXXXX XXXXXX XXX XXXXXXX XXXXXX XXXXXXX XXXXX. XXXXX XX XXXXX XXXXX XX XXXXXX XXXXXXX XXXXXXXXXX XXXXX XXXX XXXXXXX XXXXXXXXXXX XXXXXX XXXXXXX XXXXXXX XXXXXXXXX XXXX XX X XXXX, XXXXXXXXXX, XXXXX XX XXXXXXXXX.
+
XXXXXXXX XXX XXX XX XXXXXXXX XXXX XXX XXXX XXXXXXXX, XX XXX XXXXXXXXXXX XXX XXX XXXX XXXX XXX XXX XXX XXXXX XXXXX-XXXX XXX XXXX XXXX XXXXXXXX XXXX XX XXX XXXXXXX.
XXXXXXXXX XX XX XXXXXXXXX XXXXXX XXXXXXX XX XXXXXX XXXXX XXX XXXXXXXXXX XXXXXXXXXXXXXX XX XXXXXXX XXXXXX XX XXXXXXX XX XXXXXXXX (XXX 16.1).
+
+
XXXXXX XXXXXXXXXX XXXXXXXXXXXXXXXX XXX XXXXXXXXXX XXXXXX XX XX XXXXX XX XXXXXX XXXXXXXXXXXX XXXXXXX XX XXX XXXXXXX. XXXX XXXXXXX XXX XXXX, XX XXXXX XXX XXXXXXXXXX XXX XXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXX.
+
+
+
XXXXXXXXXX XXXXXXX XX XXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXX XX X XXXXXX XXXXX XX XXXXXX XX XXXXXXXX XXXXXXXX. XXXXXXX XX XXX XXXXXXXXXXX XXXXXXXXXXX, XXXXXXXXXX XXXX XXXXXXXXXXXX X XXXXXX XXXX XXXXXXXXXXX XX XXXXXXXXXXX XXXXX, XXX XXXXXX XX XXX XXXXXXXXXXX XX XXXXXXXXXXXX (XXX 14.2.2).
+
+
+
+ Capacity management
+ 12.1.3
+
+
XXX XXX XX XXXXXXXXX XXXXXX XX XXXXXXXXX, XXXXX XXX XXXXXXXXXXX XXXX XX XXXXXX XXXXXXXX XXXXXXXXXXXX XX XXXXXX XXX XXXXXXXX XXXXXX XXXXXXXXXXX.
+
+
+
XXXXXXXX XXXXXXXXXXXX XXXXXX XX XXXXXXXXXX, XXXXXX XXXX XXXXXXX XXX XXXXXXXX XXXXXXXXXXX XX XXX XXXXXXXXX XXXXXX. XXXXXX XXXXXX XXX XXXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXX XXX, XXXXX XXXXXXXXX, XXXXXXX XXX XXXXXXXXXXXX XXX XXXXXXXXXX XX XXXXXXX. XXXXXXXXX XXXXXXXX XXXXXX XX XXX XX XXXXX XX XXXXXXXX XXXXXXXX XX XXX XXXX. XXXXXXXXXXX XX XXXXXX XXXXXXXX XXXXXXXXXXXX XXXXXX XXXX XXXXXXX XX XXX XXXXXXXX XXX XXXXXX XXXXXXXXXXXX XXX XXXXXXX XXX XXXXXXXXX XXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXXXX.
+
XXXXXXXXXX XXXXXXXXX XXXXX XX XX XXXX XX XXX XXXXXXXXX XXXX XXXX XXXXXXXXXXX XXXX XXXXX XX XXXX XXXXX; XXXXXXXXX XXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXXXX XX XXX XXXXXX XXXXXXXXX. XXXX XXXXXX XXXXXXXX XXXXXX XX XXXXX, XXXXXXXXXXXX XX XXXXXXXX XX XXXXXXXX XXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXX XXXXXXXXXX XXXXX.
+
XXXXXXXX XXXXXX XXX XXXX XXXXXXXXXXX XX XXXXXXXX XXX XXXXX XXXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXX XX XXX XXXXXXXXX XXXX XXXXX XXXXXXX X XXXXXX XX XXXXXX XXXXXXXX XX XXXXXXXX, XXX XXXX XXXXXXXXXXX XXXXXX.
+
XXXXXXXXX XXXXXXXXXX XXXXXXXX XXX XX XXXXXXXX XX XXXXXXXXXX XXXXXXXX XX XX XXXXXXXX XXXXXX. XXXXXXXX XX XXXXXXXX XXXXXXXX XXXXXX XXXXXXX:
+
+
XXXXXXXX XX XXXXXXXX XXXX (XXXX XXXXX);
+
XXXXXXXXXXXXXXX XX XXXXXXXXXXXX, XXXXXXX, XXXXXXXXX XX XXXXXXXXXXXX;
+
XXXXXXXXXX XXXXX XXXXXXXXX XXX XXXXXXXXX;
+
XXXXXXXXXX XXXXXXXXXXX XXXXX XX XXXXXXXX XXXXXXX;
+
XXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXX XXXXXXXX-XXXXXX XXXXXXXX XX XXXXX XXX XXX XXXXXXXX XXXXXXXX (X.X. XXXXX XXXXXXXXX).
+
+
X XXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXX XXXXXXXX XXXXXXX.
+
+
+
XXXX XXXXXXX XXXX XXXXXXXXX XXX XXXXXXXX XX XXX XXXXX XXXXXXXXX, XX XXXX XX XXXXXXX XXX XXXXXXXXXX.
+
+
+
+ Separation of development, testing and operational environments
+ 12.1.4
+
+
XXXXXXXXXXX, XXXXXXX, XXX XXXXXXXXXXX XXXXXXXXXXXX XXXXXX XX XXXXXXXXX XX XXXXXX XXX XXXXX XX XXXXXXXXXXXX XXXXXX XX XXXXXXX XX XXX XXXXXXXXXXX XXXXXXXXXXX.
+
+
+
XXX XXXXX XX XXXXXXXXXX XXXXXXX XXXXXXXXXXX, XXXXXXX, XXX XXXXXXXXXXX XXXXXXXXXXXX XXXX XX XXXXXXXXX XX XXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXXXXX.
+
XXX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX:
+
+
XXXXX XXX XXX XXXXXXXX XX XXXXXXXX XXXX XXXXXXXXXXX XX XXXXXXXXXXX XXXXXX XXXXXX XX XXXXXXX XXX XXXXXXXXXX;
+
XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XXX XX XXXXXXXXX XXXXXXX XX XXXXXXXX XXXXXXXXXX XXX XX XXXXXXXXX XXXXXXX XX XXXXXXXXXXX;
+
XXXXXXX XX XXXXXXXXXXX XXXXXXX XXX XXXXXXXXXXXX XXXXXX XX XXXXXX XX X XXXXXXX XX XXXXXXX XXXXXXXXXXX XXXXX XX XXXXX XXXXXXX XX XXXXXXXXXXX XXXXXXX;
+
XXXXX XXXX XX XXXXXXXXXXX XXXXXXXXXXXXX, XXXXXXX XXXXXX XXX XX XXXX XX XXXXXXXXXXX XXXXXXX;
+
XXXXXXXXX, XXXXXXX XXX XXXXX XXXXXXXXXXX XXXXX XX XXXXXX XXXXXXXXX XXXXXX XXX XX XXXXXXXXXX XXXX XXXXXXXXXXX XXXXXXX XXXX XXX XXXXXXXX;
XXXXXXXXXXX XXX XXXXXXX XXXXXXXXXX XXX XXXXX XXXXXXX XXXXXXXX, X.X. XXXXXXXX XXXXXXXXXXXX XX XXXXX XX XXXXXX XXXXXXXXXXX XX XXXXXX XXXXXXX. XXXXX XX X XXXX XX XXXXXXXX X XXXXX XXX XXXXXX XXXXXXXXXXX XX XXXXX XX XXXXXXX XXXXXXXXXX XXXXXXX XXX XX XXXXXXX XXXXXXXXXXXXX XXXXXXXXX XXXXXX XX XXX XXXXXXXXXXX XXXXXXXXXXX.
+
XXXXX XXXXXXXXXXX XXX XXXXXXX XXXXXXXXX XXXX XXXXXX XX XXX XXXXXXXXXXX XXXXXX XXX XXX XXXXXXXXXXX, XXXX XXX XX XXXX XX XXXXXXXXX XXXXXXXXXXXX XXX XXXXXXXX XXXX XX XXXXX XXXXXXXXXXX XXXX. XX XXXX XXXXXXX XXXX XXXXXXXXXX XXXXX XX XXXXXXX XX XXXXXX XXXXX XX XXXXXXXXX XXXXXXXX XX XXXXXXXXX XXXX, XXXXX XXX XXXXX XXXXXXX XXXXXXXXXXX XXXXXXXX.
+
XXXXXXXXXXX XXX XXXXXXX XXXXXXXXX XXXX XXXX X XXXXXX XX XXX XXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXXX. XXXXXXXXXXX XXX XXXXXXX XXXXXXXXXX XXX XXXXX XXXXXXXXXX XXXXXXX XX XXXXXXXX XX XXXXXXXXXXX XX XXXX XXXXX XXX XXXX XXXXXXXXX XXXXXXXXXXX. XXXXXXXXXX XXXXXXXXXXX, XXXXXXX XXX XXXXXXXXXXX XXXXXXXXXXXX XX XXXXXXXXX XXXXXXXXX XX XXXXXX XXX XXXX XX XXXXXXXXXX XXXXXX XX XXXXXXXXXXXX XXXXXX XX XXXXXXXXXXX XXXXXXXX XXX XXXXXXXX XXXX (XXX 14.3 XXX XXX XXXXXXXXXX XX XXXX XXXX).
XXXXXXXXX, XXXXXXXXXX XXX XXXXXXXX XXXXXXXX XX XXXXXXX XXXXXXX XXXXXXX XXXXXX XX XXXXXXXXXXX, XXXXXXXX XXXX XXXXXXXXXXX XXXX XXXXXXXXX.
+
+
+
XXXXXXXXXX XXXXXXX XXXXXXX XXXXXX XX XXXXX XX XXXXXXX XXXXXXXXX XXX XXXXXX XXXXXXXX, XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXX XXXXXXXXXXX XXXXXX XXXXXX XXX XXXXXX XXXXXXXXXX XXXXXXXX. XXX XXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX:
+
+
XXXXXXXXXXXX X XXXXXX XXXXXX XXXXXXXXXXX XXX XXX XX XXXXXXXXXXXX XXXXXXXX (XXX 12.6.2 XXX 14.2.);
+
XXXXXXXXXXXX XXXXXXXX XXXX XXXXXXX XX XXXXXX XXX XXX XX XXXXXXXXXXXX XXXXXXXX (X.X. XXXXXXXXXXX XXXXXXXXXXXX);
+
XXXXXXXXXXXX XXXXXXXX XXXX XXXXXXX XX XXXXXX XXX XXX XX XXXXX XX XXXXXXXXX XXXXXXXXX XXXXXXXX (X.X. XXXXXXXXXXXX);
+
XXXXXXXXXXXX X XXXXXX XXXXXX XX XXXXXXX XXXXXXX XXXXX XXXXXXXXXX XXXX XXXXXXXXX XXXXX XXX XXXXXXXX XXXXXX XXXX XX XXX XXXXXXXX XXXXXXXX XX XX XXX XXXXX XXXXXX, XXXXXXXXXX XXXX XXXXXXXXXX XXXXXXXX XXXXXX XX XXXXX;
+
XXXXXXXX XXXXXXXXXXXXXXX XXXX XXXXX XX XXXXXXXXX XX XXXXXXX, X.X. XXXXXXX XXXXXXXXX XXXXXXXXXXXXX XXXXXXXXXX (XXX 12.6);
+
XXXXXXXXXX XXXXXXX XXXXXXX XX XXX XXXXXXXX XXX XXXX XXXXXXX XX XXXXXXX XXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXXX; XXX XXXXXXXX XX XXX XXXXXXXXXX XXXXX XX XXXXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXX XXXXXXXXXXXX;
+
XXXXXXXXXXXX XXX XXXXXXX XXXXXX XX XXXXXXX XXXXXXXXX XXX XXXXXX XXXXXXXX XX XXXX XXXXXXXXX XXX XXXXX XX X XXXXXXXXXXXXX XXXXXXX, XX XX X XXXXXXX XXXXX; XXX XXXX XXXXXXX XXX XXXXXX XXXXXXX:
+
XXXX XXX XXXXX XXXXXXXX XXXX XXXXXXXX XX XXX XXX XXXX XX XXXXXXX XXXXXX, XXX XXXXXXX XXXXXX XXX;
+
XXXX XXXXXXXXXX XXXX XXXXXXXXXXX XXX XXXXXXXXX XXX XXXXXXX XXXXXX XXX; XXXX XXXX XXXXXX XX XXXXXXX XXX XX XXXXXXXXX XXXXXX, X.X. XX XXXXXXXXXX XXXX XXXXXXX, XXXX XXX XXXXXXXXX XXX XXXX XXXXXXXX XXX XXXXXXX XX XXX XXXXXXXXXXXX;
+
XXXX XXX XXXXX XXX XXXXXXX;
+
+
+
XXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXXXXXXX XX XXXX XXXX XXXXXXX XXXXXXXXXX XX XXXXXXX, XXXXXXXX XX XXXXX XXX, XXXXXXXXX XXX XXXXXXXXXX XXXX XXXXXXX XXXXXXX;
XXXXXXXXXXXX XXXXXXXXXX XX XXXXXXXXX XXXXXXX XXXXXXXXXXX, XXXX XX XXXXXXXXXXX XX XXXXXXX XXXXX XX XXXXXXXXX XXXXXXXX XXXXXX XXXXXXXXXXX XXXXX XXX XXXXXXX;
+
XXXXXXXXXXXX XXXXXXXXXX XX XXXXXX XXXXXXXXXXX XXXXXXXX XX XXXXXXX, XXX XXXXXX XXXX XXXXXXX XXXXXXXXX XXX XXXXXXXX XXX XXXXXXXXXXX; XXXXXXXX XXXXXX XXXXXX XXXX XXXXXXXXX XXXXXXX, X.X. XXXXXXXXX XXXXXXXX, XXXXXXXX XXXXXXXX XXXXX XX XXXXXXXXX XXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXX XXXXXXX, XXX XXXX XX XXXXXXXXXXXXX XXXXXXX XXXXXX XXX XXXX XXXXXXX; XXX XXXXX XXXXXX XX XXXX XXXXX XX XXX XXXXXXX XX XXXXXX XXX XXXX XX XX XX XXXXXXX XX XXXX;
XXX XX XXXXXXX XXXXXXXXX XXX XXXXXX XXXXXXXX XXXXX XX X XXXXXXX XXXXXXX XX XXX XXXXXXX XXXXXXXX XXX XXXXXXXX XXXXX XX XX XXXXXXXXXXX XX XXXXXXXXX XXXXXXXXXX XXXX XXXXXXX XXXXXXXXXXXX XX XXXXXXX.
+
+
+
+
+ Backup
+ 12.3
+
+
XX XXXXXXX XXXXXXX XXXX XX XXXX.
+
+
+ Information backup
+ 12.3.1
+
+
XXXXXX XXXXXX XX XXXXXXXXXXX, XXXXXXXX XXX XXXXXX XXXXXX XXXXXX XX XXXXX XXX XXXXXX XXXXXXXXX XX XXXXXXXXXX XXXX XX XXXXXX XXXXXX XXXXXX.
+
+
+
X XXXXXX XXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXXX XXX XXXXXX XX XXXXXXXXXXX, XXXXXXXX XXX XXXXXXX.
XXXXXXXX XXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXX XX XXXXXX XXXX XXX XXXXXXXXX XXXXXXXXXXX XXX XXXXXXXX XXX XX XXXXXXXXX XXXXXXXXX X XXXXXXXX XX XXXXX XXXXXXX.
+
XXXX XXXXXXXXX X XXXXXX XXXX, XXX XXXXXXXXX XXXXX XXXXXX XX XXXXX XXXX XXXXXXXXXXXXX:
+
+
XXXXXXXX XXX XXXXXXXX XXXXXXX XX XXX XXXXXX XXXXXX XXX XXXXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXX;
+
XXX XXXXXX (X.X. XXXX XX XXXXXXXXXXXX XXXXXX) XXX XXXXXXXXX XX XXXXXXX XXXXXX XXXXXXX XXX XXXXXXXX XXXXXXXXXXXX XX XXX XXXXXXXXXXXX, XXX XXXXXXXX XXXXXXXXXXXX XX XXX XXXXXXXXXXX XXXXXXXX XXX XXX XXXXXXXXXXX XX XXX XXXXXXXXXXX XX XXX XXXXXXXXX XXXXXXXXX XX XXX XXXXXXXXXXXX;
+
XXX XXXXXXX XXXXXX XX XXXXXX XX X XXXXXX XXXXXXXX, XX X XXXXXXXXXX XXXXXXXX XX XXXXXX XXX XXXXXX XXXX X XXXXXXXX XX XXX XXXX XXXX;
+
XXXXXX XXXXXXXXXXX XXXXXX XX XXXXX XX XXXXXXXXXXX XXXXX XX XXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX (XXX Clause 11) XXXXXXXXXX XXXX XXX XXXXXXXXX XXXXXXX XX XXX XXXX XXXX;
+
XXXXXX XXXXX XXXXXX XX XXXXXXXXX XXXXXX XX XXXXXX XXXX XXXX XXX XX XXXXXX XXXX XXX XXXXXXXXX XXX XXXX XXXXXXXXX; XXXX XXXXXX XX XXXXXXXX XXXX X XXXX XX XXX XXXXXXXXXXX XXXXXXXXXX XXX XXXXXXX XXXXXXX XXX XXXXXXXXXXX XXXX XXXXXXXX. XXXXXXX XXX XXXXXXX XX XXXXXXX XXXXXX-XX XXXX XXXXXX XX XXXXXXXXX XXXX XXXXXXXXX XXXX XXXXX, XXX XX XXXXXXXXXXX XXX XXXXXXXX XXXXX XX XXXX XXX XXXXXX XX XXXXXXXXXXX XXXXXXX XXXXX XXX XXXXXX XXXXXXXXXXX XXXX XXXXXX XX XXXX;
+
XX XXXXXXXXXX XXXXX XXXXXXXXXXXXXXX XX XX XXXXXXXXXX, XXXXXXX XXXXXX XX XXXXXXXXX XX XXXXX XX XXXXXXXXXX.
+
+
XXXXXXXXXXX XXXXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXX XX XXXXXXX XXX XXXXXXX XXXXXXXX XX XXXXXXXXX XXXXXXX XX XXXXXX XXXXXXXXXXXX XX XXXXXXX XXXXXXXXX XX XXX XXXXXX XXXXXX.
+
XXXXXX XXXXXXXXXXXX XXX XXXXXXXXXX XXXXXXX XXX XXXXXXXX XXXXXX XX XXXXXXXXX XXXXXX XX XXXXXX XXXX XXXX XXXX XXX XXXXXXXXXXXX XX XXXXXXXX XXXXXXXXXX XXXXX. XX XXX XXXX XX XXXXXXXX XXXXXXX XXX XXXXXXXX, XXXXXX XXXXXXXXXXXX XXXXXX XXXXX XXX XXXXXXX XXXXXXXXXXX, XXXXXXXXXXXX XXX XXXX XXXXXXXXX XX XXXXXXX XXX XXXXXXXX XXXXXX XX XXX XXXXX XX X XXXXXXXX.
+
XXX XXXXXXXXX XXXXXX XXX XXXXXXXXX XXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX, XXXXXX XXXX XXXXXXX XXX XXXXXXXXXXX XXX XXXXXXX XXXXXX XX XX XXXXXXXXXXX XXXXXXXX.
XXXXXXXX XXXXXX XXX XX XXXXXXX XXXXXXX XXXXXXXXXXXX XXXXXXX XX XXX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXX XXX XXXXXXX XXXXXXXX XXXXXXXXX:
+
+
XXXXXXXXXXX XX XXX XXXXXXX XXXXX XXXX XXX XXXXXXXX;
+
XXX XXXXX XXXXX XXXXXX XX XXXXXXX;
+
XXXXXXX XXXXXXXX XX XXX XXX XXXX XXXXX XXXXX XXXXXXXX, XXXXXXXXX XX XXXXXX XXX XXXXXXX XX XXXXXX XXXXXX XX XXXX-XXXXXXX XX XXXX XXXXXXXX XXXXXX.
+
+
XXXX XXXXX XXXX XXX XX XXXXXXXX XX XX XXXXXXXX XX XXXX XX XXX XXXXXX XXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXXXXXXXX XX XXXXXXX XXX XXXXXX XXXXXXXX (XXX 16.1.7).
+
+
+
XXXXXX XXXX XXXXX XXXXXXX X XXXXX XXXXXX XX XXXXXXXXXXX, XXXX XX XXXXX XX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX. XX XXXX XXXXXXXX XXXXXXXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXX, XXX XXXXXXX XX XXXXXXXXXXX XXXXXXX XXXXX XXXXXXXXXXXXX XX X XXXXXX XXX, XX XXX XXX XX XXXXXXXX XXXXXX XXXXXXXXX XX XXXXX XXXXX XX XXXXXXX XXXX XXXXXXXXXXXXX XXX XXXXXXXXXXXXXXX XXXXXX XX XXXXXXXXXX.
+
XXXXXX XXXX XXXX XX XX XXXXXXXXX, XXXXXXX XX XXX XXXX XXX XX XXXXXXXX XX XXXX XX XXXX XXXXXXX, XXXXX XXXXXXXXX XXX XXXXXX X XXXXX XXXXX XX XXXXXXXX. XXXX-XXXX XXXXXXX XX XXXX XX X XXXXXX XXXXXXX XXX XXXXXXX XX X XXXXXX XXXXXXXXXXXXX XX XXXXXXXX XXX XX XXXX XX XXXXXXXXX XXXX.
XXXXXXXXXX XXXX XXXXXXX XXXXXXX XXX XX XXXX XX XXXXXXXXXX XXX XXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXX XXXXX XXXXXX XXXXXXX, XXXXXXXXX XX XX XXXXXXXXX XX XXXXXXX XXX XXXXXX XXX XXXX XX XXXXXXXX XXXXXXXXXXXXXX XXX XXX XXXXXXXXXX XXXXX.
+
+
+
XX XXXXXXXXX XXXXXXXXX XXXXXX XXXXXXX XXXXXXX XX XXX XXXXXXX XX XXXXXX XXX XXXXXXX XXXXXXXXXXXXXX XXX XX XXXX XX XXXXXXX XXXXXX XXX XXXXXXX XXXXXXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX.
+
+
+
+ Clock synchronisation
+ 12.4.4
+
+
XXX XXXXXX XX XXX XXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXXXXX XX XXXXXXXX XXXXXX XXXXXX XX XXXXXXXXXXXX XX X XXXXXX XXXXXXXXX XXXX XXXXXX.
+
+
+
XXXXXXXX XXX XXXXXXXX XXXXXXXXXXXX XXX XXXX XXXXXXXXXXXXXX, XXXXXXXXXXXXXXX XXX XXXXXXXX XXXXXX XX XXXXXXXXXX. XXXX XXXXXXXXXXXX XXX XX XXXXX, XXXXXXXXXX, XXXXXXXXXXX XXXXXXXXXXXX, XXXXXXXXX XXXXXXXXXX XX XXXXXXXXXXXX XXX XXXXXXXX XXXXXXXXXX. X XXXXXXXX XXXXXXXXX XXXX XXX XXX XXXXXX XXX XXXXXXXXXXXX XXXXXX XX XXXXXXX.
+
XXX XXXXXXXXXXXX’X XXXXXXXX XX XXXXXXXXX X XXXXXXXXX XXXX XXXX XXXXXXXX XXXXXX(X) XXX XXX XX XXXXXXXXXXX XXXXXXXX XXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXXXXX.
+
+
+
XXX XXXXXXX XXXXXXX XX XXXXXXXX XXXXXX XX XXXXXXXXX XX XXXXXX XXX XXXXXXXX XX XXXXX XXXX, XXXXX XXX XX XXXXXXXX XXX XXXXXXXXXXXXXX XX XX XXXXXXXX XX XXXXX XX XXXXXXXXXXXX XXXXX. XXXXXXXXXX XXXXX XXXX XXX XXXXXX XXXX XXXXXXXXXXXXXX XXX XXXXXX XXX XXXXXXXXXXX XX XXXX XXXXXXXX. X XXXXX XXXXXX XX X XXXXX XXXX XXXXXXXXX XXXX X XXXXXXXX XXXXXX XXXXX XXX XX XXXX XX XXX XXXXXX XXXXX XXX XXXXXXX XXXXXXX. X XXXXXXX XXXX XXXXXXXX XXX XX XXXX XX XXXX XXX XX XXX XXXXXXX XX XXXXXXXXXXXXXXX XXXX XXX XXXXXX XXXXX.
+
+
+
+
+ Control of operational software
+ 12.5
+
+
XX XXXXXX XXX XXXXXXXXX XX XXXXXXXXXXX XXXXXXX.
+
+
+ Installation of software on operational systems
+ 12.5.1
+
+
XXXXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXXX XXX XXXXXXXXXXXX XX XXXXXXXX XX XXXXXXXXXXX XXXXXXX.
+
+
+
XXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXX XXXXXXX XX XXXXXXXX XX XXXXXXXXXXX XXXXXXX:
+
+
XXX XXXXXXXX XX XXX XXXXXXXXXXX XXXXXXXX, XXXXXXXXXXXX XXX XXXXXXX XXXXXXXXX XXXXXX XXXX XX XXXXXXXXX XX XXXXXXX XXXXXXXXXXXXXX XXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXXXXX (XXX 9.4.5);
XXXXXXXXXXXX XXX XXXXXXXXX XXXXXX XXXXXXXX XXXXXX XXXX XX XXXXXXXXXXX XXXXX XXXXXXXXX XXX XXXXXXXXXX XXXXXXX; XXX XXXXX XXXXXX XXXXX XXXXXXXXX, XXXXXXXX, XXXXXXX XX XXXXX XXXXXXX XXX XXXX-XXXXXXXXXXXX XXX XXXXXX XX XXXXXXX XXX XX XXXXXXXX XXXXXXX (XXX 12.1.4); XX XXXXXX XX XXXXXXX XXXX XXX XXXXXXXXXXXXX XXXXXXX XXXXXX XXXXXXXXX XXXX XXXX XXXXXXX;
+
X XXXXXXXXXXXXX XXXXXXX XXXXXX XXXXXX XX XXXX XX XXXX XXXXXXX XX XXX XXXXXXXXXXX XXXXXXXX XX XXXX XX XXX XXXXXX XXXXXXXXXXXXX;
+
X XXXXXXXX XXXXXXXX XXXXXX XX XX XXXXX XXXXXX XXXXXXX XXX XXXXXXXXXXX;
+
XX XXXXX XXX XXXXXX XX XXXXXXXXXX XX XXX XXXXXXX XX XXXXXXXXXXX XXXXXXX XXXXXXXXX;
+
XXXXXXXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXX XX X XXXXXXXXXXX XXXXXXX;
+
XXX XXXXXXXX XX XXXXXXXX XXXXXX XX XXXXXXXX, XXXXXXXX XXXX XXX XXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXX, XXXXXXXXXX, XXXXXXXXXXXXX XXXXXXX XXX XXXXXXXXXX XXXXXXXX XXX XX XXXX XX XXX XXXX XXX XXXXXXXX XX XXXXXXX.
+
+
XXXXXX XXXXXXXX XXXXXXXX XXXX XX XXXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXXX XX X XXXXX XXXXXXXXX XX XXX XXXXXXXX. XXXX XXXX, XXXXXXXX XXXXXXX XXXX XXXXX XX XXXXXXX XXXXX XXXXXXXX XX XXXXXXXX. XXX XXXXXXXXXXXX XXXXXX XXXXXXXX XXX XXXXX XX XXXXXXX XX XXXXXXXXXXX XXXXXXXX.
+
XXX XXXXXXXX XX XXXXXXX XX X XXX XXXXXXX XXXXXX XXXX XXXX XXXXXXX XXX XXXXXXXX XXXXXXXXXXXX XXX XXX XXXXXX XXX XXX XXXXXXXX XX XXX XXXXXXX, X.X. XXX XXXXXXXXXXXX XX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXXX XX XXX XXXXXX XXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXXX XXXX XXXXXXX. XXXXXXXX XXXXXXX XXXXXX XX XXXXXXX XXXX XXXX XXX XXXX XX XXXXXX XX XXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX (XXX 12.6).
+
XXXXXXXX XX XXXXXXX XXXXXX XXXXXX XXXX XX XXXXX XX XXXXXXXXX XXX XXXXXXX XXXXXXXX XXXX XXXXXXXXX XXX XXXX XXXXXXXXXX XXXXXXXX. XXX XXXXXXXX’X XXXXXXXXXX XXXXXX XX XXXXXXXXX (XXX 15.2.1).
+
XXXXXXXX XXXXXXXX XXX XXXX XX XXXXXXXXXX XXXXXXXX XXXXXXXX XXX XXXXXXX, XXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXXXX XX XXXXX XXXXXXXXXXXX XXXXXXX, XXXXX XXXXX XXXXXXXXX XXXXXXXX XXXXXXXXXX.
XXXXXXXXXXX XXXXX XXXXXXXXX XXXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXX XXXXX XXXX XXXXXX XX XXXXXXXX XX X XXXXXX XXXXXXX, XXX XXXXXXXXXXXX’X XXXXXXXX XX XXXX XXXXXXXXXXXXXXX XXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXX XX XXXXXXX XXX XXXXXXXXXX XXXX.
+
+
+
X XXXXXXX XXX XXXXXXXX XXXXXXXXX XX XXXXXX (XXX Clause 8) XX X XXXXXXXXXXXX XXX XXXXXXXXX XXXXXXXXX XXXXXXXXXXXXX XXXXXXXXXX. XXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXX XXXXXXXXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXXXX XXX XXXXXXXX XXXXXX, XXXXXXX XXXXXXX, XXXXXXX XXXXX XX XXXXXXXXXX (X.X. XXXX XXXXXXXX XX XXXXXXXXX XX XXXX XXXXXXX) XXX XXX XXXXXX(X) XXXXXX XXX XXXXXXXXXXXX XXXXXXXXXXX XXX XXX XXXXXXXX.
+
XXXXXXXXXXX XXX XXXXXX XXXXXX XXXXXX XX XXXXX XX XXXXXXXX XX XXX XXXXXXXXXXXXXX XX XXXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXX. XXX XXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXX XX XXXXXXXXX XX XXXXXXXXX XXXXXXXXXX XXXXXXX XXX XXXXXXXXX XXXXXXXXXXXXXXX:
XXXXXXXXXXX XXXXXXXXX XXXX XXXX XX XXXX XX XXXXXXXX XXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXX XXX XX XXXXXXXX XXXXXXXXX XXXXX XXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXX XXX XXXXX XXXXXXXXXX (XXXXX XX XXX XXXXX XXXXXXXXX XXXX, XXX 8.1.1); XXXXX XXXXXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXX XXXXX XX XXXXXXX XX XXX XXXXXXXXX XX XXXX XXXXX XXX XX XXXXXX XXXXXXXXX XXX XXXXX;
+
X XXXXXXXX XXXXXX XX XXXXXXX XX XXXXX XX XXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXXXXXXXXXXX;
+
XXXX X XXXXXXXXX XXXXXXXXX XXXXXXXXXXXXX XXX XXXX XXXXXXXXXX, XXX XXXXXXXXXXXX XXXXXX XXXXXXXX XXX XXXXXXXXXX XXXXX XXX XXX XXXXXXX XX XX XXXXX; XXXX XXXXXX XXXXX XXXXXXX XXXXXXXX XX XXXXXXXXXX XXXXXXX XX XXXXXXXX XXXXX XXXXXXXX;
+
XXXXXXXXX XX XXX XXXXXXXX X XXXXXXXXX XXXXXXXXXXXXX XXXXX XX XX XXXXXXXXX, XXX XXXXXX XXXXX XXXXXX XX XXXXXXX XXX XXXXXXXXX XX XXX XXXXXXXX XXXXXXX XX XXXXXX XXXXXXXXXX (XXX 12.1.2) XX XX XXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXXXX (XXX 16.1.5);
+
XX X XXXXX XX XXXXXXXXX XXXX X XXXXXXXXXX XXXXXX, XXX XXXXX XXXXXXXXXX XXXX XXXXXXXXXX XXX XXXXX XXXXXX XX XXXXXXXX (XXX XXXXX XXXXX XX XXX XXXXXXXXXXXXX XXXXXX XX XXXXXXXX XXXX XXX XXXX XX XXXXXXXXXX XXX XXXXX);
+
XXXXXXX XXXXXX XX XXXXXX XXX XXXXXXXXX XXXXXX XXXX XXX XXXXXXXXX XX XXXXXX XXXX XXX XXXXXXXXX XXX XX XXX XXXXXX XX XXXX XXXXXXX XXXX XXXXXX XX XXXXXXXXX; XX XX XXXXX XX XXXXXXXXX, XXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX, XXXX XX:
+
XXXXXXX XXX XXXXXXXX XX XXXXXXXXXXXX XXXXXXX XX XXX XXXXXXXXXXXXX;
+
XXXXXXXX XX XXXXXX XXXXXX XXXXXXXX, X.X. XXXXXXXXX, XX XXXXXXX XXXXXXX (XXX 13.1);
+
XXXXXXXXX XXXXXXXXXX XX XXXXXX XXXXXX XXXXXXX;
+
XXXXXXX XXXXXXXXX XX XXX XXXXXXXXXXXXX;
+
+
+
XX XXXXX XXX XXXXXX XX XXXX XXX XXX XXXXXXXXXX XXXXXXXXXX;
+
XXX XXXXXXXXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXX XXXXXXXXX XXX XXXXXXXXX XX XXXXX XX XXXXXX XXX XXXXXXXXXXXXX XXX XXXXXXXXXX;
+
XXXXXXX XX XXXX XXXX XXXXXX XX XXXXXXXXX XXXXX;
+
XX XXXXXXXXX XXXXXXXXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXX XXXX XXXXXXXX XXXXXXXXXX XXXXXXXXXX, XX XXXXXXXXXXX XXXX XX XXXXXXXXXXXXXXX XX XXX XXXXXXXX XXXXXXXX XXXXXXXX XXX XXXXXXX XXXXXXXXX XXXXXXXXXX XX XX XXXXXXX XXX XXXXXX XX XXXXXXXX XXXXX;
+
XXXXXX X XXXXXXXXX XX XXXXXXX XXX XXXXXXXXX XXXXX X XXXXXXXXXXXXX XXX XXXX XXXXXXXXXX XXX XXXXX XX XX XXXXXXXX XXXXXXXXXXXXXX. XX XXXX XXXXXXXXX, XXX XXXXXXXXXXXX XXXXXX XXXXXXXX XXXXX XXXXXXXX XX XXX XXXXX XXXXXXXXXXXXX XXX XXXXXX XXXXXXXXXXX XXXXXXXXX XXX XXXXXXXXXX XXXXXXX.
+
+
+
+
XXXXXXXXX XXXXXXXXXXXXX XXXXXXXXXX XXX XX XXXXXX XX X XXX-XXXXXXXX XX XXXXXX XXXXXXXXXX XXX XX XXXX XXX XXXX XXXXXXXXX XX XXX XXXXXX XXXXXXXXXX XXXXXXXXX XXX XXXXXXXXXX (XXX 12.1.2 XXX 14.2.2).
+
XXXXXXX XXX XXXXX XXXXX XXXXXXXXXXX XXXXXXXX XX XXXXXXX XXXXXXX XX XXXX XX XXXXXXXX. XXXXXXXXX, XXXXX XX X XXXXXXXXXXX XXXX X XXXXX XXXX XXX XXXXXXX XXX XXXXXXX XXXXXXXXXX XXX XXX XXXXXXXX XXXX XXXXXXX. XXXX, XX XXXX XXXXX, XXXXXXXXXXXX X XXXXX XXXXXX XX XXXXXX XXXXXXXX XXXX XXX XXXXX XXX XXXX XXXXXXX.
+
XX XXXXXXXX XXXXXXX XX XXX XXXXXXX XX XXX XXXXXXXX, X.X. XXXXXXX XX XXXXX XX XXXX XX XXXXXXXXX, X XXXXX XX XXXXXXXX XXX XX XXXXXXXXXX XX XXXXXXXX XXX XXXXXXXXXX XXXXX, XXXXX XX XXX XXXXXXXXXX XXXXXXXX XX XXXXX XXXXX. XXX XXX XX XXX/XXX XXXXX[14] XXX XX XXXXXXXXXX.
XXXXX XXXXXXXXX XXX XXXXXXXXXXXX XX XXXXXXXX XX XXXXX XXXXXX XX XXXXXXXXXXX XXX XXXXXXXXXXX.
+
+
+
XXX XXXXXXXXXXXX XXXXXX XXXXXX XXX XXXXXXX XXXXXX XXXXXX XX XXXXX XXXXX XX XXXXXXXX XXXXX XXX XXXXXXX.
+
XXX XXXXXXXXX XX XXXXX XXXXXXXXX XXXXXX XX XXXXXXX. XX XXXXXXX XXXXXXX XXXXXXXXXX, XXXXX XXX XXXX XXX XXXXXXX XX XXXXXXX XXXXXXXX. XXX XXXXXXXXXXXX XXXXXX XXXXXXXX XXXX XXXXX XX XXXXXXXX XXXXXXXXXXXXX XXX XXXXXXXXX (X.X. XXXXXXX XXX XXXXXXXX XXXXXXX XX XXXXXXXX XXXXXXXX) XXX XXXX XXXXX XX XXXXXXXXXXXXX XXX XXXXXXXXXX (X.X. XXXXXXXX XXXX XX XXXX XXX XXXXXXXX XXX XXX XXXXXXXX XXXXX XXXXXXXX XXXX XXXXXX XX XXXXX XXXXXXXXXXX XXXXXXXXX XX XXXXXXX XX XXXXXXX). XXXXX XXXXXXXXXX XXXXXX XX XXXXXXX XXXXXX XXXXXX XX XXX XXXXX XX XXX XXXXX XXXXXXXXX.
+
+
+
XXXXXXXXXXXX XXXXXXXXXXXX XX XXXXXXXX XX XXXXXXXXX XXXXXXX XXX XXXX XX XXXXXXXXXXX XXXXXXXXXXXXXXX XXX XXXX XX XXXXXXXXXXX XXXXXXX, XXXX XX XXXXXXXXX XX XXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX, XX XX XXXXXXXXX XX XXXXXXXXXXXX XXXXXXXX XXXXXX.
+
+
+
+
+ Information systems audit considerations
+ 12.7
+
+
XX XXXXXXXX XXX XXXXXX XX XXXXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXX.
+
+
+ Information systems audit controls
+ 12.7.1
+
+
XXXXX XXXXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXX XXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXX XXXXXXX XXX XXXXXX XX XXXXXXXX XXXXXXXXXXX XX XXXXXXXX XXXXXXXXX.
+
+
+
XXX XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXX:
+
+
XXXXX XXXXXXXXXXXX XXX XXXXXX XX XXXXXXX XXX XXXX XXXXXX XX XXXXXX XXXX XXXXXXXXXXX XXXXXXXXXX;
+
XXX XXXXX XX XXXXXXXXX XXXXX XXXXX XXXXXX XX XXXXXX XXX XXXXXXXXXX;
+
XXXXX XXXXX XXXXXX XX XXXXXXX XX XXXX-XXXX XXXXXX XX XXXXXXXX XXX XXXX;
+
XXXXXX XXXXX XXXX XXXX-XXXX XXXXXX XXXX XX XXXXXXX XXX XXXXXXXX XXXXXX XX XXXXXX XXXXX, XXXXX XXXXXX XX XXXXXX XXXX XXX XXXXX XX XXXXXXXXX, XX XXXXX XXXXXXXXXXX XXXXXXXXXX XX XXXXX XX XX XXXXXXXXXX XX XXXX XXXX XXXXX XXXXX XXXXX XXXXXXXXXXXXX XXXXXXXXXXXX;
+
XXXXXXXXXXXX XXX XXXXXXX XX XXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXX;
XX XXXXXX XXX XXXXXXXXXX XX XXXXXXXXXXX XX XXXXXXXX XXX XXX XXXXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX.
+
+
+ Network controls
+ 13.1.1
+
+
XXXXXXXX XXXXXX XX XXXXXXX XXX XXXXXXXXXX XX XXXXXXX XXXXXXXXXXX XX XXXXXXX XXX XXXXXXXXXXXX.
+
+
+
XXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXX XXX XXXXXXXX XX XXXXXXXXXXX XX XXXXXXXX XXX XXX XXXXXXXXXX XX XXXXXXXXX XXXXXXXX XXXX XXXXXXXXXXXX XXXXXX. XX XXXXXXXXXX, XXX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX:
+
+
XXXXXXXXXXXXXXXX XXX XXXXXXXXXX XXX XXX XXXXXXXXXX XX XXXXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXXXX;
XXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXXXXX XXX XXXXXXXXXXXXXXX XXX XXXXXXXXX XX XXXX XXXXXXX XXXX XXXXXX XXXXXXXX XX XXXX XXXXXXXX XXXXXXXX XXX XX XXXXXXX XXX XXXXXXXXX XXXXXXX XXX XXXXXXXXXXXX (XXX Clause 10 XXX 13.2); XXXXXXX XXXXXXXX XXX XXXX XX XXXXXXXX XX XXXXXXXX XXX XXXXXXXXXXXX XX XXX XXXXXXX XXXXXXXX XXX XXXXXXXXX XXXXXXXXX;
+
XXXXXXXXXXX XXXXXXX XXX XXXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXX XXXXXXXXX XXX XXXXXXXXX XX XXXXXXX XXXX XXX XXXXXX, XX XXX XXXXXXXX XX, XXXXXXXXXXX XXXXXXXX;
+
XXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXX XXXXXXXXXXX XXXX XX XXXXXXXX XXX XXXXXXX XX XXX XXXXXXXXXXXX XXX XX XXXXXX XXXX XXXXXXXX XXX XXXXXXXXXXXX XXXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXXXXXX;
+
XXXXXXX XX XXX XXXXXXX XXXXXX XX XXXXXXXXXXXXX;
+
XXXXXXX XXXXXXXXXX XX XXX XXXXXXX XXXXXX XX XXXXXXXXXX.
+
+
+
+
XXXXXXXXXX XXXXXXXXXXX XX XXXXXXX XXXXXXXX XXX XX XXXXX XX XXX/XXX XXXXX.[15][16][17][18][19]
+
+
+
+ Security of network services
+ 13.1.2
+
+
XXXXXXXX XXXXXXXXXX, XXXXXXX XXXXXX XXX XXXXXXXXXX XXXXXXXXXXXX XX XXX XXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXX XX XXXXXXX XXXXXXXX XXXXXXXXXX, XXXXXXX XXXXX XXXXXXXX XXX XXXXXXXX XX-XXXXX XX XXXXXXXXXX.
+
+
+
XXX XXXXXXX XX XXX XXXXXXX XXXXXXX XXXXXXXX XX XXXXXX XXXXXX XXXXXXXX XX X XXXXXX XXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXXX XXXXXXXXX, XXX XXX XXXXX XX XXXXX XXXXXX XX XXXXXX.
XXXXXXXXXX XXX XXX XXXXXXX XXXXXXX XXXXX XX XXXXXXXX XXXXXX XX XXXXXXX XXXXXXXX XX XXXXXXXXXXXX, XXXXX XXXXXXXXX.
+
+
+
+
+ Segregation in networks
+ 13.1.3
+
+
XXXXXX XX XXXXXXXXXXX XXXXXXXX, XXXXX XXX XXXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXXX XX XXXXXXXX.
+
+
+
XXX XXXXXX XX XXXXXXXX XXX XXXXXXXX XX XXXXX XXXXXXXX XX XX XXXXXX XXXX XXXX XXXXXXXX XXXXXXX XXXXXXX. XXX XXXXXXX XXX XX XXXXXX XXXXX XX XXXXX XXXXXX (X.X. XXXXXX XXXXXX XXXXXX, XXXXXXX XXXXXX, XXXXXX XXXXXX), XXXXX XXXXXXXXXXXXXX XXXXX (X.X. XXXXX XXXXXXXXX, XXXXXXX, XXXXXXXXX) XX XXXX XXXXXXXXXXX (X.X. XXXXXX XXXXXX XXXXXXXXXX XX XXXXXXXX XXXXXXXXXXXXXX XXXXX). XXX XXXXXXXXXXX XXX XX XXXX XXXXX XXXXXX XXXXXXXXXX XXXXXXXXX XXXXXXXX XX XX XXXXX XXXXXXXXX XXXXXXX XXXXXXXX (X.X.XXXXXXX XXXXXXX XXXXXXXXXX).
+
XXX XXXXXXXXX XX XXXX XXXXXX XXXXXX XX XXXX XXXXXXX. XXXXXX XXXXXXX XXXXXXX XXXXXXX XX XXXXXXX, XXX XXXXXX XX XXXXXXXXXX XX XXX XXXXXXXXX XXXXX X XXXXXXX (X.X. XXXXXXXX, XXXXXXXXX XXXXXX). XXX XXXXXXXX XXX XXXXXXXXXXX XX XXXXXXXX XXXX XXXXXXX, XXX XXX XXXXXX XXXXXXX XXXXXXX XXX XXXXXXXX, XXXXXX XX XXXXX XX XX XXXXXXXXXX XX XXX XXXXXXXX XXXXXXXXXXXX XX XXXX XXXXXX. XXX XXXXXXXXXX XXXXXX XX XX XXXXXXXXXX XXXX XXX XXXXXX XXXXXXX XXXXXX (XXX 9.1.1), XXXXXX XXXXXXXXXXXX, XXXXX XXX XXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XXX XXXX XXXX XXXXXXX XX XXX XXXXXXXX XXXX XXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXXXXX XXXXXXXX XXXXXXX XXXXXXXXXX.
+
XXXXXXXX XXXXXXXX XXXXXXX XXXXXXX XXXXXXXXX XXX XX XXX XXXXXX XXXXXXX XXXXXXX XXXXXXXXX. XXX XXXXXXXXX XXXXXXXXXXXX, XXXXXXXXXXXXX XXXXXX XX XXXX XX XXXXX XXX XXXXXXXX XXXXXX XX XXXXXXXX XXXXXXXXXXX XXX XX XXXXXXXXX XXXX XXXXXX XXXX XXXXXXXX XXXXXXXX XXXXX XXX XXXXXX XXX XXXXXX XXXXXXX X XXXXXXX XX XXXXXXXXXX XXXX XXXXXXX XXXXXXXX XXXXXX (XXX 13.1.1) XXXXXX XXXXXXXX XXXXXX XX XXXXXXXX XXXXXXX.
+
XXX XXXXXXXXXXXXXX, XXXXXXXXXX XXX XXXX XXXXX XXXXXXX XXXXXX XXXXXXX XXXXXXXXXXXX XX XXXXXX, XXXXXXXXX XXXXX XXXXXXXX XXXXXXXX XXX XX XXXXXXXXXX XXX XXXXXX XXXXXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXX XXXXXXX XXXX XXXXXXXX XXXXXXXXXXX.
+
+
+
XXXXXXXX XXXXX XXXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXXXXX, XX XXXXXXXX XXXXXXXXXXXX XXX XXXXXX XXXX XXXXXXX XXX XXXXXXXXXXXXXXX XX XXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXX. XXXX XXXXXXXXXX XXX XXXXXXXX XXX XXXX XX XXXXXXXXXXXX XXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XXXXXXX XXXX XXX XXX XXXXXXX, XXXX XX XXXXX XXXXXXX XXXXXXXXXX XXXX XXXXX XXXXXXX XXXXX XXXXXXX XX XXXXX XXXXXXXXXXX XX XXXXXXXXXXX.
+
+
+
+
+ Information transfer
+ 13.2
+
+
XX XXXXXXXX XXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXXXX XXX XXXX XXX XXXXXXXX XXXXXX.
+
+
+ Information transfer policies and procedures
+ 13.2.1
+
+
XXXXXX XXXXXXXX XXXXXXXX, XXXXXXXXXX XXX XXXXXXXX XXXXXX XX XX XXXXX XX XXXXXXX XXX XXXXXXXX XX XXXXXXXXXXX XXXXXXX XXX XXX XX XXX XXXXX XX XXXXXXXXXXXXX XXXXXXXXXX.
+
+
+
XXX XXXXXXXXXX XXX XXXXXXXX XX XX XXXXXXXX XXXX XXXXX XXXXXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XXXXXXXX XXX XXXXXXXXX XXXXX:
XXXXXXXX XXX XXXXXXXXXXXX XXXXXXXXXX XXXX XXXXX XXXXXXXXXXXXX XXXXXXXXXX, X.X. XXXXXXXXX XXXXXXXXXX XX XXXXXXXXXX XXXX XX XXXXXXXX XXXX XXXXXXXXX;
+
XXXXXXXX XXXXXXXXX XX XXXX XXXXXXXXXXX XXXXXXXXXXX XXX XX XXXXXX XXXXXXXXXXXX XXXXXXXXXXX;
+
XXX XXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XX XXXXXXXXX XXXXXXXX XXXXX XXXXX XXX XX XXXXXXXX XX XXXXXXXXXXXX XXXXXXX, XXXXXX XX XXXXXXXX XXXXXXX XX XXXXXX XXXXXXXXXXX XX X XXXXXX XX XXXXXXXXXXX;
+
XXXXXXXX XXXXXXXXX XXXXX XXX XXXXXXXX XX XXXXX XXXXXXXXX XXXXXXXX XX XXXXXXXX, XXXXXX:
+
XXXXXXXXXXXX XXXXXX XX XXXXX-XX XXXXXXX XXXXXX XX XXXXXXXX XXXXXXXX;
+
XXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXX XX XXXXXXXX XX XXXX XXXXXXXX XX XXXXXXXX XXXXXXX;
+
XXXXXXX XXXXXXXXX XXX XXXXXXXX XX XXX XXXXX XXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXX XXX XXXXX XXXXXX XXXXXX.
+
+
+
+
XX XXXXXXXX, XXXXXXXXX XXXXXX XX XXXXXXXX XXXX XXXX XXXXXX XXX XXXX XXXXXXXXXXXX XXXXXXXXXXXXX XX XXXXXX XXXXXX XX XXXX XXXXXXXX XXXXXXXXXXXXX XXXXXXXX, XXXX XXXXXXX XXX XXXXXXX XXXXXX.
XXXXXXXXXXXXXXXX XXX XXXXXXXXXXX XX XXX XXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX, XXXX XX XXXX XX XXXX;
+
XXX XX XX XXXXXX XXXXXXXXX XXXXXX XXX XXXXXXXXX XX XXXXXXXX XXXXXXXXXXX, XXXXXXXX XXXX XXX XXXXXXX XX XXX XXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXX XXXX XXX XXXXXXXXXXX XX XXXXXXXXXXXXX XXXXXXXXX (XXX 8.2);
XXXXXXXXXXXX XXX XXXXXXXXXXXXXXX XX XXX-XXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXXX’X XXXXX XXX XXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX, XXXXXXXXX XXXXXXXX XXX XXXXXXXXXX.
+
+
+
XXXXXXXXXXXXXXX XX XXX-XXXXXXXXXX XXXXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXXXX XX XXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXXXX XXXXXXX XXXXXXXXXXX XXXXX. XXXXXXXXXXXXXXX XX XXX-XXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX XX XXXXXXXX XXXXXXX XX XXXXXXXXX XX XXX XXXXXXXXXXXX. XXXXXXXX XXXXXX XX XXXXXXXX XX XXXXX XX XXXXXXXXXXXXX XX XXX XXXX XX XXX XXXXX XXXXX XXX XXX XXXXXXXXXXX XXXXXX XX XXXXXXXX XX XXXXXXXXXXXX XXXXXXXXXXX. XX XXXXXXXX XXXXXXXXXXXX XXX XXXXXXXXXXXXXXX XX XXX-XXXXXXXXXX XXXXXXXXXX, XXX XXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXX:
+
+
X XXXXXXXXXX XX XXX XXXXXXXXXXX XX XX XXXXXXXXX (X.X. XXXXXXXXXXXX XXXXXXXXXXX);
+
XXXXXXXX XXXXXXXX XX XX XXXXXXXXX, XXXXXXXXX XXXXX XXXXX XXXXXXXXXXXXXXX XXXXX XXXX XX XX XXXXXXXXXX XXXXXXXXXXXX;
+
XXXXXXXX XXXXXXX XXXX XX XXXXXXXXX XX XXXXXXXXXX;
+
XXXXXXXXXXXXXXXX XXX XXXXXXX XX XXXXXXXXXXX XX XXXXX XXXXXXXXXXXX XXXXXXXXXXX XXXXXXXXXX;
+
XXXXXXXXX XX XXXXXXXXXXX, XXXXX XXXXXXX XXX XXXXXXXXXXXX XXXXXXXX, XXX XXX XXXX XXXXXXX XX XXX XXXXXXXXXX XX XXXXXXXXXXXX XXXXXXXXXXX;
+
XXX XXXXXXXXX XXX XX XXXXXXXXXXXX XXXXXXXXXXX XXX XXXXXX XX XXX XXXXXXXXX XX XXX XXXXXXXXXXX;
XXXX XX XXX XXXXX XXXXXXXXXXXXXX XXX XX XXXXXXXXX XX XXX XXXXXXXXXXX XX XXXXXXXXXXXXX XXXXXXXX (XXX Clause 10), XXXXXX XXXX XXXXXXX XXXXXXXXXX XXXX XXXXX XXXXXXXXXXXX (XXX Clause 18, XXXXXXXXXX XXX 18.1.5 XXX XXXXXXXXXXXX XXXXXXXXXXX).
+
XXXXXXXXXXX XXXXXXX XXXXXXXXXXXX XXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXX XX X XXXXXXXXXX XXXXXXXXX XXXXX XXXXXXX XXXX XXXXXXX XX XXX XXXXXX XXXXX XX XXXXXXXX, XXXXXXXXX XXXXXXX XX XXXXXXXXXXXXX (XXX X) XXXXX).
+
XXXXXXXXXX XXXXXXXXXXXX XXXXXXX XXXXXXX XXXXXX XX XXXXXXXXXX, XXXXX XXX XXXXXXX XXXXXXXXXXXX XXX XXXXXXXXXX XXX XXXXXXXX XXXXXXXXXXX XXXXXXX XX XXXXXXXX XXX XXXXXXXXXXXX XX XXXXXXX XXXXXXXXXXXXXXXX XXXXXXXX XX XXXXXXX XXX XXXXXXX.
+
+
+
XXXXXXXXXXXX XXXXXXXXXX XXX XXXXXX XXXXXXXX XXX XXXXXXX XX X XXXXX XX XXXXXXX XXXXXXX XXXXXXX, XXXX XX XXXXXXXXXX XXXXXXXXXX, XXXXXXXX XXXXXXXX XX XXXXXXXXXX XX XXXXXXXXXXX XX XXX XXXXXX. XXXXXXXXX, XXXXXXXX XXXX XXXXXXXXXXX XXX XXXXXX XXXXXXXXX XX XXXXXXXX XXX XXXXXXXXXXXXX. XXXXXXXX XXXXXXXX XXXXX XXXXXXX XXXXXXXXXXXXX XXXXXXX XXX XXXXXXXXXXXXXX XXX XXXXXXXX XXXX XXXXXXXX.
XXXXXXX XXXXXXXXXX XXXX XXX XXXXXXX XXXXXXXX XX XXXXXXXX;
+
+
+
XXXXXXXXXXXXXX XXXX XXXXXXX XXX XXXXXXXX XXXXXXX XX XXXXXXXXX;
+
XXXXXXXXX XXXX XX XXXXXXXXXXX XXXXXXX XXX XXXXXXXX XXXXXXX XXX XXXXXXX;
+
XXXXXXXX XXXX XXX XXXXXXX XX XXX XXXXXXXXXXX XXXXXXX XX XXXXXXX XXXXXXX XX XXX XXXXXXXX XXXXXXXXXX XXXXXXXXXXX, X.X. XX X XXXXXXX XXXXXXXX XXXXXXXX XX XXX XXXXXXXXXXXXXX XXXXXXXX, XXX XXX XXXXXXXX XXX XXXXXXX XX X XXXXXXX XXXXXX XXXXXXXX XXXXXXXXXX XXXX XXX XXXXXXXX;
+
XXXXX X XXXXXXX XXXXXXXXX XX XXXX (X.X. XXX XXX XXXXXXXX XX XXXXXXX XXX XXXXXXXXXXX XXXXXXX XXXXXXXXXX XX XXXXXXX XXXXXXXXXXXX) XXXXXXXX XX XXXXXXXXXX XXX XXXXXXXX XXXXXXXXXX XXX XXXXXX XXX-XX-XXX XXXXXXXXXXX/XXXXXXXXX XXXXXXXXXX XXXXXXX.
+
+
+
+
XXX XXXXXX XX XXX XXXXXXXX XXXXXXX XXXXX XX XX XXXXXXXXXXXX XXXX XXX XXXXX XX XXX XXXX XXXXXXXXXX XXXX XXXX XXXX XX XXXXXXXXXXX XXXXXXX XXXXXXXXXXX.
+
XXXXXXXXXXXX XXX XXXX XX XXXXXX XXXX XXXXX XXX XXXXXXXXXX XXXXXXXXXXXX XX XXX XXXXXXXXXXXX XXXXX XXX XXXXXXXXXXX XX XXXXXXXXX XXXX, XXXXXXXXX XXX, XXXXXXXXX XX XX XXXXXX XX.
+
+
+
+
+ Security in development and support processes
+ 14.2
+
+
XX XXXXXX XXXX XXXXXXXXXXX XXXXXXXX XX XXXXXXXX XXX XXXXXXXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXXXX XX XXXXXXXXXXX XXXXXXX.
+
+
+ Secure development policy
+ 14.2.1
+
+
XXXXX XXX XXX XXXXXXXXXXX XX XXXXXXXX XXX XXXXXXX XXXXXX XX XXXXXXXXXXX XXX XXXXXXX XX XXXXXXXXXXXX XXXXXX XXX XXXXXXXXXXXX.
+
+
+
XXXXXX XXXXXXXXXXX XX X XXXXXXXXXXX XX XXXXX XX X XXXXXX XXXXXXX, XXXXXXXXXXXX, XXXXXXXX XXX XXXXXX. XXXXXX X XXXXXX XXXXXXXXXXX XXXXXX, XXX XXXXXXXXX XXXXXXX XXXXXX XX XXX XXXXX XXXXXXXXXXXXX:
+
+
XXXXXXXX XX XXX XXXXXXXXXXX XXXXXXXXXXX;
+
XXXXXXXX XX XXX XXXXXXXX XX XXX XXXXXXXX XXXXXXXXXXX XXXXXXXXX:
+
XXXX XXXXXXXX XXXXXXXX XXX XXXXXXX XX XXX XXXXXXXX XX XX XXXXXXXXXXX XXXXXXXXXX XXXX XXXX XXX XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXXXX (XXX 12.1.4). XXXX XXXXXXXX X XXXXX XX XXXXXX XXXXXXX XXXX XXX XXXXXXXX XXX XXXXXXXX XXXXXXXXXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXXX XXXX XX XXXX XXX XXXXXXX XXXXXXXX. XXXX XXXXXX XXXXXXX XXXXXXX, XXXXXXX XXXXX XXX XXXXX XXXXXXX.
+
XXXXX XXXXXXXXX XXXXXXX XXX XXXXXXXXXX, XXX XXXX XX XXX XXXXXXXXX XXX XXXXXXXXXXXX XX XXX XXXXXX XXXXXX XX XXXXXXX XXXXXXX XXX XXXXXXX XX XXXXXX XXXXXXXXXX XX XXXXXXX. XXXXXXXXX XXXXXXX XXXXXX XXX XX XXXX XX XXXXXXXX XXXXXXX XX XXXX XXXXXXX XXX XXXXX XXXXXXXX XXXXXXXXXXXX XX XXXX.
+
+
+
+ Technical review of applications after operating platform changes
+ 14.2.3
+
+
XXXX XXXXXXXXX XXXXXXXXX XXX XXXXXXX, XXXXXXXX XXXXXXXX XXXXXXXXXXXX XXXXXX XX XXXXXXXX XXX XXXXXX XX XXXXXX XXXXX XX XX XXXXXXX XXXXXX XX XXXXXXXXXXXXXX XXXXXXXXXX XX XXXXXXXX.
+
+
+
XXXX XXXXXXX XXXXXX XXXXX:
+
+
XXXXXX XX XXXXXXXXXXX XXXXXXX XXX XXXXXXXXX XXXXXXXXXX XX XXXXXX XXXX XXXX XXXX XXX XXXX XXXXXXXXXXX XX XXX XXXXXXXXX XXXXXXXX XXXXXXX;
+
XXXXXXXX XXXX XXXXXXXXXXXX XX XXXXXXXXX XXXXXXXX XXXXXXX XX XXXXXXXX XX XXXX XX XXXXX XXXXXXXXXXX XXXXX XXX XXXXXXX XX XXXX XXXXX XXXXXX XXXXXXXXXXXXXX;
XXXXXXXXX XXXXXXXXX XXXXXXX XXXXXXXXX XXXXXXX, XXXXXXXXX XXX XXXXXXXXXX XXXXXXXXX. XXX XXXXXXX XXXXXX XXXX XX XXXXXXX XXX XXXXXXX XX XXXXXXXXXXXX.
+
+
+
+ Restrictions on changes to software packages
+ 14.2.4
+
+
XXXXXXXXXXXXX XX XXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXXXXX, XXXXXXX XX XXXXXXXXX XXXXXXX XXX XXX XXXXXXX XXXXXX XX XXXXXXXX XXXXXXXXXX.
+
+
+
XX XXX XX XXXXXXXX XXX XXXXXXXXXXX, XXXXXX-XXXXXXXX XXXXXXXX XXXXXXXX XXXXXX XX XXXX XXXXXXX XXXXXXXXXXXX. XXXXX X XXXXXXXX XXXXXXX XXXXX XX XX XXXXXXXX XXX XXXXXXXXX XXXXXX XXXXXX XX XXXXXXXXXX:
+
+
XXX XXXX XX XXXXX-XX XXXXXXXX XXX XXXXXXXXX XXXXXXXXX XXXXX XXXXXXXXXXX;
+
XXXXXXX XXX XXXXXXX XX XXX XXXXXX XXXXXX XX XXXXXXXX;
+
XXX XXXXXXXXXXX XX XXXXXXXXX XXX XXXXXXXX XXXXXXX XXXX XXX XXXXXX XX XXXXXXXX XXXXXXX XXXXXXX;
+
XXX XXXXXX XX XXX XXXXXXXXXXXX XXXXXXX XXXXXXXXXXX XXX XXX XXXXXX XXXXXXXXXXX XX XXX XXXXXXXX XX X XXXXXX XX XXXXXXX;
+
XXXXXXXXXXXXX XXXX XXXXX XXXXXXXX XX XXX.
+
+
XX XXXXXXX XXX XXXXXXXXX XXX XXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXX XXX XXX XXXXXXX XXXXXXX XX X XXXXXXXXXX XXXX. X XXXXXXXX XXXXXX XXXXXXXXXX XXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXX XXX XXXX XX-XX-XXXX XXXXXXXX XXXXXXX XXX XXXXXXXXXXX XXXXXXX XXX XXXXXXXXX XXX XXX XXXXXXXXXX XXXXXXXX (XXX 12.6.1). XXX XXXXXXX XXXXXX XX XXXXX XXXXXX XXX XXXXXXXXXX, XX XXXX XXXX XXX XX XXXXXXXXX, XX XXXXXXXXX, XX XXXXXX XXXXXXXX XXXXXXXX. XX XXXXXXXX, XXX XXXXXXXXXXXXX XXXXXX XX XXXXXX XXX XXXXXXXXX XX XX XXXXXXXXXXX XXXXXXXXXX XXXX.
XXXXXXXXXX XXX, XX XXXXXXXXX, XXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXXXX XX XXXXXX XXX XXXXXXXXXXXX XX XXX XXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXX XX XXXXXX XXXXX;
XXX XXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX XXXXXX XX XXXXXXXXXXX XXX XXXXXX XXXX XXXX XXXXXXXX XXXX XXX XXXXXX, XXXXXXX, XXXXX, XXXXXXXXXXX, XX XXXXXXX XX XXXXXXXXXXXXXX XXXXXXXXXX XXX, XXX XXXXXXXXXXXX’X XXXXXXXXXXX.
+
+
+
XXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXXX XXX XXXXXXXXXX XX XXXXXX XXXX XXXXX XX XX XXXXXXXXXXXXXXXX XXXXXXX XXX XXXXXXXXXXXX XXX XXX XXXXXXXX XXXXXXXXX XXXX XXXXXXX’ XXXXXXXXXXX XX XXXXXX XXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX.
+
XXX XXXXXXXXX XXXXX XXXXXX XX XXXXXXXXXX XXX XXXXXXXXX XX XXX XXXXXXXXXX XX XXXXX XX XXXXXXX XXX XXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXXX:
+
+
XXXXXXXXXXX XX XXX XXXXXXXXXXX XX XX XXXXXXXX XX XXXXXXXX XXX XXXXXXX XX XXXXXXXXX XX XXXXXXXXX XXX XXXXXXXXXXX;
+
XXXXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXXXXXXXX XXXXXX (XXX 8.2); XX XXXXXXXXX XXXX XXXXXXX XXXXXXX XXX XXXXXXXXXXXX’X XXX XXXXXXXXXXXXXX XXXXXX XXX XXX XXXXXXXXXXXXXX XXXXXX XX XXX XXXXXXXX;
+
XXXXX XXX XXXXXXXXXX XXXXXXXXXXXX, XXXXXXXXX XXXX XXXXXXXXXX, XXXXXXXXXXXX XXXXXXXX XXXXXX XXX XXXXXXXXX, XXX X XXXXXXXXXXX XX XXX XX XXXX XX XXXXXXX XXXX XXXX XXX XXX;
+
XXXXXXXXXX XX XXXX XXXXXXXXXXX XXXXX XX XXXXXXXXX XX XXXXXX XXX XX XXXXXXXX XXXXXXXXX XXXXXX XXXXXXX, XXXXXXXXXXX XXXXXX, XXXXXXXXXX, XXXXXXXXX XXX XXXXXXXX;
+
XXXXX XX XXXXXXXXXX XXX XX XXXXXXXXXXX, XXXXXXXXX XXXXXXXXXXXX XXX XX XXXXXXXXX;
+
XXXXXX XXXXXXXX XXXX XX XXXXXXXX XXXXXXXXX XXXXXXXXXX XX XXXXXX XX XXXXXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XX XXXXXXXXXX XX XXXXXXXXXX XXX XXXXXXXXXXXXX, XXX XXXXXXX XX XXX XXXXXXXXXXXXX, XXX XXXXXX XX XX XXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XX XXXXXXXX XXXXXXXXX;
+
XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXX XX XXX XXXXXXXX XXXXXXXX;
XXXXXXXX’X XXXXXXXXXX XX XXXXXXXXXXXX XXXXXXX XX XXXXXXXXXXX XXXXXX XX XXX XXXXXXXXXXXXX XX XXXXXXXX XXX XXXXXXXXX XX XXXXXX XXXXXXXXXX XX XXXXXXXX XXXXXX XXXXXX XX XXX XXXXXX;
+
XXXXXXXX’X XXXXXXXXXXX XX XXXXXX XXXX XXX XXXXXXXXXXXX’X XXXXXXXX XXXXXXXXXXXX.
XXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXX XX XXX XXXXX XXXX XXX XXXXXXXX XXXXXXX XXXXXX XX XXXXXX XXX XXXXXXXX XX XXXXXXXX XXXX XX XX XXXXXXXXXX XX XXX XXXXXXXXX XX XXXXX XXX XXXXX XX XXXXXXXXX XXXXXXXXXXX XXXXXXXX XX XXXXXXXX.
+
+
+
+ Information and communication technology supply chain
+ 15.1.3
+
+
XXXXXXX XX XXX XXXXXXXXX XX XXXXXXXX XX XXXXXXXXX, XXXXXXXXX XXXXXXXXXXX XXX XXXXXXXXX XXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXX, XXXXXXXXXX XXX XXXXXXXX, XXXXXX XX XXXXXXX, XXXXXX XXXXXXX XX XXX XXXXXXXXXXX XX XXXXXXXX XXXXXXXXXXX, XXXXXXX XXX XXXXXXXXX XXXXXXXX XXX XX-XXXXXXXXXX XX XXXXX.
+
+
+
XXX XXXXXXXXX XXXXXXX XXXXXX XX XXXXX XXXX XXXXXXXXXXXXX:
+
+
XXXXXXX XX XXXXXXXX XXXXXXXXXX;
+
XXXXXXX XXXX XX XXX XXXXXXXXXXXX XX XXXXXXXXX:
+
XXXXXXXXXXXX XX XXX XXXXXXX XXXXXXXX XXXXXXX;
+
XXXXXXXXXXX XX XXX XXX XXXXXXXXXXXX XXX XXXXXXX;
+
XXXXXXXXXXXXX XX XXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXX XXX XXXXXXXXXX;
+
XXX XX XXXXXXX XXXXXXXX XX XXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXX XX XXXXXXX XXXXXXXX;.
+
+
+
XXXXXXX XX XXXXXXXX XXXXXXXX XX XXXXXXXXX:
+
XXXXXXX XXX XXXXXXXXXXX XX XXXXXXXX;
+
XXX XX XXX XXXXXXXXXXXX;
+
XXXXXXXX XX XXX XXXXXXXX XX XXXXX XXXXXXXX/XXXXXXXX;
+
XXX XXXXXXXXXXX XXXXX XXX XXXXXXXXXXXX;
+
XXXXXXX XX XXXXXXXX XXXXXXXX XX XXXXXXX XXXXXXXXXX;
+
XXXXXX XX XXXXXXXXX;
+
XXX-XXXXXXXXXXX XX XXXXXXX XXXXXXXX.
+
+
+
+
+
+
+
+
+ Information security incident management
+ 16
+
+ Management of information security incidents and improvements
+ 16.1
+
+
XX XXXXXX X XXXXXXXXXX XXX XXXXXXXXX XXXXXXXX XX XXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX, XXXXXXXXX XXXXXXXXXXXXX XX XXXXXXXX XXXXXX XXX XXXXXXXXXX.
+
+
+ Responsibilities and procedures
+ 16.1.1
+
+
XXXXXXXXXX XXXXXXXXXXXXXXXX XXX XXXXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXX X XXXXX, XXXXXXXXX XXX XXXXXXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX.
+
+
+
XXX XXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX XXXXXXXXXXXXXXXX XXX XXXXXXXXXX XXXX XXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXX:
+
+
XXXXXXXXXX XXXXXXXXXXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXX XXXX XXX XXXXXXXXX XXXXXXXXXX XXX XXXXXXXXX XXX XXXXXXXXXXXX XXXXXXXXXX XXXXXX XXX XXXXXXXXXXXX:
+
X XXXXX XX XXXXXXX XXX XXXXXXXX XXXXXXXXX’ XXXXXXXXX XXX XXXXXXXXX XX XXXXXXXXXXX;
+
XXXXXXXXXXX XXXXXXXX XXXX XXXXXXXXXXX, XXXXXXXX XXXXXXXX XXXXXX XX XXXXXX XXXX XXXXXX XXX XXXXXX XXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXX XXXXXXXXXX;
+
+
+
XXXXXXXXX XXXXXXXXXX XXXXXX XXXXXXX:
+
XXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXX XXXXXXXXX XXXXX XX XXXXXXX XXX XXXXXXXXX XXXXXX XXX XX XXXX XXX XXXXXX XXXXXXXXX XX XXXXXXXX XXX XXXXXXXXX XXXXXXX XX XXXX XX XX XXXXXXXXXXX XXXXXXXX XXXXX;
+
XXX XXXXXXXXX XX XX XXXXXXXXXX XX XXXX XX XX XXXXXXXXXXX XXXXXXXX XXXXX, X.X. XXXXXX XXX XXXXXXX XXXXXXXXXXX, XXXX XX XXXX XX XXX-XXXXXXXXXX XX XXXXXX, XXXXXXXXX XXXXXXXXXXX, XXXXXXXX XX XXX XXXXXX XXX XXXXXXXXXXX XXXXXXXXX XX XXX XXXXX XX XXXXXXX XXX XXXXXX XXXX XXXXXXXXXXX XXXXXXX;
+
XXXXXXXXX XX XX XXXXXXXXXXX XXXXXX XXXXXXXXXXXX XXXXXXX XXX XXXXXXX XXXX XXXXXXXXX XXX XXXXXX XXXXXXXX XXXXXXXX;
XXXXXXXXXXX XXXXXXXX XXXXXX XXXXXX XX XXXXXXXX XXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXX XX XXXXXXX XX XXXXXXXX.
+
+
+
XXX XXXXXXXXX XXX XXXXXXXXXXX XXXXXX XX XXXX XXXXX XX XXXXX XXXXXXXXXXXXXX XX XXXXXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXX XX XXXXXXXX. XXXX XXXXXX XXXX XX XXXXX XX XXX XXXXXXXXX XXX XXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXX XXX XXX XXXXX XX XXXXXXX XX XXXXX XXX XXXXXX XXXXXX XX XXXXXXXX.
+
XXXXXXXXXX XX XX XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXX XXXXXXXXX XXXXXXX:
+
+
XXXXXXXXXXX XXXXXXXX XXXXXXX;
+
XXXXXX XX XXXXXXXXXXX XXXXXXXXX, XXXXXXXXXXXXXXX XX XXXXXXXXXXXX XXXXXXXXXXXX;
+
XXXXX XXXXXX;
+
XXX-XXXXXXXXXXX XXXX XXXXXXXX XX XXXXXXXXXX;
+
XXXXXXXX XX XXXXXXXX XXXXXXXX XXXXXXXXXXXX;
+
XXXXXXXXXXXX XXXXXX XXXXXXX;
+
XXXXXXXXXXXX XX XXXXXXXX XX XXXXXXXX;
+
XXXXXX XXXXXXXXXX.
+
+
+
+
XXXXXXXXXXXX XX XXXXX XXXXXXXXX XXXXXX XXXXXXXXX XXX XX XX XXXXXXXXX XX X XXXXXXXX XXXXXX XX XXXXXX XXXXXXXX XXXXXX XXX XXXXXX XXXXXXXXX XXXXXX XX XXXXXXXX XX XX XXXXXXXXXXX XXXXXXXX XXXXX.
XXXXXXXXX XXX XXXXXXXXXXX XXXXX XXX XXXXXXXXXXXX’X XXXXXXXXXXX XXXXXXX XXX XXXXXXXX XXXXXX XX XXXXXXXX XX XXXX XXX XXXXXX XXX XXXXXXXX XX XXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XX XXXXXXX XX XXXXXXXX.
+
+
+
XXX XXXXXXXXX XXX XXXXXXXXXXX XXXXXX XXXXXX XXXXX XXXXXXX XX XXX XXXXX XX XXXXXXX XX XXXXXXX XX XXXXXXXX XX XXXXX XX XXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX. XXX XXXXXXXXX XXXXXXXXX XXXXXX XX XX XXXX, XXXXXXXXXX XXX XXXXXXXXX XX XXXXXXXX.
+
+
+
XXXXXXXXX XXX XXXXXXXXXXX XXXXXX XX XXXXXXX XXX XX XXXXXXX XX XXXXX XXXXXXXXX XXXXXXXX XXXXXXXXXX. XXXXXXX XXXXXXXXXX XXXXX XX XXXXXXXXXXX XX X XXXXXXXXX XXXXXX XX XXX XXXXXX XXX XXXXX XXXX XXXXX XXXXXX XX XXX XXXXXXXXXXX XXXXXX XX XXXXXXX XXX XXXXXX XX XXXXX XXXXXXXXX XXX XXX XXXXXXXXXX XXXXXXXXXX XXX XXXXXXX.
+
+
+
+ Assessment of and decision on information security events
+ 16.1.4
+
+
XXXXXXXXXXX XXXXXXXX XXXXXX XXXXXX XX XXXXXXXX XXX XX XXXXXX XX XXXXXXX XX XXXX XXX XX XX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX.
+
+
+
XXX XXXXX XX XXXXXXX XXXXXX XXXXXX XXXX XXXXXXXXXXX XXXXXXXX XXXXX XXXXX XXX XXXXXX XXXXXXXXXXX XXXXXXXX XXXXX XXX XXXXXXXX XXXXXXXXXXXXXX XXXXX XXX XXXXXX XXXXXXX XXX XXXXX XXXXXX XX XXXXXXXXXX XX XX XXXXXXXXXXX XXXXXXXX XXXXXXXX. XXXXXXXXXXXXXX XXX XXXXXXXXXXXXXX XX XXXXXXXXX XXX XXXX XX XXXXXXXX XXX XXXXXX XXX XXXXXX XX XX XXXXXXXX.
+
XX XXXXX XXXXX XXX XXXXXXXXXXXX XXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXX XXXX (XXXXX), XXX XXXXXXXXXX XXX XXXXXXXX XXX XX XXXXXXXXX XX XXX XXXXX XXX XXXXXXXXXXXX XX XXXXXXXXXXXX.
+
XXXXXXX XX XXX XXXXXXXXXX XXX XXXXXXXX XXXXXX XX XXXXXXXX XX XXXXXX XXX XXX XXXXXXX XX XXXXXX XXXXXXXXX XXX XXXXXXXXXXXX.
+
+
+
+ Response to information security incidents
+ 16.1.5
+
+
XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXX XX XX XXXXXXXXXX XXXX XXX XXXXXXXXXX XXXXXXXXXX.
+
+
+
XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXX XX XXXXXXXXX XX XX X XXXXXXXXX XXXXX XX XXXXXXX XXX XXXXX XXXXXXXX XXXXXXX XX XXX XXXXXXXXXXXX XX XXXXXXXX XXXXXXX (XXX 16.1.1).
+
XXX XXXXXXXX XXXXXX XXXXXXX XXX XXXXXXXXX:
+
+
XXXXXXXXXX XXXXXXXX XX XXXX XX XXXXXXXX XXXXX XXX XXXXXXXXXX;
+
XXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXXXX, XX XXXXXXXX (XXX 16.1.7);
XXXXXXXXXXXXX XXX XXXXXXXXX XX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXX XX XXX XXXXXXXX XXXXXXX XXXXXXX XX XXXXX XXXXXXXX XXX XXXXXXXX XXXXXX XX XXXXXXXXXXXXX XXXX X XXXX-XX-XXXX;
+
XXXXXXX XXXX XXXXXXXXXXX XXXXXXXX XXXXXXXX(XX) XXXXX XX XXXXX XX XXXXXXXXXX XX XXX XXXXXXXX;
XXXX-XXXXXXXX XXXXXXXX XXXXXX XXXX XXXXX, XX XXXXXXXXX, XX XXXXXXXX XXX XXXXXX XX XXX XXXXXXXX.
+
+
+
XXX XXXXX XXXX XX XXXXXXXX XXXXXXXX XX XX XXXXXX ‘XXXXXX XXXXXXXX XXXXX’ XXX XXXX XXXXXXXX XXX XXXXXXXXX XXXXXXXX.
+
+
+
+ Learning from information security incidents
+ 16.1.6
+
+
XXXXXXXXX XXXXXX XXXX XXXXXXXXX XXX XXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXX XX XXXX XX XXXXXX XXX XXXXXXXXXX XX XXXXXX XX XXXXXX XXXXXXXXX.
+
+
+
XXXXX XXXXXX XX XXXXXXXXXX XX XXXXX XX XXXXXX XXX XXXXX, XXXXXXX XXX XXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XX XX XXXXXXXXXX XXX XXXXXXXXX. XXX XXXXXXXXXXX XXXXXX XXXX XXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXXXXX XX XXXX XX XXXXXXXX XXXXXXXXX XX XXXX XXXXXX XXXXXXXXX.
+
+
+
XXX XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXX XXXXXXXX XXX XXXX XXX XXXXXXXX XX XXXXXXXXXX XXXXXXXX XX XXXXX XXX XXXXXXXXX, XXXXXX XXX XXXX XX XXXXXX XXXXXXXXXXX, XX XX XX XXXXX XXXX XXXXXXX XX XXX XXXXXXXX XXXXXX XXXXXX XXXXXXX (XXX 5.1.2).
+
XXXX XXX XXXX XX XXXXXXXXXXXXXXX XXXXXXX, XXXXXXXXX XXXX XXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXX XXX XX XXXX XX XXXX XXXXXXXXX XXXXXXXX (XXX 7.2.2) XX XXXXXXXX XX XXXX XXXXX XXXXXX, XXX XX XXXXXXX XX XXXX XXXXXXXXX XXX XXX XX XXXXX XXXX XX XXX XXXXXX.
XXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXX XXXX XXXXXXX XXXX XXXXXXXX XXX XXX XXXXXXXX XX XXXXXXXXXXXX XXX XXXXX XXXXXX.
+
XX XXXXXXX, XXXXX XXXXXXXXXX XXX XXXXXXXX XXXXXX XXXXXXX XXXXXXXXX XX XXXXXXXXXXXXXX, XXXXXXXXXX, XXXXXXXXXXX XXX XXXXXXXXXXXX XX XXXXXXXX XX XXXXXXXXXX XXXX XXXXXXXXX XXXXX XX XXXXX, XXXXXXX XXX XXXXXX XX XXXXXXX, X.X. XXXXXXX XX XX XXX. XXX XXXXXXXXXX XXXXXX XXXX XXXXXXX XX:
+
+
XXXXX XX XXXXXXX;
+
XXXXXX XX XXXXXXXX;
+
XXXXXX XX XXXXXXXXX;
+
XXXXX XXX XXXXXXXXXXXXXXXX XX XXXXXXXXX XXXXXXXX;
+
XXXXXXXXXX XX XXXXXXXXX;
+
XXXXXXXXXXXXX;
+
XXXXXXXX.
+
+
XXXXX XXXXXXXXX, XXXXXXXXXXXXX XX XXXXX XXXXXXXX XXXXX XX XXXXXXXXXXXXX XX XXXXXXXXX XXX XXXXX XXXXXX XX XXXXXX, XX XX XX XXXXXXXXXX XXX XXXXX XX XXX XXXXXXXXX XXXXXXXX.
+
XXXXXXXX XXXXXXXX XXX XXXXXXXXX XXXXXXXXXXXXXX XX XXXXXXXXXXXXXX XXXXXXXXXX. XX XXXX XXXXX, XX XXXXXX XX XXXXXXX XXXX XXX XXXXXXXXXXXX XX XXXXXXXX XX XXXXXXX XXX XXXXXXXX XXXXXXXXXXX XX XXXXXXXX XXXXXXXX. XXX XXXXXXXXXXXX XX XXXXXXXXX XXXXXXXXXXXXX XXXXXX XXXX XX XXXXXXXXXX XX XXXXXXXX XXXXXXX XX XXXXXXXXX XXXXXX XXX XXXXXXXX XXXXXXXXXXXXX.
+
+
+
XXXXXXXXXXXXXX XX XXX XXXXXXX XXXXXXXXX XXX XXXXXX XXX, XXXXXXXXXXX XXX XXXXXXXXXXXXX XX XXXXXXXXX XXXXXXXX. XXXXXXXXXX XX XXX XXXXXXX XX XXXXXXXXX XXX XXXXXXXX XXXXX XXXX XXX XXXXXXX XXXXXXXXX XXXXXXXX. XXXXXXXXXXX XX XXX XXXXXXX XX XXXXXXXX X XXXX XX XXXX XXXXXX X XXXXXXX XXX. XXXXXXXXXXXX XX XXX XXXXXXX XX XXXXXXXX XXX XXXXXXXXX XXX XXXXXXXXX XXX XXXXXXXX XXXXXXXXX XX XXX XXXXXXXXX XXXXXXXX.
+
XXXX XX XXXXXXXXXXX XXXXXXXX XXXXX XX XXXXX XXXXXXXX, XX XXX XXX XX XXXXXXX XXXXXXX XX XXX XXX XXXXX XXXX XXXXXX XX XXXXX XXXXXX. XXXXXXXXX, XXX XXXXXX XXXXXX XXXX XXXXXXXXX XXXXXXXX XX XXXXXXXXX XXXXXXXXXXXXX XX XXXXXXXXXXXX XXXXXX XXX XXXXXXXXXXX XX XXX XXXXXXXX XX XXXXXXXX. XX XX XXXXXXXXX XX XXXXXXX X XXXXXX XX XXX XXXXXX XXXXX XX XXX XXXXXXXXXXXX XXXXX XXXXXX XXX XXXX XXXXXX XX XXX XXXXXXXX XXXXXXXX.
XXX XXXXXXXXXXXX XXXXXX XXXXXXXXX, XXXXXXXX, XXXXXXXXX XXX XXXXXXXX XXXXXXXXX, XXXXXXXXXX XXX XXXXXXXX XX XXXXXX XXX XXXXXXXX XXXXX XX XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXX XXXXXXXXX.
+
+
+
XX XXXXXXXXXXXX XXXXXX XXXXXX XXXX:
+
+
XX XXXXXXXX XXXXXXXXXX XXXXXXXXX XX XX XXXXX XX XXXXXXX XXX, XXXXXXXX XXX XXXXXXX XX X XXXXXXXXXX XXXXX XXXXX XXXXXXXXX XXXX XXX XXXXXXXXX XXXXXXXXX, XXXXXXXXXX XXX XXXXXXXXXX;
+
XXXXXXXX XXXXXXXX XXXXXXXXX XXXX XXX XXXXXXXXX XXXXXXXXXXXXXX, XXXXXXXXX XXX XXXXXXXXXX XX XXXXXX XX XXXXXXXX XXX XXXXXXXX XXXXXXXXXXX XXXXXXXX XXX XXXXXXXXX;
+
XXXXXXXXXX XXXXX, XXXXXXXX XXX XXXXXXXX XXXXXXXXXX XXX XXXXXXXXX XXX XXXXXXXX, XXXXXXXXX XXX XXX XXXXXXXXXXXX XXXX XXXXXX X XXXXXXXXXX XXXXX XXX XXXX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XX X XXXXXXXXXXXXX XXXXX, XXXXX XX XXXXXXXXXX-XXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXXX (XXX 17.1.1).
XXXXXXXXX, XXXXXXXXXX XXX XXXXXXXXXXXXXX XXXXXXX XX XXXXXXXX XXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXX XX XXXXXXX XXXXXXXXX;
+
XXXXXXXXXXXX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXX XXXXXX XX XXXXXXXXXX XXXXXX XX XXXXXXX XXXXXXXXX.
+
+
+
+
XXXXXX XXX XXXXXXX XX XXXXXXXX XXXXXXXXXX XX XXXXXXXX XXXXXXXX, XXXXXXXX XXXXXXXXX XXX XXXXXXXXXX XXX XXXX XXXX XXXXXXX. XXXXXXXXXXX XXXX XX XXXXXXX XXXXXX XXXXX XXXXXXXXX XXX XXXXXXXXXX XX XXXXXX XXXXXXXXX XXXXXXXXXXX XXXXXXX XX XXXXXXX XXXX XXXXXX XX XXXXXXXXX. XXXXXXXXX XX XXXXXXXXXXXX XXXXXX XXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXX XXXX XXXXXXXXXXXX, XXXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XX XXXXXXXX XXXXXXXX XXXXXXXXX XXX XXXXXXXXXX.
+
XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXX XXXX XXXX XXXXXXXXXXX XXXXXX XXXXXXXX XX XXXXXXX XXXXXX XX XXXXXXX XXXXXXXXX. XX XXXXXXXX XXXXXXXX XXX XXX XXXX XX XXXXXXXX XX XXXXXX XXXXXXXXXXX, XXXXX XXXXXXXX XXXXXX XX XXXXXXXXXXX, XXXXXXXXXXX XXX XXXXXXXXXX XX XXXXXXXX XX XXXXXXXXXX XXXXX XX XXXXXXXXXXX XXXXXXXX.
+
+
+
+ Verify, review and evaluate information security continuity
+ 17.1.3
+
+
XXX XXXXXXXXXXXX XXXXXX XXXXXX XXX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXX XX XXXXXXX XXXXXXXXX XX XXXXX XX XXXXXX XXXX XXXX XXX XXXXX XXX XXXXXXXXX XXXXXX XXXXXXX XXXXXXXXXX.
+
“XXXXXXXXXXXXXX XXXXXXXX”
+
XXXXXXXXXXXXXX, XXXXXXXXX, XXXXXXXXXX XXX XXXXXXX XXXXXXX, XXXXXXX XX XX XXXXXXXXXXX XX XXXXXXXXXX XXXXXXX, XXX XXXX XX XXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXXXXX. XX XXXX XXXXX, XXX XXXXXXXXXX XX XXXXXXXXX, XXXXXXXXXX XXX XXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXXXXXXX XXXXXXX XXXXX XXXXXXX XXXXXXXXXXXX.
XXX XXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXX XX XXXXXXXXX XXXX XXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXX XXX XXXXXXXXXXXX XXX XXXXXX XX XXXXXXXXX XXXXXXX XXX XXXXXXX XX XXXXXXX. XX XXXXXXXX, XX XX XXXXXXXXXX XX XXXXXXXXX XXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXX XXXX XXX XXXXXXXXXXXX’X XXXXXXXX XXXXXXXXXX XX XXXXXXXX XXXXXXXX XXXXX.
+
+
+
+
+ Redundancies
+ 17.2
+
+
XX XXXXXX XXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX.
+
+
+ Availability of information processing facilities
+ 17.2.1
+
+
XXXXXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXXX XXXX XXXXXXXXXX XXXXXXXXXX XX XXXX XXXXXXXXXXXX XXXXXXXXXXXX.
+
+
+
XXXXXXXXXXXXX XXXXXX XXXXXXXX XXXXXXXX XXXXXXXXXXXX XXX XXX XXXXXXXXXXXX XX XXXXXXXXXXX XXXXXXX. XXXXX XXX XXXXXXXXXXXX XXXXXX XX XXXXXXXXXX XXXXX XXX XXXXXXXX XXXXXXX XXXXXXXXXXXX, XXXXXXXXX XXXXXXXXXX XX XXXXXXXXXXXXX XXXXXX XX XXXXXXXXXX.
+
XXXXX XXXXXXXXXX, XXXXXXXXX XXXXXXXXXXX XXXXXXX XXXXXX XX XXXXXX XX XXXXXX XXX XXXXXXXX XXXX XXX XXXXXXXXX XX XXXXXXX XXXXXXXXX XXXXX XX XXXXXXXX.
+
+
+
XXX XXXXXXXXXXXXXX XX XXXXXXXXXXXX XXX XXXXXXXXX XXXXX XX XXX XXXXXXXXX XX XXXXXXXXXXXXXXX XX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXX, XXXXX XXXX XX XX XXXXXXXXXX XXXX XXXXXXXXX XXXXXXXXXXX XXXXXXX.
XXXXXXXXXXX XXXXXXXX XXXXXXXX XXX XXXXXXX XXXXXXXX XXXXX X XXXXXXX XXXXXXXXX XXXX XXXXXXXXX XXXXXXX XXXXX XXX XXXXXXXXXX, XXX XXXXXXX, XXXXXXXX XXX XXX XX XXX XXXXXXXX XX XXXXXXXXX XXXXXXXX XX XXXXXXXX XXXXXXX XX XXX XXXXXXXX XX XXXXXX XXXXXX XXXX. XXX XXXXXXXXXX XXX XXXXXXXXX XX XXXXXXXXXXXX XXXXXXXX XXXXXX XXXXXX XX XXXXXXXXXXXX XX XXXXX XXX XXXXXXXX XXXXXXXXX XX XXX XXXXXXXXXXXX.
+
XXXXXXXXXXX, XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXXXX XXX XXXXX XXXXXXXXXXXX XX XXX XXXXXXX XX XXXXXXXXXXX XXXXXXXX. XX XXXXXXXXXX, XXXX XXX XXXXXXX XXXX XXXX XXXXXXXX XXXX XX XXXXXXXXX XX XXX XXXXXXXXXXXX XX XXXX XX XXXXXXXX XX XXXXXXXX XX XXX XXXXXXXXX XX XXX XXXXXXXXXXXX, XXX XX XXXX. XXXXXXXXX XXXXXXXXXXXX XXX XXXX XX XXXXX XXXXXX, XXXXX XXX XXXXXXX XXXXX XXX XXXXXXXX XXXXXXXXXXX.
XXXX XXXXXXXX XXXX XXXXXXXXXX XX XXXXXXXX XXXXXXXXXXXXXX XXXXXXX, XXXXX XXXXXXXXXXXXX XXXXXXXXXXXXXX XXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXXXXXXXX XXXXXX, XXXXXX XX XXXXXXXXXX. XXXXXXX XXXXXX XX XXXXXXXXXXX XXXX XXXXXX XXXXX, X.X. XXXXXXXXXX XXXXXXX, XXXXXXXX XXXXXXX, XXXXXXXXXXX XXXX, XXXXX XXXX XXX XXXXXXXXXXX XXXXXXXXXX, XXXX XXXX XXXXXXX XX XXXXXXXXX XXXXXXX XXX XXXX XX XXXXXXXXX XXXXXXX XXXXX, X.X. XXXXX, XXXXXXXXXX, XXXXXXXX, XXXXXXX. XXX XXXXXXX XXXXXXXXXXXXX XXXX XXX XXXXXXXX XXXXXXXXXX XXXX XXXXXXXXX XXXXXXXX XX XXXXXXX XXXXXXXXXX (XXX Clause 10), XXXXXX XXXX XX XXXXXX XX XXXXXX XXXXXXXXXX XX XXX XXXXXXX XXX XXX XXXXXX XX XXXX XXX XXXXXXX XXX XXXXXXXX.
+
XXXXXXXXXXXXX XXXXXX XX XXXXX XX XXX XXXXXXXXXXX XX XXXXXXXXXXXXX XX XXXXX XXXX XXX XXXXXXX XX XXXXXXX. XXXXXXX XXX XXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXXXXXX XXXX XXXXXXXXXXXX’X XXXXXXXXXXXXXXX.
+
XXXXX XXXXXXXXXX XXXXXXX XXXXX XXX XXXXXX, XXXXXXXXXX XX XXXXXX XXX XXXXXXX XX XXXXXX XXXX (XXXX XXXXX XXX XXXXXX XXXXXXXXXXX) XXXXXXXXXX XXX XXXXXXXXX XXXXXX XXXXXX XX XXXXXXXXXXX XX XXXXXXXXX XXXXXXX XXXX XXX XX XXXXXX XXXXXXXXXX XXXXXX.
+
XXXX XXXXXXX XXXXXXX XXXXXX XX XXXXXX XXXX XXXX XXXXXXXX XXXX XXX XX XXXXXXXXX XX XX XXXXXXXXXX XXXXXXXXX XXX XXXXXX, XXXXXXXXX XX XXX XXXXXXXXXXXX XX XX XXXXXXXXX.
+
XXX XXXXXX XX XXXXXXX XXX XXXXXXXX XXXXXX XXXXXX XXXXXXXXXXXXXX XX XXXXXXX XXX XX XXXXX XXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXXXX XX XXXXXXXX XXXXXXXXXXX XX XXXXXXXXXXX, XX XXXXXXXXXX. XXXX XXXXXX XXXXXX XXXXXX XXXXXXXXXXX XXXXXXXXXXX XX XXXXXXX XXXXX XXXX XXXXXX XX XXXX XXX XXX XXXXXX XX XXX XXXXXXXXXXXX.
+
XX XXXX XXXXX XXXXXX XXXXXXXXXXXX XXXXXXXXXX, XXX XXXXXXXXX XXXXX XXXXXX XX XXXXX XXXXXX XX XXXXXXXXXXXX:
+
+
XXXXXXXXXX XXXXXX XX XXXXXX XX XXX XXXXXXXXX, XXXXXXX, XXXXXXXX XXX XXXXXXXX XX XXXXXXX XXX XXXXXXXXXXX;
+
X XXXXXXXXX XXXXXXXX XXXXXX XX XXXXX XX XXXXXXXXXXX XXXXXXX XXX XXX XXXXXX XX XXXX XXX XXXXX XXXX XXXXXX XX XXXXXXXX;
+
XX XXXXXXXXX XX XXXXXXX XX XXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXX.
+
+
+
+
XXXX XXXXXXX XXX XXXX XX XX XXXXXXXX XXXXXXXX XX XXXX XXXXXXXXX, XXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXXXXX, XX XXXX XX XX XXXXXXX XXXXXXXXX XXXXXXXX XXXXXXXXXX. XXXXXXXX XXXXXXX XXXXXXX XXXX XXX XX XXXXXXXX XX XXXXXXXX XXXX XX XXXXXXXXXXXX XXXXXXXX XXXXXX XXXXXXXXX XX XXXXXXXXXX XXXXX, XX XXXXXX XXXXXXX XXXXXXX XXXXXXXXX XXXXX XX XXXXXXXX XXXXXX XX XX XXXXXXX XXX XXXXXXXXX XXXXXX XX XX XXXXXXXXXXXX XX XXXXXXXXXXXX, XXXXXXXX XXXXXXX XXX XXXXXXXX. XXXXXXXX XXX XX XXXXXXXXXX XXX XXX XXX XXXX XXXXXX XXX XXXX XXXXXXX XXX XXXXXXXXXXX XXXXXXXXX.
+
XXXXXXX XXXXXXXXXXX XXXXX XXXXXXXX XXXXXXXXXXXXXX XXXXXXX XXX XX XXXXX XX XXX XXXXX-X.[5]
+
+
+
+ Privacy and protection of personally identifiable information
+ 18.1.4
+
+
XXXXXXX XXX XXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXX XX XXXXXXXX XX XXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXX XXXXX XXXXXXXXXX.
+
+
+
XX XXXXXXXXXXXX’X XXXX XXXXXX XXX XXXXXXX XXX XXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXX XXX XXXXXXXXXXX. XXXX XXXXXX XXXXXX XX XXXXXXXXXXXX XX XXX XXXXXXX XXXXXXXX XX XXX XXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX.
+
XXXXXXXXXX XXXX XXXX XXXXXX XXX XXX XXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXX XX XXX XXXXXXX XX XXXXXX XXX XXX XXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXXX XXXXXXXXXX XXXXXXXXX XXX XXXXXXX. XXXXX XXXX XX XXXX XXXXXXXX XX XXX XXXXXXXXXXX XX X XXXXXX XXXXXXXXXXX, XXXX XX X XXXXXXX XXXXXXX, XXX XXXXXX XXXXXXX XXXXXXXX XX XXXXXXXX, XXXXX XXX XXXXXXX XXXXXXXXX XX XXXXX XXXXXXXXXX XXXXXXXXXXXXXXXX XXX XXX XXXXXXXX XXXXXXXXXX XXXX XXXXXX XX XXXXXXXX. XXXXXXXXXXXXXX XXX XXXXXXXX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXX XXXXXXXX XXXXXXXXX XX XXX XXXXXXX XXXXXXXXXX XXXXXX XX XXXXX XXXX XX XXXXXXXXXX XXXX XXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXX. XXXXXXXXXXX XXXXXXXXX XXX XXXXXXXXXXXXXX XXXXXXXX XX XXXXXXX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXXXXX XX XXXXXXXXXXX.
+
+
+
XXX/XXX XXXXX[25] XXXXXXXX X XXXX-XXXXX XXXXXXXXX XXX XXX XXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XXXXXX XXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXXX. X XXXXXX XX XXXXXXXXX XXXX XXXXXXXXXX XXXXXXXXXXX XXXXXXX XXXXXXXX XX XXX XXXXXXXXXX, XXXXXXXXXX XXX XXXXXXXXXXXX XX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX (XXXXXXXXX XXXXXXXXXXX XX XXXXXX XXXXXXXXXXX XXX XXX XX XXXXXXXXXX XXXX XXXX XXXXXXXXXXX). XXXXXXXXX XX XXX XXXXXXXXXX XXXXXXXX XXXXXXXXXXX, XXXX XXXXXXXX XXX XXXXXX XXXXXX XX XXXXX XXXXXXXXXX, XXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX, XXX XXX XXXX XXXXXXXX XXX XXXXXXX XX XXXXXXXX XXXXXXXXXX XXXXXXXXXXXX XXXXXXXXXXX XX XXXXX XXXXXXXXX.
XXXXXXXXXXXX XX XXXXXX XX XXXXXX XX XXXXXXXX XXXXXXXX XXX XXXXXXXX XXX XXXXXXXXXX XXXXXXXXXXXXX XXXXXXXXX;
+
XXXXXXXXXXXX XX XXXXXX XX XXXXXX XX XXXXXXXX XXXXXXXX XXX XXXXXXXX XXXXX XX XXXXXXXX XX XXXX XXXXXXXXXXXXX XXXXXXXXX XXXXX XX XX;
+
XXXXXXXXXXXX XX XXX XXXXX XX XXXXXXXXXX;
+
XXXXXXXXX XX XXXXXXXXXXXXX XXXXXXX XX XXXXXX XX XXX XXXXXXXXX’ XXXXXXXXXXX XX XXXXXXXXXXX XXXXXXXXX XX XXXXXXXX XX XXXXXXXX XX XXXXXXX XXXXXXXXXXXXXXX XX XXXXXXX.
+
+
XXXXX XXXXXX XXXXXX XX XXXXXX XX XXXXXX XXXXXXXXXX XXXX XXXXXXXX XXXXXXXXXXX XXX XXXXXXXXXXX. XXXXXX XXXXXXXXX XXXXXXXXXXX XX XXXXXXXXXXXXX XXXXXXXX XXX XXXXX XXXXXX XXXXXXXXXXXXXX XXXXXXX, XXXXX XXXXXX XXXXXX XXXX XX XXXXX.
+
+
+
+
+ Information security reviews
+ 18.2
+
+
XX XXXXXX XXXX XXXXXXXXXXX XXXXXXXX XX XXXXXXXXXXX XXX XXXXXXXX XX XXXXXXXXXX XXXX XXX XXXXXXXXXXXXXX XXXXXXXX XXX XXXXXXXXXX.
+
+
+ Independent review of information security
+ 18.2.1
+
+
XXX XXXXXXXXXXXX’X XXXXXXXX XX XXXXXXXX XXXXXXXXXXX XXXXXXXX XXX XXX XXXXXXXXXXXXXX (X.X. XXXXXXX XXXXXXXXXX, XXXXXXXX, XXXXXXXX, XXXXXXXXX XXX XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX) XXXXXX XX XXXXXXXX XXXXXXXXXXXXX XX XXXXXXX XXXXXXXXX XX XXXX XXXXXXXXXXX XXXXXXX XXXXX.
+
+
+
XXXXXXXXXX XXXXXX XXXXXXXX XXX XXXXXXXXXXX XXXXXX. XXXX XX XXXXXXXXXXX XXXXXX XX XXXXXXXXX XX XXXXXX XXX XXXXXXXXXX XXXXXXXXXXX, XXXXXXXX XXX XXXXXXXXXXXXX XX XXX XXXXXXXXXXXX’X XXXXXXXX XX XXXXXXXX XXXXXXXXXXX XXXXXXXX. XXX XXXXXX XXXXXX XXXXXXX XXXXXXXXX XXXXXXXXXXXXX XXX XXXXXXXXXXX XXX XXX XXXX XXX XXXXXXX XX XXX XXXXXXXX XX XXXXXXXX, XXXXXXXXX XXX XXXXXX XXX XXXXXXX XXXXXXXXXX.
+
XXXX X XXXXXX XXXXXX XX XXXXXXX XXX XX XXXXXXXXXXX XXXXXXXXXXX XX XXX XXXX XXXXX XXXXXX, X.X. XXX XXXXXXXX XXXXX XXXXXXXX, XX XXXXXXXXXXX XXXXXXX XX XX XXXXXXXX XXXXX XXXXXXXXXXXX XXXXXXXXXXXX XX XXXX XXXXXXX. XXXXXXXXXXX XXXXXXXX XXX XXXXX XXXXXXX XXXXXX XXXX XXX XXXXXXXXXXX XXXXXX XXX XXXXXXXXXX.
+
XXX XXXXXXX XX XXX XXXXXXXXXXX XXXXXX XXXXXX XX XXXXXXXX XXX XXXXXXXX XX XXX XXXXXXXXXX XXX XXXXXXXXX XXX XXXXXX. XXXXX XXXXXXX XXXXXX XX XXXXXXXXXX.
+
XX XXX XXXXXXXXXXX XXXXXX XXXXXXXXXX XXXX XXX XXXXXXXXXXXX’X XXXXXXXX XXX XXXXXXXXXXXXXX XX XXXXXXXX XXXXXXXXXXX XXXXXXXX XX XXXXXXXXXX, X.X. XXXXXXXXXX XXXXXXXXXX XXX XXXXXXXXXXXX XXX XXX XXX XX XXX XXXXXXXXX XXXX XXX XXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXX XX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXX (XXX 5.1.1), XXXXXXXXXX XXXXXX XXXXXXXX XXXXXXXXXX XXXXXXX.
XXXXXXXXX XXXXXXXXXX XXXXXX XX XXXXXXXX XXXXXXXXXX XXXX XXX XXXXXXXXXX XX XXXXXXXXX XXXXX, XXXXX XXXXXXXX XXXXXXXXX XXXXXXX XXX XXXXXXXXXX XXXXXXXXXXXXXX XX X XXXXXXXXX XXXXXXXXXX. XXXXXXXXXXXXX, XXXXXX XXXXXXX (XXXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXX, XX XXXXXXXXX) XX XX XXXXXXXXXXX XXXXXX XXXXXXXX XXXXX XX XXXXXXXXX.
+
XX XXXXXXXXXXX XXXXX XX XXXXXXXXXXXXX XXXXXXXXXXX XXX XXXX, XXXXXXX XXXXXX XX XXXXXXXXX XX XXXX XXXXXXXXXX XXXXX XXXX XX X XXXXXXXXXX XX XXX XXXXXXXX XX XXX XXXXXX. XXXX XXXXX XXXXXX XX XXXXXXX, XXXXXXXXXX XXX XXXXXXXXXX.
+
XXX XXXXXXXXX XXXXXXXXXX XXXXXX XXXXXX XXXX XX XXXXXXX XXX XX XXXXXXXXX, XXXXXXXXXX XXXXXXX XX XXXXX XXX XXXXXXXXXXX XX XXXX XXXXXXX.
+
+
+
XXXXXXXXX XXXXXXXXXX XXXXXXX XXXXXXX XXX XXXXXXXXXXX XX XXXXXXXXXXX XXXXXXX XX XXXXXX XXXX XXXXXXXX XXX XXXXXXXX XXXXXXXX XXXX XXXX XXXXXXXXX XXXXXXXXXXX. XXXX XXXX XX XXXXXXXXXX XXXXXX XXXXXXXX XXXXXXXXXX XXXXXXXXX XXXXXXXXX.
+
XXXXXXXXXX XXXXXXX XXXX XXXXX, XXX XXXXXXX, XXXXXXXXXXX XXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXXX, XXXXX XXXXX XX XXXXXXX XXX XX XXXXXXXXXXX XXXXXXX XXXXXXXXXXXX XXXXXXXXXX XXX XXXX XXXXXXX. XXXX XXX XX XXXXXX XX XXXXXXXXX XXXXXXXXXXXXXXX XX XXX XXXXXX XXX XXX XXXXXXXXXX XXX XXXXXXXXX XXX XXXXXXXX XXX XX XXXXXXXXXX XXXXXXXXXXXX XXXXXX XXX XX XXXXX XXXXXXXXXXXXXXX.
+
XXXXXXXXXXX XXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXXX XXXXXXX X XXXXXXXX XX X XXXXXX XX X XXXXXXXX XXXXX XX X XXXXXXXX XXXX. XXX XXXXXXXX XX XXXXXXX XX XXXXX XXXXXXXX XX XXX XXXXXX XXXXXXXX XXXXXX XXXXXX XXX XXXXXXXXXXX XXXXXXX(X). XXXXXXXXXXX XXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXXX XXX XXX X XXXXXXXXXX XXX XXXX XXXXXXXXXX.
+
XXX/XXX XX XXXXX[13] XXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXXX XXXXXXXXX XXXXXXXXXX XXXXXXX.
+
+
+
+
+
+
+ ISO/IEC Directives, Part 2[X] XXX/XXX XXXXXXXXXX, XXXX X
+
+
+ ISO/IEC 11770-1, Information technology Security techniques — Key management — Part 1: Framework[X] XXX/XXX XXXXX-X, XXXXXXXXXXX XXXXXXXXXX XXXXXXXX XXXXXXXXXX — XXX XXXXXXXXXX — XXXX X: XXXXXXXXX
+
+
+ ISO/IEC 11770-2, Information technology — Security techniques — Key management — Part 2: Mechanisms using symmetric techniques[X] XXX/XXX XXXXX-X, XXXXXXXXXXX XXXXXXXXXX — XXXXXXXX XXXXXXXXXX — XXX XXXXXXXXXX — XXXX X: XXXXXXXXXX XXXXX XXXXXXXXX XXXXXXXXXX
+
+
+ ISO/IEC 11770-3, Information technology — Security techniques — Key management — Part 3: Mechanisms using asymmetric techniques[X] XXX/XXX XXXXX-X, XXXXXXXXXXX XXXXXXXXXX — XXXXXXXX XXXXXXXXXX — XXX XXXXXXXXXX — XXXX X: XXXXXXXXXX XXXXX XXXXXXXXXX XXXXXXXXXX
+
+
+ ISO 15489-1, Information and documentation — Records management — Part 1: General[X] XXX XXXXX-X, XXXXXXXXXXX XXX XXXXXXXXXXXXX — XXXXXXX XXXXXXXXXX — XXXX X: XXXXXXX
+
+
+ ISO/IEC 20000-1, Information technology — Service management — Part 1: Service management system requirements[X] XXX/XXX XXXXX-X, XXXXXXXXXXX XXXXXXXXXX — XXXXXXX XXXXXXXXXX — XXXX X: XXXXXXX XXXXXXXXXX XXXXXX XXXXXXXXXXXX
+
+
+ ISO/IEC 20000-2,1Information technology — Service management — Part 2: Guidance on the application of service management systems[X] XXX/XXX XXXXX-X,1XXXXXXXXXXX XXXXXXXXXX — XXXXXXX XXXXXXXXXX — XXXX X: XXXXXXXX XX XXX XXXXXXXXXXX XX XXXXXXX XXXXXXXXXX XXXXXXX
+
+
+ ISO 22301, Societal security — Business continuity management systems — Requirements[X] XXX XXXXX, XXXXXXXX XXXXXXXX — XXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXXX — XXXXXXXXXXXX
+
+
+ ISO 22313, Societal security — Business continuity management systems — Guidance[X] XXX XXXXX, XXXXXXXX XXXXXXXX — XXXXXXXX XXXXXXXXXX XXXXXXXXXX XXXXXXX — XXXXXXXX
+
+
+ ISO/IEC 27001, Information technology — Security techniques — Information security management systems — Requirements[XX] XXX/XXX XXXXX, XXXXXXXXXXX XXXXXXXXXX — XXXXXXXX XXXXXXXXXX — XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXX — XXXXXXXXXXXX
+
+
+ ISO/IEC 27005, Information technology — Security techniques — Information security risk management[XX] XXX/XXX XXXXX, XXXXXXXXXXX XXXXXXXXXX — XXXXXXXX XXXXXXXXXX — XXXXXXXXXXX XXXXXXXX XXXX XXXXXXXXXX
+
+
+ ISO/IEC 27007, Information technology — Security techniques — Guidelines for information security management systems auditing[XX] XXX/XXX XXXXX, XXXXXXXXXXX XXXXXXXXXX — XXXXXXXX XXXXXXXXXX — XXXXXXXXXX XXX XXXXXXXXXXX XXXXXXXX XXXXXXXXXX XXXXXXX XXXXXXXX
+
+
+ ISO/IEC TR 27008, Information technology — Security techniques — Guidelines for auditors on information security controls[XX] XXX/XXX XX XXXXX, XXXXXXXXXXX XXXXXXXXXX — XXXXXXXX XXXXXXXXXX — XXXXXXXXXX XXX XXXXXXXX XX XXXXXXXXXXX XXXXXXXX XXXXXXXX
+
+
+ ISO/IEC 27031, Information technology — Security techniques — Guidelines for information and communication technology readiness for business continuity[XX] XXX/XXX XXXXX, XXXXXXXXXXX XXXXXXXXXX — XXXXXXXX XXXXXXXXXX — XXXXXXXXXX XXX XXXXXXXXXXX XXX XXXXXXXXXXXXX XXXXXXXXXX XXXXXXXXX XXX XXXXXXXX XXXXXXXXXX
+
+
+ ISO/IEC 27033-1, Information technology — Security techniques — Network security — Part 1: Overview and concepts[XX] XXX/XXX XXXXX-X, XXXXXXXXXXX XXXXXXXXXX — XXXXXXXX XXXXXXXXXX — XXXXXXX XXXXXXXX — XXXX X: XXXXXXXX XXX XXXXXXXX
+
+
+ ISO/IEC 27033-2, Information technology — Security techniques — Network security — Part 2: Guidelines for the design and implementation of network security[XX] XXX/XXX XXXXX-X, XXXXXXXXXXX XXXXXXXXXX — XXXXXXXX XXXXXXXXXX — XXXXXXX XXXXXXXX — XXXX X: XXXXXXXXXX XXX XXX XXXXXX XXX XXXXXXXXXXXXXX XX XXXXXXX XXXXXXXX
+
+
+ ISO/IEC 27033-3, Information technology — Security techniques — Network security — Part 3: Reference networking scenarios — Threats, design techniques and control issues[XX] XXX/XXX XXXXX-X, XXXXXXXXXXX XXXXXXXXXX — XXXXXXXX XXXXXXXXXX — XXXXXXX XXXXXXXX — XXXX X: XXXXXXXXX XXXXXXXXXX XXXXXXXXX — XXXXXXX, XXXXXX XXXXXXXXXX XXX XXXXXXX XXXXXX
+
+
+ ISO/IEC 27033-4, Information technology — Security techniques — Network security — Part 4: Securing communications between networks using security gateways[XX] XXX/XXX XXXXX-X, XXXXXXXXXXX XXXXXXXXXX — XXXXXXXX XXXXXXXXXX — XXXXXXX XXXXXXXX — XXXX X: XXXXXXXX XXXXXXXXXXXXXX XXXXXXX XXXXXXXX XXXXX XXXXXXXX XXXXXXXX
+
+
+ ISO/IEC 27033-5, Information technology — Security techniques — Network security — Part 5: Securing communications across networks using Virtual Private Network (VPNs)[XX] XXX/XXX XXXXX-X, XXXXXXXXXXX XXXXXXXXXX — XXXXXXXX XXXXXXXXXX — XXXXXXX XXXXXXXX — XXXX X: XXXXXXXX XXXXXXXXXXXXXX XXXXXX XXXXXXXX XXXXX XXXXXXX XXXXXXX XXXXXXX (XXXX)
+
+
+ ISO/IEC 27035, Information technology — Security techniques — Information security incident management[XX] XXX/XXX XXXXX, XXXXXXXXXXX XXXXXXXXXX — XXXXXXXX XXXXXXXXXX — XXXXXXXXXXX XXXXXXXX XXXXXXXX XXXXXXXXXX
+
+
+ ISO/IEC 27036-1, Information technology — Security techniques — Information security for supplier relationships — Part 1: Overview and concepts[XX] XXX/XXX XXXXX-X, XXXXXXXXXXX XXXXXXXXXX — XXXXXXXX XXXXXXXXXX — XXXXXXXXXXX XXXXXXXX XXX XXXXXXXX XXXXXXXXXXXXX — XXXX X: XXXXXXXX XXX XXXXXXXX
+
+
+ ISO/IEC 27036-2, Information technology — Security techniques — Information security for supplier relationships — Part 2: Common requirements[XX] XXX/XXX XXXXX-X, XXXXXXXXXXX XXXXXXXXXX — XXXXXXXX XXXXXXXXXX — XXXXXXXXXXX XXXXXXXX XXX XXXXXXXX XXXXXXXXXXXXX — XXXX X: XXXXXX XXXXXXXXXXXX
+
+
+ ISO/IEC 27036-3, Information technology — Security techniques — Information security for supplier relationships — Part 3: Guidelines for ICT supply chain security[XX] XXX/XXX XXXXX-X, XXXXXXXXXXX XXXXXXXXXX — XXXXXXXX XXXXXXXXXX — XXXXXXXXXXX XXXXXXXX XXX XXXXXXXX XXXXXXXXXXXXX — XXXX X: XXXXXXXXXX XXX XXX XXXXXX XXXXX XXXXXXXX
+
+
+ ISO/IEC 27037, Information technology — Security techniques — Guidelines for identification, collection, acquisition and preservation of digital evidence[XX] XXX/XXX XXXXX, XXXXXXXXXXX XXXXXXXXXX — XXXXXXXX XXXXXXXXXX — XXXXXXXXXX XXX XXXXXXXXXXXXXX, XXXXXXXXXX, XXXXXXXXXXX XXX XXXXXXXXXXXX XX XXXXXXX XXXXXXXX
+
+
+ ISO/IEC 29100, Information technology — Security techniques — Privacy framework[XX] XXX/XXX XXXXX, XXXXXXXXXXX XXXXXXXXXX — XXXXXXXX XXXXXXXXXX — XXXXXXX XXXXXXXXX
+
+
+ ISO/IEC 29101, Information technology — Security techniques — Privacy architecture framework[XX] XXX/XXX XXXXX, XXXXXXXXXXX XXXXXXXXXX — XXXXXXXX XXXXXXXXXX — XXXXXXX XXXXXXXXXXXX XXXXXXXXX
+
+
+ ISO 31000, Risk management — Principles and guidelines[XX] XXX XXXXX, XXXX XXXXXXXXXX — XXXXXXXXXX XXX XXXXXXXXXX
+
+
+ 1) ISO/IEC 20000-2:2005 has been cancelled and replaced by ISO/IEC 20000-2:2012, Information technology — Service management — Part 2: Guidance on the application of service management systems.1) XXX/XXX XXXXX-X:XXXX XXX XXXX XXXXXXXXX XXX XXXXXXXX XX XXX/XXX XXXXX-X:XXXX, XXXXXXXXXXX XXXXXXXXXX — XXXXXXX XXXXXXXXXX — XXXX X: XXXXXXXX XX XXX XXXXXXXXXXX XX XXXXXXX XXXXXXXXXX XXXXXXX.
+
+
+
diff --git a/working/ISO-27002/ISO-27002-extraction.xpl b/working/ISO-27002/ISO-27002-extraction.xpl
new file mode 100644
index 0000000000..11464ac4f5
--- /dev/null
+++ b/working/ISO-27002/ISO-27002-extraction.xpl
@@ -0,0 +1,57 @@
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
\ No newline at end of file
diff --git a/working/ISO-27002/iso-27002-declarations-handmade.xml b/working/ISO-27002/iso-27002-declarations-handmade.xml
new file mode 100644
index 0000000000..230e0018e4
--- /dev/null
+++ b/working/ISO-27002/iso-27002-declarations-handmade.xml
@@ -0,0 +1,23 @@
+
+
+
+
+
+
+
+ \d\d?
+
+
+
+ .1
+
+
+
+
+
+
+ .1
+
+
+
+
diff --git a/working/ISO-27002/readme.md b/working/ISO-27002/readme.md
new file mode 100644
index 0000000000..a953f8121b
--- /dev/null
+++ b/working/ISO-27002/readme.md
@@ -0,0 +1,43 @@
+# ISO 27002
+
+## OSCAL working/test rendition of ISO 27002 controls
+
+Find the data in file [ISO-27002-OSCAL-refined.xml](ISO-27002-OSCAL-refined.xml).
+
+Note that while the structure has been represented in OSCAL, the main file contents have been obfuscated to protect ISO intellectual property.
+
+## Converting ISO 27002 into OSCAL
+
+As described below, conversion of ISO 27002 controls into OSCAL occurs in two stages.
+
+For convenience, an XProc pipeline is offered that combines the two steps into a single call on an XProc processor such as XML Calabash. The source file should be an XML-well-formed ("tidied") copy of HTML extracted from the published EPUB version of the ISO specification. If you do not have this file, you cannot run this transformation.
+
+XML Calabash can be invoked inside oXygen XML Editor or Developer; use [ISO-27002-extraction.xpl](ISO-27002-extraction.xpl) in an XProc scenario with the necessary bindings. (The XML-wf HTML file must be bound to the `source` port. The results are given on the `final` port.) This is convenient for development/debugging as intermediate results may be inspected without writing them to the file system.
+
+Alternatively, XML Calabash (a Java application) can be run from the command line or via Apache Maven or Gradle. See http://xmlcalabash.com.
+
+Or the two processes can be run separately, in sequence (i.e., run the second XSLT over the results of the first one).
+
+### Extraction
+
+Sections of ISO 27002 (comprising the control descriptions) are systematic enough in their EPUB format for automated conversion via XSLT, with reasonable results, into OSCAL.
+
+The stylesheet is designed to run on HTML extracted from the EPUB published version of the standard. In order to respect IP use restrictions of this document, significant contents are masked in the result.
+
+Run the XSLT [Convert-ISO-epub-to-OSCAL.xsl](Convert-ISO-epub-to-OSCAL.xsl) over the source file to produce OSCAL.
+
+### Enhancement
+
+Over the (OSCAL) results of this transformation, run an additional transformation [Enhance-iso-27002.xsl](Enhance-iso-27002.xsl) to infer internal links and perform adjustments.
+
+Functionality of the enhancement XSLT (but double check in case this is out of date):
+
+* Adds `@id` to controls and subcontrols
+* Adds `a[@href]` for internal cross-references when the target can be recognized as a control or subcontrol in the file
+
+The XSLT assumes all controls and subcontrols have a `prop[@class='number']` (which is used to produce an ID).
+
+## Also in this subdirectory
+
+There may be relics of analysis and post-processing of this resource.
+
diff --git a/working/ISO-27002/test-map.xml b/working/ISO-27002/test-map.xml
new file mode 100644
index 0000000000..34caa99067
--- /dev/null
+++ b/working/ISO-27002/test-map.xml
@@ -0,0 +1,278 @@
+
+
+
+
+
+
+
+ Technical
+ Operational
+ Management
+
+
+ AC-1
+ AC-2
+ AC-3
+ AC-4
+ AC-5
+ AC-6
+ AC-7
+ AC-8
+ AC-9
+ AC-10
+ AC-11
+ AC-12
+ AC-13
+ AC-14
+ AC-15
+ AC-16
+ AC-17
+ AC-18
+ AC-19
+ AC-20
+ AC-21
+ AC-22
+ AT-1
+ AT-2
+ AT-3
+ AT-4
+ AT-5
+ AU-1
+ AU-2
+ AU-3
+ AU-4
+ AU-5
+ AU-6
+ AU-7
+ AU-8
+ AU-9
+ AU-10
+ AU-11
+ AU-12
+ AU-13
+ AU-14
+ CA-1
+ CA-2
+ CA-3
+ CA-4
+ CA-5
+ CA-6
+ CA-7
+ CM-1
+ CM-2
+ CM-3
+ CM-4
+ CM-5
+ CM-6
+ CM-7
+ CM-8
+ CM-9
+ CP-1
+ CP-2
+ CP-3
+ CP-4
+ CP-5
+ CP-6
+ CP-7
+ CP-8
+ CP-9
+ CP-10
+ IA-1
+ IA-2
+ IA-3
+ IA-4
+ IA-5
+ IA-6
+ IA-7
+ IA-8
+ IR-1
+ IR-2
+ IR-3
+ IR-4
+ IR-5
+ IR-6
+ IR-7
+ IR-8
+ MA-1
+ MA-2
+ MA-3
+ MA-4
+ MA-5
+ MA-6
+ MP-1
+ MP-2
+ MP-3
+ MP-4
+ MP-5
+ MP-6
+ PE-1
+ PE-2
+ PE-3
+ PE-4
+ PE-5
+ PE-6
+ PE-7
+ PE-8
+ PE-9
+ PE-10
+ PE-11
+ PE-12
+ PE-13
+ PE-14
+ PE-15
+ PE-16
+ PE-17
+ PE-18
+ PE-19
+ PL-1
+ PL-2
+ PL-3
+ PL-4
+ PL-5
+ PL-6
+ PM-1
+ PM-2
+ PM-3
+ PM-4
+ PM-5
+ PM-6
+ PM-7
+ PM-8
+ PM-9
+ PM-10
+ PM-11
+ PS-1
+ PS-2
+ PS-3
+ PS-4
+ PS-5
+ PS-6
+ PS-7
+ PS-8
+ RA-1
+ RA-2
+ RA-3
+ RA-4
+ RA-5
+ SA-1
+ SA-2
+ SA-3
+ SA-4
+ SA-5
+ SA-6
+ SA-7
+ SA-8
+ SA-9
+ SA-10
+ SA-11
+ SA-12
+ SA-13
+ SA-14
+ SC-1
+ SC-2
+ SC-3
+ SC-4
+ SC-5
+ SC-6
+ SC-7
+ SC-8
+ SC-9
+ SC-10
+ SC-11
+ SC-12
+ SC-13
+ SC-14
+ SC-15
+ SC-16
+ SC-17
+ SC-18
+ SC-19
+ SC-20
+ SC-21
+ SC-22
+ SC-23
+ SC-24
+ SC-25
+ SC-26
+ SC-27
+ SC-28
+ SC-29
+ SC-30
+ SC-31
+ SC-32
+ SC-33
+ SC-34
+ SI-1
+ SI-2
+ SI-3
+ SI-4
+ SI-5
+ SI-6
+ SI-7
+ SI-8
+ SI-9
+ SI-10
+ SI-11
+ SI-12
+ SI-13
+
+
+
+ P1
+ P2
+ P0
+ P3
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ 1
+ 2
+ 3
+ 4
+ 5
+ 6
+ 7
+ 8
+ 9
+ 10
+ 11
+ 12
+ 13
+ 14
+ 15
+ 16
+ 17
+ 18
+
+
+
+
+
+
+
+
+
+ HIGH
+ MODERATE
+
+
+
+
+ HIGH
+
+
+
+
diff --git a/working/README.md b/working/README.md
new file mode 100644
index 0000000000..cd79c37ef3
--- /dev/null
+++ b/working/README.md
@@ -0,0 +1,32 @@
+# OSCAL Schema and Instance Document Workspace
+
+This part of the repository contains artifacts that comprise the implementation of the OSCAL catalog and profile layers.
+
+The 'working' subdirectory contains the following:
+
+ * '[lib](lib)' - schemas along with Schematron, CSS, and XSLT files
+ * '[doc](doc)' - documentation including mapping documentation plus supporting code; any tag set docs will also be here
+ * '[COBIT5](COBIT5)' - OSCAL demo files for COBIT 5 (e.g., XML files for representing COBIT 5 excerpts in OSCAL format for demonstration purposes)
+ * '[ISO27002](ISO27002)' - OSCAL demo files for ISO 27002
+ * '[SP800-53](SP800-53)' - OSCAL demo files for NIST SP 800-53
+
+## Controls, not (only) the documents that describe them
+
+OSCAL represents a domain-specific language for the expression of collections of security and privacy controls in a control catalog.
+
+Inevitably there is a metaphysical grey zone between controls and the language by which they are defined and described. OSCAL attempts to normalize the semantics used to describe controls by providing a single format for which multiple control catalogs (e.g., NIST SP 800-53/53a, ISO/IEC 27001/2, COBIT 5) can be expressed. By normalizing semantics across control catalogs, control information can be expressed more consistently, allowing similar types of information provided in different catalogs to be expressed in the same format. This degree of normalization allows related concepts such as baselines and overlays to be expressed in a common format, called a profile, that can reference controls from one or more catalogs in a consistent format.
+
+### Validation
+
+In order to enable catalog and profile-specific validation, we have developed an alternative validation model. This additional validation model, called "declarations", provides support for a second "document level" validation layer. This allows much of the complexity that OSCAL must support to be moved away from the base schema. This results in a simpler schema (base tag set). For a given catalog or profile, OSCAL can be configured, extended, and fitted to new control types and applications, with no schema modification at all, using declarations.
+
+The new OSCAL offers a new validation model that will provide for easier customization. Instead of requiring schema aggregation or extension, customizing OSCAL is now accomplished by describing an "application usage" of OSCAL elements and class values (much like an HTML/CSS microformat). This set of constraints on controls can be expressed and codified in a set of OSCAL declarations, which can also provide a means of formal (runtime) enforcement. OSCAL declarations give developers and users the capability to define OSCAL control types without having to write any schema code.
+
+### Relationship to other document formats
+
+OSCAL captures chunks of transcribed natural/literate/technical language, i.e. "prose", but it also permits the rational arrangement of such chunks of language with more tightly controlled values (control properties and parameters). Applied systematically and at scale, such regular and rational arrangements enable higher-order transparencies that can translate into functionalities. In this, OSCAL goes further than documentary-description XML formats such as the National Information Standards Organization (NISO) Journal Article Tag Suite (JATS), the NISO Standard Tag Set (STS), the Darwin Information Typing Architecture (DITA), and other viable alternatives. This is not from OSCAL providing a "semantics" for "controls", but in offering a means by which an OSCAL application (or user or developer) may do so. Accordingly, it is expected that OSCAL would be complementary to any of the formats just mentioned.
+
+## oXygen demo guidelines
+
+Validations and "prettified" (formal) editing are configured for oXygen XML Editor, and sample documents are provided with the necessary glue code. However, software components invoked by these bindings, including XSLTs and CSSs, are standards-based, and everything done here with oXygen could be done on a different platform. Likewise, demonstrations we have produced thus far only *scratched the surface* of what is possible with OSCAL.
+
diff --git a/working/SP800-53/Convert-SP800-53-to-oscal.xsl b/working/SP800-53/Convert-SP800-53-to-oscal.xsl
new file mode 100644
index 0000000000..6fcf0eebf9
--- /dev/null
+++ b/working/SP800-53/Convert-SP800-53-to-oscal.xsl
@@ -0,0 +1,287 @@
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ NIST SP800-53
+
+
+
+
+ <xsl:value-of select="current-grouping-key()"/>
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ <xsl:apply-templates/>
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Parameter: ac-1_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: ac-1_b organization-defined frequency
+
+
+
Value: Every TOTAL ECLIPSE OF THE SUN!
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops, documents, and disseminates to ac-1_a organization-defined personnel or roles [organization-defined personnel or roles]:
+
+
+
+
+
+
+
1.
+
+
+
+
+
An access control policy that addresses purpose, scope, roles, responsibilities, management
+ commitment, coordination among organizational entities, and compliance; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Procedures to facilitate the implementation of the access control policy and associated
+ access controls; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the current:
+
+
+
+
+
+
1.
+
+
+
+
+
Access control policy ac-1_b Every TOTAL ECLIPSE OF THE SUN! [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Access control procedures ac-1_b Every TOTAL ECLIPSE OF THE SUN! [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the establishment of policy and procedures for the effective
+ implementation of selected security controls and control enhancements in the AC family.
+ Policy and procedures reflect applicable federal laws, Executive Orders, directives,
+ regulations, policies, standards, and guidance. Security program policies and procedures
+ at the organization level may make the need for system-specific policies and procedures
+ unnecessary. The policy can be included as part of the general information security
+ policy for organizations or conversely, can be represented by multiple policies reflecting
+ the complex nature of certain organizations. The procedures can be established for
+ the security program in general and for particular information systems, if needed.
+ The organizational risk management strategy is a key factor in establishing policy
+ and procedures.
+
develops and documents an access control policy that addresses:
+
+
+
+
+
+
[a]
+
+
+
+
+
purpose;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
scope;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
roles;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
responsibilities;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
management commitment;
+
+
+
+
+
+
+
+
+
+
+
[f]
+
+
+
+
+
coordination among organizational entities;
+
+
+
+
+
+
+
+
+
+
+
[g]
+
+
+
+
+
compliance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the access control policy are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the access control policy to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(a)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops and documents procedures to facilitate the implementation of the access control
+ policy and associated access control controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current access control policy;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current access control policy with the organization-defined
+ frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current access control procedures;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current access control procedures with the organization-defined
+ frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy and procedures
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with access control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-12
+
+
+
+
+
+
NIST Special Publication 800-100
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW AC-1
+
+
MOD AC-1
+
+
HIGH AC-1
+
+
+
+
+
+
+
+
AC-2 ACCOUNT MANAGEMENT
+
+
+
+
+
+
Parameter: ac-2_a organization-defined information system account types
+
+
+
Default: organization-defined information system account types
+
+
+
+
+
+
+
Parameter: ac-2_b organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: ac-2_c organization-defined procedures or conditions
+
+
+
Default: organization-defined procedures or conditions
+
+
+
+
+
+
+
Parameter: ac-2_d organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Identifies and selects the following types of information system accounts to support
+ organizational missions/business functions: ac-2_a organization-defined information system account types [organization-defined information system account types];
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Assigns account managers for information system accounts;
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Establishes conditions for group and role membership;
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Specifies authorized users of the information system, group and role membership, and
+ access authorizations (i.e., privileges) and other attributes (as required) for each
+ account;
+
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Requires approvals by ac-2_b organization-defined personnel or roles [organization-defined personnel or roles] for requests to create information system accounts;
+
+
+
+
+
+
+
+
+
+
+
+
f.
+
+
+
+
+
Creates, enables, modifies, disables, and removes information system accounts in accordance
+ with ac-2_c organization-defined procedures or conditions [organization-defined procedures or conditions];
+
+
+
+
+
+
+
+
+
+
+
+
g.
+
+
+
+
+
Monitors the use of information system accounts;
+
+
+
+
+
+
+
+
+
+
+
h.
+
+
+
+
+
Notifies account managers:
+
+
+
+
+
+
1.
+
+
+
+
+
When accounts are no longer required;
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
When users are terminated or transferred; and
+
+
+
+
+
+
+
+
+
+
+
3.
+
+
+
+
+
When individual information system usage or need-to-know changes;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
i.
+
+
+
+
+
Authorizes access to the information system based on:
+
+
+
+
+
+
1.
+
+
+
+
+
A valid access authorization;
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Intended system usage; and
+
+
+
+
+
+
+
+
+
+
+
3.
+
+
+
+
+
Other attributes as required by the organization or associated missions/business functions;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
j.
+
+
+
+
+
Reviews accounts for compliance with account management requirements ac-2_d organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
k.
+
+
+
+
+
Establishes a process for reissuing shared/group account credentials (if deployed)
+ when individuals are removed from the group.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Information system account types include, for example, individual, shared, group,
+ system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and
+ service. Some of the account management requirements listed above can be implemented
+ by organizational information systems. The identification of authorized users of the
+ information system and the specification of access privileges reflects the requirements
+ in other security controls in the security plan. Users requiring administrative privileges
+ on information system accounts receive additional scrutiny by appropriate organizational
+ personnel (e.g., system owner, mission/business owner, or chief information security
+ officer) responsible for approving such accounts and privileged access. Organizations
+ may choose to define access privileges or other attributes by account, by type of
+ account, or a combination of both. Other attributes required for authorizing access
+ include, for example, restrictions on time-of-day, day-of-week, and point-of-origin.
+ In defining other account attributes, organizations consider system-related requirements
+ (e.g., scheduled maintenance, system upgrades) and mission/business requirements,
+ (e.g., time zone differences, customer requirements, remote access to support travel
+ requirements). Failure to consider these factors could affect information system availability.
+ Temporary and emergency accounts are accounts intended for short-term use. Organizations
+ establish temporary accounts as a part of normal account activation procedures when
+ there is a need for short-term accounts without the demand for immediacy in account
+ activation. Organizations establish emergency accounts in response to crisis situations
+ and with the need for rapid account activation. Therefore, emergency account activation
+ may bypass normal account authorization processes. Emergency and temporary accounts
+ are not to be confused with infrequently used accounts (e.g., local logon accounts
+ used for special tasks defined by organizations or when network resources are unavailable).
+ Such accounts remain available and are not subject to automatic disabling or removal
+ dates. Conditions for disabling or deactivating accounts include, for example: (i)
+ when shared/group, emergency, or temporary accounts are no longer required; or (ii)
+ when individuals are transferred or terminated. Some types of information system accounts
+ may require specialized training.
+
defines information system account types to be identified and selected to support
+ organizational missions/business functions;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
identifies and selects organization-defined information system account types to support
+ organizational missions/business functions;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
assigns account managers for information system accounts;
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
establishes conditions for group and role membership;
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
specifies for each account (as required):
+
+
+
+
+
+
[1]
+
+
+
+
+
authorized users of the information system;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
group and role membership;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
access authorizations (i.e., privileges);
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
other attributes;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles required to approve requests to create information system
+ accounts;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires approvals by organization-defined personnel or roles for requests to create
+ information system accounts;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(f)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines procedures or conditions to:
+
+
+
+
+
+
[a]
+
+
+
+
+
create information system accounts;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
enable information system accounts;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
modify information system accounts;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
disable information system accounts;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
remove information system accounts;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
in accordance with organization-defined procedures or conditions:
+
+
+
+
+
+
[a]
+
+
+
+
+
creates information system accounts;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
enables information system accounts;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
modifies information system accounts;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
disables information system accounts;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
removes information system accounts;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(g)
+
+
+
+
+
monitors the use of information system accounts;
+
+
+
+
+
+
+
+
+
+
+
(h)
+
+
+
+
+
notifies account managers:
+
+
+
+
+
+
(1)
+
+
+
+
+
when accounts are no longer required;
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
when users are terminated or transferred;
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
when individual information system usage or need to know changes;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(i)
+
+
+
+
+
authorizes access to the information system based on;
+
+
+
+
+
+
(1)
+
+
+
+
+
a valid access authorization;
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
intended system usage;
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
other attributes as required by the organization or associated missions/business functions;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(j)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review accounts for compliance with account management requirements;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews accounts for compliance with account management requirements with the organization-defined
+ frequency; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(k)
+
+
+
+
+
establishes a process for reissuing shared/group account credentials (if deployed)
+ when individuals are removed from the group.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing account management
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of active system accounts along with the name of the individual associated with
+ each account
+
+
+
list of conditions for group and role membership
+
+
+
notifications or records of recently transferred, separated, or terminated employees
+
+
+
list of recently disabled information system accounts along with the name of the individual
+ associated with each account
+
+
+
access authorization records
+
+
+
account management compliance reviews
+
+
+
information system monitoring records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with account management responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes account management on the information system
+
+
+
automated mechanisms for implementing account management
+
+
+
+
+
+
Control enhancements
+
+
AC-2 (1) AUTOMATED SYSTEM ACCOUNT MANAGEMENT
+
+
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to support the management of information
+ system accounts.
+
+
+
+
+
Supplemental guidance
+
+
+
The use of automated mechanisms can include, for example: using email or text messaging
+ to automatically notify account managers when users are terminated or transferred;
+ using the information system to monitor account usage; and using telephonic notification
+ to report atypical system account usage.
+
+
+
+
+
Objective
+
+
+
Determine if the organization employs automated mechanisms to support the management
+ of information system accounts.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing account management
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with account management responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
AC-2 (2) REMOVAL OF TEMPORARY / EMERGENCY ACCOUNTS
+
+
+
+
+
+
Parameter: ac-2_e organization-defined time period for each type of account
+
+
+
Default: organization-defined time period for each type of account
+
+
+
+
+
+
+
+
Control
+
+
+
The information system automatically [Selection: removes; disables] temporary and
+ emergency accounts after ac-2_e organization-defined time period for each type of account [organization-defined time period for each type of account].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement requires the removal of both temporary and emergency accounts
+ automatically after a predefined period of time has elapsed, rather than at the convenience
+ of the systems administrator.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines the time period after which the information system automatically
+ removes or disables temporary and emergency accounts; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system automatically removes or disables temporary and emergency accounts
+ after the organization-defined time period for each type of account.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing account management
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system-generated list of temporary accounts removed and/or disabled
+
+
+
information system-generated list of emergency accounts removed and/or disabled
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with account management responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
Parameter: ac-2_g organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
+
Control
+
+
+
The information system automatically audits account creation, modification, enabling,
+ disabling, and removal actions, and notifies ac-2_g organization-defined personnel or roles [organization-defined personnel or roles].
+
Parameter: ac-2_h organization-defined time-period of expected inactivity or description of when to
+ log out
+
+
+
Default: organization-defined time-period of expected inactivity or description of when to
+ log out
+
+
+
+
+
+
+
Control
+
+
+
The organization requires that users log out when ac-2_h organization-defined time-period of expected inactivity or description of when to
+ log out [organization-defined time-period of expected inactivity or description of when to
+ log out].
+
defines either the time period of expected inactivity that requires users to log out
+ or the description of when users are required to log out; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires that users log out when the organization-defined time period of inactivity
+ is reached or in accordance with organization-defined description of when to log out.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing account management
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
security violation reports
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with account management responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
users that must comply with inactivity logout policy
+
+
+
+
+
+
+
AC-2 (6) DYNAMIC PRIVILEGE MANAGEMENT
+
+
+
+
+
+
Parameter: ac-2_i organization-defined list of dynamic privilege management capabilities
+
+
+
Default: organization-defined list of dynamic privilege management capabilities
+
+
+
+
+
+
Control
+
+
+
The information system implements the following dynamic privilege management capabilities:
+ ac-2_i organization-defined list of dynamic privilege management capabilities [organization-defined list of dynamic privilege management capabilities].
+
+
+
+
+
Supplemental guidance
+
+
+
In contrast to conventional access control approaches which employ static information
+ system accounts and predefined sets of user privileges, dynamic access control approaches
+ (e.g., service-oriented architectures) rely on run time access control decisions facilitated
+ by dynamic privilege management. While user identities may remain relatively constant
+ over time, user privileges may change more frequently based on ongoing mission/business
+ requirements and operational needs of organizations. Dynamic privilege management
+ can include, for example, the immediate revocation of privileges from users, as opposed
+ to requiring that users terminate and restart their sessions to reflect any changes
+ in privileges. Dynamic privilege management can also refer to mechanisms that change
+ the privileges of users based on dynamic rules as opposed to editing specific user
+ profiles. This type of privilege management includes, for example, automatic adjustments
+ of privileges if users are operating out of their normal work times, or if information
+ systems are under duress or in emergency maintenance situations. This control enhancement
+ also includes the ancillary effects of privilege changes, for example, the potential
+ changes to encryption keys used for communications. Dynamic privilege management can
+ support requirements for information system resiliency.
+
the organization defines a list of dynamic privilege management capabilities to be
+ implemented by the information system; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system implements the organization-defined list of dynamic privilege
+ management capabilities.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing account management
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
system-generated list of dynamic privilege management capabilities
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with account management responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Information system implementing dynamic privilege management capabilities
+
+
+
+
+
+
+
AC-2 (7) ROLE-BASED SCHEMES
+
+
+
+
+
+
Parameter: ac-2_j organization-defined actions
+
+
+
Default: organization-defined actions
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Establishes and administers privileged user accounts in accordance with a role-based
+ access scheme that organizes allowed information system access and privileges into
+ roles;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Monitors privileged role assignments; and
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
Takes ac-2_j organization-defined actions [organization-defined actions] when privileged role assignments are no longer appropriate.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Privileged roles are organization-defined roles assigned to individuals that allow
+ those individuals to perform certain security-relevant functions that ordinary users
+ are not authorized to perform. These privileged roles include, for example, key management,
+ account management, network and system administration, database administration, and
+ web administration.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
establishes and administers privileged user accounts in accordance with a role-based
+ access scheme that organizes allowed information system access and privileges into
+ roles;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
monitors privileged role assignments;
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines actions to be taken when privileged role assignments are no longer appropriate;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
takes organization-defined actions when privileged role assignments are no longer
+ appropriate.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing account management
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system-generated list of privileged user accounts and associated role
+
+
+
records of actions taken when privileged role assignments are no longer appropriate
+
+
+
information system audit records
+
+
+
audit tracking and monitoring reports
+
+
+
information system monitoring records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with account management responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
automated mechanisms monitoring privileged role assignments
+
+
+
+
+
+
+
AC-2 (8) DYNAMIC ACCOUNT CREATION
+
+
+
+
+
+
Parameter: ac-2_k organization-defined information system accounts
+
+
+
Default: organization-defined information system accounts
+
+
+
+
+
+
Control
+
+
+
The information system creates ac-2_k organization-defined information system accounts [organization-defined information system accounts] dynamically.
+
+
+
+
+
Supplemental guidance
+
+
+
Dynamic approaches for creating information system accounts (e.g., as implemented
+ within service-oriented architectures) rely on establishing accounts (identities)
+ at run time for entities that were previously unknown. Organizations plan for dynamic
+ creation of information system accounts by establishing trust relationships and mechanisms
+ with the appropriate authorities to validate related authorizations and privileges.
+
AC-2 (9) RESTRICTIONS ON USE OF SHARED / GROUP ACCOUNTS
+
+
+
+
+
+
Parameter: ac-2_l organization-defined conditions for establishing shared/group accounts
+
+
+
Default: organization-defined conditions for establishing shared/group accounts
+
+
+
+
+
+
Control
+
+
+
The organization only permits the use of shared/group accounts that meet ac-2_l organization-defined conditions for establishing shared/group accounts [organization-defined conditions for establishing shared/group accounts].
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines conditions for establishing shared/group accounts; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
only permits the use of shared/group accounts that meet organization-defined conditions
+ for establishing shared/group accounts.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing account management
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
system-generated list of shared/group accounts and associated role
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with account management responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing management of shared/group accounts
+
+
+
+
+
+
+
AC-2 (10) SHARED / GROUP ACCOUNT CREDENTIAL TERMINATION
+
+
+
+
+
Control
+
+
+
The information system terminates shared/group account credentials when members leave
+ the group.
+
+
+
+
+
Objective
+
+
+
Determine if the information system terminates shared/group account credentials when
+ members leave the group.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing account management
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
account access termination records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with account management responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
Parameter: ac-2_n organization-defined information system accounts
+
+
+
Default: organization-defined information system accounts
+
+
+
+
+
+
+
Control
+
+
+
The information system enforces ac-2_m organization-defined circumstances and/or usage conditions [organization-defined circumstances and/or usage conditions] for ac-2_n organization-defined information system accounts [organization-defined information system accounts].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations can describe the specific conditions or circumstances under which information
+ system accounts can be used, for example, by restricting usage to certain days of
+ the week, time of day, or specific durations of time.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines circumstances and/or usage conditions to be enforced for
+ information system accounts;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines information system accounts for which organization-defined
+ circumstances and/or usage conditions are to be enforced; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system enforces organization-defined circumstances and/or usage conditions
+ for organization-defined information system accounts.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing account management
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
system-generated list of information system accounts and associated assignments of
+ usage circumstances and/or usage conditions
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with account management responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
Parameter: ac-2_p organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Monitors information system accounts for ac-2_o organization-defined atypical usage [organization-defined atypical usage]; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Reports atypical usage of information system accounts to ac-2_p organization-defined personnel or roles [organization-defined personnel or roles].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Atypical usage includes, for example, accessing information systems at certain times
+ of the day and from locations that are not consistent with the normal usage patterns
+ of individuals working in organizations.
+
AC-2 (13) DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS
+
+
+
+
+
+
Parameter: ac-2_q organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
Control
+
+
+
The organization disables accounts of users posing a significant risk within ac-2_q organization-defined time period [organization-defined time period] of discovery of the risk.
+
+
+
+
+
Supplemental guidance
+
+
+
Users posing a significant risk to organizations include individuals for whom reliable
+ evidence or intelligence indicates either the intention to use authorized access to
+ information systems to cause harm or through whom adversaries will cause harm. Harm
+ includes potential adverse impacts to organizational operations and assets, individuals,
+ other organizations, or the Nation. Close coordination between authorizing officials,
+ information system administrators, and human resource managers is essential in order
+ for timely execution of this control enhancement.
+
The information system enforces approved authorizations for logical access to information
+ and system resources in accordance with applicable access control policies.
+
+
+
+
+
Supplemental guidance
+
+
+
Access control policies (e.g., identity-based policies, role-based policies, control
+ matrices, cryptography) control access between active entities or subjects (i.e.,
+ users or processes acting on behalf of users) and passive entities or objects (e.g.,
+ devices, files, records, domains) in information systems. In addition to enforcing
+ authorized access at the information system level and recognizing that information
+ systems can host many applications and services in support of organizational missions
+ and business operations, access enforcement mechanisms can also be employed at the
+ application and service level to provide increased information security.
+
Determine if the information system enforces approved authorizations for logical access
+ to information and system resources in accordance with applicable access control policies.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing access enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of approved authorizations (user privileges)
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with access enforcement responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing access control policy
+
+
+
+
+
+
Control enhancements
+
+
AC-3 (1) RESTRICTED ACCESS TO PRIVILEGED FUNCTIONS
+
Parameter: ac-3_a organization-defined privileged commands and/or other organization-defined actions
+
+
+
Default: organization-defined privileged commands and/or other organization-defined actions
+
+
+
+
+
+
Control
+
+
+
The information system enforces dual authorization for ac-3_a organization-defined privileged commands and/or other organization-defined actions [organization-defined privileged commands and/or other organization-defined actions].
+
+
+
+
+
Supplemental guidance
+
+
+
Dual authorization mechanisms require the approval of two authorized individuals in
+ order to execute. Organizations do not require dual authorization mechanisms when
+ immediate responses are necessary to ensure public and environmental safety. Dual
+ authorization may also be known as two-person control.
+
the organization defines privileged commands and/or other actions for which dual authorization
+ is to be enforced; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system enforces dual authorization for organization-defined privileged
+ commands and/or other organization-defined actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing access enforcement and dual authorization
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of privileged commands requiring dual authorization
+
+
+
list of actions requiring dual authorization
+
+
+
list of approved authorizations (user privileges)
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with access enforcement responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Dual authorization mechanisms implementing access control policy
+
+
+
+
+
+
+
AC-3 (3) MANDATORY ACCESS CONTROL
+
+
+
+
+
+
Parameter: ac-3_b organization-defined mandatory access control policy
+
+
+
Default: organization-defined mandatory access control policy
+
+
+
+
+
+
+
Parameter: ac-3_c organization-defined subjects
+
+
+
Default: organization-defined subjects
+
+
+
+
+
+
+
Parameter: ac-3_d organization-defined privileges (i.e., they are trusted subjects)
+
+
+
Default: organization-defined privileges (i.e., they are trusted subjects)
+
+
+
+
+
+
+
+
+
+
+
+
The information system enforces ac-3_b organization-defined mandatory access control policy [organization-defined mandatory access control policy] over all subjects and objects where the policy:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
Is uniformly enforced across all subjects and objects within the boundary of the information
+ system;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Specifies that a subject that has been granted access to information is constrained
+ from doing any of the following;
+
+
+
+
+
+
+
(1)
+
+
+
+
+
Passing the information to unauthorized subjects or objects;
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
Granting its privileges to other subjects;
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
Changing one or more security attributes on subjects, objects, the information system,
+ or information system components;
+
+
+
+
+
+
+
+
+
+
+
+
(4)
+
+
+
+
+
Choosing the security attributes and attribute values to be associated with newly
+ created or modified objects; or
+
+
+
+
+
+
+
+
+
+
+
+
(5)
+
+
+
+
+
Changing the rules governing access control; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
Specifies that ac-3_c organization-defined subjects [organization-defined subjects] may explicitly be granted ac-3_d organization-defined privileges (i.e., they are trusted subjects) [organization-defined privileges (i.e., they are trusted subjects)] such that they are not limited by some or all of the above constraints.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Mandatory access control as defined in this control enhancement is synonymous with
+ nondiscretionary access control, and is not constrained only to certain historical
+ uses (e.g., implementations using the Bell-LaPadula Model). The above class of mandatory
+ access control policies constrains what actions subjects can take with information
+ obtained from data objects for which they have already been granted access, thus preventing
+ the subjects from passing the information to unauthorized subjects and objects. This
+ class of mandatory access control policies also constrains what actions subjects can
+ take with respect to the propagation of access control privileges; that is, a subject
+ with a privilege cannot pass that privilege to other subjects. The policy is uniformly
+ enforced over all subjects and objects to which the information system has control.
+ Otherwise, the access control policy can be circumvented. This enforcement typically
+ is provided via an implementation that meets the reference monitor concept (see AC-25).
+ The policy is bounded by the information system boundary (i.e., once the information
+ is passed outside of the control of the system, additional means may be required to
+ ensure that the constraints on the information remain in effect). The trusted subjects
+ described above are granted privileges consistent with the concept of least privilege
+ (see AC-6). Trusted subjects are only given the minimum privileges relative to the
+ above policy necessary for satisfying organizational mission/business needs. The control
+ is most applicable when there is some policy mandate (e.g., law, Executive Order,
+ directive, or regulation) that establishes a policy regarding access to sensitive/classified
+ information and some users of the information system are not authorized access to
+ all sensitive/classified information resident in the information system. This control
+ can operate in conjunction with AC-3 (4). A subject that is constrained in its operation
+ by policies governed by this control is still able to operate under the less rigorous
+ constraints of AC-3 (4), but policies governed by this control take precedence over
+ the less rigorous constraints of AC-3 (4). For example, while a mandatory access control
+ policy imposes a constraint preventing a subject from passing information to another
+ subject operating at a different sensitivity label, AC-3 (4) permits the subject to
+ pass the information to any subject with the same sensitivity label as the subject.
+
the organization defines mandatory access control policies to be enforced over all
+ subjects and objects;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines subjects over which organization-defined mandatory access
+ control policies are to be enforced;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the organization defines objects over which organization-defined mandatory access
+ control policies are to be enforced;
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
the organization defines subjects that may explicitly be granted privileges such that
+ they are not limited by the constraints specified elsewhere within this control;
+
+
+
+
+
+
+
+
+
+
+
+
[5]
+
+
+
+
+
the organization defines privileges that may be granted to organization-defined subjects;
+
+
+
+
+
+
+
+
+
+
+
[6]
+
+
+
+
+
the information system enforces organization-defined mandatory access control policies
+ over all subjects and objects where the policy specifies that:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
the policy is uniformly enforced across all subjects and objects within the boundary
+ of the information system;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
a subject that has been granted access to information is constrained from doing any
+ of the following:
+
+
+
+
+
+
+
(1)
+
+
+
+
+
passing the information to unauthorized subjects or objects;
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
granting its privileges to other subjects;
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
changing one or more security attributes on:
+
+
+
+
+
+
[a]
+
+
+
+
+
subjects;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
objects;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
the information system; or
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
system components;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(4)
+
+
+
+
+
choosing the security attributes and attribute values to be associated with newly
+ created or modified objects; or
+
+
+
+
+
+
+
+
+
+
+
+
(5)
+
+
+
+
+
changing the rules governing access control; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
organization-defined subjects may explicitly be granted organization-defined privileges
+ such that they are not limited by some or all of the above constraints.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
mandatory access control policies
+
+
+
procedures addressing access enforcement
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of subjects and objects (i.e., users and resources) requiring enforcement of
+ mandatory access control policies
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with access enforcement responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing mandatory access control
+
+
+
+
+
+
+
AC-3 (4) DISCRETIONARY ACCESS CONTROL
+
+
+
+
+
+
Parameter: ac-3_e organization-defined discretionary access control policy
+
+
+
Default: organization-defined discretionary access control policy
+
+
+
+
+
+
+
+
+
+
+
+
The information system enforces ac-3_e organization-defined discretionary access control policy [organization-defined discretionary access control policy] over defined subjects and objects where the policy specifies that a subject that
+ has been granted access to information can do one or more of the following:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
Pass the information to any other subjects or objects;
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Grant its privileges to other subjects;
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
Change security attributes on subjects, objects, the information system, or the information
+ system�s components;
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
Choose the security attributes to be associated with newly created or revised objects;
+ or
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
Change the rules governing access control.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
When discretionary access control policies are implemented, subjects are not constrained
+ with regard to what actions they can take with information for which they have already
+ been granted access. Thus, subjects that have been granted access to information are
+ not prevented from passing (i.e., the subjects have the discretion to pass) the information
+ to other subjects or objects. This control enhancement can operate in conjunction
+ with AC-3 (3). A subject that is constrained in its operation by policies governed
+ by AC-3 (3) is still able to operate under the less rigorous constraints of this control
+ enhancement. Thus, while AC-3 (3) imposes constraints preventing a subject from passing
+ information to another subject operating at a different sensitivity level, AC-3 (4)
+ permits the subject to pass the information to any subject at the same sensitivity
+ level. The policy is bounded by the information system boundary. Once the information
+ is passed outside of the control of the information system, additional means may be
+ required to ensure that the constraints remain in effect. While the older, more traditional
+ definitions of discretionary access control require identity-based access control,
+ that limitation is not required for this use of discretionary access control.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines discretionary access control policies to be enforced over
+ defined subjects and objects;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system enforces organization-defined discretionary access control
+ policies over defined subjects and objects where the policy specifies that a subject
+ has been granted access to information and can do one or more of the following:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
pass the information to any other subjects or objects;
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
grant its privileges to other subjects;
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
change security attributes on:
+
+
+
+
+
+
[a]
+
+
+
+
+
subjects,
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
objects,
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
the information system, or
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
the information system’s components;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
choose the security attributes to be associated with newly created or revised objects;
+ or
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
change the rules governing access control.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
discretionary access control policies
+
+
+
procedures addressing access enforcement
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of subjects and objects (i.e., users and resources) requiring enforcement of
+ discretionary access control policies
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with access enforcement responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing discretionary access control policy
+
+
+
+
+
+
+
AC-3 (5) SECURITY-RELEVANT INFORMATION
+
+
+
+
+
+
Parameter: ac-3_f organization-defined security-relevant information
+
+
+
Default: organization-defined security-relevant information
+
+
+
+
+
+
Control
+
+
+
The information system prevents access to ac-3_f organization-defined security-relevant information [organization-defined security-relevant information] except during secure, non-operable system states.
+
+
+
+
+
Supplemental guidance
+
+
+
Security-relevant information is any information within information systems that can
+ potentially impact the operation of security functions or the provision of security
+ services in a manner that could result in failure to enforce system security policies
+ or maintain the isolation of code and data. Security-relevant information includes,
+ for example, filtering rules for routers/firewalls, cryptographic key management information,
+ configuration parameters for security services, and access control lists. Secure,
+ non-operable system states include the times in which information systems are not
+ performing mission/business-related processing (e.g., the system is off-line for maintenance,
+ troubleshooting, boot-up, shut down).
+
the organization defines security-relevant information to which the information system
+ prevents access except during secure, non-operable system states; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system prevents access to organization-defined security-relevant information
+ except during secure, non-operable system states.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing access enforcement
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with access enforcement responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms preventing access to security-relevant information within the
+ information system
+
+
+
+
+
+
+
AC-3 (6) PROTECTION OF USER AND SYSTEM INFORMATION
+
Parameter: ac-3_g organization-defined roles and users authorized to assume such roles
+
+
+
Default: organization-defined roles and users authorized to assume such roles
+
+
+
+
+
+
Control
+
+
+
The information system enforces a role-based access control policy over defined subjects
+ and objects and controls access based upon ac-3_g organization-defined roles and users authorized to assume such roles [organization-defined roles and users authorized to assume such roles].
+
+
+
+
+
Supplemental guidance
+
+
+
Role-based access control (RBAC) is an access control policy that restricts information
+ system access to authorized users. Organizations can create specific roles based on
+ job functions and the authorizations (i.e., privileges) to perform needed operations
+ on organizational information systems associated with the organization-defined roles.
+ When users are assigned to the organizational roles, they inherit the authorizations
+ or privileges defined for those roles. RBAC simplifies privilege administration for
+ organizations because privileges are not assigned directly to every user (which can
+ be a significant number of individuals for mid- to large-size organizations) but are
+ instead acquired through role assignments. RBAC can be implemented either as a mandatory
+ or discretionary form of access control. For organizations implementing RBAC with
+ mandatory access controls, the requirements in AC-3 (3) define the scope of the subjects
+ and objects covered by the policy.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines roles to control information system access;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines users authorized to assume the organization-defined roles;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system controls access based on organization-defined roles and users
+ authorized to assume such roles;
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
the information system enforces a role-based access control policy over defined:
+
+
+
+
+
+
[a]
+
+
+
+
+
subjects, and
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
objects.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
role-based access control policies
+
+
+
procedures addressing access enforcement
+
+
+
security plan, information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of roles, users, and associated privileges required to control information system
+ access
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with access enforcement responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing role-based access control policy
+
+
+
+
+
+
+
AC-3 (8) REVOCATION OF ACCESS AUTHORIZATIONS
+
+
+
+
+
+
Parameter: ac-3_h organization-defined rules governing the timing of revocations of access authorizations
+
+
+
Default: organization-defined rules governing the timing of revocations of access authorizations
+
+
+
+
+
+
Control
+
+
+
The information system enforces the revocation of access authorizations resulting
+ from changes to the security attributes of subjects and objects based on ac-3_h organization-defined rules governing the timing of revocations of access authorizations [organization-defined rules governing the timing of revocations of access authorizations].
+
+
+
+
+
Supplemental guidance
+
+
+
Revocation of access rules may differ based on the types of access revoked. For example,
+ if a subject (i.e., user or process) is removed from a group, access may not be revoked
+ until the next time the object (e.g., file) is opened or until the next time the subject
+ attempts a new access to the object. Revocation based on changes to security labels
+ may take effect immediately. Organizations can provide alternative approaches on how
+ to make revocations immediate if information systems cannot provide such capability
+ and immediate revocation is necessary.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines rules governing the timing of revocations of access authorizations;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system enforces the revocation of access authorizations resulting
+ from changes to the security attributes of subjects and objects based on organization-defined
+ rules governing the timing of revocations of access authorizations.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing access enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
rules governing revocation of access authorizations, information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with access enforcement responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
The information system does not release information outside of the established system
+ boundary unless:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
The receiving ac-3_i organization-defined information system or system component [organization-defined information system or system component] provides ac-3_j organization-defined security safeguards [organization-defined security safeguards]; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+ ac-3_k organization-defined security safeguards [organization-defined security safeguards] are used to validate the appropriateness of the information designated for release.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Information systems can only protect organizational information within the confines
+ of established system boundaries. Additional security safeguards may be needed to
+ ensure that such information is adequately protected once it is passed beyond the
+ established information system boundaries. Examples of information leaving the system
+ boundary include transmitting information to an external information system or printing
+ the information on one of its printers. In cases where the information system is unable
+ to make a determination of the adequacy of the protections provided by entities outside
+ its boundary, as a mitigating control, organizations determine procedurally whether
+ the external information systems are providing adequate security. The means used to
+ determine the adequacy of the security provided by external information systems include,
+ for example, conducting inspections or periodic testing, establishing agreements between
+ the organization and its counterpart organizations, or some other process. The means
+ used by external entities to protect the information received need not be the same
+ as those used by the organization, but the means employed are sufficient to provide
+ consistent adjudication of the security policy to protect the information. This control
+ enhancement requires information systems to employ technical or procedural means to
+ validate the information prior to releasing it to external systems. For example, if
+ the information system passes information to another system controlled by another
+ organization, technical means are employed to validate that the security attributes
+ associated with the exported information are appropriate for the receiving system.
+ Alternatively, if the information system passes information to a printer in organization-controlled
+ space, procedural means can be employed to ensure that only appropriately authorized
+ individuals gain access to the printer. This control enhancement is most applicable
+ when there is some policy mandate (e.g., law, Executive Order, directive, or regulation)
+ that establishes policy regarding access to the information, and that policy applies
+ beyond the realm of a particular information system or organization.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines the information system or system component authorized to
+ receive information released outside of the established system boundary of the information
+ system releasing such information;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines security safeguards to be provided by organization-defined
+ information system or system component receiving information released from an information
+ system outside of the established system boundary;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the organization defines security safeguards to be used to validate the appropriateness
+ of the information designated for release;
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
the information system does not release information outside of the established system
+ boundary unless:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
the receiving organization-defined information system or system component provides
+ organization-defined security safeguards; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
the organization-defined security safeguards are used to validate the appropriateness
+ of the information designated for release.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing access enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of security safeguards provided by receiving information system or system components
+
+
+
list of security safeguards validating appropriateness of information designated for
+ release
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with access enforcement responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
The organization employs an audited override of automated access control mechanisms
+ under ac-3_l organization-defined conditions [organization-defined conditions].
+
Parameter: ac-4_a organization-defined information flow control policies
+
+
+
Default: organization-defined information flow control policies
+
+
+
+
+
+
+
+
+
Control
+
+
+
The information system enforces approved authorizations for controlling the flow of
+ information within the system and between interconnected systems based on ac-4_a organization-defined information flow control policies [organization-defined information flow control policies].
+
+
+
+
+
Supplemental guidance
+
+
+
Information flow control regulates where information is allowed to travel within an
+ information system and between information systems (as opposed to who is allowed to
+ access the information) and without explicit regard to subsequent accesses to that
+ information. Flow control restrictions include, for example, keeping export-controlled
+ information from being transmitted in the clear to the Internet, blocking outside
+ traffic that claims to be from within the organization, restricting web requests to
+ the Internet that are not from the internal web proxy server, and limiting information
+ transfers between organizations based on data structures and content. Transferring
+ information between information systems representing different security domains with
+ different security policies introduces risk that such transfers violate one or more
+ domain security policies. In such situations, information owners/stewards provide
+ guidance at designated policy enforcement points between interconnected systems. Organizations
+ consider mandating specific architectural solutions when required to enforce specific
+ security policies. Enforcement includes, for example: (i) prohibiting information
+ transfers between interconnected systems (i.e., allowing access only); (ii) employing
+ hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy
+ regrading mechanisms to reassign security attributes and security labels.
+ Organizations commonly employ information flow control policies and enforcement mechanisms
+ to control the flow of information between designated sources and destinations (e.g.,
+ networks, individuals, and devices) within information systems and between interconnected
+ systems. Flow control is based on the characteristics of the information and/or the
+ information path. Enforcement occurs, for example, in boundary protection devices
+ (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets
+ or establish configuration settings that restrict information system services, provide
+ a packet-filtering capability based on header information, or message-filtering capability
+ based on message content (e.g., implementing key word searches or using document characteristics).
+ Organizations also consider the trustworthiness of filtering/inspection mechanisms
+ (i.e., hardware, firmware, and software components) that are critical to information
+ flow enforcement. Control enhancements 3 through 22 primarily address cross-domain
+ solution needs which focus on more advanced filtering techniques, in-depth analysis,
+ and stronger flow enforcement mechanisms implemented in cross-domain products, for
+ example, high-assurance guards. Such capabilities are generally not available in commercial
+ off-the-shelf information technology products.
+
the organization defines information flow control policies to control the flow of
+ information within the system and between interconnected systems; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system enforces approved authorizations for controlling the flow of
+ information within the system and between interconnected systems based on organization-defined
+ information flow control policies.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
information flow control policies
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system baseline configuration
+
+
+
list of information flow authorizations
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information flow enforcement policy
+
Parameter: ac-4_c organization-defined information, source, and destination objects
+
+
+
Default: organization-defined information, source, and destination objects
+
+
+
+
+
+
+
Parameter: ac-4_d organization-defined information flow control policies
+
+
+
Default: organization-defined information flow control policies
+
+
+
+
+
+
Control
+
+
+
The information system uses ac-4_b organization-defined security attributes [organization-defined security attributes] associated with ac-4_c organization-defined information, source, and destination objects [organization-defined information, source, and destination objects] to enforce ac-4_d organization-defined information flow control policies [organization-defined information flow control policies] as a basis for flow control decisions.
+
+
+
+
+
Supplemental guidance
+
+
+
Information flow enforcement mechanisms compare security attributes associated with
+ information (data content and data structure) and source/destination objects, and
+ respond appropriately (e.g., block, quarantine, alert administrator) when the mechanisms
+ encounter information flows not explicitly allowed by information flow policies. For
+ example, an information object labeled Secret would be allowed to flow to a destination
+ object labeled Secret, but an information object labeled Top Secret would not be allowed
+ to flow to a destination object labeled Secret. Security attributes can also include,
+ for example, source and destination addresses employed in traffic filter firewalls.
+ Flow enforcement using explicit security attributes can be used, for example, to control
+ the release of certain types of information.
+
the organization defines information flow control policies as a basis for flow control
+ decisions;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines security attributes to be associated with information, source,
+ and destination objects;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the organization defines the following objects to be associated with organization-defined
+ security attributes:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
information;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
source;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
destination; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
the information system uses organization-defined security attributes associated with
+ organization-defined information, source, and destination objects to enforce organization-defined
+ information flow control policies as a basis for flow control decisions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
information flow control policies
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of security attributes and associated information, source, and destination objects
+ enforcing information flow control policies
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information flow enforcement policy
+
+
+
+
+
+
+
AC-4 (2) PROCESSING DOMAINS
+
+
+
+
+
+
Parameter: ac-4_e organization-defined information flow control policies
+
+
+
Default: organization-defined information flow control policies
+
+
+
+
+
+
Control
+
+
+
The information system uses protected processing domains to enforce ac-4_e organization-defined information flow control policies [organization-defined information flow control policies] as a basis for flow control decisions.
+
+
+
+
+
Supplemental guidance
+
+
+
Within information systems, protected processing domains are processing spaces that
+ have controlled interactions with other processing spaces, thus enabling control of
+ information flows between these spaces and to/from data/information objects. A protected
+ processing domain can be provided, for example, by implementing domain and type enforcement.
+ In domain and type enforcement, information system processes are assigned to domains;
+ information is identified by types; and information flows are controlled based on
+ allowed information accesses (determined by domain and type), allowed signaling among
+ domains, and allowed process transitions to other domains.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines information flow control policies as a basis for flow control
+ decisions; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system uses protected processing domains to enforce organization-defined
+ information flow control policies as a basis for flow control decisions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
information flow control policies
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system security architecture and associated documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information flow enforcement policy
+
+
+
+
+
+
+
AC-4 (3) DYNAMIC INFORMATION FLOW CONTROL
+
+
+
+
+
+
Parameter: ac-4_f organization-defined policies
+
+
+
Default: organization-defined policies
+
+
+
+
+
+
Control
+
+
+
The information system enforces dynamic information flow control based on ac-4_f organization-defined policies [organization-defined policies].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizational policies regarding dynamic information flow control include, for example,
+ allowing or disallowing information flows based on changing conditions or mission/operational
+ considerations. Changing conditions include, for example, changes in organizational
+ risk tolerance due to changes in the immediacy of mission/business needs, changes
+ in the threat environment, and detection of potentially harmful or adverse events.
+
the organization defines policies to enforce dynamic information flow control; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system enforces dynamic information flow control based on organization-defined
+ policies.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
information flow control policies
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system security architecture and associated documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information flow enforcement policy
+
+
+
+
+
+
+
AC-4 (4) CONTENT CHECK ENCRYPTED INFORMATION
+
+
+
+
+
+
Parameter: ac-4_g organization-defined procedure or method
+
+
+
Default: organization-defined procedure or method
+
+
+
+
+
+
Control
+
+
+
The information system prevents encrypted information from bypassing content-checking
+ mechanisms by [Selection (one or more): decrypting the information; blocking the flow
+ of the encrypted information; terminating communications sessions attempting to pass
+ encrypted information; ac-4_g organization-defined procedure or method [organization-defined procedure or method]].
+
The information system enforces ac-4_h organization-defined limitations [organization-defined limitations] on embedding data types within other data types.
+
+
+
+
+
Supplemental guidance
+
+
+
Embedding data types within other data types may result in reduced flow control effectiveness.
+ Data type embedding includes, for example, inserting executable files as objects within
+ word processing files, inserting references or descriptive information into a media
+ file, and compressed or archived data types that may include multiple embedded data
+ types. Limitations on data type embedding consider the levels of embedding and prohibit
+ levels of data type embedding that are beyond the capability of the inspection tools.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines limitations to be enforced on embedding data types within
+ other data types; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system enforces organization-defined limitations on embedding data
+ types within other data types.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of limitations to be enforced on embedding data types within other data types
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information flow enforcement policy
+
+
+
+
+
+
+
AC-4 (6) METADATA
+
+
+
+
+
+
Parameter: ac-4_i organization-defined metadata
+
+
+
Default: organization-defined metadata
+
+
+
+
+
+
Control
+
+
+
The information system enforces information flow control based on ac-4_i organization-defined metadata [organization-defined metadata].
+
+
+
+
+
Supplemental guidance
+
+
+
Metadata is information used to describe the characteristics of data. Metadata can
+ include structural metadata describing data structures (e.g., data format, syntax,
+ and semantics) or descriptive metadata describing data contents (e.g., age, location,
+ telephone number). Enforcing allowed information flows based on metadata enables simpler
+ and more effective flow control. Organizations consider the trustworthiness of metadata
+ with regard to data accuracy (i.e., knowledge that the metadata values are correct
+ with respect to the data), data integrity (i.e., protecting against unauthorized changes
+ to metadata tags), and the binding of metadata to the data payload (i.e., ensuring
+ sufficiently strong binding techniques with appropriate levels of assurance).
+
the organization defines metadata to be used as a means of enforcing information flow
+ control; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system enforces information flow control based on organization-defined
+ metadata.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
information flow control policies
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
types of metadata used to enforce information flow control decisions
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information flow enforcement policy
+
+
+
+
+
+
+
AC-4 (7) ONE-WAY FLOW MECHANISMS
+
+
+
+
+
+
Parameter: ac-4_j organization-defined one-way information flows
+
+
+
Default: organization-defined one-way information flows
+
+
+
+
+
+
Control
+
+
+
The information system enforces ac-4_j organization-defined one-way information flows [organization-defined one-way information flows] using hardware mechanisms.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines one-way information flows to be enforced by the information
+ system; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system enforces organization-defined one-way information flows using
+ hardware mechanisms.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
information flow control policies
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system hardware mechanisms and associated configurations
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Hardware mechanisms implementing information flow enforcement policy
+
Parameter: ac-4_l organization-defined information flows
+
+
+
Default: organization-defined information flows
+
+
+
+
+
+
Control
+
+
+
The information system enforces information flow control using ac-4_k organization-defined security policy filters [organization-defined security policy filters] as a basis for flow control decisions for ac-4_l organization-defined information flows [organization-defined information flows].
+
+
+
+
+
Supplemental guidance
+
+
+
Organization-defined security policy filters can address data structures and content.
+ For example, security policy filters for data structures can check for maximum file
+ lengths, maximum field sizes, and data/file types (for structured and unstructured
+ data). Security policy filters for data content can check for specific words (e.g.,
+ dirty/clean word filters), enumerated values or data value ranges, and hidden content.
+ Structured data permits the interpretation of data content by applications. Unstructured
+ data typically refers to digital information without a particular data structure or
+ with a data structure that does not facilitate the development of rule sets to address
+ the particular sensitivity of the information conveyed by the data or the associated
+ flow enforcement decisions. Unstructured data consists of: (i) bitmap objects that
+ are inherently non language-based (i.e., image, video, or audio files); and (ii) textual
+ objects that are based on written or printed languages (e.g., commercial off-the-shelf
+ word processing documents, spreadsheets, or emails). Organizations can implement more
+ than one security policy filter to meet information flow control objectives (e.g.,
+ employing clean word lists in conjunction with dirty word lists may help to reduce
+ false positives).
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines security policy filters to be used as a basis for enforcing
+ flow control decisions;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines information flows for which flow control decisions are to
+ be applied and enforced; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system enforces information flow control using organization-defined
+ security policy filters as a basis for flow control decisions for organization-defined
+ information flows.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
information flow control policies
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of security policy filters regulating flow control decisions
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information flow enforcement policy
+
+
+
+
+
+
+
AC-4 (9) HUMAN REVIEWS
+
+
+
+
+
+
Parameter: ac-4_m organization-defined information flows
+
The information system enforces the use of human reviews for ac-4_m organization-defined information flows [organization-defined information flows] under the following conditions: ac-4_n organization-defined conditions [organization-defined conditions].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations define security policy filters for all situations where automated flow
+ control decisions are possible. When a fully automated flow control decision is not
+ possible, then a human review may be employed in lieu of, or as a complement to, automated
+ security policy filtering. Human reviews may also be employed as deemed necessary
+ by organizations.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines information flows requiring the use of human reviews;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines conditions under which the use of human reviews for organization-defined
+ information flows is to be enforced; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system enforces the use of human reviews for organization-defined
+ information flows under organization-defined conditions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
information flow control policies
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
records of human reviews regarding information flows
+
+
+
list of conditions requiring human reviews for information flows
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with information flow enforcement responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms enforcing the use of human reviews
+
The information system provides the capability for privileged administrators to enable/disable
+ ac-4_o organization-defined security policy filters [organization-defined security policy filters] under the following conditions: ac-4_p organization-defined conditions [organization-defined conditions].
+
+
+
+
+
Supplemental guidance
+
+
+
For example, as allowed by the information system authorization, administrators can
+ enable security policy filters to accommodate approved data types.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines security policy filters that privileged administrators have
+ the capability to enable/disable;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization-defined conditions under which privileged administrators have the
+ capability to enable/disable organization-defined security policy filters; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system provides the capability for privileged administrators to enable/disable
+ organization-defined security policy filters under organization-defined conditions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
information flow information policies
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of security policy filters enabled/disabled by privileged administrators
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for enabling/disabling security policy
+ filters
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information flow enforcement policy
+
+
+
+
+
+
+
AC-4 (11) CONFIGURATION OF SECURITY POLICY FILTERS
+
The information system provides the capability for privileged administrators to configure
+ ac-4_q organization-defined security policy filters [organization-defined security policy filters] to support different security policies.
+
+
+
+
+
Supplemental guidance
+
+
+
For example, to reflect changes in security policies, administrators can change the
+ list of �dirty words� that security policy mechanisms check in accordance with the
+ definitions provided by organizations.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines security policy filters that privileged administrators have
+ the capability to configure to support different security policies; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system provides the capability for privileged administrators to configure
+ organization-defined security policy filters to support different security policies.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
information flow control policies
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of security policy filters
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for configuring security policy filters
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information flow enforcement policy
+
+
+
+
+
+
+
AC-4 (12) DATA TYPE IDENTIFIERS
+
+
+
+
+
+
Parameter: ac-4_r organization-defined data type identifiers
+
+
+
Default: organization-defined data type identifiers
+
+
+
+
+
+
Control
+
+
+
The information system, when transferring information between different security domains,
+ uses ac-4_r organization-defined data type identifiers [organization-defined data type identifiers] to validate data essential for information flow decisions.
+
+
+
+
+
Supplemental guidance
+
+
+
Data type identifiers include, for example, filenames, file types, file signatures/tokens,
+ and multiple internal file signatures/tokens. Information systems may allow transfer
+ of data only if compliant with data type format specifications.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines data type identifiers to be used, when transferring information
+ between different security domains, to validate data essential for information flow
+ decisions; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system, when transferring information between different security domains,
+ uses organization-defined data type identifiers to validate data essential for information
+ flow decisions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
information flow control policies
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of data type identifiers
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information flow enforcement policy
+
+
+
+
+
+
+
AC-4 (13) DECOMPOSITION INTO POLICY-RELEVANT SUBCOMPONENTS
+
The information system, when transferring information between different security domains,
+ decomposes information into ac-4_s organization-defined policy-relevant subcomponents [organization-defined policy-relevant subcomponents] for submission to policy enforcement mechanisms.
+
+
+
+
+
Supplemental guidance
+
+
+
Policy enforcement mechanisms apply filtering, inspection, and/or sanitization rules
+ to the policy-relevant subcomponents of information to facilitate flow enforcement
+ prior to transferring such information to different security domains. Parsing transfer
+ files facilitates policy decisions on source, destination, certificates, classification,
+ attachments, and other security-related component differentiators.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines policy-relevant subcomponents to decompose information for
+ submission to policy enforcement mechanisms when transferring such information between
+ different security domains; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system, when transferring information between different security domains,
+ decomposes information into organization-defined policy-relevant subcomponents for
+ submission to policy enforcement mechanisms.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
information flow control policies
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information flow enforcement policy
+
The information system, when transferring information between different security domains,
+ implements ac-4_t organization-defined security policy filters [organization-defined security policy filters] requiring fully enumerated formats that restrict data structure and content.
+
+
+
+
+
Supplemental guidance
+
+
+
Data structure and content restrictions reduce the range of potential malicious and/or
+ unsanctioned content in cross-domain transactions. Security policy filters that restrict
+ data structures include, for example, restricting file sizes and field lengths. Data
+ content policy filters include, for example: (i) encoding formats for character sets
+ (e.g., Universal Character Set Transformation Formats, American Standard Code for
+ Information Interchange); (ii) restricting character data fields to only contain alpha-numeric
+ characters; (iii) prohibiting special characters; and (iv) validating schema structures.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines security policy filters to be implemented that require fully
+ enumerated formats restricting data structure and content when transferring information
+ between different security domains; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system, when transferring information between different security domains,
+ implements organization-defined security policy filters requiring fully enumerated
+ formats that restrict data structure and content.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
information flow control policies
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of security policy filters
+
+
+
list of data content policy filters
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information flow enforcement policy
+
+
+
+
+
+
+
AC-4 (15) DETECTION OF UNSANCTIONED INFORMATION
+
+
+
+
+
+
Parameter: ac-4_u organized-defined unsanctioned information
+
+
+
Default: organized-defined unsanctioned information
+
The information system, when transferring information between different security domains,
+ examines the information for the presence of ac-4_u organized-defined unsanctioned information [organized-defined unsanctioned information] and prohibits the transfer of such information in accordance with the ac-4_v organization-defined security policy [organization-defined security policy].
+
+
+
+
+
Supplemental guidance
+
+
+
Detection of unsanctioned information includes, for example, checking all information
+ to be transferred for malicious code and dirty words.
+
the organization defines unsanctioned information to be detected when transferring
+ information between different security domains;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines the security policy that requires the transfer of organization-defined
+ unsanctioned information between different security domains to be prohibited when
+ the presence of such information is detected; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system, when transferring information between different security domains,
+ examines the information for the presence of organization-defined unsanctioned information
+ and prohibits the transfer of such information in accordance with the organization-defined
+ security policy.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
information flow control policies
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of unsanctioned information types and associated information
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information flow enforcement policy
+
+
+
+
+
+
+
AC-4 (16) INFORMATION TRANSFERS ON INTERCONNECTED SYSTEMS
+
The information system uniquely identifies and authenticates source and destination
+ points by [Selection (one or more): organization, system, application, individual]
+ for information transfer.
+
+
+
+
+
Supplemental guidance
+
+
+
Attribution is a critical component of a security concept of operations. The ability
+ to identify source and destination points for information flowing in information systems,
+ allows the forensic reconstruction of events when required, and encourages policy
+ compliance by attributing policy violations to specific organizations/individuals.
+ Successful domain authentication requires that information system labels distinguish
+ among systems, organizations, and individuals involved in preparing, sending, receiving,
+ or disseminating information.
+
The information system binds security attributes to information using ac-4_w organization-defined binding techniques [organization-defined binding techniques] to facilitate information flow policy enforcement.
+
+
+
+
+
Supplemental guidance
+
+
+
Binding techniques implemented by information systems affect the strength of security
+ attribute binding to information. Binding strength and the assurance associated with
+ binding techniques play an important part in the trust organizations have in the information
+ flow enforcement process. The binding techniques affect the number and degree of additional
+ reviews required by organizations.
+
the organization defines binding techniques to be used to facilitate information flow
+ policy enforcement; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system binds security attributes to information using organization-defined
+ binding techniques to facilitate information flow policy enforcement.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information flow enforcement policy
+
+
+
information flow control policies
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of binding techniques to bind security attributes to information
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information flow enforcement responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information flow enforcement functions
+
+
+
+
+
+
+
AC-4 (19) VALIDATION OF METADATA
+
+
+
+
+
Control
+
+
+
The information system, when transferring information between different security domains,
+ applies the same security policy filtering to metadata as it applies to data payloads.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement requires the validation of metadata and the data to which
+ the metadata applies. Some organizations distinguish between metadata and data payloads
+ (i.e., only the data to which the metadata is bound). Other organizations do not make
+ such distinctions, considering metadata and the data to which the metadata applies
+ as part of the payload. All information (including metadata and the data to which
+ the metadata applies) is subject to filtering and inspection.
+
+
+
+
+
Objective
+
+
+
Determine if the information system, when transferring information between different
+ security domains, applies the same security policy filtering to metadata as it applies
+ to data payloads.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information flow enforcement policy
+
+
+
information flow control policies
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of security policy filtering criteria applied to metadata and data payloads
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information flow enforcement responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information flow enforcement functions
+
+
+
+
+
+
+
AC-4 (20) APPROVED SOLUTIONS
+
+
+
+
+
+
Parameter: ac-4_x organization-defined solutions in approved configurations
+
+
+
Default: organization-defined solutions in approved configurations
+
+
+
+
+
+
+
Parameter: ac-4_y organization-defined information
+
+
+
Default: organization-defined information
+
+
+
+
+
+
Control
+
+
+
The organization employs ac-4_x organization-defined solutions in approved configurations [organization-defined solutions in approved configurations] to control the flow of ac-4_y organization-defined information [organization-defined information] across security domains.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations define approved solutions and configurations in cross-domain policies
+ and guidance in accordance with the types of information flows across classification
+ boundaries. The Unified Cross Domain Management Office (UCDMO) provides a baseline
+ listing of approved cross-domain solutions.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines solutions in approved configurations to control the flow of information across
+ security domains;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines information for which organization-defined solutions in approved configurations
+ are to be employed to control the flow of such information across security domains;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
employs organization-defined solutions in approved configurations to control the flow
+ of organization-defined information across security domains.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information flow enforcement policy
+
+
+
information flow control policies
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of solutions in approved configurations
+
+
+
approved configuration baselines
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information flow enforcement responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information flow enforcement functions
+
+
+
+
+
+
+
AC-4 (21) PHYSICAL / LOGICAL SEPARATION OF INFORMATION FLOWS
+
Parameter: ac-4_aa organization-defined required separations by types of information
+
+
+
Default: organization-defined required separations by types of information
+
+
+
+
+
+
Control
+
+
+
The information system separates information flows logically or physically using ac-4_z organization-defined mechanisms and/or techniques [organization-defined mechanisms and/or techniques] to accomplish ac-4_aa organization-defined required separations by types of information [organization-defined required separations by types of information].
+
+
+
+
+
Supplemental guidance
+
+
+
Enforcing the separation of information flows by type can enhance protection by ensuring
+ that information is not commingled while in transit and by enabling flow control by
+ transmission paths perhaps not otherwise achievable. Types of separable information
+ include, for example, inbound and outbound communications traffic, service requests
+ and responses, and information of differing security categories.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines the required separations of information flows by types of
+ information;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines the mechanisms and/or techniques to be used to separate information
+ flows logically or physically; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system separates information flows logically or physically using organization-defined
+ mechanisms and/or techniques to accomplish organization-defined required separations
+ by types of information.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information flow enforcement policy
+
+
+
information flow control policies
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of required separation of information flows by information types
+
+
+
list of mechanisms and/or techniques used to logically or physically separate information
+ flows
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information flow enforcement responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information flow enforcement functions
+
+
+
+
+
+
+
AC-4 (22) ACCESS ONLY
+
+
+
+
+
Control
+
+
+
The information system provides access from a single device to computing platforms,
+ applications, or data residing on multiple different security domains, while preventing
+ any information flow between the different security domains.
+
+
+
+
+
Supplemental guidance
+
+
+
The information system, for example, provides a desktop for users to access each connected
+ security domain without providing any mechanisms to allow transfer of information
+ between the different security domains.
+
+
+
+
+
Objective
+
+
+
Determine if the information system provides access from a single device to computing
+ platforms, applications, or data residing on multiple different security domains,
+ while preventing any information flow between the different security domains.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information flow enforcement policy
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information flow enforcement responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information flow enforcement functions
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD AC-4
+
+
HIGH AC-4
+
+
+
+
+
+
+
+
AC-5 SEPARATION OF DUTIES
+
+
+
+
+
+
Parameter: ac-5_a organization-defined duties of individuals
+
+
+
Default: organization-defined duties of individuals
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Separates ac-5_a organization-defined duties of individuals [organization-defined duties of individuals];
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Documents separation of duties of individuals; and
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Defines information system access authorizations to support separation of duties.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Separation of duties addresses the potential for abuse of authorized privileges and
+ helps to reduce the risk of malevolent activity without collusion. Separation of duties
+ includes, for example: (i) dividing mission functions and information system support
+ functions among different individuals and/or roles; (ii) conducting information system
+ support functions with different individuals (e.g., system management, programming,
+ configuration management, quality assurance and testing, and network security); and
+ (iii) ensuring security personnel administering access control functions do not also
+ administer audit functions.
+
separates organization-defined duties of individuals;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
documents separation of duties; and
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
defines information system access authorizations to support separation of duties.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing divisions of responsibility and separation of duties
+
+
+
information system configuration settings and associated documentation
+
+
+
list of divisions of responsibility and separation of duties
+
+
+
information system access authorizations
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for defining appropriate divisions
+ of responsibility and separation of duties
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing separation of duties policy
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD AC-5
+
+
HIGH AC-5
+
+
+
+
+
+
+
+
AC-6 LEAST PRIVILEGE
+
+
+
+
+
+
+
+
Control
+
+
+
The organization employs the principle of least privilege, allowing only authorized
+ accesses for users (or processes acting on behalf of users) which are necessary to
+ accomplish assigned tasks in accordance with organizational missions and business
+ functions.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations employ least privilege for specific duties and information systems.
+ The principle of least privilege is also applied to information system processes,
+ ensuring that the processes operate at privilege levels no higher than necessary to
+ accomplish required organizational missions/business functions. Organizations consider
+ the creation of additional processes, roles, and information system accounts as necessary,
+ to achieve least privilege. Organizations also apply least privilege to the development,
+ implementation, and operation of organizational information systems.
+
Determine if the organization employs the principle of least privilege, allowing only
+ authorized access for users (and processes acting on behalf of users) which are necessary
+ to accomplish assigned tasks in accordance with organizational missions and business
+ functions.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing least privilege
+
+
+
list of assigned access authorizations (user privileges)
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for defining least privileges necessary
+ to accomplish specified tasks
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing least privilege functions
+
+
+
+
+
+
Control enhancements
+
+
AC-6 (1) AUTHORIZE ACCESS TO SECURITY FUNCTIONS
+
+
+
+
+
+
Parameter: ac-6_a organization-defined security functions (deployed in hardware, software, and firmware)
+ and security-relevant information
+
+
+
Default: organization-defined security functions (deployed in hardware, software, and firmware)
+ and security-relevant information
+
+
+
+
+
+
+
+
Control
+
+
+
The organization explicitly authorizes access to ac-6_a organization-defined security functions (deployed in hardware, software, and firmware)
+ and security-relevant information [organization-defined security functions (deployed in hardware, software, and firmware)
+ and security-relevant information].
+
+
+
+
+
Supplemental guidance
+
+
+
Security functions include, for example, establishing system accounts, configuring
+ access authorizations (i.e., permissions, privileges), setting events to be audited,
+ and setting intrusion detection parameters. Security-relevant information includes,
+ for example, filtering rules for routers/firewalls, cryptographic key management information,
+ configuration parameters for security services, and access control lists. Explicitly
+ authorized personnel include, for example, security administrators, system and network
+ administrators, system security officers, system maintenance personnel, system programmers,
+ and other privileged users.
+
defines security-relevant information for which access must be explicitly authorized;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines security functions deployed in:
+
+
+
+
+
+
[a]
+
+
+
+
+
hardware;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
software;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
firmware;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
explicitly authorizes access to:
+
+
+
+
+
+
[a]
+
+
+
+
+
organization-defined security functions; and
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
security-relevant information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing least privilege
+
+
+
list of security functions (deployed in hardware, software, and firmware) and security-relevant
+ information for which access must be explicitly authorized
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for defining least privileges necessary
+ to accomplish specified tasks
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing least privilege functions
+
+
+
+
+
+
+
AC-6 (2) NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS
+
+
+
+
+
+
Parameter: ac-6_b organization-defined security functions or security-relevant information
+
+
+
Default: organization-defined security functions or security-relevant information
+
+
+
+
+
+
+
+
Control
+
+
+
The organization requires that users of information system accounts, or roles, with
+ access to ac-6_b organization-defined security functions or security-relevant information [organization-defined security functions or security-relevant information], use non-privileged accounts or roles, when accessing nonsecurity functions.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement limits exposure when operating from within privileged accounts
+ or roles. The inclusion of roles addresses situations where organizations implement
+ access control policies such as role-based access control and where a change of role
+ provides the same degree of assurance in the change of access authorizations for both
+ the user and all processes acting on behalf of the user as would be provided by a
+ change between a privileged and non-privileged account.
+
defines security functions or security-relevant information to which users of information
+ system accounts, or roles, have access; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires that users of information system accounts, or roles, with access to organization-defined
+ security functions or security-relevant information, use non-privileged accounts,
+ or roles, when accessing nonsecurity functions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing least privilege
+
+
+
list of system-generated security functions or security-relevant information assigned
+ to information system accounts or roles
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for defining least privileges necessary
+ to accomplish specified tasks
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing least privilege functions
+
The organization authorizes network access to ac-6_c organization-defined privileged commands [organization-defined privileged commands] only for ac-6_d organization-defined compelling operational needs [organization-defined compelling operational needs] and documents the rationale for such access in the security plan for the information
+ system.
+
+
+
+
+
Supplemental guidance
+
+
+
Network access is any access across a network connection in lieu of local access (i.e.,
+ user being physically present at the device).
+
defines privileged commands to which network access is to be authorized only for compelling
+ operational needs;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines compelling operational needs for which network access to organization-defined
+ privileged commands are to be solely authorized;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
authorizes network access to organization-defined privileged commands only for organization-defined
+ compelling operational needs; and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
documents the rationale for authorized network access to organization-defined privileged
+ commands in the security plan for the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing least privilege
+
+
+
security plan
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
list of operational needs for authorizing network access to privileged commands
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for defining least privileges necessary
+ to accomplish specified tasks
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing least privilege functions
+
+
+
+
+
+
+
AC-6 (4) SEPARATE PROCESSING DOMAINS
+
+
+
+
+
Control
+
+
+
The information system provides separate processing domains to enable finer-grained
+ allocation of user privileges.
+
+
+
+
+
Supplemental guidance
+
+
+
Providing separate processing domains for finer-grained allocation of user privileges
+ includes, for example: (i) using virtualization techniques to allow additional privileges
+ within a virtual machine while restricting privileges to other virtual machines or
+ to the underlying actual machine; (ii) employing hardware and/or software domain separation
+ mechanisms; and (iii) implementing separate physical domains.
+
Determine if the information system provides separate processing domains to enable
+ finer-grained allocation of user privileges.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing least privilege
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for defining least privileges necessary
+ to accomplish specified tasks
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing least privilege functions
+
+
+
+
+
+
+
AC-6 (5) PRIVILEGED ACCOUNTS
+
+
+
+
+
+
Parameter: ac-6_e organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
+
Control
+
+
+
The organization restricts privileged accounts on the information system to ac-6_e organization-defined personnel or roles [organization-defined personnel or roles].
+
+
+
+
+
Supplemental guidance
+
+
+
Privileged accounts, including super user accounts, are typically described as system
+ administrator for various types of commercial off-the-shelf operating systems. Restricting
+ privileged accounts to specific personnel or roles prevents day-to-day users from
+ having access to privileged information/functions. Organizations may differentiate
+ in the application of this control enhancement between allowed privileges for local
+ accounts and for domain accounts provided organizations retain the ability to control
+ information system configurations for key security parameters and as otherwise necessary
+ to sufficiently mitigate risk.
+
Determine if the organization prohibits privileged access to the information system
+ by non-organizational users.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing least privilege
+
+
+
list of system-generated privileged accounts
+
+
+
list of non-organizational users
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for defining least privileges necessary
+ to accomplish specified tasks
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms prohibiting privileged access to the information system
+
+
+
+
+
+
+
AC-6 (7) REVIEW OF USER PRIVILEGES
+
+
+
+
+
+
Parameter: ac-6_f organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: ac-6_g organization-defined roles or classes of users
+
+
+
Default: organization-defined roles or classes of users
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Reviews ac-6_f organization-defined frequency [organization-defined frequency] the privileges assigned to ac-6_g organization-defined roles or classes of users [organization-defined roles or classes of users] to validate the need for such privileges; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Reassigns or removes privileges, if necessary, to correctly reflect organizational
+ mission/business needs.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
The need for certain assigned user privileges may change over time reflecting changes
+ in organizational missions/business function, environments of operation, technologies,
+ or threat. Periodic review of assigned user privileges is necessary to determine if
+ the rationale for assigning such privileges remains valid. If the need cannot be revalidated,
+ organizations take appropriate corrective actions.
+
defines roles or classes of users to which privileges are assigned;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the frequency to review the privileges assigned to organization-defined roles
+ or classes of users to validate the need for such privileges;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
reviews the privileges assigned to organization-defined roles or classes of users
+ with the organization-defined frequency to validate the need for such privileges;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
reassigns or removes privileges, if necessary, to correctly reflect organizational
+ missions/business needs.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing least privilege
+
+
+
list of system-generated roles or classes of users and assigned privileges
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
validation reviews of privileges assigned to roles or classes or users
+
+
+
records of privilege removals or reassignments for roles or classes of users
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for reviewing least privileges necessary
+ to accomplish specified tasks
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing review of user privileges
+
+
+
+
+
+
+
AC-6 (8) PRIVILEGE LEVELS FOR CODE EXECUTION
+
+
+
+
+
+
Parameter: ac-6_h organization-defined software
+
+
+
Default: organization-defined software
+
+
+
+
+
+
Control
+
+
+
The information system prevents ac-6_h organization-defined software [organization-defined software] from executing at higher privilege levels than users executing the software.
+
+
+
+
+
Supplemental guidance
+
+
+
In certain situations, software applications/programs need to execute with elevated
+ privileges to perform required functions. However, if the privileges required for
+ execution are at a higher level than the privileges assigned to organizational users
+ invoking such applications/programs, those users are indirectly provided with greater
+ privileges than assigned by organizations.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines software that should not execute at higher privilege levels
+ than users executing the software; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system prevents organization-defined software from executing at higher
+ privilege levels than users executing the software.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing least privilege
+
+
+
list of software that should not execute at higher privilege levels than users executing
+ software
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for defining least privileges necessary
+ to accomplish specified tasks
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing least privilege functions for software execution
+
+
+
+
+
+
+
AC-6 (9) AUDITING USE OF PRIVILEGED FUNCTIONS
+
+
+
+
+
+
+
Control
+
+
+
The information system audits the execution of privileged functions.
+
+
+
+
Supplemental guidance
+
+
+
Misuse of privileged functions, either intentionally or unintentionally by authorized
+ users, or by unauthorized external entities that have compromised information system
+ accounts, is a serious and ongoing concern and can have significant adverse impacts
+ on organizations. Auditing the use of privileged functions is one way to detect such
+ misuse, and in doing so, help mitigate the risk from insider threats and the advanced
+ persistent threat (APT).
+
Determine if the information system audits the execution of privileged functions.
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing least privilege
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of privileged functions to be audited
+
+
+
list of audited events
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for reviewing least privileges necessary
+ to accomplish specified tasks
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms auditing the execution of least privilege functions
+
+
+
+
+
+
+
AC-6 (10) PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS
+
+
+
+
+
+
+
Control
+
+
+
The information system prevents non-privileged users from executing privileged functions
+ to include disabling, circumventing, or altering implemented security safeguards/countermeasures.
+
+
+
+
+
Supplemental guidance
+
+
+
Privileged functions include, for example, establishing information system accounts,
+ performing system integrity checks, or administering cryptographic key management
+ activities. Non-privileged users are individuals that do not possess appropriate authorizations.
+ Circumventing intrusion detection and prevention mechanisms or malicious code protection
+ mechanisms are examples of privileged functions that require protection from non-privileged
+ users.
+
+
+
+
+
+
+
+
+
+
+
Determine if the information system prevents non-privileged users from executing privileged
+ functions to include:
+
Enforces a limit of ac-7_a organization-defined number [organization-defined number] consecutive invalid logon attempts by a user during a ac-7_b organization-defined time period [organization-defined time period]; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Automatically [Selection: locks the account/node for an ac-7_c organization-defined time period [organization-defined time period]; locks the account/node until released by an administrator; delays next logon prompt
+ according to ac-7_d organization-defined delay algorithm [organization-defined delay algorithm]] when the maximum number of unsuccessful attempts is exceeded.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies regardless of whether the logon occurs via a local or network
+ connection. Due to the potential for denial of service, automatic lockouts initiated
+ by information systems are usually temporary and automatically release after a predetermined
+ time period established by organizations. If a delay algorithm is selected, organizations
+ may choose to employ different algorithms for different information system components
+ based on the capabilities of those components. Responses to unsuccessful logon attempts
+ may be implemented at both the operating system and the application levels.
+
the organization defines the number of consecutive invalid logon attempts allowed
+ to the information system by a user during an organization-defined time period;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines the time period allowed by a user of the information system
+ for an organization-defined number of consecutive invalid logon attempts;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system enforces a limit of organization-defined number of consecutive
+ invalid logon attempts by a user during an organization-defined time period;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines account/node lockout time period or logon delay algorithm
+ to be automatically enforced by the information system when the maximum number of
+ unsuccessful logon attempts is exceeded;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system, when the maximum number of unsuccessful logon attempts is
+ exceeded, automatically:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
locks the account/node for the organization-defined time period;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
locks the account/node until released by an administrator; or
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
delays next logon prompt according to the organization-defined delay algorithm.
The information system purges/wipes information from ac-7_e organization-defined mobile devices [organization-defined mobile devices] based on ac-7_f organization-defined purging/wiping requirements/techniques [organization-defined purging/wiping requirements/techniques] after ac-7_g organization-defined number [organization-defined number] consecutive, unsuccessful device logon attempts.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement applies only to mobile devices for which a logon occurs (e.g.,
+ personal digital assistants, smart phones, tablets). The logon is to the mobile device,
+ not to any one account on the device. Therefore, successful logons to any accounts
+ on mobile devices reset the unsuccessful logon count to zero. Organizations define
+ information to be purged/wiped carefully in order to avoid over purging/wiping which
+ may result in devices becoming unusable. Purging/wiping may be unnecessary if the
+ information on the device is protected with sufficiently strong encryption mechanisms.
+
the organization defines mobile devices to be purged/wiped after organization-defined
+ number of consecutive, unsuccessful device logon attempts;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines purging/wiping requirements/techniques to be used when organization-defined
+ mobile devices are purged/wiped after organization-defined number of consecutive,
+ unsuccessful device logon attempts;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the organization defines the number of consecutive, unsuccessful logon attempts allowed
+ for accessing mobile devices before the information system purges/wipes information
+ from such devices; and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
the information system purges/wipes information from organization-defined mobile devices
+ based on organization-defined purging/wiping requirements/techniques after organization-defined
+ number of consecutive, unsuccessful logon attempts.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing unsuccessful login attempts on mobile devices
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of mobile devices to be purged/wiped after organization-defined consecutive,
+ unsuccessful device logon attempts
+
+
+
list of purging/wiping requirements or techniques for mobile devices
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing access control policy for unsuccessful device logon
+ attempts
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW AC-7
+
+
MOD AC-7
+
+
HIGH AC-7
+
+
+
+
+
+
+
+
AC-8 SYSTEM USE NOTIFICATION
+
+
+
+
+
+
Parameter: ac-8_a organization-defined system use notification message or banner
+
+
+
Default: organization-defined system use notification message or banner
+
Displays to users ac-8_a organization-defined system use notification message or banner [organization-defined system use notification message or banner] before granting access to the system that provides privacy and security notices consistent
+ with applicable federal laws, Executive Orders, directives, policies, regulations,
+ standards, and guidance and states that:
+
+
+
+
+
+
+
1.
+
+
+
+
+
Users are accessing a U.S. Government information system;
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Information system usage may be monitored, recorded, and subject to audit;
+
+
+
+
+
+
+
+
+
+
+
3.
+
+
+
+
+
Unauthorized use of the information system is prohibited and subject to criminal and
+ civil penalties; and
+
+
+
+
+
+
+
+
+
+
+
+
4.
+
+
+
+
+
Use of the information system indicates consent to monitoring and recording;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Retains the notification message or banner on the screen until users acknowledge the
+ usage conditions and take explicit actions to log on to or further access the information
+ system; and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
For publicly accessible systems:
+
+
+
+
+
+
1.
+
+
+
+
+
Displays system use information ac-8_b organization-defined conditions [organization-defined conditions], before granting further access;
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Displays references, if any, to monitoring, recording, or auditing that are consistent
+ with privacy accommodations for such systems that generally prohibit those activities;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
3.
+
+
+
+
+
Includes a description of the authorized uses of the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
System use notifications can be implemented using messages or warning banners displayed
+ before individuals log in to information systems. System use notifications are used
+ only for access via logon interfaces with human users and are not required when such
+ human interfaces do not exist. Organizations consider system use notification messages/banners
+ displayed in multiple languages based on specific organizational needs and the demographics
+ of information system users. Organizations also consult with the Office of the General
+ Counsel for legal review and approval of warning banner content.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
(a)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines a system use notification message or banner to be displayed
+ by the information system to users before granting access to the system;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system displays to users the organization-defined system use notification
+ message or banner before granting access to the information system that provides privacy
+ and security notices consistent with applicable federal laws, Executive Orders, directives,
+ policies, regulations, standards, and guidance, and states that:
+
+
+
+
+
+
+
(1)
+
+
+
+
+
users are accessing a U.S. Government information system;
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
information system usage may be monitored, recorded, and subject to audit;
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
unauthorized use of the information system is prohibited and subject to criminal and
+ civil penalties;
+
+
+
+
+
+
+
+
+
+
+
+
(4)
+
+
+
+
+
use of the information system indicates consent to monitoring and recording;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
the information system retains the notification message or banner on the screen until
+ users acknowledge the usage conditions and take explicit actions to log on to or further
+ access the information system;
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
for publicly accessible systems:
+
+
+
+
+
+
(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines conditions for system use to be displayed by the information
+ system before granting further access;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system displays organization-defined conditions before granting further
+ access;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
the information system displays references, if any, to monitoring, recording, or auditing
+ that are consistent with privacy accommodations for such systems that generally prohibit
+ those activities; and
+
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
the information system includes a description of the authorized uses of the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
privacy and security policies, procedures addressing system use notification
+
+
+
documented approval of information system use notification messages or banners
+
+
+
information system audit records
+
+
+
user acknowledgements of notification message or banner
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system use notification messages
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility for providing legal advice
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing system use notification
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW AC-8
+
+
MOD AC-8
+
+
HIGH AC-8
+
+
+
+
+
+
+
+
AC-9 PREVIOUS LOGON (ACCESS) NOTIFICATION
+
+
+
+
+
+
Control
+
+
+
The information system notifies the user, upon successful logon (access) to the system,
+ of the date and time of the last logon (access).
+
+
+
+
+
Supplemental guidance
+
+
+
This control is applicable to logons to information systems via human user interfaces
+ and logons to systems that occur in other types of architectures (e.g., service-oriented
+ architectures).
+
Determine if the information system notifies the user, upon successful logon (access)
+ to the system, of the date and time of the last logon (access).
+
information system configuration settings and associated documentation
+
+
+
information system notification messages
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing access control policy for previous logon notification
+
+
+
+
+
+
Control enhancements
+
+
AC-9 (1) UNSUCCESSFUL LOGONS
+
+
+
+
+
Control
+
+
+
The information system notifies the user, upon successful logon/access, of the number
+ of unsuccessful logon/access attempts since the last successful logon/access.
+
+
+
+
+
Objective
+
+
+
Determine if the information system notifies the user, upon successful logon/access,
+ of the number of unsuccessful logon/access attempts since the last successful logon/access.
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing access control policy for previous logon notification
+
+
+
+
+
+
+
AC-9 (2) SUCCESSFUL / UNSUCCESSFUL LOGONS
+
+
+
+
+
+
Parameter: ac-9_a organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
Control
+
+
+
The information system notifies the user of the number of [Selection: successful logons/accesses;
+ unsuccessful logon/access attempts; both] during ac-9_a organization-defined time period [organization-defined time period].
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines the time period within which the information system must
+ notify the user of the number of:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
successful logons/accesses; and/or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
unsuccessful logon/access attempts;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system, during the organization-defined time period, notifies the
+ user of the number of:
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing access control policy for previous logon notification
+
+
+
+
+
+
+
AC-9 (3) NOTIFICATION OF ACCOUNT CHANGES
+
+
+
+
+
+
Parameter: ac-9_b organization-defined security-related characteristics/parameters of the user�s account
+
+
+
Default: organization-defined security-related characteristics/parameters of the user�s account
+
+
+
+
+
+
+
Parameter: ac-9_c organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
Control
+
+
+
The information system notifies the user of changes to ac-9_b organization-defined security-related characteristics/parameters of the user�s account [organization-defined security-related characteristics/parameters of the user�s account] during ac-9_c organization-defined time period [organization-defined time period].
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines security-related characteristics/parameters of a user’s account;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines the time period within which changes to organization-defined
+ security-related characteristics/parameters of a user’s account must occur; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system notifies the user of changes to organization-defined security-related
+ characteristics/parameters of the user’s account during the organization-defined time
+ period.
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing access control policy for previous logon notification
+
+
+
+
+
+
+
AC-9 (4) ADDITIONAL LOGON INFORMATION
+
+
+
+
+
+
Parameter: ac-9_d organization-defined information to be included in addition to the date and time of
+ the last logon (access)
+
+
+
Default: organization-defined information to be included in addition to the date and time of
+ the last logon (access)
+
+
+
+
+
+
Control
+
+
+
The information system notifies the user, upon successful logon (access), of the following
+ additional information: ac-9_d organization-defined information to be included in addition to the date and time of
+ the last logon (access) [organization-defined information to be included in addition to the date and time of
+ the last logon (access)].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement permits organizations to specify additional information to
+ be provided to users upon logon including, for example, the location of last logon.
+ User location is defined as that information which can be determined by information
+ systems, for example, IP addresses from which network logons occurred, device identifiers,
+ or notifications of local logons.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines information to be included in addition to the date and time
+ of the last logon (access); and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system notifies the user, upon successful logon (access), of the organization-defined
+ information to be included in addition to the date and time of the last logon (access).
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing access control policy for previous logon notification
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
AC-10 CONCURRENT SESSION CONTROL
+
+
+
+
+
+
Parameter: ac-10_a organization-defined account and/or account type
+
+
+
Default: organization-defined account and/or account type
+
+
+
+
+
+
+
Parameter: ac-10_b organization-defined number
+
+
+
Default: organization-defined number
+
+
+
+
+
+
+
+
Control
+
+
+
The information system limits the number of concurrent sessions for each ac-10_a organization-defined account and/or account type [organization-defined account and/or account type] to ac-10_b organization-defined number [organization-defined number].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations may define the maximum number of concurrent sessions for information
+ system accounts globally, by account type (e.g., privileged user, non-privileged user,
+ domain, specific application), by account, or a combination. For example, organizations
+ may limit the number of concurrent sessions for system administrators or individuals
+ working in particularly sensitive domains or mission-critical applications. This control
+ addresses concurrent sessions for information system accounts and does not address
+ concurrent sessions by single users via multiple system accounts.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines account and/or account types for the information system;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines the number of concurrent sessions to be allowed for each
+ organization-defined account and/or account type; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system limits the number of concurrent sessions for each organization-defined
+ account and/or account type to the organization-defined number of concurrent sessions
+ allowed.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing concurrent session control
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing access control policy for concurrent session control
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P3
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH AC-10
+
+
+
+
+
+
+
+
AC-11 SESSION LOCK
+
+
+
+
+
+
Parameter: ac-11_a organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The information system:
+
+
+
+
+
+
a.
+
+
+
+
+
Prevents further access to the system by initiating a session lock after ac-11_a organization-defined time period [organization-defined time period] of inactivity or upon receiving a request from a user; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Retains the session lock until the user reestablishes access using established identification
+ and authentication procedures.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Session locks are temporary actions taken when users stop work and move away from
+ the immediate vicinity of information systems but do not want to log out because of
+ the temporary nature of their absences. Session locks are implemented where session
+ activities can be determined. This is typically at the operating system level, but
+ can also be at the application level. Session locks are not an acceptable substitute
+ for logging out of information systems, for example, if organizations require users
+ to log out at the end of workdays.
+
the organization defines the time period of user inactivity after which the information
+ system initiates a session lock;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system prevents further access to the system by initiating a session
+ lock after organization-defined time period of user inactivity or upon receiving a
+ request from a user; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
the information system retains the session lock until the user reestablishes access
+ using established identification and authentication procedures.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing session lock
+
+
+
procedures addressing identification and authentication
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing access control policy for session lock
+
+
+
+
+
+
+
Control enhancements
+
+
AC-11 (1) PATTERN-HIDING DISPLAYS
+
+
+
+
+
+
+
Control
+
+
+
The information system conceals, via the session lock, information previously visible
+ on the display with a publicly viewable image.
+
+
+
+
+
Supplemental guidance
+
+
+
Publicly viewable images can include static or dynamic images, for example, patterns
+ used with screen savers, photographic images, solid colors, clock, battery life indicator,
+ or a blank screen, with the additional caveat that none of the images convey sensitive
+ information.
+
+
+
+
+
Objective
+
+
+
Determine if the information system conceals, via the session lock, information previously
+ visible on the display with a publicly viewable image.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing session lock
+
+
+
display screen with session lock activated
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
Default: organization-defined conditions or trigger events requiring session disconnect
+
+
+
+
+
+
+
+
+
Control
+
+
+
The information system automatically terminates a user session after ac-12_a organization-defined conditions or trigger events requiring session disconnect [organization-defined conditions or trigger events requiring session disconnect].
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the termination of user-initiated logical sessions in contrast
+ to SC-10 which addresses the termination of network connections that are associated
+ with communications sessions (i.e., network disconnect). A logical session (for local,
+ network, and remote access) is initiated whenever a user (or process acting on behalf
+ of a user) accesses an organizational information system. Such user sessions can be
+ terminated (and thus terminate user access) without terminating network sessions.
+ Session termination terminates all processes associated with a user�s logical session
+ except those processes that are specifically created by the user (i.e., session owner)
+ to continue after the session is terminated. Conditions or trigger events requiring
+ automatic session termination can include, for example, organization-defined periods
+ of user inactivity, targeted responses to certain types of incidents, time-of-day
+ restrictions on information system use.
+
the organization defines conditions or trigger events requiring session disconnect;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system automatically terminates a user session after organization-defined
+ conditions or trigger events requiring session disconnect occurs.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing session termination
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of conditions or trigger events requiring session disconnect
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing user session termination
+
Parameter: ac-12_b organization-defined information resources
+
+
+
Default: organization-defined information resources
+
+
+
+
+
+
+
+
+
+
+
+
The information system:
+
+
+
+
+
+
(a)
+
+
+
+
+
Provides a logout capability for user-initiated communications sessions whenever authentication
+ is used to gain access to ac-12_b organization-defined information resources [organization-defined information resources]; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Displays an explicit logout message to users indicating the reliable termination of
+ authenticated communications sessions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Information resources to which users gain access via authentication include, for example,
+ local workstations, databases, and password-protected websites/web-based services.
+ Logout messages for web page access, for example, can be displayed after authenticated
+ sessions have been terminated. However, for some types of interactive sessions including,
+ for example, file transfer protocol (FTP) sessions, information systems typically
+ send logout messages as final messages prior to terminating sessions.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
(a)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines information resources for which user authentication is required
+ to gain access to such resources;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system provides a logout capability for user-initiated communications
+ sessions whenever authentication is used to gain access to organization-defined information
+ resources; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
the information system displays an explicit logout message to users indicating the
+ reliable termination of authenticated communications sessions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing session termination
+
+
+
user logout messages
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
AC-14 PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION
+
+
+
+
+
+
Parameter: ac-14_a organization-defined user actions
+
+
+
Default: organization-defined user actions
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Identifies ac-14_a organization-defined user actions [organization-defined user actions] that can be performed on the information system without identification or authentication
+ consistent with organizational missions/business functions; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Documents and provides supporting rationale in the security plan for the information
+ system, user actions not requiring identification or authentication.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses situations in which organizations determine that no identification
+ or authentication is required in organizational information systems. Organizations
+ may allow a limited number of user actions without identification or authentication
+ including, for example, when individuals access public websites or other publicly
+ accessible federal information systems, when individuals use mobile phones to receive
+ calls, or when facsimiles are received. Organizations also identify actions that normally
+ require identification or authentication but may under certain circumstances (e.g.,
+ emergencies), allow identification or authentication mechanisms to be bypassed. Such
+ bypasses may occur, for example, via a software-readable physical switch that commands
+ bypass of the logon functionality and is protected from accidental or unmonitored
+ use. This control does not apply to situations where identification and authentication
+ have already occurred and are not repeated, but rather to situations where identification
+ and authentication have not yet occurred. Organizations may decide that there are
+ no user actions that can be performed on organizational information systems without
+ identification and authentication and thus, the values for assignment statements can
+ be none.
+
defines user actions that can be performed on the information system without identification
+ or authentication consistent with organizational missions/business functions;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
identifies organization-defined user actions that can be performed on the information
+ system without identification or authentication consistent with organizational missions/business
+ functions; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
documents and provides supporting rationale in the security plan for the information
+ system, user actions not requiring identification or authentication.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing permitted actions without identification or authentication
+
+
+
information system configuration settings and associated documentation
+
+
+
security plan
+
+
+
list of user actions that can be performed without identification or authentication
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
Parameter: ac-16_d organization-defined information systems
+
+
+
Default: organization-defined information systems
+
+
+
+
+
+
+
Parameter: ac-16_e organization-defined values or ranges
+
+
+
Default: organization-defined values or ranges
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Provides the means to associate ac-16_a organization-defined types of security attributes [organization-defined types of security attributes] having ac-16_b organization-defined security attribute values [organization-defined security attribute values] with information in storage, in process, and/or in transmission;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Ensures that the security attribute associations are made and retained with the information;
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Establishes the permitted ac-16_c organization-defined security attributes [organization-defined security attributes] for ac-16_d organization-defined information systems [organization-defined information systems]; and
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Determines the permitted ac-16_e organization-defined values or ranges [organization-defined values or ranges] for each of the established security attributes.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Information is represented internally within information systems using abstractions
+ known as data structures. Internal data structures can represent different types of
+ entities, both active and passive. Active entities, also known as subjects, are typically
+ associated with individuals, devices, or processes acting on behalf of individuals.
+ Passive entities, also known as objects, are typically associated with data structures
+ such as records, buffers, tables, files, inter-process pipes, and communications ports.
+ Security attributes, a form of metadata, are abstractions representing the basic properties
+ or characteristics of active and passive entities with respect to safeguarding information.
+ These attributes may be associated with active entities (i.e., subjects) that have
+ the potential to send or receive information, to cause information to flow among objects,
+ or to change the information system state. These attributes may also be associated
+ with passive entities (i.e., objects) that contain or receive information. The association
+ of security attributes to subjects and objects is referred to as binding and is typically
+ inclusive of setting the attribute value and the attribute type. Security attributes
+ when bound to data/information, enables the enforcement of information security policies
+ for access control and information flow control, either through organizational processes
+ or information system functions or mechanisms. The content or assigned values of security
+ attributes can directly affect the ability of individuals to access organizational
+ information.
+ Organizations can define the types of attributes needed for selected information systems
+ to support missions/business functions. There is potentially a wide range of values
+ that can be assigned to any given security attribute. Release markings could include,
+ for example, US only, NATO, or NOFORN (not releasable to foreign nationals). By specifying
+ permitted attribute ranges and values, organizations can ensure that the security
+ attribute values are meaningful and relevant. The term security labeling refers to
+ the association of security attributes with subjects and objects represented by internal
+ data structures within organizational information systems, to enable information system-based
+ enforcement of information security policies. Security labels include, for example,
+ access authorizations, data life cycle protection (i.e., encryption and data expiration),
+ nationality, affiliation as contractor, and classification of information in accordance
+ with legal and compliance requirements. The term security marking refers to the association
+ of security attributes with objects in a human-readable form, to enable organizational
+ process-based enforcement of information security policies. The AC-16 base control
+ represents the requirement for user-based attribute association (marking). The enhancements
+ to AC-16 represent additional requirements including information system-based attribute
+ association (labeling). Types of attributes include, for example, classification level
+ for objects and clearance (access authorization) level for subjects. An example of
+ a value for both of these attribute types is Top Secret.
+
defines types of security attributes to be associated with information:
+
+
+
+
+
+
[a]
+
+
+
+
+
in storage;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
in process; and/or
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
in transmission;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines security attribute values for organization-defined types of security attributes;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
provides the means to associate organization-defined types of security attributes
+ having organization-defined security attribute values with information:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
in storage;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
in process; and/or
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
in transmission;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
ensures that the security attribute associations are made and retained with the information;
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines information systems for which the permitted organization-defined security
+ attributes are to be established;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines security attributes that are permitted for organization-defined information
+ systems;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
establishes the permitted organization-defined security attributes for organization-defined
+ information systems;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines values or ranges for each of the established security attributes; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
determines the permitted organization-defined values or ranges for each of the established
+ security attributes.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing the association of security attributes to information in storage,
+ in process, and in transmission
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational capability supporting and maintaining the association of security attributes
+ to information in storage, in process, and in transmission
+
+
+
+
+
+
Control enhancements
+
+
AC-16 (1) DYNAMIC ATTRIBUTE ASSOCIATION
+
+
+
+
+
+
Parameter: ac-16_f organization-defined subjects and objects
+
+
+
Default: organization-defined subjects and objects
+
The information system dynamically associates security attributes with ac-16_f organization-defined subjects and objects [organization-defined subjects and objects] in accordance with ac-16_g organization-defined security policies [organization-defined security policies] as information is created and combined.
+
+
+
+
+
Supplemental guidance
+
+
+
Dynamic association of security attributes is appropriate whenever the security characteristics
+ of information changes over time. Security attributes may change, for example, due
+ to information aggregation issues (i.e., the security characteristics of individual
+ information elements are different from the combined elements), changes in individual
+ access authorizations (i.e., privileges), and changes in the security category of
+ information.
+
the organization defines subjects and objects to which security attributes are to
+ be dynamically associated as information is created and combined;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines security policies requiring the information system to dynamically
+ associate security attributes with organization-defined subjects and objects; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system dynamically associates security attributes with organization-defined
+ subjects and objects in accordance with organization-defined security policies as
+ information is created and combined.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing dynamic association of security attributes to information
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing dynamic association of security attributes to information
+
+
+
+
+
+
+
AC-16 (2) ATTRIBUTE VALUE CHANGES BY AUTHORIZED INDIVIDUALS
+
+
+
+
+
Control
+
+
+
The information system provides authorized individuals (or processes acting on behalf
+ of individuals) the capability to define or change the value of associated security
+ attributes.
+
+
+
+
+
Supplemental guidance
+
+
+
The content or assigned values of security attributes can directly affect the ability
+ of individuals to access organizational information. Therefore, it is important for
+ information systems to be able to limit the ability to create or modify security attributes
+ to authorized individuals.
+
Determine if the information system provides authorized individuals (or processes
+ acting on behalf on individuals) the capability to define or change the value of associated
+ security attributes.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing the change of security attribute values
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of individuals authorized to change security attributes
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for changing values of security attributes
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms permitting changes to values of security attributes
+
+
+
+
+
+
+
AC-16 (3) MAINTENANCE OF ATTRIBUTE ASSOCIATIONS BY INFORMATION SYSTEM
+
Parameter: ac-16_i organization-defined subjects and objects
+
+
+
Default: organization-defined subjects and objects
+
+
+
+
+
+
Control
+
+
+
The information system maintains the association and integrity of ac-16_h organization-defined security attributes [organization-defined security attributes] to ac-16_i organization-defined subjects and objects [organization-defined subjects and objects].
+
+
+
+
+
Supplemental guidance
+
+
+
Maintaining the association and integrity of security attributes to subjects and objects
+ with sufficient assurance helps to ensure that the attribute associations can be used
+ as the basis of automated policy actions. Automated policy actions include, for example,
+ access control decisions or information flow control decisions.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines security attributes to be associated with organization-defined
+ subjects and objects;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines subjects and objects requiring the association and integrity
+ of security attributes to such subjects and objects to be maintained; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system maintains the association and integrity of organization-defined
+ security attributes to organization-defined subjects and objects.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing the association of security attributes to information
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms maintaining association and integrity of security attributes
+ to information
+
+
+
+
+
+
+
AC-16 (4) ASSOCIATION OF ATTRIBUTES BY AUTHORIZED INDIVIDUALS
+
Parameter: ac-16_k organization-defined subjects and objects
+
+
+
Default: organization-defined subjects and objects
+
+
+
+
+
+
Control
+
+
+
The information system supports the association of ac-16_j organization-defined security attributes [organization-defined security attributes] with ac-16_k organization-defined subjects and objects [organization-defined subjects and objects] by authorized individuals (or processes acting on behalf of individuals).
+
+
+
+
+
Supplemental guidance
+
+
+
The support provided by information systems can vary to include: (i) prompting users
+ to select specific security attributes to be associated with specific information
+ objects; (ii) employing automated mechanisms for categorizing information with appropriate
+ attributes based on defined policies; or (iii) ensuring that the combination of selected
+ security attributes selected is valid. Organizations consider the creation, deletion,
+ or modification of security attributes when defining auditable events.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines security attributes to be associated with subjects and objects
+ by authorized individuals (or processes acting on behalf of individuals);
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines subjects and objects requiring the association of organization-defined
+ security attributes by authorized individuals (or processes acting on behalf of individuals);
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system supports the association of organization-defined security attributes
+ with organization-defined subjects and objects by authorized individuals (or processes
+ acting on behalf of individuals).
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing the association of security attributes to information
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of users authorized to associate security attributes to information
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for associating security attributes
+ to information
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting user associations of security attributes to information
+
+
+
+
+
+
+
AC-16 (5) ATTRIBUTE DISPLAYS FOR OUTPUT DEVICES
+
+
+
+
+
+
Parameter: ac-16_l organization-identified special dissemination, handling, or distribution instructions
+
+
+
Default: organization-identified special dissemination, handling, or distribution instructions
+
+
+
+
+
+
+
Parameter: ac-16_m organization-identified human-readable, standard naming conventions
+
+
+
Default: organization-identified human-readable, standard naming conventions
+
+
+
+
+
+
Control
+
+
+
The information system displays security attributes in human-readable form on each
+ object that the system transmits to output devices to identify ac-16_l organization-identified special dissemination, handling, or distribution instructions [organization-identified special dissemination, handling, or distribution instructions] using ac-16_m organization-identified human-readable, standard naming conventions [organization-identified human-readable, standard naming conventions].
+
+
+
+
+
Supplemental guidance
+
+
+
Information system outputs include, for example, pages, screens, or equivalent. Information
+ system output devices include, for example, printers and video displays on computer
+ workstations, notebook computers, and personal digital assistants.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization identifies special dissemination, handling, or distribution instructions
+ to be used for each object that the information system transmits to output devices;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization identifies human-readable, standard naming conventions for the security
+ attributes to be displayed in human-readable form on each object that the information
+ system transmits to output devices; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system displays security attributes in human-readable form on each
+ object that the system transmits to output devices to identify organization-identified
+ special dissemination, handling, or distribution instructions using organization-identified
+ human readable, standard naming conventions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing display of security attributes in human-readable form
+
+
+
special dissemination, handling, or distribution instructions
+
+
+
types of human-readable, standard naming conventions
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
System output devices displaying security attributes in human-readable form on each
+ object
+
+
+
+
+
+
+
AC-16 (6) MAINTENANCE OF ATTRIBUTE ASSOCIATION BY ORGANIZATION
+
The organization allows personnel to associate, and maintain the association of ac-16_n organization-defined security attributes [organization-defined security attributes] with ac-16_o organization-defined subjects and objects [organization-defined subjects and objects] in accordance with ac-16_p organization-defined security policies [organization-defined security policies].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement requires individual users (as opposed to the information
+ system) to maintain associations of security attributes with subjects and objects.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines security attributes to be associated with subjects and objects;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines subjects and objects to be associated with organization-defined security attributes;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines security policies to allow personnel to associate, and maintain the association
+ of organization-defined security attributes with organization-defined subjects and
+ objects; and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
allows personnel to associate, and maintain the association of organization-defined
+ security attributes with organization-defined subjects and objects in accordance with
+ organization-defined security policies.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing association of security attributes with subjects and objects
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for associating and maintaining association
+ of security attributes with subjects and objects
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting associations of security attributes to subjects and
+ objects
+
+
+
+
+
+
+
AC-16 (7) CONSISTENT ATTRIBUTE INTERPRETATION
+
+
+
+
+
Control
+
+
+
The organization provides a consistent interpretation of security attributes transmitted
+ between distributed information system components.
+
+
+
+
+
Supplemental guidance
+
+
+
In order to enforce security policies across multiple components in distributed information
+ systems (e.g., distributed database management systems, cloud-based systems, and service-oriented
+ architectures), organizations provide a consistent interpretation of security attributes
+ that are used in access enforcement and flow enforcement decisions. Organizations
+ establish agreements and processes to ensure that all distributed information system
+ components implement security attributes with consistent interpretations in automated
+ access/flow enforcement actions.
+
+
+
+
+
Objective
+
+
+
Determine if the organization provides a consistent interpretation of security attributes
+ transmitted between distributed information system components.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing consistent interpretation of security attributes transmitted
+ between distributed information system components
+
+
+
procedures addressing access enforcement
+
+
+
procedures addressing information flow enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for providing consistent interpretation
+ of security attributes used in access enforcement and information flow enforcement
+ actions
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing access enforcement and information flow enforcement
+ functions
+
+
+
+
+
+
+
AC-16 (8) ASSOCIATION TECHNIQUES / TECHNOLOGIES
+
+
+
+
+
+
Parameter: ac-16_q organization-defined techniques or technologies
+
+
+
Default: organization-defined techniques or technologies
+
+
+
+
+
+
+
Parameter: ac-16_r organization-defined level of assurance
+
+
+
Default: organization-defined level of assurance
+
+
+
+
+
+
Control
+
+
+
The information system implements ac-16_q organization-defined techniques or technologies [organization-defined techniques or technologies] with ac-16_r organization-defined level of assurance [organization-defined level of assurance] in associating security attributes to information.
+
+
+
+
+
Supplemental guidance
+
+
+
The association (i.e., binding) of security attributes to information within information
+ systems is of significant importance with regard to conducting automated access enforcement
+ and flow enforcement actions. The association of such security attributes can be accomplished
+ with technologies/techniques providing different levels of assurance. For example,
+ information systems can cryptographically bind security attributes to information
+ using digital signatures with the supporting cryptographic keys protected by hardware
+ devices (sometimes known as hardware roots of trust).
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines techniques or technologies to be implemented in associating
+ security attributes to information;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines level of assurance to be provided when the information system
+ implements organization-defined technologies or technologies to associate security
+ attributes to information; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system implements organization-defined techniques or technologies
+ with organization-defined level of assurance in associating security attributes to
+ information.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing association of security attributes to information
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for associating security attributes
+ to information
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing techniques or technologies associating security
+ attributes to information
+
+
+
+
+
+
+
AC-16 (9) ATTRIBUTE REASSIGNMENT
+
+
+
+
+
+
Parameter: ac-16_s organization-defined techniques or procedures
+
+
+
Default: organization-defined techniques or procedures
+
+
+
+
+
+
Control
+
+
+
The organization ensures that security attributes associated with information are
+ reassigned only via re-grading mechanisms validated using ac-16_s organization-defined techniques or procedures [organization-defined techniques or procedures].
+
+
+
+
+
Supplemental guidance
+
+
+
Validated re-grading mechanisms are employed by organizations to provide the requisite
+ levels of assurance for security attribute reassignment activities. The validation
+ is facilitated by ensuring that re-grading mechanisms are single purpose and of limited
+ function. Since security attribute reassignments can affect security policy enforcement
+ actions (e.g., access/flow enforcement decisions), using trustworthy re-grading mechanisms
+ is necessary to ensure that such mechanisms perform in a consistent/correct mode of
+ operation.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines techniques or procedures to validate re-grading mechanisms used to reassign
+ association of security attributes with information; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
ensures that security attributes associated with information are reassigned only via
+ re-grading mechanisms validated using organization-defined techniques or procedures.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing reassignment of security attributes to information
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for reassigning association of security
+ attributes to information
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing techniques or procedures for reassigning association
+ of security attributes to information
+
+
+
+
+
+
+
AC-16 (10) ATTRIBUTE CONFIGURATION BY AUTHORIZED INDIVIDUALS
+
+
+
+
+
Control
+
+
+
The information system provides authorized individuals the capability to define or
+ change the type and value of security attributes available for association with subjects
+ and objects.
+
+
+
+
+
Supplemental guidance
+
+
+
The content or assigned values of security attributes can directly affect the ability
+ of individuals to access organizational information. Therefore, it is important for
+ information systems to be able to limit the ability to create or modify security attributes
+ to authorized individuals only.
+
+
+
+
+
Objective
+
+
+
Determine if the information system provides authorized individuals the capability
+ to define or change the type and value of security attributes available for association
+ with subjects and objects.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing configuration of security attributes by authorized individuals
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for defining or changing security attributes
+ associated with information
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing capability for defining or changing security attributes
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
AC-17 REMOTE ACCESS
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Establishes and documents usage restrictions, configuration/connection requirements,
+ and implementation guidance for each type of remote access allowed; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Authorizes remote access to the information system prior to allowing such connections.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Remote access is access to organizational information systems by users (or processes
+ acting on behalf of users) communicating through external networks (e.g., the Internet).
+ Remote access methods include, for example, dial-up, broadband, and wireless. Organizations
+ often employ encrypted virtual private networks (VPNs) to enhance confidentiality
+ and integrity over remote connections. The use of encrypted VPNs does not make the
+ access non-remote; however, the use of VPNs, when adequately provisioned with appropriate
+ security controls (e.g., employing appropriate encryption techniques for confidentiality
+ and integrity protection) may provide sufficient assurance to the organization that
+ it can effectively treat such connections as internal networks. Still, VPN connections
+ traverse external networks, and the encrypted VPN does not enhance the availability
+ of remote connections. Also, VPNs with encrypted tunnels can affect the organizational
+ capability to adequately monitor network communications traffic for malicious code.
+ Remote access controls apply to information systems other than public web servers
+ or systems designed for public access. This control addresses authorization prior
+ to allowing remote access without specifying the formats for such authorization. While
+ organizations may use interconnection security agreements to authorize remote access
+ connections, such agreements are not required by this control. Enforcing access restrictions
+ for remote connections is addressed in AC-3.
+
identifies the types of remote access allowed to the information system;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
establishes for each type of remote access allowed:
+
+
+
+
+
+
[a]
+
+
+
+
+
usage restrictions;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
configuration/connection requirements;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
implementation guidance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
documents for each type of remote access allowed:
+
+
+
+
+
+
[a]
+
+
+
+
+
usage restrictions;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
configuration/connection requirements;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
implementation guidance; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
authorizes remote access to the information system prior to allowing such connections.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing remote access implementation and usage (including restrictions)
+
+
+
configuration management plan
+
+
+
security plan
+
+
+
information system configuration settings and associated documentation
+
+
+
remote access authorizations
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for managing remote access connections
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Remote access management capability for the information system
+
+
+
+
+
+
+
Control enhancements
+
+
AC-17 (1) AUTOMATED MONITORING / CONTROL
+
+
+
+
+
+
+
Control
+
+
+
The information system monitors and controls remote access methods.
+
+
+
+
Supplemental guidance
+
+
+
Automated monitoring and control of remote access sessions allows organizations to
+ detect cyber attacks and also ensure ongoing compliance with remote access policies
+ by auditing connection activities of remote users on a variety of information system
+ components (e.g., servers, workstations, notebook computers, smart phones, and tablets).
+
Determine if the information system implements cryptographic mechanisms to protect
+ the confidentiality and integrity of remote access sessions.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing remote access to the information system
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
cryptographic mechanisms and associated configuration documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Cryptographic mechanisms protecting confidentiality and integrity of remote access
+ sessions
+
+
+
+
+
+
+
AC-17 (3) MANAGED ACCESS CONTROL POINTS
+
+
+
+
+
+
Parameter: ac-17_a organization-defined number
+
+
+
Default: organization-defined number
+
+
+
+
+
+
+
+
Control
+
+
+
The information system routes all remote accesses through ac-17_a organization-defined number [organization-defined number] managed network access control points.
+
+
+
+
+
Supplemental guidance
+
+
+
Limiting the number of access control points for remote accesses reduces the attack
+ surface for organizations. Organizations consider the Trusted Internet Connections
+ (TIC) initiative requirements for external network connections.
+
the organization defines the number of managed network access control points through
+ which all remote accesses are to be routed; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system routes all remote accesses through the organization-defined
+ number of managed network access control points.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing remote access to the information system
+
+
+
information system design documentation
+
+
+
list of all managed network access control points
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms routing all remote accesses through managed network access control
+ points
+
+
+
+
+
+
+
AC-17 (4) PRIVILEGED COMMANDS / ACCESS
+
+
+
+
+
+
Parameter: ac-17_b organization-defined needs
+
+
+
Default: organization-defined needs
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Authorizes the execution of privileged commands and access to security-relevant information
+ via remote access only for ac-17_b organization-defined needs [organization-defined needs]; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Documents the rationale for such access in the security plan for the information system.
defines needs to authorize the execution of privileged commands and access to security-relevant
+ information via remote access;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
authorizes the execution of privileged commands and access to security-relevant information
+ via remote access only for organization-defined needs; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
documents the rationale for such access in the information system security plan.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing remote access to the information system
+
+
+
information system configuration settings and associated documentation
+
+
+
security plan
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
Parameter: ac-17_c organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
Control
+
+
+
The organization provides the capability to expeditiously disconnect or disable remote
+ access to the information system within ac-17_c organization-defined time period [organization-defined time period].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement requires organizations to have the capability to rapidly
+ disconnect current users remotely accessing the information system and/or disable
+ further remote access. The speed of disconnect or disablement varies based on the
+ criticality of missions/business functions and the need to eliminate immediate or
+ future remote access to organizational information systems.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the time period within which to expeditiously disconnect or disable remote
+ access to the information system; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
provides the capability to expeditiously disconnect or disable remote access to the
+ information system within the organization-defined time period.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing disconnecting or disabling remote access to the information
+ system
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
security plan, information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing capability to disconnect or disable remote access
+ to information system
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-46
+
+
+
+
+
+
NIST Special Publication 800-77
+
+
+
+
+
+
NIST Special Publication 800-113
+
+
+
+
+
+
NIST Special Publication 800-114
+
+
+
+
+
+
NIST Special Publication 800-121
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW AC-17
+
+
MOD AC-17 (1) (2) (3) (4)
+
+
HIGH AC-17 (1) (2) (3) (4)
+
+
+
+
+
+
+
+
AC-18 WIRELESS ACCESS
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Establishes usage restrictions, configuration/connection requirements, and implementation
+ guidance for wireless access; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Authorizes wireless access to the information system prior to allowing such connections.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Wireless technologies include, for example, microwave, packet radio (UHF/VHF), 802.11x,
+ and Bluetooth. Wireless networks use authentication protocols (e.g., EAP/TLS, PEAP),
+ which provide credential protection and mutual authentication.
+
The organization disables, when not intended for use, wireless networking capabilities
+ internally embedded within information system components prior to issuance and deployment.
+
Determine if the organization disables, when not intended for use, wireless networking
+ capabilities internally embedded within information system components prior to issuance
+ and deployment.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing wireless implementation and usage (including restrictions)
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms managing the disabling of wireless networking capabilities internally
+ embedded within information system components
+
+
+
+
+
+
+
AC-18 (4) RESTRICT CONFIGURATIONS BY USERS
+
+
+
+
+
+
Control
+
+
+
The organization identifies and explicitly authorizes users allowed to independently
+ configure wireless networking capabilities.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizational authorizations to allow selected users to configure wireless networking
+ capability are enforced in part, by the access enforcement mechanisms employed within
+ organizational information systems.
+
identifies users allowed to independently configure wireless networking capabilities;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
explicitly authorizes the identified users allowed to independently configure wireless
+ networking capabilities.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing wireless implementation and usage (including restrictions)
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms authorizing independent user configuration of wireless networking
+ capabilities
+
+
+
+
+
+
+
AC-18 (5) ANTENNAS / TRANSMISSION POWER LEVELS
+
+
+
+
+
+
Control
+
+
+
The organization selects radio antennas and calibrates transmission power levels to
+ reduce the probability that usable signals can be received outside of organization-controlled
+ boundaries.
+
+
+
+
+
Supplemental guidance
+
+
+
Actions that may be taken by organizations to limit unauthorized use of wireless communications
+ outside of organization-controlled boundaries include, for example: (i) reducing the
+ power of wireless transmissions so that the transmissions are less likely to emit
+ a signal that can be used by adversaries outside of the physical perimeters of organizations;
+ (ii) employing measures such as TEMPEST to control wireless emanations; and (iii)
+ using directional/beam forming antennas that reduce the likelihood that unintended
+ receivers will be able to intercept signals. Prior to taking such actions, organizations
+ can conduct periodic wireless surveys to understand the radio frequency profile of
+ organizational information systems as well as other systems that may be operating
+ in the area.
+
Establishes usage restrictions, configuration requirements, connection requirements,
+ and implementation guidance for organization-controlled mobile devices; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Authorizes the connection of mobile devices to organizational information systems.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
A mobile device is a computing device that: (i) has a small form factor such that
+ it can easily be carried by a single individual; (ii) is designed to operate without
+ a physical connection (e.g., wirelessly transmit or receive information); (iii) possesses
+ local, non-removable or removable data storage; and (iv) includes a self-contained
+ power source. Mobile devices may also include voice communication capabilities, on-board
+ sensors that allow the device to capture information, and/or built-in features for
+ synchronizing local data with remote locations. Examples include smart phones, E-readers,
+ and tablets. Mobile devices are typically associated with a single individual and
+ the device is usually in close proximity to the individual; however, the degree of
+ proximity can vary depending upon on the form factor and size of the device. The processing,
+ storage, and transmission capability of the mobile device may be comparable to or
+ merely a subset of desktop systems, depending upon the nature and intended purpose
+ of the device. Due to the large variety of mobile devices with different technical
+ characteristics and capabilities, organizational restrictions may vary for the different
+ classes/types of such devices. Usage restrictions and specific implementation guidance
+ for mobile devices include, for example, configuration management, device identification
+ and authentication, implementation of mandatory protective software (e.g., malicious
+ code detection, firewall), scanning devices for malicious code, updating virus protection
+ software, scanning for critical software updates and patches, conducting primary operating
+ system (and possibly other resident software) integrity checks, and disabling unnecessary
+ hardware (e.g., wireless, infrared). Organizations are cautioned that the need to
+ provide adequate security for mobile devices goes beyond the requirements in this
+ control. Many safeguards and countermeasures for mobile devices are reflected in other
+ security controls in the catalog allocated in the initial control baselines as starting
+ points for the development of security plans and overlays using the tailoring process.
+ There may also be some degree of overlap in the requirements articulated by the security
+ controls within the different families of controls. AC-20 addresses mobile devices
+ that are not organization-controlled.
+
Prohibits the use of unclassified mobile devices in facilities containing information
+ systems processing, storing, or transmitting classified information unless specifically
+ permitted by the authorizing official; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Enforces the following restrictions on individuals permitted by the authorizing official
+ to use unclassified mobile devices in facilities containing information systems processing,
+ storing, or transmitting classified information:
+
+
+
+
+
+
+
(1)
+
+
+
+
+
Connection of unclassified mobile devices to classified information systems is prohibited;
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
Connection of unclassified mobile devices to unclassified information systems requires
+ approval from the authorizing official;
+
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
Use of internal or external modems or wireless interfaces within the unclassified
+ mobile devices is prohibited; and
+
+
+
+
+
+
+
+
+
+
+
+
(4)
+
+
+
+
+
Unclassified mobile devices and the information stored on those devices are subject
+ to random reviews and inspections by ac-19_a organization-defined security officials [organization-defined security officials], and if classified information is found, the incident handling policy is followed.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
Restricts the connection of classified mobile devices to classified information systems
+ in accordance with ac-19_b organization-defined security policies [organization-defined security policies].
+
prohibits the use of unclassified mobile devices in facilities containing information
+ systems processing, storing, or transmitting classified information unless specifically
+ permitted by the authorizing official;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
enforces the following restrictions on individuals permitted by the authorizing official
+ to use unclassified mobile devices in facilities containing information systems processing,
+ storing, or transmitting classified information:
+
+
+
+
+
+
+
(1)
+
+
+
+
+
connection of unclassified mobile devices to classified information systems is prohibited;
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
connection of unclassified mobile devices to unclassified information systems requires
+ approval from the authorizing official;
+
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
use of internal or external modems or wireless interfaces within the unclassified
+ mobile devices is prohibited;
+
+
+
+
+
+
+
+
+
+
+
+
(4)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines security officials responsible for reviews and inspections of unclassified
+ mobile devices and the information stored on those devices;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
unclassified mobile devices and the information stored on those devices are subject
+ to random reviews/inspections by organization-defined security officials;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the incident handling policy is followed if classified information is found;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines security policies to restrict the connection of classified mobile devices
+ to classified information systems; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
restricts the connection of classified mobile devices to classified information systems
+ in accordance with organization-defined security policies.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
incident handling policy
+
+
+
procedures addressing access control for mobile devices
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
evidentiary documentation for random inspections and reviews of mobile devices
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel responsible for random reviews/inspections of mobile devices
+
+
+
organizational personnel using mobile devices in facilities containing information
+ systems processing, storing, or transmitting classified information
+
+
+
organizational personnel with incident response responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms prohibiting the use of internal or external modems or wireless
+ interfaces with mobile devices
+
+
+
+
+
+
+
AC-19 (5) FULL DEVICE / CONTAINER-BASED ENCRYPTION
+
+
+
+
+
+
Parameter: ac-19_c organization-defined mobile devices
+
+
+
Default: organization-defined mobile devices
+
+
+
+
+
+
+
+
Control
+
+
+
The organization employs [Selection: full-device encryption; container encryption]
+ to protect the confidentiality and integrity of information on ac-19_c organization-defined mobile devices [organization-defined mobile devices].
+
+
+
+
+
Supplemental guidance
+
+
+
Container-based encryption provides a more fine-grained approach to the encryption
+ of data/information on mobile devices, including for example, encrypting selected
+ data structures such as files, records, or fields.
+
defines mobile devices for which full-device encryption or container encryption is
+ required to protect the confidentiality and integrity of information on such devices;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs full-device encryption or container encryption to protect the confidentiality
+ and integrity of information on organization-defined mobile devices.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing access control for mobile devices
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
encryption mechanism s and associated configuration documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with access control responsibilities for mobile devices
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Encryption mechanisms protecting confidentiality and integrity of information on mobile
+ devices
+
+
+
+
+
+
+
+
References
+
+
+
+
OMB Memorandum 06-16
+
+
+
+
+
+
NIST Special Publication 800-114
+
+
+
+
+
+
NIST Special Publication 800-124
+
+
+
+
+
+
NIST Special Publication 800-164
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW AC-19
+
+
MOD AC-19 (5)
+
+
HIGH AC-19 (5)
+
+
+
+
+
+
+
+
AC-20 USE OF EXTERNAL INFORMATION SYSTEMS
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization establishes terms and conditions, consistent with any trust relationships
+ established with other organizations owning, operating, and/or maintaining external
+ information systems, allowing authorized individuals to:
+
+
+
+
+
+
+
a.
+
+
+
+
+
Access the information system from external information systems; and
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Process, store, or transmit organization-controlled information using external information
+ systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
External information systems are information systems or components of information
+ systems that are outside of the authorization boundary established by organizations
+ and for which organizations typically have no direct supervision and authority over
+ the application of required security controls or the assessment of control effectiveness.
+ External information systems include, for example: (i) personally owned information
+ systems/devices (e.g., notebook computers, smart phones, tablets, personal digital
+ assistants); (ii) privately owned computing and communications devices resident in
+ commercial or public facilities (e.g., hotels, train stations, convention centers,
+ shopping malls, or airports); (iii) information systems owned or controlled by nonfederal
+ governmental organizations; and (iv) federal information systems that are not owned
+ by, operated by, or under the direct supervision and authority of organizations. This
+ control also addresses the use of external information systems for the processing,
+ storage, or transmission of organizational information, including, for example, accessing
+ cloud services (e.g., infrastructure as a service, platform as a service, or software
+ as a service) from organizational information systems.
+ For some external information systems (i.e., information systems operated by other
+ federal agencies, including organizations subordinate to those agencies), the trust
+ relationships that have been established between those organizations and the originating
+ organization may be such, that no explicit terms and conditions are required. Information
+ systems within these organizations would not be considered external. These situations
+ occur when, for example, there are pre-existing sharing/trust agreements (either implicit
+ or explicit) established between federal agencies or organizations subordinate to
+ those agencies, or when such trust agreements are specified by applicable laws, Executive
+ Orders, directives, or policies. Authorized individuals include, for example, organizational
+ personnel, contractors, or other individuals with authorized access to organizational
+ information systems and over which organizations have the authority to impose rules
+ of behavior with regard to system access. Restrictions that organizations impose on
+ authorized individuals need not be uniform, as those restrictions may vary depending
+ upon the trust relationships between organizations. Therefore, organizations may choose
+ to impose different security restrictions on contractors than on state, local, or
+ tribal governments.
+ This control does not apply to the use of external information systems to access public
+ interfaces to organizational information systems (e.g., individuals accessing federal
+ information through www.usa.gov). Organizations establish terms and conditions for
+ the use of external information systems in accordance with organizational security
+ policies and procedures. Terms and conditions address as a minimum: types of applications
+ that can be accessed on organizational information systems from external information
+ systems; and the highest security category of information that can be processed, stored,
+ or transmitted on external information systems. If terms and conditions with the owners
+ of external information systems cannot be established, organizations may impose restrictions
+ on organizational personnel using those external systems.
+
Determine if the organization establishes terms and conditions, consistent with any
+ trust relationships established with other organizations owning, operating, and/or
+ maintaining external information systems, allowing authorized individuals to:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
access the information system from the external information systems; and
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
process, store, or transmit organization-controlled information using external information
+ systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing the use of external information systems
+
+
+
external information systems terms and conditions
+
+
+
list of types of applications accessible from external information systems
+
+
+
maximum security categorization for information processed, stored, or transmitted
+ on external information systems
+
+
+
information system configuration settings and associated documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for defining terms and conditions for
+ use of external information systems to access organizational systems
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing terms and conditions on use of external information
+ systems
+
+
+
+
+
+
+
Control enhancements
+
+
AC-20 (1) LIMITS ON AUTHORIZED USE
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization permits authorized individuals to use an external information system
+ to access the information system or to process, store, or transmit organization-controlled
+ information only when the organization:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
Verifies the implementation of required security controls on the external system as
+ specified in the organization�s information security policy and security plan; or
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Retains approved information system connection or processing agreements with the organizational
+ entity hosting the external information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement recognizes that there are circumstances where individuals
+ using external information systems (e.g., contractors, coalition partners) need to
+ access organizational information systems. In those situations, organizations need
+ confidence that the external information systems contain the necessary security safeguards
+ (i.e., security controls), so as not to compromise, damage, or otherwise harm organizational
+ information systems. Verification that the required security controls have been implemented
+ can be achieved, for example, by third-party, independent assessments, attestations,
+ or other means, depending on the confidence level required by organizations.
+
Determine if the organization permits authorized individuals to use an external information
+ system to access the information system or to process, store, or transmit organization-controlled
+ information only when the organization:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
verifies the implementation of required security controls on the external system as
+ specified in the organization’s information security policy and security plan; or
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
retains approved information system connection or processing agreements with the organizational
+ entity hosting the external information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing the use of external information systems
+
+
+
security plan
+
+
+
information system connection or processing agreements
+
+
+
account management documents
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing limits on use of external information systems
+
+
+
+
+
+
+
AC-20 (2) PORTABLE STORAGE DEVICES
+
+
+
+
+
+
+
Control
+
+
+
The organization [Selection: restricts; prohibits] the use of organization-controlled
+ portable storage devices by authorized individuals on external information systems.
+
+
+
+
+
Supplemental guidance
+
+
+
Limits on the use of organization-controlled portable storage devices in external
+ information systems include, for example, complete prohibition of the use of such
+ devices or restrictions on how the devices may be used and under what conditions the
+ devices may be used.
+
+
+
+
+
Objective
+
+
+
Determine if the organization restricts or prohibits the use of organization-controlled
+ portable storage devices by authorized individuals on external information systems.
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing the use of external information systems
+
+
+
security plan
+
+
+
information system configuration settings and associated documentation
+
+
+
information system connection or processing agreements
+
+
+
account management documents
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for restricting or prohibiting use
+ of organization-controlled storage devices on external information systems
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing restrictions on use of portable storage devices
+
+
+
+
+
+
+
AC-20 (3) NON-ORGANIZATIONALLY OWNED SYSTEMS / COMPONENTS / DEVICES
+
+
+
+
+
Control
+
+
+
The organization [Selection: restricts; prohibits] the use of non-organizationally
+ owned information systems, system components, or devices to process, store, or transmit
+ organizational information.
+
+
+
+
+
Supplemental guidance
+
+
+
Non-organizationally owned devices include devices owned by other organizations (e.g.,
+ federal/state agencies, contractors) and personally owned devices. There are risks
+ to using non-organizationally owned devices. In some cases, the risk is sufficiently
+ high as to prohibit such use. In other cases, it may be such that the use of non-organizationally
+ owned devices is allowed but restricted in some way. Restrictions include, for example:
+ (i) requiring the implementation of organization-approved security controls prior
+ to authorizing such connections; (ii) limiting access to certain types of information,
+ services, or applications; (iii) using virtualization techniques to limit processing
+ and storage activities to servers or other system components provisioned by the organization;
+ and (iv) agreeing to terms and conditions for usage. For personally owned devices,
+ organizations consult with the Office of the General Counsel regarding legal issues
+ associated with using such devices in operational environments, including, for example,
+ requirements for conducting forensic analyses during investigations after an incident.
+
+
+
+
+
Objective
+
+
+
Determine if the organization restricts or prohibits the use of non-organizationally
+ owned information systems, system components, or devices to process, store, or transmit
+ organizational information.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing the use of external information systems
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system connection or processing agreements
+
+
+
account management documents
+
+
+
information system audit records, other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for restricting or prohibiting use
+ of non-organizationally owned information systems, system components, or devices
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing restrictions on the use of non-organizationally
+ owned systems/components/devices
+
The organization prohibits the use of ac-20_a organization-defined network accessible storage devices [organization-defined network accessible storage devices] in external information systems.
+
+
+
+
+
Supplemental guidance
+
+
+
Network accessible storage devices in external information systems include, for example,
+ online storage devices in public, hybrid, or community cloud-based systems.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines network accessible storage devices to be prohibited from use in external information
+ systems; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
prohibits the use of organization-defined network accessible storage devices in external
+ information systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing use of network accessible storage devices in external information
+ systems
+
+
+
security plan, information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system connection or processing agreements
+
+
+
list of network accessible storage devices prohibited from use in external information
+ systems
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for prohibiting use of network accessible
+ storage devices in external information systems
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms prohibiting the use of network accessible storage devices in
+ external information systems
+
+
+
+
+
+
+
+
References
+
+
+
+
FIPS Publication 199
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW AC-20
+
+
MOD AC-20 (1) (2)
+
+
HIGH AC-20 (1) (2)
+
+
+
+
+
+
+
+
AC-21 INFORMATION SHARING
+
+
+
+
+
+
Parameter: ac-21_a organization-defined information sharing circumstances where user discretion is required
+
+
+
Default: organization-defined information sharing circumstances where user discretion is required
+
+
+
+
+
+
+
Parameter: ac-21_b organization-defined automated mechanisms or manual processes
+
+
+
Default: organization-defined automated mechanisms or manual processes
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Facilitates information sharing by enabling authorized users to determine whether
+ access authorizations assigned to the sharing partner match the access restrictions
+ on the information for ac-21_a organization-defined information sharing circumstances where user discretion is required [organization-defined information sharing circumstances where user discretion is required]; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Employs ac-21_b organization-defined automated mechanisms or manual processes [organization-defined automated mechanisms or manual processes] to assist users in making information sharing/collaboration decisions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies to information that may be restricted in some manner (e.g., privileged
+ medical information, contract-sensitive information, proprietary information, personally
+ identifiable information, classified information related to special access programs
+ or compartments) based on some formal or administrative determination. Depending on
+ the particular information-sharing circumstances, sharing partners may be defined
+ at the individual, group, or organizational level. Information may be defined by content,
+ type, security category, or special access program/compartment.
+
defines information sharing circumstances where user discretion is required;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
facilitates information sharing by enabling authorized users to determine whether
+ access authorizations assigned to the sharing partner match the access restrictions
+ on the information for organization-defined information sharing circumstances;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines automated mechanisms or manual processes to be employed to assist users in
+ making information sharing/collaboration decisions; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs organization-defined automated mechanisms or manual processes to assist users
+ in making information sharing/collaboration decisions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing user-based collaboration and information sharing (including
+ restrictions)
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of users authorized to make information sharing/collaboration decisions
+
+
+
list of information sharing circumstances requiring user discretion
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel responsible for making information sharing/collaboration
+ decisions
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms or manual process implementing access authorizations supporting
+ information sharing/user collaboration decisions
+
+
+
+
+
+
Control enhancements
+
+
AC-21 (1) AUTOMATED DECISION SUPPORT
+
+
+
+
+
Control
+
+
+
The information system enforces information-sharing decisions by authorized users
+ based on access authorizations of sharing partners and access restrictions on information
+ to be shared.
+
+
+
+
+
+
+
+
+
+
+
Determine if the information system enforces information-sharing decisions by authorized
+ users based on:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
access authorizations of sharing partners; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
access restrictions on information to be shared.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing user-based collaboration and information sharing (including
+ restrictions)
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
system-generated list of users authorized to make information sharing/collaboration
+ decisions
+
+
+
system-generated list of sharing partners and access authorizations
+
+
+
system-generated list of access restrictions regarding information to be shared
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
Parameter: ac-21_c organization-defined information sharing restrictions
+
+
+
Default: organization-defined information sharing restrictions
+
+
+
+
+
+
Control
+
+
+
The information system implements information search and retrieval services that enforce
+ ac-21_c organization-defined information sharing restrictions [organization-defined information sharing restrictions].
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines information sharing restrictions to be enforced through information
+ search and retrieval services; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system implements information search and retrieval services that enforce
+ organization-defined information sharing restrictions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing user-based collaboration and information sharing (including
+ restrictions)
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
system-generated list of access restrictions regarding information to be shared
+
+
+
information search and retrieval records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with access enforcement responsibilities for information
+ system search and retrieval services
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Information system search and retrieval services enforcing information sharing restrictions
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW Not selected
+
+
MOD AC-21
+
+
HIGH AC-21
+
+
+
+
+
+
+
+
AC-22 PUBLICLY ACCESSIBLE CONTENT
+
+
+
+
+
+
Parameter: ac-22_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Designates individuals authorized to post information onto a publicly accessible information
+ system;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Trains authorized individuals to ensure that publicly accessible information does
+ not contain nonpublic information;
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Reviews the proposed content of information prior to posting onto the publicly accessible
+ information system to ensure that nonpublic information is not included; and
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Reviews the content on the publicly accessible information system for nonpublic information
+ ac-22_a organization-defined frequency [organization-defined frequency] and removes such information, if discovered.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
In accordance with federal laws, Executive Orders, directives, policies, regulations,
+ standards, and/or guidance, the general public is not authorized access to nonpublic
+ information (e.g., information protected under the Privacy Act and proprietary information).
+ This control addresses information systems that are controlled by the organization
+ and accessible to the general public, typically without identification or authentication.
+ The posting of information on non-organization information systems is covered by organizational
+ policy.
+
designates individuals authorized to post information onto a publicly accessible
+ information system;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
trains authorized individuals to ensure that publicly accessible information does
+ not contain nonpublic information;
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
reviews the proposed content of information prior to posting onto the publicly accessible
+ information system to ensure that nonpublic information is not included;
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review the content on the publicly accessible information
+ system for nonpublic information;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews the content on the publicly accessible information system for nonpublic information
+ with the organization-defined frequency; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
removes nonpublic information from the publicly accessible information system, if
+ discovered.
+
list of users authorized to post publicly accessible content on organizational information
+ systems
+
+
+
training materials and/or records
+
+
+
records of publicly accessible information reviews
+
+
+
records of response to nonpublic information on public websites
+
+
+
system audit logs
+
+
+
security awareness training records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for managing publicly accessible information
+ posted on organizational information systems
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing management of publicly accessible content
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P3
+
LOW AC-22
+
+
MOD AC-22
+
+
HIGH AC-22
+
+
+
+
+
+
+
+
AC-23 DATA MINING PROTECTION
+
+
+
+
+
+
Parameter: ac-23_a organization-defined data mining prevention and detection techniques
+
+
+
Default: organization-defined data mining prevention and detection techniques
+
+
+
+
+
+
+
Parameter: ac-23_b organization-defined data storage objects
+
+
+
Default: organization-defined data storage objects
+
+
+
+
+
+
+
Control
+
+
+
The organization employs ac-23_a organization-defined data mining prevention and detection techniques [organization-defined data mining prevention and detection techniques] for ac-23_b organization-defined data storage objects [organization-defined data storage objects] to adequately detect and protect against data mining.
+
+
+
+
+
Supplemental guidance
+
+
+
Data storage objects include, for example, databases, database records, and database
+ fields. Data mining prevention and detection techniques include, for example: (i)
+ limiting the types of responses provided to database queries; (ii) limiting the number/frequency
+ of database queries to increase the work factor needed to determine the contents of
+ such databases; and (iii) notifying organizational personnel when atypical database
+ queries or accesses occur. This control focuses on the protection of organizational
+ information from data mining while such information resides in organizational data
+ stores. In contrast, AU-13 focuses on monitoring for organizational information that
+ may have been mined or otherwise obtained from data stores and is now available as
+ open source information residing on external sites, for example, through social networking
+ or social media websites.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines data mining prevention and detection techniques to be employed for organization-defined
+ storage objects to adequately detect and protect against data mining;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines data storage objects to be protected from data mining; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
employs organization-defined data mining prevention and detection techniques for organization-defined
+ data storage objects to adequately detect and protect against data mining.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing data mining techniques
+
+
+
procedures addressing protection of data storage objects against data mining
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit logs
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for implementing data mining detection
+ and prevention techniques for data storage objects
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing data mining prevention and detection
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
AC-24 ACCESS CONTROL DECISIONS
+
+
+
+
+
+
Parameter: ac-24_a organization-defined access control decisions
+
+
+
Default: organization-defined access control decisions
+
+
+
+
+
+
+
Control
+
+
+
The organization establishes procedures to ensure ac-24_a organization-defined access control decisions [organization-defined access control decisions] are applied to each access request prior to access enforcement.
+
+
+
+
+
Supplemental guidance
+
+
+
Access control decisions (also known as authorization decisions) occur when authorization
+ information is applied to specific accesses. In contrast, access enforcement occurs
+ when information systems enforce access control decisions. While it is very common
+ to have access control decisions and access enforcement implemented by the same entity,
+ it is not required and it is not always an optimal implementation choice. For some
+ architectures and distributed information systems, different entities may perform
+ access control decisions and access enforcement.
+
+
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines access control decisions to be applied to each access request prior to access
+ control enforcement; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
establishes procedures to ensure organization-defined access control decisions are
+ applied to each access request prior to access control enforcement.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing access control decisions
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for establishing procedures regarding
+ access control decisions to the information system
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms applying established access control decisions and procedures
+
+
+
+
+
+
Control enhancements
+
+
AC-24 (1) TRANSMIT ACCESS AUTHORIZATION INFORMATION
+
+
+
+
+
+
Parameter: ac-24_b organization-defined access authorization information
+
+
+
Default: organization-defined access authorization information
+
Parameter: ac-24_d organization-defined information systems
+
+
+
Default: organization-defined information systems
+
+
+
+
+
+
Control
+
+
+
The information system transmits ac-24_b organization-defined access authorization information [organization-defined access authorization information] using ac-24_c organization-defined security safeguards [organization-defined security safeguards] to ac-24_d organization-defined information systems [organization-defined information systems] that enforce access control decisions.
+
+
+
+
+
Supplemental guidance
+
+
+
In distributed information systems, authorization processes and access control decisions
+ may occur in separate parts of the systems. In such instances, authorization information
+ is transmitted securely so timely access control decisions can be enforced at the
+ appropriate locations. To support the access control decisions, it may be necessary
+ to transmit as part of the access authorization information, supporting security attributes.
+ This is due to the fact that in distributed information systems, there are various
+ access control decisions that need to be made and different entities (e.g., services)
+ make these decisions in a serial fashion, each requiring some security attributes
+ to make the decisions. Protecting access authorization information (i.e., access control
+ decisions) ensures that such information cannot be altered, spoofed, or otherwise
+ compromised during transmission.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines access authorization information that the information system
+ transmits to organization-defined information systems that enforce access control
+ decisions;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines security safeguards to be used when the information system
+ transmits organization-defined authorization information to organization-defined information
+ systems that enforce access control decisions;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the organization defines the information systems that enforce access control decisions;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
the information system transmits organization-defined access authorization information
+ using organization-defined security safeguards to organization-defined information
+ systems that enforce access control decisions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing access enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with access enforcement responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
The information system enforces access control decisions based on ac-24_e organization-defined security attributes [organization-defined security attributes] that do not include the identity of the user or process acting on behalf of the user.
+
+
+
+
+
Supplemental guidance
+
+
+
In certain situations, it is important that access control decisions can be made without
+ information regarding the identity of the users issuing the requests. These are generally
+ instances where preserving individual privacy is of paramount importance. In other
+ situations, user identification information is simply not needed for access control
+ decisions and, especially in the case of distributed information systems, transmitting
+ such information with the needed degree of assurance may be very expensive or difficult
+ to accomplish.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines security attributes that support access control decisions
+ that do not include the identity of the user or processes acting on behalf of the
+ user; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system enforces access control decisions based on organization-defined
+ security attributes that do not include the identity of the user or process acting
+ on behalf of the user.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing access enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with access enforcement responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
Parameter: ac-25_a organization-defined access control policies
+
+
+
Default: organization-defined access control policies
+
+
+
+
+
+
+
Control
+
+
+
The information system implements a reference monitor for ac-25_a organization-defined access control policies [organization-defined access control policies] that is tamperproof, always invoked, and small enough to be subject to analysis and
+ testing, the completeness of which can be assured.
+
+
+
+
+
Supplemental guidance
+
+
+
Information is represented internally within information systems using abstractions
+ known as data structures. Internal data structures can represent different types of
+ entities, both active and passive. Active entities, also known as subjects, are typically
+ associated with individuals, devices, or processes acting on behalf of individuals.
+ Passive entities, also known as objects, are typically associated with data structures
+ such as records, buffers, tables, files, inter-process pipes, and communications ports.
+ Reference monitors typically enforce mandatory access control policies�a type of access
+ control that restricts access to objects based on the identity of subjects or groups
+ to which the subjects belong. The access controls are mandatory because subjects with
+ certain privileges (i.e., access permissions) are restricted from passing those privileges
+ on to any other subjects, either directly or indirectly�that is, the information system
+ strictly enforces the access control policy based on the rule set established by the
+ policy. The tamperproof property of the reference monitor prevents adversaries from
+ compromising the functioning of the mechanism. The always invoked property prevents
+ adversaries from bypassing the mechanism and hence violating the security policy.
+ The smallness property helps to ensure the completeness in the analysis and testing
+ of the mechanism to detect weaknesses or deficiencies (i.e., latent flaws) that would
+ prevent the enforcement of the security policy.
+
the organization defines access control policies for which the information system
+ implements a reference monitor to enforce such policies; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system implements a reference monitor for organization-defined access
+ control policies that is tamperproof, always invoked, and small enough to be subject
+ to analysis and testing, the completeness of which can be assured.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing access enforcement
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with access enforcement responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
AT-1 SECURITY AWARENESS AND TRAINING POLICY AND PROCEDURES
+
+
+
+
+
+
Parameter: at-1_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: at-1_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: at-1_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops, documents, and disseminates to at-1_a organization-defined personnel or roles [organization-defined personnel or roles]:
+
+
+
+
+
+
+
1.
+
+
+
+
+
A security awareness and training policy that addresses purpose, scope, roles, responsibilities,
+ management commitment, coordination among organizational entities, and compliance;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Procedures to facilitate the implementation of the security awareness and training
+ policy and associated security awareness and training controls; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the current:
+
+
+
+
+
+
1.
+
+
+
+
+
Security awareness and training policy at-1_b organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Security awareness and training procedures at-1_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the establishment of policy and procedures for the effective
+ implementation of selected security controls and control enhancements in the AT family.
+ Policy and procedures reflect applicable federal laws, Executive Orders, directives,
+ regulations, policies, standards, and guidance. Security program policies and procedures
+ at the organization level may make the need for system-specific policies and procedures
+ unnecessary. The policy can be included as part of the general information security
+ policy for organizations or conversely, can be represented by multiple policies reflecting
+ the complex nature of certain organizations. The procedures can be established for
+ the security program in general and for particular information systems, if needed.
+ The organizational risk management strategy is a key factor in establishing policy
+ and procedures.
+
develops and documents an security awareness and training policy that addresses:
+
+
+
+
+
+
[a]
+
+
+
+
+
purpose;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
scope;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
roles;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
responsibilities;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
management commitment;
+
+
+
+
+
+
+
+
+
+
+
[f]
+
+
+
+
+
coordination among organizational entities;
+
+
+
+
+
+
+
+
+
+
+
[g]
+
+
+
+
+
compliance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the security awareness and training policy are
+ to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the security awareness and training policy to organization-defined personnel
+ or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(a)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops and documents procedures to facilitate the implementation of the security
+ awareness and training policy and associated awareness and training controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current security awareness and training
+ policy;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current security awareness and training policy with the organization-defined
+ frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current security awareness and training
+ procedures; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current security awareness and training procedures with the
+ organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security awareness and training policy and procedures
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security awareness and training responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-12
+
+
+
+
+
+
NIST Special Publication 800-16
+
+
+
+
+
+
NIST Special Publication 800-50
+
+
+
+
+
+
NIST Special Publication 800-100
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW AT-1
+
+
MOD AT-1
+
+
HIGH AT-1
+
+
+
+
+
+
+
+
AT-2 SECURITY AWARENESS TRAINING
+
+
+
+
+
+
Parameter: at-2_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization provides basic security awareness training to information system
+ users (including managers, senior executives, and contractors):
+
+
+
+
+
+
+
a.
+
+
+
+
+
As part of initial training for new users;
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
When required by information system changes; and
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
+ at-2_a organization-defined frequency [organization-defined frequency] thereafter.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations determine the appropriate content of security awareness training and
+ security awareness techniques based on the specific organizational requirements and
+ the information systems to which personnel have authorized access. The content includes
+ a basic understanding of the need for information security and user actions to maintain
+ security and to respond to suspected security incidents. The content also addresses
+ awareness of the need for operations security. Security awareness techniques can include,
+ for example, displaying posters, offering supplies inscribed with security reminders,
+ generating email advisories/notices from senior organizational officials, displaying
+ logon screen messages, and conducting information security awareness events.
+
provides basic security awareness training to information system users (including
+ managers, senior executives, and contractors) as part of initial training for new
+ users;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
provides basic security awareness training to information system users (including
+ managers, senior executives, and contractors) when required by information system
+ changes; and
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to provide refresher security awareness training thereafter
+ to information system users (including managers, senior executives, and contractors);
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
provides refresher security awareness training to information users (including managers,
+ senior executives, and contractors) with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security awareness and training policy
+
+
+
procedures addressing security awareness training implementation
+
+
+
appropriate codes of federal regulations
+
+
+
security awareness training curriculum
+
+
+
security awareness training materials
+
+
+
security plan
+
+
+
training records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for security awareness training
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel comprising the general information system user community
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms managing security awareness training
+
+
+
+
+
+
+
Control enhancements
+
+
AT-2 (1) PRACTICAL EXERCISES
+
+
+
+
+
Control
+
+
+
The organization includes practical exercises in security awareness training that
+ simulate actual cyber attacks.
+
+
+
+
+
Supplemental guidance
+
+
+
Practical exercises may include, for example, no-notice social engineering attempts
+ to collect information, gain unauthorized access, or simulate the adverse impact of
+ opening malicious email attachments or invoking, via spear phishing attacks, malicious
+ web links.
+
Determine if the organization includes practical exercises in security awareness training
+ that simulate actual cyber attacks.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security awareness and training policy
+
+
+
procedures addressing security awareness training implementation
+
+
+
security awareness training curriculum
+
+
+
security awareness training materials
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel that participate in security awareness training
+
+
+
organizational personnel with responsibilities for security awareness training
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing cyber attack simulations in practical exercises
+
+
+
+
+
+
+
AT-2 (2) INSIDER THREAT
+
+
+
+
+
+
+
Control
+
+
+
The organization includes security awareness training on recognizing and reporting
+ potential indicators of insider threat.
+
+
+
+
+
Supplemental guidance
+
+
+
Potential indicators and possible precursors of insider threat can include behaviors
+ such as inordinate, long-term job dissatisfaction, attempts to gain access to information
+ not required for job performance, unexplained access to financial resources, bullying
+ or sexual harassment of fellow employees, workplace violence, and other serious violations
+ of organizational policies, procedures, directives, rules, or practices. Security
+ awareness training includes how to communicate employee and management concerns regarding
+ potential indicators of insider threat through appropriate organizational channels
+ in accordance with established organizational policies and procedures.
+
Determine if the organization includes security awareness training on recognizing
+ and reporting potential indicators of insider threat.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security awareness and training policy
+
+
+
procedures addressing security awareness training implementation
+
+
+
security awareness training curriculum
+
+
+
security awareness training materials
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel that participate in security awareness training
+
+
+
organizational personnel with responsibilities for basic security awareness training
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
+
References
+
+
+
+
C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)
+
+
+
+
+
+
Executive Order 13587
+
+
+
+
+
+
NIST Special Publication 800-50
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW AT-2
+
+
MOD AT-2 (2)
+
+
HIGH AT-2 (2)
+
+
+
+
+
+
+
+
AT-3 ROLE-BASED SECURITY TRAINING
+
+
+
+
+
+
Parameter: at-3_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization provides role-based security training to personnel with assigned
+ security roles and responsibilities:
+
+
+
+
+
+
+
a.
+
+
+
+
+
Before authorizing access to the information system or performing assigned duties;
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
When required by information system changes; and
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
+ at-3_a organization-defined frequency [organization-defined frequency] thereafter.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations determine the appropriate content of security training based on the
+ assigned roles and responsibilities of individuals and the specific security requirements
+ of organizations and the information systems to which personnel have authorized access.
+ In addition, organizations provide enterprise architects, information system developers,
+ software developers, acquisition/procurement officials, information system managers,
+ system/network administrators, personnel conducting configuration management and auditing
+ activities, personnel performing independent verification and validation activities,
+ security control assessors, and other personnel having access to system-level software,
+ adequate security-related technical training specifically tailored for their assigned
+ duties. Comprehensive role-based training addresses management, operational, and technical
+ roles and responsibilities covering physical, personnel, and technical safeguards
+ and countermeasures. Such training can include for example, policies, procedures,
+ tools, and artifacts for the organizational security roles defined. Organizations
+ also provide the training necessary for individuals to carry out their responsibilities
+ related to operations and supply chain security within the context of organizational
+ information security programs. Role-based security training also applies to contractors
+ providing services to federal agencies.
+
provides role-based security training to personnel with assigned security roles and
+ responsibilities before authorizing access to the information system or performing
+ assigned duties;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
provides role-based security training to personnel with assigned security roles and
+ responsibilities when required by information system changes; and
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to provide refresher role-based security training thereafter
+ to personnel with assigned security roles and responsibilities; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
provides refresher role-based security training to personnel with assigned security
+ roles and responsibilities with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security awareness and training policy
+
+
+
procedures addressing security training implementation
+
+
+
codes of federal regulations
+
+
+
security training curriculum
+
+
+
security training materials
+
+
+
security plan
+
+
+
training records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for role-based security training
+
+
+
organizational personnel with assigned information system security roles and responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms managing role-based security training
+
+
+
+
+
+
+
Control enhancements
+
+
AT-3 (1) ENVIRONMENTAL CONTROLS
+
+
+
+
+
+
Parameter: at-3_b organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: at-3_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
Control
+
+
+
The organization provides at-3_b organization-defined personnel or roles [organization-defined personnel or roles] with initial and at-3_c organization-defined frequency [organization-defined frequency] training in the employment and operation of environmental controls.
+
+
+
+
+
Supplemental guidance
+
+
+
Environmental controls include, for example, fire suppression and detection devices/systems,
+ sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors,
+ temperature/humidity, HVAC, and power within the facility. Organizations identify
+ personnel with specific roles and responsibilities associated with environmental controls
+ requiring specialized training.
+
defines personnel or roles to be provided with initial and refresher training in the
+ employment and operation of environmental controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
provides organization-defined personnel or roles with initial and refresher training
+ in the employment and operation of environmental controls;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines the frequency to provide refresher training in the employment and operation
+ of environmental controls; and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
provides refresher training in the employment and operation of environmental controls
+ with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security awareness and training policy
+
+
+
procedures addressing security training implementation
+
+
+
security training curriculum
+
+
+
security training materials
+
+
+
security plan
+
+
+
training records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for role-based security training
+
+
+
organizational personnel with responsibilities for employing and operating environmental
+ controls
+
+
+
+
+
+
+
AT-3 (2) PHYSICAL SECURITY CONTROLS
+
+
+
+
+
+
Parameter: at-3_d organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: at-3_e organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
Control
+
+
+
The organization provides at-3_d organization-defined personnel or roles [organization-defined personnel or roles] with initial and at-3_e organization-defined frequency [organization-defined frequency] training in the employment and operation of physical security controls.
+
+
+
+
+
Supplemental guidance
+
+
+
Physical security controls include, for example, physical access control devices,
+ physical intrusion alarms, monitoring/surveillance equipment, and security guards
+ (deployment and operating procedures). Organizations identify personnel with specific
+ roles and responsibilities associated with physical security controls requiring specialized
+ training.
+
defines personnel or roles to be provided with initial and refresher training in the
+ employment and operation of physical security controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
provides organization-defined personnel or roles with initial and refresher training
+ in the employment and operation of physical security controls;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines the frequency to provide refresher training in the employment and operation
+ of physical security controls; and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
provides refresher training in the employment and operation of physical security controls
+ with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security awareness and training policy
+
+
+
procedures addressing security training implementation
+
+
+
security training curriculum
+
+
+
security training materials
+
+
+
security plan
+
+
+
training records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for role-based security training
+
+
+
organizational personnel with responsibilities for employing and operating physical
+ security controls
+
+
+
+
+
+
+
AT-3 (3) PRACTICAL EXERCISES
+
+
+
+
+
Control
+
+
+
The organization includes practical exercises in security training that reinforce
+ training objectives.
+
+
+
+
+
Supplemental guidance
+
+
+
Practical exercises may include, for example, security training for software developers
+ that includes simulated cyber attacks exploiting common software vulnerabilities (e.g.,
+ buffer overflows), or spear/whale phishing attacks targeted at senior leaders/executives.
+ These types of practical exercises help developers better understand the effects of
+ such vulnerabilities and appreciate the need for security coding standards and processes.
+
+
+
+
+
Objective
+
+
+
Determine if the organization includes practical exercises in security training that
+ reinforce training objectives.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security awareness and training policy
+
+
+
procedures addressing security awareness training implementation
+
+
+
security awareness training curriculum
+
+
+
security awareness training materials
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for role-based security training
+
+
+
organizational personnel that participate in security awareness training
+
+
+
+
+
+
+
AT-3 (4) SUSPICIOUS COMMUNICATIONS AND ANOMALOUS SYSTEM BEHAVIOR
+
+
+
+
+
+
Parameter: at-3_f organization-defined indicators of malicious code
+
+
+
Default: organization-defined indicators of malicious code
+
+
+
+
+
+
Control
+
+
+
The organization provides training to its personnel on at-3_f organization-defined indicators of malicious code [organization-defined indicators of malicious code] to recognize suspicious communications and anomalous behavior in organizational information
+ systems.
+
+
+
+
+
Supplemental guidance
+
+
+
A well-trained workforce provides another organizational safeguard that can be employed
+ as part of a defense-in-depth strategy to protect organizations against malicious
+ code coming in to organizations via email or the web applications. Personnel are trained
+ to look for indications of potentially suspicious email (e.g., receiving an unexpected
+ email, receiving an email containing strange or poor grammar, or receiving an email
+ from an unfamiliar sender but who appears to be from a known sponsor or contractor).
+ Personnel are also trained on how to respond to such suspicious email or web communications
+ (e.g., not opening attachments, not clicking on embedded web links, and checking the
+ source of email addresses). For this process to work effectively, all organizational
+ personnel are trained and made aware of what constitutes suspicious communications.
+ Training personnel on how to recognize anomalous behaviors in organizational information
+ systems can potentially provide early warning for the presence of malicious code.
+ Recognition of such anomalous behavior by organizational personnel can supplement
+ automated malicious code detection and protection tools and systems employed by organizations.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines indicators of malicious code; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
provides training to its personnel on organization-defined indicators of malicious
+ code to recognize suspicious communications and anomalous behavior in organizational
+ information systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security awareness and training policy
+
+
+
procedures addressing security training implementation
+
+
+
security training curriculum
+
+
+
security training materials
+
+
+
security plan
+
+
+
training records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for role-based security training
+
+
+
organizational personnel that participate in security awareness training
+
+
+
+
+
+
+
+
References
+
+
+
+
C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)
+
+
+
+
+
+
NIST Special Publication 800-16
+
+
+
+
+
+
NIST Special Publication 800-50
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW AT-3
+
+
MOD AT-3
+
+
HIGH AT-3
+
+
+
+
+
+
+
+
AT-4 SECURITY TRAINING RECORDS
+
+
+
+
+
+
Parameter: at-4_a organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Documents and monitors individual information system security training activities
+ including basic security awareness training and specific information system security
+ training; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Retains individual training records for at-4_a organization-defined time period [organization-defined time period].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Documentation for specialized training may be maintained by individual supervisors
+ at the option of the organization.
+
AU-1 AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES
+
+
+
+
+
+
Parameter: au-1_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: au-1_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: au-1_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops, documents, and disseminates to au-1_a organization-defined personnel or roles [organization-defined personnel or roles]:
+
+
+
+
+
+
+
1.
+
+
+
+
+
An audit and accountability policy that addresses purpose, scope, roles, responsibilities,
+ management commitment, coordination among organizational entities, and compliance;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Procedures to facilitate the implementation of the audit and accountability policy
+ and associated audit and accountability controls; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the current:
+
+
+
+
+
+
1.
+
+
+
+
+
Audit and accountability policy au-1_b organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Audit and accountability procedures au-1_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the establishment of policy and procedures for the effective
+ implementation of selected security controls and control enhancements in the AU family.
+ Policy and procedures reflect applicable federal laws, Executive Orders, directives,
+ regulations, policies, standards, and guidance. Security program policies and procedures
+ at the organization level may make the need for system-specific policies and procedures
+ unnecessary. The policy can be included as part of the general information security
+ policy for organizations or conversely, can be represented by multiple policies reflecting
+ the complex nature of certain organizations. The procedures can be established for
+ the security program in general and for particular information systems, if needed.
+ The organizational risk management strategy is a key factor in establishing policy
+ and procedures.
+
develops and documents an audit and accountability policy that addresses:
+
+
+
+
+
+
[a]
+
+
+
+
+
purpose;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
scope;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
roles;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
responsibilities;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
management commitment;
+
+
+
+
+
+
+
+
+
+
+
[f]
+
+
+
+
+
coordination among organizational entities;
+
+
+
+
+
+
+
+
+
+
+
[g]
+
+
+
+
+
compliance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the audit and accountability policy are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the audit and accountability policy to organization-defined personnel
+ or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(a)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops and documents procedures to facilitate the implementation of the audit and
+ accountability policy and associated audit and accountability controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current audit and accountability policy;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current audit and accountability policy with the organization-defined
+ frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current audit and accountability procedures;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current audit and accountability procedures in accordance
+ with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy and procedures
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit and accountability responsibilities
+
+
+
organizational personnel with information security responsibilities
+
Parameter: au-2_b organization-defined audited events (the subset of the auditable events defined in
+ AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified
+ event
+
+
+
Default: organization-defined audited events (the subset of the auditable events defined in
+ AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified
+ event
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Determines that the information system is capable of auditing the following events:
+ au-2_a organization-defined auditable events [organization-defined auditable events];
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Coordinates the security audit function with other organizational entities requiring
+ audit-related information to enhance mutual support and to help guide the selection
+ of auditable events;
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Provides a rationale for why the auditable events are deemed to be adequate to support
+ after-the-fact investigations of security incidents; and
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Determines that the following events are to be audited within the information system:
+ au-2_b organization-defined audited events (the subset of the auditable events defined in
+ AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified
+ event [organization-defined audited events (the subset of the auditable events defined in
+ AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified
+ event].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
An event is any observable occurrence in an organizational information system. Organizations
+ identify audit events as those events which are significant and relevant to the security
+ of information systems and the environments in which those systems operate in order
+ to meet specific and ongoing audit needs. Audit events can include, for example, password
+ changes, failed logons, or failed accesses related to information systems, administrative
+ privilege usage, PIV credential usage, or third-party credential usage. In determining
+ the set of auditable events, organizations consider the auditing appropriate for each
+ of the security controls to be implemented. To balance auditing requirements with
+ other information system needs, this control also requires identifying that subset
+ of auditable events that are audited at a given point in time. For example, organizations
+ may determine that information systems must have the capability to log every file
+ access both successful and unsuccessful, but not activate that capability except for
+ specific circumstances due to the potential burden on system performance. Auditing
+ requirements, including the need for auditable events, may be referenced in other
+ security controls and control enhancements. Organizations also include auditable events
+ that are required by applicable federal laws, Executive Orders, directives, policies,
+ regulations, and standards. Audit records can be generated at various levels of abstraction,
+ including at the packet level as information traverses the network. Selecting the
+ appropriate level of abstraction is a critical aspect of an audit capability and can
+ facilitate the identification of root causes to problems. Organizations consider in
+ the definition of auditable events, the auditing necessary to cover related events
+ such as the steps in distributed, transaction-based processes (e.g., processes that
+ are distributed across multiple organizations) and actions that occur in service-oriented
+ architectures.
+
defines the auditable events that the information system must be capable of auditing;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
determines that the information system is capable of auditing organization-defined
+ auditable events;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
coordinates the security audit function with other organizational entities requiring
+ audit-related information to enhance mutual support and to help guide the selection
+ of auditable events;
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
provides a rationale for why the auditable events are deemed to be adequate to support
+ after-the-fact investigations of security incidents;
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the subset of auditable events defined in AU-2a that are to be audited within
+ the information system;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
determines that the subset of auditable events defined in AU-2a are to be audited
+ within the information system; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
determines the frequency of (or situation requiring) auditing for each identified
+ event.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing auditable events
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
information system auditable events
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit and accountability responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information system auditing
+
+
+
+
+
+
+
Control enhancements
+
+
AU-2 (1) COMPILATION OF AUDIT RECORDS FROM MULTIPLE SOURCES
+
Parameter: au-2_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
Control
+
+
+
The organization reviews and updates the audited events au-2_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
Supplemental guidance
+
+
+
Over time, the events that organizations believe should be audited may change. Reviewing
+ and updating the set of audited events periodically is necessary to ensure that the
+ current set is still necessary and sufficient.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the audited events; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the auditable events with organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing auditable events
+
+
+
security plan
+
+
+
list of organization-defined auditable events
+
+
+
auditable events review and update records
+
+
+
information system audit records
+
+
+
information system incident reports
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit and accountability responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting review and update of auditable events
+
The information system generates audit records containing information that establishes
+ what type of event occurred, when the event occurred, where the event occurred, the
+ source of the event, the outcome of the event, and the identity of any individuals
+ or subjects associated with the event.
+
+
+
+
+
Supplemental guidance
+
+
+
Audit record content that may be necessary to satisfy the requirement of this control,
+ includes, for example, time stamps, source and destination addresses, user/process
+ identifiers, event descriptions, success/fail indications, filenames involved, and
+ access control or flow control rules invoked. Event outcomes can include indicators
+ of event success or failure and event-specific results (e.g., the security state of
+ the information system after the event occurred).
+
Determine if the information system generates audit records containing information
+ that establishes:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
what type of event occurred;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
when the event occurred;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
where the event occurred;
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
the source of the event;
+
+
+
+
+
+
+
+
+
+
+
[5]
+
+
+
+
+
the outcome of the event; and
+
+
+
+
+
+
+
+
+
+
+
[6]
+
+
+
+
+
the identity of any individuals or subjects associated with the event.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing content of audit records
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of organization-defined auditable events
+
+
+
information system audit records
+
+
+
information system incident reports
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit and accountability responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information system auditing of auditable events
+
+
+
+
+
+
Control enhancements
+
+
AU-3 (1) ADDITIONAL AUDIT INFORMATION
+
+
+
+
+
+
Parameter: au-3_a organization-defined additional, more detailed information
+
+
+
Default: organization-defined additional, more detailed information
+
+
+
+
+
+
+
+
Control
+
+
+
The information system generates audit records containing the following additional
+ information: au-3_a organization-defined additional, more detailed information [organization-defined additional, more detailed information].
+
+
+
+
+
Supplemental guidance
+
+
+
Detailed information that organizations may consider in audit records includes, for
+ example, full text recording of privileged commands or the individual identities of
+ group account users. Organizations consider limiting the additional audit information
+ to only that information explicitly needed for specific audit requirements. This facilitates
+ the use of audit trails and audit logs by not including information that could potentially
+ be misleading or could make it more difficult to locate information of interest.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines additional, more detailed information to be contained in
+ audit records that the information system generates; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system generates audit records containing the organization-defined
+ additional, more detailed information.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing content of audit records
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of organization-defined auditable events
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit and accountability responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Information system audit capability
+
+
+
+
+
+
+
AU-3 (2) CENTRALIZED MANAGEMENT OF PLANNED AUDIT RECORD CONTENT
+
+
+
+
+
+
Parameter: au-3_b organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
+
Control
+
+
+
The information system provides centralized management and configuration of the content
+ to be captured in audit records generated by au-3_b organization-defined information system components [organization-defined information system components].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement requires that the content to be captured in audit records
+ be configured from a central location (necessitating automation). Organizations coordinate
+ the selection of required audit content to support the centralized management and
+ configuration capability provided by the information system.
+
the organization defines information system components that generate audit records
+ whose content is to be centrally managed and configured by the information system;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system provides centralized management and configuration of the content
+ to be captured in audit records generated by the organization-defined information
+ system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing content of audit records
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of organization-defined auditable events
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit and accountability responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Information system capability implementing centralized management and configuration
+ of audit record content
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW AU-3
+
+
MOD AU-3 (1)
+
+
HIGH AU-3 (1) (2)
+
+
+
+
+
+
+
+
AU-4 AUDIT STORAGE CAPACITY
+
+
+
+
+
+
Parameter: au-4_a organization-defined audit record storage requirements
+
+
+
Default: organization-defined audit record storage requirements
+
+
+
+
+
+
+
+
+
+
Control
+
+
+
The organization allocates audit record storage capacity in accordance with au-4_a organization-defined audit record storage requirements [organization-defined audit record storage requirements].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations consider the types of auditing to be performed and the audit processing
+ requirements when allocating audit storage capacity. Allocating sufficient audit storage
+ capacity reduces the likelihood of such capacity being exceeded and resulting in the
+ potential loss or reduction of auditing capability.
+
allocates audit record storage capacity in accordance with the organization-defined
+ audit record storage requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing audit storage capacity
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
audit record storage requirements
+
+
+
audit record storage capability for information system components
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit and accountability responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Audit record storage capacity and related configuration settings
+
+
+
+
+
+
Control enhancements
+
+
AU-4 (1) TRANSFER TO ALTERNATE STORAGE
+
+
+
+
+
+
Parameter: au-4_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
Control
+
+
+
The information system off-loads audit records au-4_b organization-defined frequency [organization-defined frequency] onto a different system or media than the system being audited.
+
+
+
+
+
Supplemental guidance
+
+
+
Off-loading is a process designed to preserve the confidentiality and integrity of
+ audit records by moving the records from the primary information system to a secondary
+ or alternate system. It is a common process in information systems with limited audit
+ storage capacity; the audit storage is used only in a transitory fashion until the
+ system can communicate with the secondary or alternate system designated for storing
+ the audit records, at which point the information is transferred.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines the frequency to off-load audit records onto a different
+ system or media than the system being audited; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system off-loads audit records onto a different system or media than
+ the system being audited with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing audit storage capacity
+
+
+
procedures addressing transfer of information system audit records to secondary or
+ alternate systems
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
logs of audit record transfers to secondary or alternate systems
+
+
+
information system audit records transferred to secondary or alternate systems
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit storage capacity planning responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting transfer of audit records onto a different system
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW AU-4
+
+
MOD AU-4
+
+
HIGH AU-4
+
+
+
+
+
+
+
+
AU-5 RESPONSE TO AUDIT PROCESSING FAILURES
+
+
+
+
+
+
Parameter: au-5_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: au-5_b organization-defined actions to be taken (e.g., shut down information system, overwrite
+ oldest audit records, stop generating audit records)
+
+
+
Default: organization-defined actions to be taken (e.g., shut down information system, overwrite
+ oldest audit records, stop generating audit records)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The information system:
+
+
+
+
+
+
a.
+
+
+
+
+
Alerts au-5_a organization-defined personnel or roles [organization-defined personnel or roles] in the event of an audit processing failure; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Takes the following additional actions: au-5_b organization-defined actions to be taken (e.g., shut down information system, overwrite
+ oldest audit records, stop generating audit records) [organization-defined actions to be taken (e.g., shut down information system, overwrite
+ oldest audit records, stop generating audit records)].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Audit processing failures include, for example, software/hardware errors, failures
+ in the audit capturing mechanisms, and audit storage capacity being reached or exceeded.
+ Organizations may choose to define additional actions for different audit processing
+ failures (e.g., by type, by location, by severity, or a combination of such factors).
+ This control applies to each audit data storage repository (i.e., distinct information
+ system component where audit records are stored), the total audit storage capacity
+ of organizations (i.e., all audit data storage repositories combined), or both.
+
the organization defines the personnel or roles to be alerted in the event of an audit
+ processing failure;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system alerts the organization-defined personnel or roles in the event
+ of an audit processing failure;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines additional actions to be taken (e.g., shutdown information
+ system, overwrite oldest audit records, stop generating audit records) in the event
+ of an audit processing failure; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system takes the additional organization-defined actions in the event
+ of an audit processing failure.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing response to audit processing failures
+
+
+
information system design documentation
+
+
+
security plan
+
+
+
information system configuration settings and associated documentation
+
+
+
list of personnel to be notified in case of an audit processing failure
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit and accountability responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing information system response to audit processing
+ failures
+
The information system provides a warning to au-5_c organization-defined personnel, roles, and/or locations [organization-defined personnel, roles, and/or locations] within au-5_d organization-defined time period [organization-defined time period] when allocated audit record storage volume reaches au-5_e organization-defined percentage [organization-defined percentage] of repository maximum audit record storage capacity.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations may have multiple audit data storage repositories distributed across
+ multiple information system components, with each repository having different storage
+ volume capacities.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines:
+
+
+
+
+
+
[a]
+
+
+
+
+
personnel to be warned when allocated audit record storage volume reaches organization-defined
+ percentage of repository maximum audit record storage capacity;
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
roles to be warned when allocated audit record storage volume reaches organization-defined
+ percentage of repository maximum audit record storage capacity; and/or
+
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
locations to be warned when allocated audit record storage volume reaches organization-defined
+ percentage of repository maximum audit record storage capacity;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines the time period within which the information system is to
+ provide a warning to the organization-defined personnel, roles, and/or locations when
+ allocated audit record storage volume reaches the organization-defined percentage
+ of repository maximum audit record storage capacity;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the organization defines the percentage of repository maximum audit record storage
+ capacity that, if reached, requires a warning to be provided; and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
the information system provides a warning to the organization-defined personnel, roles,
+ and/or locations within the organization-defined time period when allocated audit
+ record storage volume reaches the organization-defined percentage of repository maximum
+ audit record storage capacity.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing response to audit processing failures
+
+
+
information system design documentation
+
+
+
security plan
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit and accountability responsibilities
+
+
+
organizational personnel with information security responsibilities
+
The information system provides an alert in au-5_f organization-defined real-time period [organization-defined real-time period] to au-5_g organization-defined personnel, roles, and/or locations [organization-defined personnel, roles, and/or locations] when the following audit failure events occur: au-5_h organization-defined audit failure events requiring real-time alerts [organization-defined audit failure events requiring real-time alerts].
+
+
+
+
+
Supplemental guidance
+
+
+
Alerts provide organizations with urgent messages. Real-time alerts provide these
+ messages at information technology speed (i.e., the time from event detection to alert
+ occurs in seconds or less).
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines audit failure events requiring real-time alerts;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines:
+
+
+
+
+
+
[a]
+
+
+
+
+
personnel to be alerted when organization-defined audit failure events requiring real-time
+ alerts occur;
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
roles to be alerted when organization-defined audit failure events requiring real-time
+ alerts occur; and/or
+
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
locations to be alerted when organization-defined audit failure events requiring real-time
+ alerts occur;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the organization defines the real-time period within which the information system
+ is to provide an alert to the organization-defined personnel, roles, and/or locations
+ when the organization-defined audit failure events requiring real-time alerts occur;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
the information system provides an alert within the organization-defined real-time
+ period to the organization-defined personnel, roles, and/or locations when organization-defined
+ audit failure events requiring real-time alerts occur.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing response to audit processing failures
+
+
+
information system design documentation
+
+
+
security plan
+
+
+
information system configuration settings and associated documentation
+
+
+
records of notifications or real-time alerts when audit processing failures occur
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit and accountability responsibilities
+
+
+
organizational personnel with information security responsibilities
+
The information system enforces configurable network communications traffic volume
+ thresholds reflecting limits on auditing capacity and [Selection: rejects; delays]
+ network traffic above those thresholds.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations have the capability to reject or delay the processing of network communications
+ traffic if auditing such traffic is determined to exceed the storage capacity of the
+ information system audit function. The rejection or delay response is triggered by
+ the established organizational traffic volume thresholds which can be adjusted based
+ on changes to audit storage capacity.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the information system enforces configurable network communications traffic volume
+ thresholds reflecting limits on auditing capacity;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization selects if network traffic above configurable traffic volume thresholds
+ is to be:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
rejected; or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
delayed; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system rejects or delays network communications traffic generated
+ above configurable traffic volume thresholds.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing response to audit processing failures
+
+
+
information system design documentation
+
+
+
security plan
+
+
+
information system configuration settings and associated documentation
+
+
+
configuration of network communications traffic volume thresholds
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit and accountability responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Information system capability implementing configurable traffic volume thresholds
+
The information system invokes a [Selection: full system shutdown; partial system
+ shutdown; degraded operational mode with limited mission/business functionality available]
+ in the event of au-5_i organization-defined audit failures [organization-defined audit failures], unless an alternate audit capability exists.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations determine the types of audit failures that can trigger automatic information
+ system shutdowns or degraded operations. Because of the importance of ensuring mission/business
+ continuity, organizations may determine that the nature of the audit failure is not
+ so severe that it warrants a complete shutdown of the information system supporting
+ the core organizational missions/business operations. In those instances, partial
+ information system shutdowns or operating in a degraded mode with reduced capability
+ may be viable alternatives.
+
the organization selects one of the following specific actions for the information
+ system to invoke in the event of organization-defined audit failures:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
full system shutdown;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
partial system shutdown; or
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
degraded operational mode with limited mission/business functionality available;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines audit failures that, unless an alternate audit capability
+ exists, are to trigger the information system to invoke a specific action; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system invokes the selected specific action in the event of organization-defined
+ audit failures, unless an alternate audit capability exists.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing response to audit processing failures
+
+
+
information system design documentation
+
+
+
security plan
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit and accountability responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Information system capability invoking system shutdown or degraded operational mode
+ in the event of an audit processing failure
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW AU-5
+
+
MOD AU-5
+
+
HIGH AU-5 (1) (2)
+
+
+
+
+
+
+
+
AU-6 AUDIT REVIEW, ANALYSIS, AND REPORTING
+
+
+
+
+
+
Parameter: au-6_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: au-6_b organization-defined inappropriate or unusual activity
+
+
+
Default: organization-defined inappropriate or unusual activity
+
+
+
+
+
+
+
Parameter: au-6_c organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Reviews and analyzes information system audit records au-6_a organization-defined frequency [organization-defined frequency] for indications of au-6_b organization-defined inappropriate or unusual activity [organization-defined inappropriate or unusual activity]; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reports findings to au-6_c organization-defined personnel or roles [organization-defined personnel or roles].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Audit review, analysis, and reporting covers information security-related auditing
+ performed by organizations including, for example, auditing that results from monitoring
+ of account usage, remote access, wireless connectivity, mobile device connection,
+ configuration settings, system component inventory, use of maintenance tools and nonlocal
+ maintenance, physical access, temperature and humidity, equipment delivery and removal,
+ communications at the information system boundaries, use of mobile code, and use of
+ VoIP. Findings can be reported to organizational entities that include, for example,
+ incident response team, help desk, information security group/department. If organizations
+ are prohibited from reviewing and analyzing audit information or unable to conduct
+ such activities (e.g., in certain national security applications or systems), the
+ review/analysis may be carried out by other organizations granted such authority.
+
defines the types of inappropriate or unusual activity to look for when information
+ system audit records are reviewed and analyzed;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the frequency to review and analyze information system audit records for indications
+ of organization-defined inappropriate or unusual activity;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
reviews and analyzes information system audit records for indications of organization-defined
+ inappropriate or unusual activity with the organization-defined frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to whom findings resulting from reviews and analysis of
+ information system audit records are to be reported; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reports findings to organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing audit review, analysis, and reporting
+
+
+
reports of audit findings
+
+
+
records of actions taken in response to reviews/analyses of audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit review, analysis, and reporting responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
Control enhancements
+
+
AU-6 (1) PROCESS INTEGRATION
+
+
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to integrate audit review, analysis,
+ and reporting processes to support organizational processes for investigation and
+ response to suspicious activities.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizational processes benefiting from integrated audit review, analysis, and reporting
+ include, for example, incident response, continuous monitoring, contingency planning,
+ and Inspector General audits.
+
The organization analyzes and correlates audit records across different repositories
+ to gain organization-wide situational awareness.
+
+
+
+
+
Supplemental guidance
+
+
+
Organization-wide situational awareness includes awareness across all three tiers
+ of risk management (i.e., organizational, mission/business process, and information
+ system) and supports cross-organization awareness.
+
Determine if the information system provides the capability to centrally review and
+ analyze audit records from multiple components within the system.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing audit review, analysis, and reporting
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
security plan
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit review, analysis, and reporting responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Information system capability to centralize review and analysis of audit records
+
+
+
+
+
+
+
AU-6 (5) INTEGRATION / SCANNING AND MONITORING CAPABILITIES
+
+
+
+
+
+
Parameter: au-6_d organization-defined data/information collected from other sources
+
+
+
Default: organization-defined data/information collected from other sources
+
+
+
+
+
+
+
Control
+
+
+
The organization integrates analysis of audit records with analysis of [Selection
+ (one or more): vulnerability scanning information; performance data; information system
+ monitoring information; au-6_d organization-defined data/information collected from other sources [organization-defined data/information collected from other sources]] to further enhance the ability to identify inappropriate or unusual activity.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement does not require vulnerability scanning, the generation of
+ performance data, or information system monitoring. Rather, the enhancement requires
+ that the analysis of information being otherwise produced in these areas is integrated
+ with the analysis of audit information. Security Event and Information Management
+ System tools can facilitate audit record aggregation/consolidation from multiple information
+ system components as well as audit record correlation and analysis. The use of standardized
+ audit record analysis scripts developed by organizations (with localized script adjustments,
+ as necessary) provides more cost-effective approaches for analyzing audit record information
+ collected. The correlation of audit record information with vulnerability scanning
+ information is important in determining the veracity of vulnerability scans and correlating
+ attack detection events with scanning results. Correlation with performance data can
+ help uncover denial of service attacks or cyber attacks resulting in unauthorized
+ use of resources. Correlation with system monitoring information can assist in uncovering
+ attacks and in better relating audit information to operational situations.
+
defines data/information to be collected from other sources;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
selects sources of data/information to be analyzed and integrated with the analysis
+ of audit records from one or more of the following:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
vulnerability scanning information;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
performance data;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
information system monitoring information; and/or
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
organization-defined data/information collected from other sources; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
integrates the analysis of audit records with the analysis of selected data/information
+ to further enhance the ability to identify inappropriate or unusual activity.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing audit review, analysis, and reporting
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
integrated analysis of audit records, vulnerability scanning information, performance
+ data, network monitoring information and associated documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit review, analysis, and reporting responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing capability to integrate analysis of audit records
+ with analysis of data/information sources
+
+
+
+
+
+
+
AU-6 (6) CORRELATION WITH PHYSICAL MONITORING
+
+
+
+
+
+
Control
+
+
+
The organization correlates information from audit records with information obtained
+ from monitoring physical access to further enhance the ability to identify suspicious,
+ inappropriate, unusual, or malevolent activity.
+
+
+
+
+
Supplemental guidance
+
+
+
The correlation of physical audit information and audit logs from information systems
+ may assist organizations in identifying examples of suspicious behavior or supporting
+ evidence of such behavior. For example, the correlation of an individual�s identity
+ for logical access to certain information systems with the additional physical security
+ information that the individual was actually present at the facility when the logical
+ access occurred, may prove to be useful in investigations.
+
+
+
+
+
Objective
+
+
+
Determine if the organization correlates information from audit records with information
+ obtained from monitoring physical access to enhance the ability to identify suspicious,
+ inappropriate, unusual, or malevolent activity.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing audit review, analysis, and reporting
+
information system configuration settings and associated documentation
+
+
+
documentation providing evidence of correlated information obtained from audit records
+ and physical access monitoring records
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit review, analysis, and reporting responsibilities
+
+
+
organizational personnel with physical access monitoring responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing capability to correlate information from audit records
+ with information from monitoring physical access
+
+
+
+
+
+
+
AU-6 (7) PERMITTED ACTIONS
+
+
+
+
+
Control
+
+
+
The organization specifies the permitted actions for each [Selection (one or more):
+ information system process; role; user] associated with the review, analysis, and
+ reporting of audit information.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations specify permitted actions for information system processes, roles, and/or
+ users associated with the review, analysis, and reporting of audit records through
+ account management techniques. Specifying permitted actions on audit information is
+ a way to enforce the principle of least privilege. Permitted actions are enforced
+ by the information system and include, for example, read, write, execute, append,
+ and delete.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization specifies the permitted actions for each one or more
+ of the following associated with the review, analysis and reporting of audit information:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
information system process;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
role; and/or
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
user.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing process, role and/or user permitted actions from audit review,
+ analysis, and reporting
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit review, analysis, and reporting responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting permitted actions for review, analysis, and reporting
+ of audit information
+
+
+
+
+
+
+
AU-6 (8) FULL TEXT ANALYSIS OF PRIVILEGED COMMANDS
+
+
+
+
+
Control
+
+
+
The organization performs a full text analysis of audited privileged commands in a
+ physically distinct component or subsystem of the information system, or other information
+ system that is dedicated to that analysis.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement requires a distinct environment for the dedicated analysis
+ of audit information related to privileged users without compromising such information
+ on the information system where the users have elevated privileges including the capability
+ to execute privileged commands. Full text analysis refers to analysis that considers
+ the full text of privileged commands (i.e., commands and all parameters) as opposed
+ to analysis that considers only the name of the command. Full text analysis includes,
+ for example, the use of pattern matching and heuristics.
+
Determine if the organization performs a full text analysis of audited privileged
+ commands in:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
a physically distinct component or subsystem of the information system; or
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
other information system that is dedicated to that analysis.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing audit review, analysis, and reporting
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
text analysis tools and techniques
+
+
+
text analysis documentation of audited privileged commands
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit review, analysis, and reporting responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing capability to perform a full text analysis of audited
+ privilege commands
+
+
+
+
+
+
+
AU-6 (9) CORRELATION WITH INFORMATION FROM NONTECHNICAL SOURCES
+
+
+
+
+
Control
+
+
+
The organization correlates information from nontechnical sources with audit information
+ to enhance organization-wide situational awareness.
+
+
+
+
+
Supplemental guidance
+
+
+
Nontechnical sources include, for example, human resources records documenting organizational
+ policy violations (e.g., sexual harassment incidents, improper use of organizational
+ information assets). Such information can lead organizations to a more directed analytical
+ effort to detect potential malicious insider activity. Due to the sensitive nature
+ of the information available from nontechnical sources, organizations limit access
+ to such information to minimize the potential for the inadvertent release of privacy-related
+ information to individuals that do not have a need to know. Thus, correlation of information
+ from nontechnical sources with audit information generally occurs only when individuals
+ are suspected of being involved in a security incident. Organizations obtain legal
+ advice prior to initiating such actions.
+
Determine if the organization correlates information from nontechnical sources with
+ audit information to enhance organization-wide situational awareness.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing audit review, analysis, and reporting
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
documentation providing evidence of correlated information obtained from audit records
+ and organization-defined nontechnical sources
+
+
+
list of information types from nontechnical sources for correlation with audit information
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit review, analysis, and reporting responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing capability to correlate information from non-technical
+ sources
+
+
+
+
+
+
+
AU-6 (10) AUDIT LEVEL ADJUSTMENT
+
+
+
+
+
Control
+
+
+
The organization adjusts the level of audit review, analysis, and reporting within
+ the information system when there is a change in risk based on law enforcement information,
+ intelligence information, or other credible sources of information.
+
+
+
+
+
Supplemental guidance
+
+
+
The frequency, scope, and/or depth of the audit review, analysis, and reporting may
+ be adjusted to meet organizational needs based on new information received.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization adjusts the level of audit review, analysis, and reporting
+ within the information system when there is a change in risk based on:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
law enforcement information;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
intelligence information; and/or
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
other credible sources of information.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing audit review, analysis, and reporting
+
+
+
organizational risk assessment
+
+
+
security control assessment
+
+
+
vulnerability assessment
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit review, analysis, and reporting responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting review, analysis, and reporting of audit information
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW AU-6
+
+
MOD AU-6 (1) (3)
+
+
HIGH AU-6 (1) (3) (5) (6)
+
+
+
+
+
+
+
+
AU-7 AUDIT REDUCTION AND REPORT GENERATION
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The information system provides an audit reduction and report generation capability
+ that:
+
+
+
+
+
+
+
a.
+
+
+
+
+
Supports on-demand audit review, analysis, and reporting requirements and after-the-fact
+ investigations of security incidents; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Does not alter the original content or time ordering of audit records.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Audit reduction is a process that manipulates collected audit information and organizes
+ such information in a summary format that is more meaningful to analysts. Audit reduction
+ and report generation capabilities do not always emanate from the same information
+ system or from the same organizational entities conducting auditing activities. Audit
+ reduction capability can include, for example, modern data mining techniques with
+ advanced data filters to identify anomalous behavior in audit records. The report
+ generation capability provided by the information system can generate customizable
+ reports. Time ordering of audit records can be a significant issue if the granularity
+ of the timestamp in the record is insufficient.
+
Determine if the information system provides an audit reduction and report generation
+ capability that supports:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
on-demand audit review;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
analysis;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
reporting requirements;
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
after-the-fact investigations of security incidents; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
does not alter the original content or time ordering of audit records.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing audit reduction and report generation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
audit reduction, review, analysis, and reporting tools
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit reduction and report generation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Audit reduction and report generation capability
+
+
+
+
+
+
Control enhancements
+
+
AU-7 (1) AUTOMATIC PROCESSING
+
+
+
+
+
+
Parameter: au-7_a organization-defined audit fields within audit records
+
+
+
Default: organization-defined audit fields within audit records
+
+
+
+
+
+
+
+
Control
+
+
+
The information system provides the capability to process audit records for events
+ of interest based on au-7_a organization-defined audit fields within audit records [organization-defined audit fields within audit records].
+
+
+
+
+
Supplemental guidance
+
+
+
Events of interest can be identified by the content of specific audit record fields
+ including, for example, identities of individuals, event types, event locations, event
+ times, event dates, system resources involved, IP addresses involved, or information
+ objects accessed. Organizations may define audit event criteria to any degree of granularity
+ required, for example, locations selectable by general networking location (e.g.,
+ by network or subnetwork) or selectable by specific information system component.
+
the organization defines audit fields within audit records in order to process audit
+ records for events of interest; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system provides the capability to process audit records for events
+ of interest based on the organization-defined audit fields within audit records.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing audit reduction and report generation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
audit reduction, review, analysis, and reporting tools
+
+
+
audit record criteria (fields) establishing events of interest
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit reduction and report generation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Audit reduction and report generation capability
+
+
+
+
+
+
+
AU-7 (2) AUTOMATIC SORT AND SEARCH
+
+
+
+
+
+
Parameter: au-7_b organization-defined audit fields within audit records
+
+
+
Default: organization-defined audit fields within audit records
+
+
+
+
+
+
Control
+
+
+
The information system provides the capability to sort and search audit records for
+ events of interest based on the content of au-7_b organization-defined audit fields within audit records [organization-defined audit fields within audit records].
+
+
+
+
+
Supplemental guidance
+
+
+
Sorting and searching of audit records may be based upon the contents of audit record
+ fields, for example: (i) date/time of events; (ii) user identifiers; (iii) Internet
+ Protocol (IP) addresses involved in the event; (iv) type of event; or (v) event success/failure.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines audit fields within audit records in order to sort and search
+ audit records for events of interest based on content of such audit fields; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system provides the capability to sort and search audit records for
+ events of interest based on the content of organization-defined audit fields within
+ audit records.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing audit reduction and report generation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
audit reduction, review, analysis, and reporting tools
+
+
+
audit record criteria (fields) establishing events of interest
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit reduction and report generation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Audit reduction and report generation capability
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW Not selected
+
+
MOD AU-7 (1)
+
+
HIGH AU-7 (1)
+
+
+
+
+
+
+
+
AU-8 TIME STAMPS
+
+
+
+
+
+
Parameter: au-8_a organization-defined granularity of time measurement
+
+
+
Default: organization-defined granularity of time measurement
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The information system:
+
+
+
+
+
+
a.
+
+
+
+
+
Uses internal system clocks to generate time stamps for audit records; and
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Records time stamps for audit records that can be mapped to Coordinated Universal
+ Time (UTC) or Greenwich Mean Time (GMT) and meets au-8_a organization-defined granularity of time measurement [organization-defined granularity of time measurement].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Time stamps generated by the information system include date and time. Time is commonly
+ expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich
+ Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements
+ refers to the degree of synchronization between information system clocks and reference
+ clocks, for example, clocks synchronizing within hundreds of milliseconds or within
+ tens of milliseconds. Organizations may define different time granularities for different
+ system components. Time service can also be critical to other security capabilities
+ such as access control and identification and authentication, depending on the nature
+ of the mechanisms used to support those capabilities.
+
the information system uses internal system clocks to generate time stamps for audit
+ records;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the information system records time stamps for audit records that can be mapped to
+ Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines the granularity of time measurement to be met when recording
+ time stamps for audit records; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the organization records time stamps for audit records that meet the organization-defined
+ granularity of time measurement.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing time stamp generation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing time stamp generation
+
+
+
+
+
+
Control enhancements
+
+
AU-8 (1) SYNCHRONIZATION WITH AUTHORITATIVE TIME SOURCE
+
+
+
+
+
+
Parameter: au-8_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: au-8_c organization-defined authoritative time source
+
+
+
Default: organization-defined authoritative time source
+
+
+
+
+
+
+
Parameter: au-8_d organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The information system:
+
+
+
+
+
+
(a)
+
+
+
+
+
Compares the internal information system clocks au-8_b organization-defined frequency [organization-defined frequency] with au-8_c organization-defined authoritative time source [organization-defined authoritative time source]; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Synchronizes the internal system clocks to the authoritative time source when the
+ time difference is greater than au-8_d organization-defined time period [organization-defined time period].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement provides uniformity of time stamps for information systems
+ with multiple system clocks and systems connected over a network.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
(a)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines the authoritative time source to which internal information
+ system clocks are to be compared;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines the frequency to compare the internal information system
+ clocks with the organization-defined authoritative time source; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system compares the internal information system clocks with the organization-defined
+ authoritative time source with organization-defined frequency; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines the time period that, if exceeded by the time difference
+ between the internal system clocks and the authoritative time source, will result
+ in the internal system clocks being synchronized to the authoritative time source;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system synchronizes the internal information system clocks to the
+ authoritative time source when the time difference is greater than the organization-defined
+ time period.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing time stamp generation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing internal information system clock synchronization
+
+
+
+
+
+
+
AU-8 (2) SECONDARY AUTHORITATIVE TIME SOURCE
+
+
+
+
+
Control
+
+
+
The information system identifies a secondary authoritative time source that is located
+ in a different geographic region than the primary authoritative time source.
+
+
+
+
+
Objective
+
+
+
Determine if the information system identifies a secondary authoritative time source
+ that is located in a different geographic region than the primary authoritative time
+ source.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing time stamp generation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing internal information system clock authoritative
+ time sources
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW AU-8
+
+
MOD AU-8 (1)
+
+
HIGH AU-8 (1)
+
+
+
+
+
+
+
+
AU-9 PROTECTION OF AUDIT INFORMATION
+
+
+
+
+
+
+
+
+
Control
+
+
+
The information system protects audit information and audit tools from unauthorized
+ access, modification, and deletion.
+
+
+
+
+
Supplemental guidance
+
+
+
Audit information includes all information (e.g., audit records, audit settings, and
+ audit reports) needed to successfully audit information system activity. This control
+ focuses on technical protection of audit information. Physical protection of audit
+ information is addressed by media protection controls and physical and environmental
+ protection controls.
+
the information system protects audit information from unauthorized:
+
+
+
+
+
+
[a]
+
+
+
+
+
access;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
modification;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
deletion;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system protects audit tools from unauthorized:
+
+
+
+
+
+
[a]
+
+
+
+
+
access;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
modification; and
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
deletion.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
access control policy and procedures
+
+
+
procedures addressing protection of audit information
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation, information
+ system audit records
+
+
+
audit tools
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit and accountability responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing audit information protection
+
+
+
+
+
+
Control enhancements
+
+
AU-9 (1) HARDWARE WRITE-ONCE MEDIA
+
+
+
+
+
Control
+
+
+
The information system writes audit trails to hardware-enforced, write-once media.
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement applies to the initial generation of audit trails (i.e.,
+ the collection of audit records that represents the audit information to be used for
+ detection, analysis, and reporting purposes) and to the backup of those audit trails.
+ The enhancement does not apply to the initial generation of audit records prior to
+ being written to an audit trail. Write-once, read-many (WORM) media includes, for
+ example, Compact Disk-Recordable (CD-R) and Digital Video Disk-Recordable (DVD-R).
+ In contrast, the use of switchable write-protection media such as on tape cartridges
+ or Universal Serial Bus (USB) drives results in write-protected, but not write-once,
+ media.
+
Determine if the information system writes audit trails to hardware-enforced, write-once
+ media.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
access control policy and procedures
+
+
+
procedures addressing protection of audit information
+
+
+
information system design documentation
+
+
+
information system hardware settings
+
+
+
information system configuration settings and associated documentation
+
+
+
information system storage media
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit and accountability responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Information system media storing audit trails
+
+
+
+
+
+
+
AU-9 (2) AUDIT BACKUP ON SEPARATE PHYSICAL SYSTEMS / COMPONENTS
+
+
+
+
+
+
Parameter: au-9_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Control
+
+
+
The information system backs up audit records au-9_a organization-defined frequency [organization-defined frequency] onto a physically different system or system component than the system or component
+ being audited.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement helps to ensure that a compromise of the information system
+ being audited does not also result in a compromise of the audit records.
+
the organization defines the frequency to back up audit records onto a physically
+ different system or system component than the system or component being audited; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system backs up audit records with the organization-defined frequency,
+ onto a physically different system or system component than the system or component
+ being audited.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing protection of audit information
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation, system or
+ media storing backups of information system audit records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit and accountability responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing the backing up of audit records
+
+
+
+
+
+
+
AU-9 (3) CRYPTOGRAPHIC PROTECTION
+
+
+
+
+
+
Control
+
+
+
The information system implements cryptographic mechanisms to protect the integrity
+ of audit information and audit tools.
+
+
+
+
+
Supplemental guidance
+
+
+
Cryptographic mechanisms used for protecting the integrity of audit information include,
+ for example, signed hash functions using asymmetric cryptography enabling distribution
+ of the public key to verify the hash information while maintaining the confidentiality
+ of the secret key used to generate the hash.
+
uses cryptographic mechanisms to protect the integrity of audit information; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
uses cryptographic mechanisms to protect the integrity of audit tools.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
access control policy and procedures
+
+
+
procedures addressing protection of audit information
+
+
+
information system design documentation
+
+
+
information system hardware settings
+
+
+
information system configuration settings and associated documentation, information
+ system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit and accountability responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Cryptographic mechanisms protecting integrity of audit information and tools
+
+
+
+
+
+
+
AU-9 (4) ACCESS BY SUBSET OF PRIVILEGED USERS
+
+
+
+
+
+
Parameter: au-9_b organization-defined subset of privileged users
+
+
+
Default: organization-defined subset of privileged users
+
+
+
+
+
+
+
+
Control
+
+
+
The organization authorizes access to management of audit functionality to only au-9_b organization-defined subset of privileged users [organization-defined subset of privileged users].
+
+
+
+
+
Supplemental guidance
+
+
+
Individuals with privileged access to an information system and who are also the subject
+ of an audit by that system, may affect the reliability of audit information by inhibiting
+ audit activities or modifying audit records. This control enhancement requires that
+ privileged access be further defined between audit-related privileges and other privileges,
+ thus limiting the users with audit-related privileges.
+
defines a subset of privileged users to be authorized access to management of audit
+ functionality; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
authorizes access to management of audit functionality to only the organization-defined
+ subset of privileged users.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
access control policy and procedures
+
+
+
procedures addressing protection of audit information
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation, system-generated
+ list of privileged users with access to management of audit functionality
+
+
+
access authorizations
+
+
+
access control list
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit and accountability responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms managing access to audit functionality
+
+
+
+
+
+
+
AU-9 (5) DUAL AUTHORIZATION
+
+
+
+
+
+
Parameter: au-9_c organization-defined audit information
+
+
+
Default: organization-defined audit information
+
+
+
+
+
+
Control
+
+
+
The organization enforces dual authorization for [Selection (one or more): movement;
+ deletion] of au-9_c organization-defined audit information [organization-defined audit information].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations may choose different selection options for different types of audit
+ information. Dual authorization mechanisms require the approval of two authorized
+ individuals in order to execute. Dual authorization may also be known as two-person
+ control.
+
defines audit information for which dual authorization is to be enforced;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines one or more of the following types of operations on audit information for
+ which dual authorization is to be enforced:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
movement; and/or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
deletion; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
enforces dual authorization for the movement and/or deletion of organization-defined
+ audit information.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
access control policy and procedures
+
+
+
procedures addressing protection of audit information
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation, access authorizations
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit and accountability responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing enforcement of dual authorization
+
+
+
+
+
+
+
AU-9 (6) READ ONLY ACCESS
+
+
+
+
+
+
Parameter: au-9_d organization-defined subset of privileged users
+
+
+
Default: organization-defined subset of privileged users
+
+
+
+
+
+
Control
+
+
+
The organization authorizes read-only access to audit information to au-9_d organization-defined subset of privileged users [organization-defined subset of privileged users].
+
+
+
+
+
Supplemental guidance
+
+
+
Restricting privileged user authorizations to read-only helps to limit the potential
+ damage to organizations that could be initiated by such users (e.g., deleting audit
+ records to cover up malicious activity).
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the subset of privileged users to be authorized read-only access to audit
+ information; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
authorizes read-only access to audit information to the organization-defined subset
+ of privileged users.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
access control policy and procedures
+
+
+
procedures addressing protection of audit information
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation, system-generated
+ list of privileged users with read-only access to audit information
+
+
+
access authorizations
+
+
+
access control list
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit and accountability responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms managing access to audit information
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW AU-9
+
+
MOD AU-9 (4)
+
+
HIGH AU-9 (2) (3) (4)
+
+
+
+
+
+
+
+
AU-10 NON-REPUDIATION
+
+
+
+
+
+
Parameter: au-10_a organization-defined actions to be covered by non-repudiation
+
+
+
Default: organization-defined actions to be covered by non-repudiation
+
+
+
+
+
+
+
+
Control
+
+
+
The information system protects against an individual (or process acting on behalf
+ of an individual) falsely denying having performed au-10_a organization-defined actions to be covered by non-repudiation [organization-defined actions to be covered by non-repudiation].
+
+
+
+
+
Supplemental guidance
+
+
+
Types of individual actions covered by non-repudiation include, for example, creating
+ information, sending and receiving messages, approving information (e.g., indicating
+ concurrence or signing a contract). Non-repudiation protects individuals against later
+ claims by: (i) authors of not having authored particular documents; (ii) senders of
+ not having transmitted messages; (iii) receivers of not having received messages;
+ or (iv) signatories of not having signed documents. Non-repudiation services can be
+ used to determine if information originated from a particular individual, or if an
+ individual took specific actions (e.g., sending an email, signing a contract, approving
+ a procurement request) or received specific information. Organizations obtain non-repudiation
+ services by employing various techniques or mechanisms (e.g., digital signatures,
+ digital message receipts).
+
the organization defines actions to be covered by non-repudiation; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system protects against an individual (or process acting on behalf
+ of an individual) falsely denying having performed organization-defined actions to
+ be covered by non-repudiation.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing non-repudiation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security responsibilities
+
Parameter: au-10_b organization-defined strength of binding
+
+
+
Default: organization-defined strength of binding
+
+
+
+
+
+
+
+
+
+
+
+
The information system:
+
+
+
+
+
+
(a)
+
+
+
+
+
Binds the identity of the information producer with the information to au-10_b organization-defined strength of binding [organization-defined strength of binding]; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Provides the means for authorized individuals to determine the identity of the producer
+ of the information.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement supports audit requirements that provide organizational personnel
+ with the means to identify who produced specific information in the event of an information
+ transfer. Organizations determine and approve the strength of the binding between
+ the information producer and the information based on the security category of the
+ information and relevant risk factors.
+
AU-10 (2) VALIDATE BINDING OF INFORMATION PRODUCER IDENTITY
+
+
+
+
+
+
Parameter: au-10_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: au-10_d organization-defined actions
+
+
+
Default: organization-defined actions
+
+
+
+
+
+
+
+
+
+
+
+
The information system:
+
+
+
+
+
+
(a)
+
+
+
+
+
Validates the binding of the information producer identity to the information at au-10_c organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Performs au-10_d organization-defined actions [organization-defined actions] in the event of a validation error.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement prevents the modification of information between production
+ and review. The validation of bindings can be achieved, for example, by the use of
+ cryptographic checksums. Organizations determine if validations are in response to
+ user requests or generated automatically.
+
The information system maintains reviewer/releaser identity and credentials within
+ the established chain of custody for all information reviewed or released.
+
+
+
+
+
Supplemental guidance
+
+
+
Chain of custody is a process that tracks the movement of evidence through its collection,
+ safeguarding, and analysis life cycle by documenting each person who handled the evidence,
+ the date and time it was collected or transferred, and the purpose for the transfer.
+ If the reviewer is a human or if the review function is automated but separate from
+ the release/transfer function, the information system associates the identity of the
+ reviewer of the information to be released with the information and the information
+ label. In the case of human reviews, this control enhancement provides organizational
+ officials the means to identify who reviewed and released the information. In the
+ case of automated reviews, this control enhancement ensures that only approved review
+ functions are employed.
+
Validates the binding of the information reviewer identity to the information at the
+ transfer or release points prior to release/transfer between au-10_e organization-defined security domains [organization-defined security domains]; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Performs au-10_f organization-defined actions [organization-defined actions] in the event of a validation error.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement prevents the modification of information between review and
+ transfer/release. The validation of bindings can be achieved, for example, by the
+ use of cryptographic checksums. Organizations determine validations are in response
+ to user requests or generated automatically.
+
the organization defines security domains for which the binding of the information
+ reviewer identity to the information is to be validated at the transfer or release
+ points prior to release/transfer between such domains;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system validates the binding of the information reviewer identity
+ to the information at the transfer or release points prior to release/transfer between
+ organization-defined security domains;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines actions to be performed in the event of a validation error;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system performs organization-defined actions in the event of a validation
+ error.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing non-repudiation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
validation records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security responsibilities
+
Parameter: au-11_a organization-defined time period consistent with records retention policy
+
+
+
Default: organization-defined time period consistent with records retention policy
+
+
+
+
+
+
+
+
+
+
Control
+
+
+
The organization retains audit records for au-11_a organization-defined time period consistent with records retention policy [organization-defined time period consistent with records retention policy] to provide support for after-the-fact investigations of security incidents and to
+ meet regulatory and organizational information retention requirements.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations retain audit records until it is determined that they are no longer
+ needed for administrative, legal, audit, or other operational purposes. This includes,
+ for example, retention and availability of audit records relative to Freedom of Information
+ Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop
+ standard categories of audit records relative to such types of actions and standard
+ response processes for each type of action. The National Archives and Records Administration
+ (NARA) General Records Schedules provide federal policy on record retention.
+
The organization employs au-11_b organization-defined measures [organization-defined measures] to ensure that long-term audit records generated by the information system can be
+ retrieved.
+
+
+
+
+
Supplemental guidance
+
+
+
Measures employed by organizations to help facilitate the retrieval of audit records
+ include, for example, converting records to newer formats, retaining equipment capable
+ of reading the records, and retaining necessary documentation to help organizational
+ personnel understand how to interpret the records.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines measures to be employed to ensure that long-term audit records generated by
+ the information system can be retrieved; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs organization-defined measures to ensure that long-term audit records generated
+ by the information system can be retrieved.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
audit record retention policy and procedures
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
audit record archives
+
+
+
audit logs
+
+
+
audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit record retention responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing audit record retention capability
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P3
+
LOW AU-11
+
+
MOD AU-11
+
+
HIGH AU-11
+
+
+
+
+
+
+
+
AU-12 AUDIT GENERATION
+
+
+
+
+
+
Parameter: au-12_a organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
+
Parameter: au-12_b organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The information system:
+
+
+
+
+
+
a.
+
+
+
+
+
Provides audit record generation capability for the auditable events defined in AU-2
+ a. at au-12_a organization-defined information system components [organization-defined information system components];
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Allows au-12_b organization-defined personnel or roles [organization-defined personnel or roles] to select which auditable events are to be audited by specific components of the
+ information system; and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Generates audit records for the events defined in AU-2 d. with the content defined
+ in AU-3.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Audit records can be generated from many different information system components.
+ The list of audited events is the set of events for which audits are to be generated.
+ These events are typically a subset of all events for which the information system
+ is capable of generating audit records.
+
the organization defines the information system components which are to provide audit
+ record generation capability for the auditable events defined in AU-2a;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system provides audit record generation capability, for the auditable
+ events defined in AU-2a, at organization-defined information system components;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines the personnel or roles allowed to select which auditable
+ events are to be audited by specific components of the information system;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system allows the organization-defined personnel or roles to select
+ which auditable events are to be audited by specific components of the system; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
the information system generates audit records for the events defined in AU-2d with
+ the content in defined in AU-3.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing audit record generation
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of auditable events
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit record generation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing audit record generation capability
+
Parameter: au-12_c organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
+
Parameter: au-12_d organization-defined level of tolerance for the relationship between time stamps of
+ individual records in the audit trail
+
+
+
Default: organization-defined level of tolerance for the relationship between time stamps of
+ individual records in the audit trail
+
+
+
+
+
+
+
Control
+
+
+
The information system compiles audit records from au-12_c organization-defined information system components [organization-defined information system components] into a system-wide (logical or physical) audit trail that is time-correlated to within
+ au-12_d organization-defined level of tolerance for the relationship between time stamps of
+ individual records in the audit trail [organization-defined level of tolerance for the relationship between time stamps of
+ individual records in the audit trail].
+
+
+
+
+
Supplemental guidance
+
+
+
Audit trails are time-correlated if the time stamps in the individual audit records
+ can be reliably related to the time stamps in other audit records to achieve a time
+ ordering of the records within organizational tolerances.
+
the organization defines the information system components from which audit records
+ are to be compiled into a system-wide (logical or physical) audit trail;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines the level of tolerance for the relationship between time
+ stamps of individual records in the audit trail; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system compiles audit records from organization-defined information
+ system components into a system-wide (logical or physical) audit trail that is time-correlated
+ to within the organization-defined level of tolerance for the relationship between
+ time stamps of individual records in the audit trail.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing audit record generation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
system-wide audit trail (logical or physical)
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit record generation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing audit record generation capability
+
+
+
+
+
+
+
AU-12 (2) STANDARDIZED FORMATS
+
+
+
+
+
Control
+
+
+
The information system produces a system-wide (logical or physical) audit trail composed
+ of audit records in a standardized format.
+
+
+
+
+
Supplemental guidance
+
+
+
Audit information that is normalized to common standards promotes interoperability
+ and exchange of such information between dissimilar devices and information systems.
+ This facilitates production of event information that can be more readily analyzed
+ and correlated. Standard formats for audit records include, for example, system log
+ records and audit records compliant with Common Event Expressions (CEE). If logging
+ mechanisms within information systems do not conform to standardized formats, systems
+ may convert individual audit records into standardized formats when compiling system-wide
+ audit trails.
+
+
+
+
+
Objective
+
+
+
Determine if the information system produces a system-wide (logical or physical) audit
+ trail composed of audit records in a standardized format.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing audit record generation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
system-wide audit trail (logical or physical)
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit record generation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing audit record generation capability
+
+
+
+
+
+
+
AU-12 (3) CHANGES BY AUTHORIZED INDIVIDUALS
+
+
+
+
+
+
Parameter: au-12_e organization-defined individuals or roles
+
+
+
Default: organization-defined individuals or roles
+
+
+
+
+
+
+
Parameter: au-12_f organization-defined information system components
+
+
+
Default: organization-defined information system components
+
Parameter: au-12_h organization-defined time thresholds
+
+
+
Default: organization-defined time thresholds
+
+
+
+
+
+
+
Control
+
+
+
The information system provides the capability for au-12_e organization-defined individuals or roles [organization-defined individuals or roles] to change the auditing to be performed on au-12_f organization-defined information system components [organization-defined information system components] based on au-12_g organization-defined selectable event criteria [organization-defined selectable event criteria] within au-12_h organization-defined time thresholds [organization-defined time thresholds].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement enables organizations to extend or limit auditing as necessary
+ to meet organizational requirements. Auditing that is limited to conserve information
+ system resources may be extended to address certain threat situations. In addition,
+ auditing may be limited to a specific set of events to facilitate audit reduction,
+ analysis, and reporting. Organizations can establish time thresholds in which audit
+ actions are changed, for example, near real-time, within minutes, or within hours.
+
the organization defines information system components on which auditing is to be
+ performed;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines individuals or roles authorized to change the auditing to
+ be performed on organization-defined information system components;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the organization defines time thresholds within which organization-defined individuals
+ or roles can change the auditing to be performed on organization-defined information
+ system components;
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
the organization defines selectable event criteria that support the capability for
+ organization-defined individuals or roles to change the auditing to be performed on
+ organization-defined information system components; and
+
+
+
+
+
+
+
+
+
+
+
+
[5]
+
+
+
+
+
the information system provides the capability for organization-defined individuals
+ or roles to change the auditing to be performed on organization-defined information
+ system components based on organization-defined selectable event criteria within organization-defined
+ time thresholds.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing audit record generation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
system-generated list of individuals or roles authorized to change auditing to be
+ performed
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with audit record generation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing audit record generation capability
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW AU-12
+
+
MOD AU-12
+
+
HIGH AU-12 (1) (3)
+
+
+
+
+
+
+
+
AU-13 MONITORING FOR INFORMATION DISCLOSURE
+
+
+
+
+
+
Parameter: au-13_a organization-defined open source information and/or information sites
+
+
+
Default: organization-defined open source information and/or information sites
+
+
+
+
+
+
+
Parameter: au-13_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Control
+
+
+
The organization monitors au-13_a organization-defined open source information and/or information sites [organization-defined open source information and/or information sites]
+ au-13_b organization-defined frequency [organization-defined frequency] for evidence of unauthorized disclosure of organizational information.
+
+
+
+
+
Supplemental guidance
+
+
+
Open source information includes, for example, social networking sites.
defines open source information and/or information sites to be monitored for evidence
+ of unauthorized disclosure of organizational information;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines a frequency to monitor organization-defined open source information and/or
+ information sites for evidence of unauthorized disclosure of organizational information;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
monitors organization-defined open source information and/or information sites for
+ evidence of unauthorized disclosure of organizational information with the organization-defined
+ frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing information disclosure monitoring
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
monitoring records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for monitoring open source information
+ and/or information sites
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing monitoring for information disclosure
+
+
+
+
+
+
Control enhancements
+
+
AU-13 (1) USE OF AUTOMATED TOOLS
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to determine if organizational information
+ has been disclosed in an unauthorized manner.
+
+
+
+
+
Supplemental guidance
+
+
+
Automated mechanisms can include, for example, automated scripts to monitor new posts
+ on selected websites, and commercial services providing notifications and alerts to
+ organizations.
+
+
+
+
+
Objective
+
+
+
Determine if the organization employs automated mechanisms to determine if organizational
+ information has been disclosed in an unauthorized manner.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing information disclosure monitoring
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
automated monitoring tools
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for monitoring information disclosures
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing monitoring for information disclosure
+
+
+
+
+
+
+
AU-13 (2) REVIEW OF MONITORED SITES
+
+
+
+
+
+
Parameter: au-13_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
Control
+
+
+
The organization reviews the open source information sites being monitored au-13_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines a frequency to review the open source information sites being monitored; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews the open source information sites being monitored with the organization-defined
+ frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing information disclosure monitoring
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
reviews for open source information sites being monitored
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for monitoring open source information
+ sites
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing monitoring for information disclosure
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
AU-14 SESSION AUDIT
+
+
+
+
+
+
Control
+
+
+
The information system provides the capability for authorized users to select a user
+ session to capture/record or view/hear.
+
+
+
+
+
Supplemental guidance
+
+
+
Session audits include, for example, monitoring keystrokes, tracking websites visited,
+ and recording information and/or file transfers. Session auditing activities are developed,
+ integrated, and used in consultation with legal counsel in accordance with applicable
+ federal laws, Executive Orders, directives, policies, regulations, or standards.
+
Determine if the information system provides the capability for authorized users to
+ select a user session to:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
capture/record; and/or
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
view/hear.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing user session auditing
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing user session auditing capability
+
+
+
+
+
+
Control enhancements
+
+
AU-14 (1) SYSTEM START-UP
+
+
+
+
+
Control
+
+
+
The information system initiates session audits at system start-up.
+
+
+
+
Objective
+
+
+
Determine if the information system initiates session audits at system start-up.
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing user session auditing
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing user session auditing capability
+
+
+
+
+
+
+
AU-14 (2) CAPTURE/RECORD AND LOG CONTENT
+
+
+
+
+
Control
+
+
+
The information system provides the capability for authorized users to capture/record
+ and log content related to a user session.
+
+
+
+
+
+
+
+
+
+
+
Determine if the information system provides the capability for authorized users to:
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
capture/record content related to a user session; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
log content related to a user session.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing user session auditing
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing user session auditing capability
+
+
+
+
+
+
+
AU-14 (3) REMOTE VIEWING / LISTENING
+
+
+
+
+
Control
+
+
+
The information system provides the capability for authorized users to remotely view/hear
+ all content related to an established user session in real time.
+
+
+
+
+
Objective
+
+
+
Determine if the information system provides the capability for authorized users to
+ remotely view/hear all content related to an established user session in real time.
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing user session auditing
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing user session auditing capability
+
The organization provides an alternate audit capability in the event of a failure
+ in primary audit capability that provides au-15_a organization-defined alternate audit functionality [organization-defined alternate audit functionality].
+
+
+
+
+
Supplemental guidance
+
+
+
Since an alternate audit capability may be a short-term protection employed until
+ the failure in the primary auditing capability is corrected, organizations may determine
+ that the alternate audit capability need only provide a subset of the primary audit
+ functionality that is impacted by the failure.
+
defines alternative audit functionality to be provided in the event of a failure in
+ primary audit capability; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
provides an alternative audit capability in the event of a failure in primary audit
+ capability that provides organization-defined alternative audit functionality.
+
information system configuration settings and associated documentation
+
+
+
test records for alternative audit capability
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel responsible for providing alternate audit capability
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing alternative audit capability
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
AU-16 CROSS-ORGANIZATIONAL AUDITING
+
+
+
+
+
+
Parameter: au-16_a organization-defined methods
+
+
+
Default: organization-defined methods
+
+
+
+
+
+
+
Parameter: au-16_b organization-defined audit information
+
+
+
Default: organization-defined audit information
+
+
+
+
+
+
+
Control
+
+
+
The organization employs au-16_a organization-defined methods [organization-defined methods] for coordinating au-16_b organization-defined audit information [organization-defined audit information] among external organizations when audit information is transmitted across organizational
+ boundaries.
+
+
+
+
+
Supplemental guidance
+
+
+
When organizations use information systems and/or services of external organizations,
+ the auditing capability necessitates a coordinated approach across organizations.
+ For example, maintaining the identity of individuals that requested particular services
+ across organizational boundaries may often be very difficult, and doing so may prove
+ to have significant performance ramifications. Therefore, it is often the case that
+ cross-organizational auditing (e.g., the type of auditing capability provided by service-oriented
+ architectures) simply captures the identity of individuals issuing requests at the
+ initial information system, and subsequent systems record that the requests emanated
+ from authorized individuals.
+
defines audit information to be coordinated among external organizations when audit
+ information is transmitted across organizational boundaries;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines methods for coordinating organization-defined audit information among external
+ organizations when audit information is transmitted across organizational boundaries;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
employs organization-defined methods for coordinating organization-defined audit information
+ among external organizations when audit information is transmitted across organizational
+ boundaries.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing methods for coordinating audit information among external organizations
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
methods for coordinating audit information among external organizations
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for coordinating audit information
+ among external organizations
+
+
+
organizational personnel with information security responsibilities
+
The organization requires that the identity of individuals be preserved in cross-organizational
+ audit trails.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement applies when there is a need to be able to trace actions
+ that are performed across organizational boundaries to a specific individual.
+
+
+
+
+
Objective
+
+
+
Determine if the organization requires that the identity of individuals be preserved
+ in cross- organizational audit trails.
+
The organization provides cross-organizational audit information to au-16_c organization-defined organizations [organization-defined organizations] based on au-16_d organization-defined cross-organizational sharing agreements [organization-defined cross-organizational sharing agreements].
+
+
+
+
+
Supplemental guidance
+
+
+
Because of the distributed nature of the audit information, cross-organization sharing
+ of audit information may be essential for effective analysis of the auditing being
+ performed. For example, the audit records of one organization may not provide sufficient
+ information to determine the appropriate or inappropriate use of organizational information
+ resources by individuals in other organizations. In some instances, only the home
+ organizations of individuals have the appropriate knowledge to make such determinations,
+ thus requiring the sharing of audit information among organizations.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines organizations with whom cross-organizational audit information is to be shared;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines cross-organizational sharing agreements to be used when providing cross-organizational
+ audit information to organization-defined organizations; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
provides cross-organizational audit information to organization-defined organizations
+ based on organization-defined cross-organizational sharing agreements.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Audit and accountability policy
+
+
+
procedures addressing cross-organizational sharing of audit information
+
+
+
cross-organizational sharing agreements
+
+
+
data sharing agreements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for sharing cross-organizational audit
+ information
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
+
+
+
SECURITY ASSESSMENT AND AUTHORIZATION
+
+
+
CA-1 SECURITY ASSESSMENT AND AUTHORIZATION POLICY AND PROCEDURES
+
+
+
+
+
+
Parameter: ca-1_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: ca-1_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: ca-1_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops, documents, and disseminates to ca-1_a organization-defined personnel or roles [organization-defined personnel or roles]:
+
+
+
+
+
+
+
1.
+
+
+
+
+
A security assessment and authorization policy that addresses purpose, scope, roles,
+ responsibilities, management commitment, coordination among organizational entities,
+ and compliance; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Procedures to facilitate the implementation of the security assessment and authorization
+ policy and associated security assessment and authorization controls; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the current:
+
+
+
+
+
+
1.
+
+
+
+
+
Security assessment and authorization policy ca-1_b organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Security assessment and authorization procedures ca-1_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the establishment of policy and procedures for the effective
+ implementation of selected security controls and control enhancements in the CA family.
+ Policy and procedures reflect applicable federal laws, Executive Orders, directives,
+ regulations, policies, standards, and guidance. Security program policies and procedures
+ at the organization level may make the need for system-specific policies and procedures
+ unnecessary. The policy can be included as part of the general information security
+ policy for organizations or conversely, can be represented by multiple policies reflecting
+ the complex nature of certain organizations. The procedures can be established for
+ the security program in general and for particular information systems, if needed.
+ The organizational risk management strategy is a key factor in establishing policy
+ and procedures.
+
develops and documents a security assessment and authorization policy that addresses:
+
+
+
+
+
+
[a]
+
+
+
+
+
purpose;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
scope;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
roles;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
responsibilities;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
management commitment;
+
+
+
+
+
+
+
+
+
+
+
[f]
+
+
+
+
+
coordination among organizational entities;
+
+
+
+
+
+
+
+
+
+
+
[g]
+
+
+
+
+
compliance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the security assessment and authorization policy
+ is to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the security assessment and authorization policy to organization-defined
+ personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(a)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops and documents procedures to facilitate the implementation of the security
+ assessment and authorization policy and associated assessment and authorization controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current security assessment and authorization
+ policy;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current security assessment and authorization policy with
+ the organization-defined frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current security assessment and authorization
+ procedures; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current security assessment and authorization procedures with
+ the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security assessment and authorization policy and procedures
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security assessment and authorization responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-12
+
+
+
+
+
+
NIST Special Publication 800-37
+
+
+
+
+
+
NIST Special Publication 800-53A
+
+
+
+
+
+
NIST Special Publication 800-100
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW CA-1
+
+
MOD CA-1
+
+
HIGH CA-1
+
+
+
+
+
+
+
+
CA-2 SECURITY ASSESSMENTS
+
+
+
+
+
+
Parameter: ca-2_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: ca-2_b organization-defined individuals or roles
+
+
+
Default: organization-defined individuals or roles
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops a security assessment plan that describes the scope of the assessment including:
+
+
+
+
+
+
1.
+
+
+
+
+
Security controls and control enhancements under assessment;
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Assessment procedures to be used to determine security control effectiveness; and
+
+
+
+
+
+
+
+
+
+
+
3.
+
+
+
+
+
Assessment environment, assessment team, and assessment roles and responsibilities;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Assesses the security controls in the information system and its environment of operation
+ ca-2_a organization-defined frequency [organization-defined frequency] to determine the extent to which the controls are implemented correctly, operating
+ as intended, and producing the desired outcome with respect to meeting established
+ security requirements;
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Produces a security assessment report that documents the results of the assessment;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Provides the results of the security control assessment to ca-2_b organization-defined individuals or roles [organization-defined individuals or roles].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations assess security controls in organizational information systems and the
+ environments in which those systems operate as part of: (i) initial and ongoing security
+ authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv)
+ system development life cycle activities. Security assessments: (i) ensure that information
+ security is built into organizational information systems; (ii) identify weaknesses
+ and deficiencies early in the development process; (iii) provide essential information
+ needed to make risk-based decisions as part of security authorization processes; and
+ (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted
+ on the implemented security controls from Appendix F (main catalog) and Appendix G
+ (Program Management controls) as documented in System Security Plans and Information
+ Security Program Plans. Organizations can use other types of assessment activities
+ such as vulnerability scanning and system monitoring to maintain the security posture
+ of information systems during the entire life cycle. Security assessment reports document
+ assessment results in sufficient detail as deemed necessary by organizations, to determine
+ the accuracy and completeness of the reports and whether the security controls are
+ implemented correctly, operating as intended, and producing the desired outcome with
+ respect to meeting security requirements. The FISMA requirement for assessing security
+ controls at least annually does not require additional assessment activities to those
+ activities already in place in organizational security authorization processes. Security
+ assessment results are provided to the individuals or roles appropriate for the types
+ of assessments being conducted. For example, assessments conducted in support of security
+ authorization decisions are provided to authorizing officials or authorizing official
+ designated representatives.
+ To satisfy annual assessment requirements, organizations can use assessment results
+ from the following sources: (i) initial or ongoing information system authorizations;
+ (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations
+ ensure that security assessment results are current, relevant to the determination
+ of security control effectiveness, and obtained with the appropriate level of assessor
+ independence. Existing security control assessment results can be reused to the extent
+ that the results are still valid and can also be supplemented with additional assessments
+ as needed. Subsequent to initial authorizations and in accordance with OMB policy,
+ organizations assess security controls during continuous monitoring. Organizations
+ establish the frequency for ongoing security control assessments in accordance with
+ organizational continuous monitoring strategies. Information Assurance Vulnerability
+ Alerts provide useful examples of vulnerability mitigation procedures. External audits
+ (e.g., audits by external entities such as regulatory agencies) are outside the scope
+ of this control.
+
develops a security assessment plan that describes the scope of the assessment including:
+
+
+
+
+
+
(1)
+
+
+
+
+
security controls and control enhancements under assessment;
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
assessment procedures to be used to determine security control effectiveness;
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
assessment environment;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
assessment team;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
assessment roles and responsibilities;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to assess the security controls in the information system and
+ its environment of operation;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
assesses the security controls in the information system with the organization-defined
+ frequency to determine the extent to which the controls are implemented correctly,
+ operating as intended, and producing the desired outcome with respect to meeting established
+ security requirements;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
produces a security assessment report that documents the results of the assessment;
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines individuals or roles to whom the results of the security control assessment
+ are to be provided; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
provides the results of the security control assessment to organization-defined individuals
+ or roles.
+
Parameter: ca-2_c organization-defined level of independence
+
+
+
Default: organization-defined level of independence
+
+
+
+
+
+
+
+
Control
+
+
+
The organization employs assessors or assessment teams with ca-2_c organization-defined level of independence [organization-defined level of independence] to conduct security control assessments.
+
+
+
+
+
Supplemental guidance
+
+
+
Independent assessors or assessment teams are individuals or groups who conduct impartial
+ assessments of organizational information systems. Impartiality implies that assessors
+ are free from any perceived or actual conflicts of interest with regard to the development,
+ operation, or management of the organizational information systems under assessment
+ or to the determination of security control effectiveness. To achieve impartiality,
+ assessors should not: (i) create a mutual or conflicting interest with the organizations
+ where the assessments are being conducted; (ii) assess their own work; (iii) act as
+ management or employees of the organizations they are serving; or (iv) place themselves
+ in positions of advocacy for the organizations acquiring their services. Independent
+ assessments can be obtained from elements within organizations or can be contracted
+ to public or private sector entities outside of organizations. Authorizing officials
+ determine the required level of independence based on the security categories of information
+ systems and/or the ultimate risk to organizational operations, organizational assets,
+ or individuals. Authorizing officials also determine if the level of assessor independence
+ provides sufficient assurance that the results are sound and can be used to make credible,
+ risk-based decisions. This includes determining whether contracted security assessment
+ services have sufficient independence, for example, when information system owners
+ are not directly involved in contracting processes or cannot unduly influence the
+ impartiality of assessors conducting assessments. In special situations, for example,
+ when organizations that own the information systems are small or organizational structures
+ require that assessments are conducted by individuals that are in the developmental,
+ operational, or management chain of system owners, independence in assessment processes
+ can be achieved by ensuring that assessment results are carefully reviewed and analyzed
+ by independent teams of experts to validate the completeness, accuracy, integrity,
+ and reliability of the results. Organizations recognize that assessments performed
+ for purposes other than direct support to authorization decisions are, when performed
+ by assessors with sufficient independence, more likely to be useable for such decisions,
+ thereby reducing the need to repeat assessments.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the level of independence to be employed to conduct security control assessments;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs assessors or assessment teams with the organization-defined level of independence
+ to conduct security control assessments.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security assessment and authorization policy
+
+
+
procedures addressing security assessments
+
+
+
security authorization package (including security plan, security assessment plan,
+ security assessment report, plan of action and milestones, authorization statement)
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security assessment responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
CA-2 (2) SPECIALIZED ASSESSMENTS
+
+
+
+
+
+
Parameter: ca-2_d organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: ca-2_e organization-defined other forms of security assessment
+
+
+
Default: organization-defined other forms of security assessment
+
+
+
+
+
+
+
Control
+
+
+
The organization includes as part of security control assessments, ca-2_d organization-defined frequency [organization-defined frequency], [Selection: announced; unannounced], [Selection (one or more): in-depth monitoring;
+ vulnerability scanning; malicious user testing; insider threat assessment; performance/load
+ testing; ca-2_e organization-defined other forms of security assessment [organization-defined other forms of security assessment]].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations can employ information system monitoring, insider threat assessments,
+ malicious user testing, and other forms of testing (e.g., verification and validation)
+ to improve readiness by exercising organizational capabilities and indicating current
+ performance levels as a means of focusing actions to improve security. Organizations
+ conduct assessment activities in accordance with applicable federal laws, Executive
+ Orders, directives, policies, regulations, and standards. Authorizing officials approve
+ the assessment methods in coordination with the organizational risk executive function.
+ Organizations can incorporate vulnerabilities uncovered during assessments into vulnerability
+ remediation processes.
+
selects one or more of the following forms of specialized security assessment to be
+ included as part of security control assessments:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
in-depth monitoring;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
vulnerability scanning;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
malicious user testing;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
insider threat assessment;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
performance/load testing; and/or
+
+
+
+
+
+
+
+
+
+
+
[f]
+
+
+
+
+
other forms of organization-defined specialized security assessment;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the frequency for conducting the selected form(s) of specialized security
+ assessment;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines whether the specialized security assessment will be announced or unannounced;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
conducts announced or unannounced organization-defined forms of specialized security
+ assessments with the organization-defined frequency as part of security control assessments.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security assessment and authorization policy
+
+
+
procedures addressing security assessments
+
+
+
security plan
+
+
+
security assessment plan
+
+
+
security assessment report
+
+
+
security assessment evidence
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security assessment responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting security control assessment
+
+
+
+
+
+
+
CA-2 (3) EXTERNAL ORGANIZATIONS
+
+
+
+
+
+
Parameter: ca-2_f organization-defined information system
+
+
+
Default: organization-defined information system
+
The organization accepts the results of an assessment of ca-2_f organization-defined information system [organization-defined information system] performed by ca-2_g organization-defined external organization [organization-defined external organization] when the assessment meets ca-2_h organization-defined requirements [organization-defined requirements].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations may often rely on assessments of specific information systems by other
+ (external) organizations. Utilizing such existing assessments (i.e., reusing existing
+ assessment evidence) can significantly decrease the time and resources required for
+ organizational assessments by limiting the amount of independent assessment activities
+ that organizations need to perform. The factors that organizations may consider in
+ determining whether to accept assessment results from external organizations can vary.
+ Determinations for accepting assessment results can be based on, for example, past
+ assessment experiences one organization has had with another organization, the reputation
+ that organizations have with regard to assessments, the level of detail of supporting
+ assessment documentation provided, or mandates imposed upon organizations by federal
+ legislation, policies, or directives.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines an information system for which the results of a security assessment performed
+ by an external organization are to be accepted;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines an external organization from which to accept a security assessment performed
+ on an organization-defined information system;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines the requirements to be met by a security assessment performed by organization-defined
+ external organization on organization-defined information system; and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
accepts the results of an assessment of an organization-defined information system
+ performed by an organization-defined external organization when the assessment meets
+ organization-defined requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security assessment and authorization policy
+
+
+
procedures addressing security assessments
+
+
+
security plan
+
+
+
security assessment requirements
+
+
+
security assessment plan
+
+
+
security assessment report
+
+
+
security assessment evidence
+
+
+
plan of action and milestones
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security assessment responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
personnel performing security assessments for the specified external organization
+
+
+
+
+
+
+
+
References
+
+
+
+
Executive Order 13587
+
+
+
+
+
+
FIPS Publication 199
+
+
+
+
+
+
NIST Special Publication 800-37
+
+
+
+
+
+
NIST Special Publication 800-39
+
+
+
+
+
+
NIST Special Publication 800-53A
+
+
+
+
+
+
NIST Special Publication 800-115
+
+
+
+
+
+
NIST Special Publication 800-137
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW CA-2
+
+
MOD CA-2 (1)
+
+
HIGH CA-2 (1) (2)
+
+
+
+
+
+
+
+
CA-3 SYSTEM INTERCONNECTIONS
+
+
+
+
+
+
Parameter: ca-3_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Authorizes connections from the information system to other information systems through
+ the use of Interconnection Security Agreements;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Documents, for each interconnection, the interface characteristics, security requirements,
+ and the nature of the information communicated; and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Reviews and updates Interconnection Security Agreements ca-3_a organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies to dedicated connections between information systems (i.e., system
+ interconnections) and does not apply to transitory, user-controlled connections such
+ as email and website browsing. Organizations carefully consider the risks that may
+ be introduced when information systems are connected to other systems with different
+ security requirements and security controls, both within organizations and external
+ to organizations. Authorizing officials determine the risk associated with information
+ system connections and the appropriate controls employed. If interconnecting systems
+ have the same authorizing official, organizations do not need to develop Interconnection
+ Security Agreements. Instead, organizations can describe the interface characteristics
+ between those interconnecting systems in their respective security plans. If interconnecting
+ systems have different authorizing officials within the same organization, organizations
+ can either develop Interconnection Security Agreements or describe the interface characteristics
+ between systems in the security plans for the respective systems. Organizations may
+ also incorporate Interconnection Security Agreement information into formal contracts,
+ especially for interconnections established between federal agencies and nonfederal
+ (i.e., private sector) organizations. Risk considerations also include information
+ systems sharing the same networks. For certain technologies (e.g., space, unmanned
+ aerial vehicles, and medical devices), there may be specialized connections in place
+ during preoperational testing. Such connections may require Interconnection Security
+ Agreements and be subject to additional security controls.
+
The organization prohibits the direct connection of an ca-3_b organization-defined unclassified, national security system [organization-defined unclassified, national security system] to an external network without the use of ca-3_c organization-defined boundary protection device [organization-defined boundary protection device].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations typically do not have control over external networks (e.g., the Internet).
+ Approved boundary protection devices (e.g., routers, firewalls) mediate communications
+ (i.e., information flows) between unclassified national security systems and external
+ networks. This control enhancement is required for organizations processing, storing,
+ or transmitting Controlled Unclassified Information (CUI).
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines an unclassified, national security system whose direct connection to an external
+ network is to be prohibited without the use of approved boundary protection device;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines a boundary protection device to be used to establish the direct connection
+ of an organization-defined unclassified, national security system to an external network;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
prohibits the direct connection of an organization-defined unclassified, national
+ security system to an external network without the use of an organization-defined
+ boundary protection device.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing information system connections
+
+
+
system and communications protection policy
+
+
+
information system interconnection security agreements
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
security assessment report
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for managing direct connections to external
+ networks
+
+
+
network administrators
+
+
+
organizational personnel with information security responsibilities
+
The organization prohibits the direct connection of a classified, national security
+ system to an external network without the use of ca-3_d organization-defined boundary protection device [organization-defined boundary protection device].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations typically do not have control over external networks (e.g., the Internet).
+ Approved boundary protection devices (e.g., routers, firewalls) mediate communications
+ (i.e., information flows) between classified national security systems and external
+ networks. In addition, approved boundary protection devices (typically managed interface/cross-domain
+ systems) provide information flow enforcement from information systems to external
+ networks.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines a boundary protection device to be used to establish the direct connection
+ of a classified, national security system to an external network; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
prohibits the direct connection of a classified, national security system to an external
+ network without the use of an organization-defined boundary protection device.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing information system connections
+
+
+
system and communications protection policy
+
+
+
information system interconnection security agreements
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
security assessment report
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for managing direct connections to external
+ networks
+
+
+
network administrators
+
+
+
organizational personnel with information security responsibilities
+
The organization prohibits the direct connection of an ca-3_e organization-defined unclassified, non-national security system [organization-defined unclassified, non-national security system] to an external network without the use of ca-3_f Assignment; organization-defined boundary protection device [Assignment; organization-defined boundary protection device].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations typically do not have control over external networks (e.g., the Internet).
+ Approved boundary protection devices (e.g., routers, firewalls) mediate communications
+ (i.e., information flows) between unclassified non-national security systems and external
+ networks. This control enhancement is required for organizations processing, storing,
+ or transmitting Controlled Unclassified Information (CUI).
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines an unclassified, non-national security system whose direct connection to an
+ external network is to be prohibited without the use of approved boundary protection
+ device;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines a boundary protection device to be used to establish the direct connection
+ of an organization-defined unclassified, non-national security system to an external
+ network; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
prohibits the direct connection of an organization-defined unclassified, non-national
+ security system to an external network without the use of an organization-defined
+ boundary protection device.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing information system connections
+
+
+
system and communications protection policy
+
+
+
information system interconnection security agreements
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
security assessment report
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for managing direct connections to external
+ networks
+
+
+
network administrators
+
+
+
organizational personnel with information security responsibilities
+
Automated mechanisms supporting the management of external network connections
+
+
+
+
+
+
+
CA-3 (4) CONNECTIONS TO PUBLIC NETWORKS
+
+
+
+
+
+
Parameter: ca-3_g organization-defined information system
+
+
+
Default: organization-defined information system
+
+
+
+
+
+
Control
+
+
+
The organization prohibits the direct connection of an ca-3_g organization-defined information system [organization-defined information system] to a public network.
+
+
+
+
+
Supplemental guidance
+
+
+
A public network is any network accessible to the general public including, for example,
+ the Internet and organizational extranets with public access.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines an information system whose direct connection to a public network is to be
+ prohibited; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
prohibits the direct connection of an organization-defined information system to a
+ public network.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing information system connections
+
+
+
system and communications protection policy
+
+
+
information system interconnection security agreements
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
+
+
information system configuration settings and associated documentation
+
+
+
security assessment report
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting the management of public network connections
+
+
+
+
+
+
+
CA-3 (5) RESTRICTIONS ON EXTERNAL SYSTEM CONNECTIONS
+
+
+
+
+
+
Parameter: ca-3_h organization-defined information systems
+
+
+
Default: organization-defined information systems
+
+
+
+
+
+
+
+
Control
+
+
+
The organization employs [Selection: allow-all, deny-by-exception; deny-all, permit-by-exception]
+ policy for allowing ca-3_h organization-defined information systems [organization-defined information systems] to connect to external information systems.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations can constrain information system connectivity to external domains (e.g.,
+ websites) by employing one of two policies with regard to such connectivity: (i) allow-all,
+ deny by exception, also known as blacklisting (the weaker of the two policies); or
+ (ii) deny-all, allow by exception, also known as whitelisting (the stronger of the
+ two policies). For either policy, organizations determine what exceptions, if any,
+ are acceptable.
+
Parameter: ca-5_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops a plan of action and milestones for the information system to document the
+ organization�s planned remedial actions to correct weaknesses or deficiencies noted
+ during the assessment of the security controls and to reduce or eliminate known vulnerabilities
+ in the system; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Updates existing plan of action and milestones ca-5_a organization-defined frequency [organization-defined frequency] based on the findings from security controls assessments, security impact analyses,
+ and continuous monitoring activities.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Plans of action and milestones are key documents in security authorization packages
+ and are subject to federal reporting requirements established by OMB.
+
develops a plan of action and milestones for the information system to:
+
+
+
+
+
+
[1]
+
+
+
+
+
document the organization’s planned remedial actions to correct weaknesses or deficiencies
+ noted during the assessment of the security controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reduce or eliminate known vulnerabilities in the system;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to update the existing plan of action and milestones;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
updates the existing plan of action and milestones with the organization-defined frequency
+ based on the findings from:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
security controls assessments;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
security impact analyses; and
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
continuous monitoring activities.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security assessment and authorization policy
+
+
+
procedures addressing plan of action and milestones
+
+
+
security plan
+
+
+
security assessment plan
+
+
+
security assessment report
+
+
+
security assessment evidence
+
+
+
plan of action and milestones
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with plan of action and milestones development and implementation
+ responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms for developing, implementing, and maintaining plan of action
+ and milestones
+
+
+
+
+
+
+
Control enhancements
+
+
CA-5 (1) AUTOMATION SUPPORT FOR ACCURACY / CURRENCY
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to help ensure that the plan of action
+ and milestones for the information system is accurate, up to date, and readily available.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization employs automated mechanisms to help ensure that the
+ plan of action and milestones for the information system is:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
accurate;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
up to date; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
readily available.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security assessment and authorization policy
+
+
+
procedures addressing plan of action and milestones
+
+
+
information system design documentation, information system configuration settings
+ and associated documentation
+
+
+
information system audit records
+
+
+
plan of action and milestones
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with plan of action and milestones development and implementation
+ responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms for developing, implementing and maintaining plan of action and
+ milestones
+
+
+
+
+
+
+
+
References
+
+
+
+
OMB Memorandum 02-01
+
+
+
+
+
+
NIST Special Publication 800-37
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P3
+
LOW CA-5
+
+
MOD CA-5
+
+
HIGH CA-5
+
+
+
+
+
+
+
+
CA-6 SECURITY AUTHORIZATION
+
+
+
+
+
+
Parameter: ca-6_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Assigns a senior-level executive or manager as the authorizing official for the information
+ system;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Ensures that the authorizing official authorizes the information system for processing
+ before commencing operations; and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Updates the security authorization ca-6_a organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Security authorizations are official management decisions, conveyed through authorization
+ decision documents, by senior organizational officials or executives (i.e., authorizing
+ officials) to authorize operation of information systems and to explicitly accept
+ the risk to organizational operations and assets, individuals, other organizations,
+ and the Nation based on the implementation of agreed-upon security controls. Authorizing
+ officials provide budgetary oversight for organizational information systems or assume
+ responsibility for the mission/business operations supported by those systems. The
+ security authorization process is an inherently federal responsibility and therefore,
+ authorizing officials must be federal employees. Through the security authorization
+ process, authorizing officials assume responsibility and are accountable for security
+ risks associated with the operation and use of organizational information systems.
+ Accordingly, authorizing officials are in positions with levels of authority commensurate
+ with understanding and accepting such information security-related risks. OMB policy
+ requires that organizations conduct ongoing authorizations of information systems
+ by implementing continuous monitoring programs. Continuous monitoring programs can
+ satisfy three-year reauthorization requirements, so separate reauthorization processes
+ are not necessary. Through the employment of comprehensive continuous monitoring processes,
+ critical information contained in authorization packages (i.e., security plans, security
+ assessment reports, and plans of action and milestones) is updated on an ongoing basis,
+ providing authorizing officials and information system owners with an up-to-date status
+ of the security state of organizational information systems and environments of operation.
+ To reduce the administrative cost of security reauthorization, authorizing officials
+ use the results of continuous monitoring processes to the maximum extent possible
+ as the basis for rendering reauthorization decisions.
+
Parameter: ca-7_d organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: ca-7_e organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization develops a continuous monitoring strategy and implements a continuous
+ monitoring program that includes:
+
+
+
+
+
+
+
a.
+
+
+
+
+
Establishment of ca-7_a organization-defined metrics [organization-defined metrics] to be monitored;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Establishment of ca-7_b organization-defined frequencies [organization-defined frequencies] for monitoring and ca-7_c organization-defined frequencies [organization-defined frequencies] for assessments supporting such monitoring;
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Ongoing security control assessments in accordance with the organizational continuous
+ monitoring strategy;
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Ongoing security status monitoring of organization-defined metrics in accordance with
+ the organizational continuous monitoring strategy;
+
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Correlation and analysis of security-related information generated by assessments
+ and monitoring;
+
+
+
+
+
+
+
+
+
+
+
+
f.
+
+
+
+
+
Response actions to address results of the analysis of security-related information;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
g.
+
+
+
+
+
Reporting the security status of organization and the information system to ca-7_d organization-defined personnel or roles [organization-defined personnel or roles]
+ ca-7_e organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Continuous monitoring programs facilitate ongoing awareness of threats, vulnerabilities,
+ and information security to support organizational risk management decisions. The
+ terms continuous and ongoing imply that organizations assess/analyze security controls
+ and information security-related risks at a frequency sufficient to support organizational
+ risk-based decisions. The results of continuous monitoring programs generate appropriate
+ risk response actions by organizations. Continuous monitoring programs also allow
+ organizations to maintain the security authorizations of information systems and common
+ controls over time in highly dynamic environments of operation with changing mission/business
+ needs, threats, vulnerabilities, and technologies. Having access to security-related
+ information on a continuing basis through reports/dashboards gives organizational
+ officials the capability to make more effective and timely risk management decisions,
+ including ongoing security authorization decisions. Automation supports more frequent
+ updates to security authorization packages, hardware/software/firmware inventories,
+ and other system information. Effectiveness is further enhanced when continuous monitoring
+ outputs are formatted to provide information that is specific, measurable, actionable,
+ relevant, and timely. Continuous monitoring activities are scaled in accordance with
+ the security categories of information systems.
+
develops a continuous monitoring strategy that defines metrics to be monitored;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
develops a continuous monitoring strategy that includes monitoring of organization-defined
+ metrics;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
implements a continuous monitoring program that includes monitoring of organization-defined
+ metrics in accordance with the organizational continuous monitoring strategy;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops a continuous monitoring strategy that defines frequencies for monitoring;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines frequencies for assessments supporting monitoring;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
develops a continuous monitoring strategy that includes establishment of the organization-defined
+ frequencies for monitoring and for assessments supporting monitoring;
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
implements a continuous monitoring program that includes establishment of organization-defined
+ frequencies for monitoring and for assessments supporting such monitoring in accordance
+ with the organizational continuous monitoring strategy;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops a continuous monitoring strategy that includes ongoing security control assessments;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
implements a continuous monitoring program that includes ongoing security control
+ assessments in accordance with the organizational continuous monitoring strategy;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops a continuous monitoring strategy that includes ongoing security status monitoring
+ of organization-defined metrics;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
implements a continuous monitoring program that includes ongoing security status monitoring
+ of organization-defined metrics in accordance with the organizational continuous monitoring
+ strategy;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops a continuous monitoring strategy that includes correlation and analysis of
+ security-related information generated by assessments and monitoring;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
implements a continuous monitoring program that includes correlation and analysis
+ of security-related information generated by assessments and monitoring in accordance
+ with the organizational continuous monitoring strategy;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(f)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops a continuous monitoring strategy that includes response actions to address
+ results of the analysis of security-related information;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
implements a continuous monitoring program that includes response actions to address
+ results of the analysis of security-related information in accordance with the organizational
+ continuous monitoring strategy;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(g)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops a continuous monitoring strategy that defines the personnel or roles to whom
+ the security status of the organization and information system are to be reported;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
develops a continuous monitoring strategy that defines the frequency to report the
+ security status of the organization and information system to organization-defined
+ personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
develops a continuous monitoring strategy that includes reporting the security status
+ of the organization or information system to organizational-defined personnel or roles
+ with the organization-defined frequency; and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
implements a continuous monitoring program that includes reporting the security status
+ of the organization and information system to organization-defined personnel or roles
+ with the organization-defined frequency in accordance with the organizational continuous
+ monitoring strategy.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security assessment and authorization policy
+
+
+
procedures addressing continuous monitoring of information system security controls
+
Organizational personnel with continuous monitoring responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Mechanisms implementing continuous monitoring
+
+
+
+
+
+
+
Control enhancements
+
+
CA-7 (1) INDEPENDENT ASSESSMENT
+
+
+
+
+
+
Parameter: ca-7_f organization-defined level of independence
+
+
+
Default: organization-defined level of independence
+
+
+
+
+
+
+
+
Control
+
+
+
The organization employs assessors or assessment teams with ca-7_f organization-defined level of independence [organization-defined level of independence] to monitor the security controls in the information system on an ongoing basis.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations can maximize the value of assessments of security controls during the
+ continuous monitoring process by requiring that such assessments be conducted by assessors
+ or assessment teams with appropriate levels of independence based on continuous monitoring
+ strategies. Assessor independence provides a degree of impartiality to the monitoring
+ process. To achieve such impartiality, assessors should not: (i) create a mutual or
+ conflicting interest with the organizations where the assessments are being conducted;
+ (ii) assess their own work; (iii) act as management or employees of the organizations
+ they are serving; or (iv) place themselves in advocacy positions for the organizations
+ acquiring their services.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines a level of independence to be employed to monitor the security controls in
+ the information system on an ongoing basis; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs assessors or assessment teams with the organization-defined level of independence
+ to monitor the security controls in the information system on an ongoing basis.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security assessment and authorization policy
+
+
+
procedures addressing continuous monitoring of information system security controls
+
+
+
security plan
+
+
+
security assessment report
+
+
+
plan of action and milestones
+
+
+
information system monitoring records
+
+
+
security impact analyses
+
+
+
status reports
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with continuous monitoring responsibilities
+
+
+
organizational personnel with information security responsibilities
+
The organization employs trend analyses to determine if security control implementations,
+ the frequency of continuous monitoring activities, and/or the types of activities
+ used in the continuous monitoring process need to be modified based on empirical data.
+
+
+
+
+
Supplemental guidance
+
+
+
Trend analyses can include, for example, examining recent threat information regarding
+ the types of threat events that have occurred within the organization or across the
+ federal government, success rates of certain types of cyber attacks, emerging vulnerabilities
+ in information technologies, evolving social engineering techniques, results from
+ multiple security control assessments, the effectiveness of configuration settings,
+ and findings from Inspectors General or auditors.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization employs trend analyses to determine if the following
+ items need to be modified based on empirical data:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
security control implementations;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the frequency of continuous monitoring activities; and/or
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the types of activities used in the continuous monitoring process.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Continuous monitoring strategy
+
+
+
Security assessment and authorization policy
+
+
+
procedures addressing continuous monitoring of information system security controls
+
+
+
security plan
+
+
+
security assessment report
+
+
+
plan of action and milestones
+
+
+
information system monitoring records
+
+
+
security impact analyses
+
+
+
status reports
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with continuous monitoring responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
+
References
+
+
+
+
OMB Memorandum 11-33
+
+
+
+
+
+
NIST Special Publication 800-37
+
+
+
+
+
+
NIST Special Publication 800-39
+
+
+
+
+
+
NIST Special Publication 800-53A
+
+
+
+
+
+
NIST Special Publication 800-115
+
+
+
+
+
+
NIST Special Publication 800-137
+
+
+
+
+
+
US-CERT Technical Cyber Security Alerts
+
+
+
+
+
+
DoD Information Assurance Vulnerability Alerts
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW CA-7
+
+
MOD CA-7 (1)
+
+
HIGH CA-7 (1)
+
+
+
+
+
+
+
+
CA-8 PENETRATION TESTING
+
+
+
+
+
+
Parameter: ca-8_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: ca-8_b organization-defined information systems or system components
+
+
+
Default: organization-defined information systems or system components
+
+
+
+
+
+
+
+
Control
+
+
+
The organization conducts penetration testing ca-8_a organization-defined frequency [organization-defined frequency] on ca-8_b organization-defined information systems or system components [organization-defined information systems or system components].
+
+
+
+
+
Supplemental guidance
+
+
+
Penetration testing is a specialized type of assessment conducted on information systems
+ or individual system components to identify vulnerabilities that could be exploited
+ by adversaries. Such testing can be used to either validate vulnerabilities or determine
+ the degree of resistance organizational information systems have to adversaries within
+ a set of specified constraints (e.g., time, resources, and/or skills). Penetration
+ testing attempts to duplicate the actions of adversaries in carrying out hostile cyber
+ attacks against organizations and provides a more in-depth analysis of security-related
+ weaknesses/deficiencies. Organizations can also use the results of vulnerability analyses
+ to support penetration testing activities. Penetration testing can be conducted on
+ the hardware, software, or firmware components of an information system and can exercise
+ both physical and technical security controls. A standard method for penetration testing
+ includes, for example: (i) pretest analysis based on full knowledge of the target
+ system; (ii) pretest identification of potential vulnerabilities based on pretest
+ analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities.
+ All parties agree to the rules of engagement before the commencement of penetration
+ testing scenarios. Organizations correlate the penetration testing rules of engagement
+ with the tools, techniques, and procedures that are anticipated to be employed by
+ adversaries carrying out attacks. Organizational risk assessments guide decisions
+ on the level of independence required for personnel conducting penetration testing.
+
The organization employs an independent penetration agent or penetration team to perform
+ penetration testing on the information system or system components.
+
+
+
+
+
Supplemental guidance
+
+
+
Independent penetration agents or teams are individuals or groups who conduct impartial
+ penetration testing of organizational information systems. Impartiality implies that
+ penetration agents or teams are free from any perceived or actual conflicts of interest
+ with regard to the development, operation, or management of the information systems
+ that are the targets of the penetration testing. Supplemental guidance for CA-2 (1)
+ provides additional information regarding independent assessments that can be applied
+ to penetration testing.
+
Determine if the organization employs an independent penetration agent or penetration
+ team to perform penetration testing on the information system or system components.
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security assessment and authorization policy
+
+
+
procedures addressing penetration testing
+
+
+
security plan
+
+
+
security assessment plan
+
+
+
penetration test report
+
+
+
security assessment report
+
+
+
security assessment evidence
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security assessment responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
CA-8 (2) RED TEAM EXERCISES
+
+
+
+
+
+
Parameter: ca-8_c organization-defined red team exercises
+
+
+
Default: organization-defined red team exercises
+
+
+
+
+
+
+
Parameter: ca-8_d organization-defined rules of engagement
+
+
+
Default: organization-defined rules of engagement
+
+
+
+
+
+
Control
+
+
+
The organization employs ca-8_c organization-defined red team exercises [organization-defined red team exercises] to simulate attempts by adversaries to compromise organizational information systems
+ in accordance with ca-8_d organization-defined rules of engagement [organization-defined rules of engagement].
+
+
+
+
+
Supplemental guidance
+
+
+
Red team exercises extend the objectives of penetration testing by examining the security
+ posture of organizations and their ability to implement effective cyber defenses.
+ As such, red team exercises reflect simulated adversarial attempts to compromise organizational
+ mission/business functions and provide a comprehensive assessment of the security
+ state of information systems and organizations. Simulated adversarial attempts to
+ compromise organizational missions/business functions and the information systems
+ that support those missions/functions may include technology-focused attacks (e.g.,
+ interactions with hardware, software, or firmware components and/or mission/business
+ processes) and social engineering-based attacks (e.g., interactions via email, telephone,
+ shoulder surfing, or personal conversations). While penetration testing may be largely
+ laboratory-based testing, organizations use red team exercises to provide more comprehensive
+ assessments that reflect real-world conditions. Red team exercises can be used to
+ improve security awareness and training and to assess levels of security control effectiveness.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines red team exercises to be employed to simulate attempts by adversaries to compromise
+ organizational information systems;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines rules of engagement for employing organization-defined red team exercises;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
employs organization-defined red team exercises to simulate attempts by adversaries
+ to compromise organizational information systems in accordance with organization-defined
+ rules of engagement.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security assessment and authorization policy
+
+
+
procedures addressing penetration testing
+
+
+
procedures addressing red team exercises
+
+
+
security plan
+
+
+
security assessment plan
+
+
+
results of red team exercise
+
+
+
penetration test report
+
+
+
security assessment report
+
+
+
rules of engagement
+
+
+
security assessment evidence
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security assessment responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting employment of red team exercises
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH CA-8
+
+
+
+
+
+
+
+
CA-9 INTERNAL SYSTEM CONNECTIONS
+
+
+
+
+
+
Parameter: ca-9_a organization-defined information system components or classes of components
+
+
+
Default: organization-defined information system components or classes of components
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Authorizes internal connections of ca-9_a organization-defined information system components or classes of components [organization-defined information system components or classes of components] to the information system; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Documents, for each internal connection, the interface characteristics, security requirements,
+ and the nature of the information communicated.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies to connections between organizational information systems and
+ (separate) constituent system components (i.e., intra-system connections) including,
+ for example, system connections with mobile devices, notebook/desktop computers, printers,
+ copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing
+ each individual internal connection, organizations can authorize internal connections
+ for a class of components with common characteristics and/or configurations, for example,
+ all digital printers, scanners, and copiers with a specified processing, storage,
+ and transmission capability or all smart phones with a specific baseline configuration.
+
Determine if the information system performs security compliance checks on constituent
+ system components prior to the establishment of the internal connection.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Access control policy
+
+
+
procedures addressing information system connections
+
+
+
system and communications protection policy
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of components or classes of components authorized as internal system connections
+
+
+
security assessment report
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for developing, implementing, or authorizing
+ internal system connections
+
+
+
organizational personnel with information security responsibilities
+
CM-1 CONFIGURATION MANAGEMENT POLICY AND PROCEDURES
+
+
+
+
+
+
Parameter: cm-1_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: cm-1_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: cm-1_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops, documents, and disseminates to cm-1_a organization-defined personnel or roles [organization-defined personnel or roles]:
+
+
+
+
+
+
+
1.
+
+
+
+
+
A configuration management policy that addresses purpose, scope, roles, responsibilities,
+ management commitment, coordination among organizational entities, and compliance;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Procedures to facilitate the implementation of the configuration management policy
+ and associated configuration management controls; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the current:
+
+
+
+
+
+
1.
+
+
+
+
+
Configuration management policy cm-1_b organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Configuration management procedures cm-1_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the establishment of policy and procedures for the effective
+ implementation of selected security controls and control enhancements in the CM family.
+ Policy and procedures reflect applicable federal laws, Executive Orders, directives,
+ regulations, policies, standards, and guidance. Security program policies and procedures
+ at the organization level may make the need for system-specific policies and procedures
+ unnecessary. The policy can be included as part of the general information security
+ policy for organizations or conversely, can be represented by multiple policies reflecting
+ the complex nature of certain organizations. The procedures can be established for
+ the security program in general and for particular information systems, if needed.
+ The organizational risk management strategy is a key factor in establishing policy
+ and procedures.
+
develops and documents a configuration management policy that addresses:
+
+
+
+
+
+
[a]
+
+
+
+
+
purpose;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
scope;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
roles;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
responsibilities;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
management commitment;
+
+
+
+
+
+
+
+
+
+
+
[f]
+
+
+
+
+
coordination among organizational entities;
+
+
+
+
+
+
+
+
+
+
+
[g]
+
+
+
+
+
compliance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the configuration management policy is to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the configuration management policy to organization-defined personnel
+ or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(a)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops and documents procedures to facilitate the implementation of the configuration
+ management policy and associated configuration management controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current configuration management policy;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current configuration management policy with the organization-defined
+ frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current configuration management procedures;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current configuration management procedures with the organization-defined
+ frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy and procedures
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with configuration management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-12
+
+
+
+
+
+
NIST Special Publication 800-100
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW CM-1
+
+
MOD CM-1
+
+
HIGH CM-1
+
+
+
+
+
+
+
+
CM-2 BASELINE CONFIGURATION
+
+
+
+
+
+
+
+
+
Control
+
+
+
The organization develops, documents, and maintains under configuration control, a
+ current baseline configuration of the information system.
+
+
+
+
+
Supplemental guidance
+
+
+
This control establishes baseline configurations for information systems and system
+ components including communications and connectivity-related aspects of systems. Baseline
+ configurations are documented, formally reviewed and agreed-upon sets of specifications
+ for information systems or configuration items within those systems. Baseline configurations
+ serve as a basis for future builds, releases, and/or changes to information systems.
+ Baseline configurations include information about information system components (e.g.,
+ standard software packages installed on workstations, notebook computers, servers,
+ network components, or mobile devices; current version numbers and patch information
+ on operating systems and applications; and configuration settings/parameters), network
+ topology, and the logical placement of those components within the system architecture.
+ Maintaining baseline configurations requires creating new baselines as organizational
+ information systems change over time. Baseline configurations of information systems
+ reflect the current enterprise architecture.
+
defines the frequency to review and update the baseline configuration of the information
+ system;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the baseline configuration of the information system with the
+ organization-defined frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines circumstances that require the baseline configuration of the information system
+ to be reviewed and updated;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the baseline configuration of the information system when required
+ due to organization-defined circumstances; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
reviews and updates the baseline configuration of the information system as an integral
+ part of information system component installations and upgrades.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
configuration management plan
+
+
+
procedures addressing the baseline configuration of the information system
+
+
+
procedures addressing information system component installations and upgrades
+
+
+
information system architecture and configuration documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
records of information system baseline configuration reviews and updates
+
+
+
information system component installations/upgrades and associated records
+
+
+
change control records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with configuration management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for managing baseline configurations
+
+
+
automated mechanisms supporting review and update of the baseline configuration
+
+
+
+
+
+
+
CM-2 (2) AUTOMATION SUPPORT FOR ACCURACY / CURRENCY
+
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to maintain an up-to-date, complete,
+ accurate, and readily available baseline configuration of the information system.
+
+
+
+
+
Supplemental guidance
+
+
+
Automated mechanisms that help organizations maintain consistent baseline configurations
+ for information systems include, for example, hardware and software inventory tools,
+ configuration management tools, and network management tools. Such tools can be deployed
+ and/or allocated as common controls, at the information system level, or at the operating
+ system or component level (e.g., on workstations, servers, notebook computers, network
+ components, or mobile devices). Tools can be used, for example, to track version numbers
+ on operating system applications, types of software installed, and current patch levels.
+ This control enhancement can be satisfied by the implementation of CM-8 (2) for organizations
+ that choose to combine information system component inventory and baseline configuration
+ activities.
+
Parameter: cm-2_c organization-defined previous versions of baseline configurations of the information
+ system
+
+
+
Default: organization-defined previous versions of baseline configurations of the information
+ system
+
+
+
+
+
+
+
+
Control
+
+
+
The organization retains cm-2_c organization-defined previous versions of baseline configurations of the information
+ system [organization-defined previous versions of baseline configurations of the information
+ system] to support rollback.
+
+
+
+
+
Supplemental guidance
+
+
+
Retaining previous versions of baseline configurations to support rollback may include,
+ for example, hardware, software, firmware, configuration files, and configuration
+ records.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines previous versions of baseline configurations of the information system to
+ be retained to support rollback; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
retains organization-defined previous versions of baseline configurations of the information
+ system to support rollback.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing the baseline configuration of the information system
+
+
+
configuration management plan
+
+
+
information system architecture and configuration documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
copies of previous baseline configuration versions
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with configuration management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for managing baseline configurations
+
The organization maintains a baseline configuration for information system development
+ and test environments that is managed separately from the operational baseline configuration.
+
+
+
+
+
Supplemental guidance
+
+
+
Establishing separate baseline configurations for development, testing, and operational
+ environments helps protect information systems from unplanned/unexpected events related
+ to development and testing activities. Separate baseline configurations allow organizations
+ to apply the configuration management that is most appropriate for each type of configuration.
+ For example, management of operational configurations typically emphasizes the need
+ for stability, while management of development/test configurations requires greater
+ flexibility. Configurations in the test environment mirror the configurations in the
+ operational environment to the extent practicable so that the results of the testing
+ are representative of the proposed changes to the operational systems. This control
+ enhancement requires separate configurations but not necessarily separate physical
+ environments.
+
Determine if the organization maintains a baseline configuration for information system
+ development and test environments that is managed separately from the operational
+ baseline configuration.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing the baseline configuration of the information system
+
+
+
configuration management plan
+
+
+
information system design documentation
+
+
+
information system architecture and configuration documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with configuration management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for managing baseline configurations
+
+
+
automated mechanisms implementing separate baseline configurations for development,
+ test, and operational environments
+
+
+
+
+
+
+
CM-2 (7) CONFIGURE SYSTEMS, COMPONENTS, OR DEVICES FOR HIGH-RISK AREAS
+
+
+
+
+
+
Parameter: cm-2_d organization-defined information systems, system components, or devices
+
+
+
Default: organization-defined information systems, system components, or devices
+
Issues cm-2_d organization-defined information systems, system components, or devices [organization-defined information systems, system components, or devices] with cm-2_e organization-defined configurations [organization-defined configurations] to individuals traveling to locations that the organization deems to be of significant
+ risk; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Applies cm-2_f organization-defined security safeguards [organization-defined security safeguards] to the devices when the individuals return.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
When it is known that information systems, system components, or devices (e.g., notebook
+ computers, mobile devices) will be located in high-risk areas, additional security
+ controls may be implemented to counter the greater threat in such areas coupled with
+ the lack of physical security relative to organizational-controlled areas. For example,
+ organizational policies and procedures for notebook computers used by individuals
+ departing on and returning from travel include, for example, determining which locations
+ are of concern, defining required configurations for the devices, ensuring that the
+ devices are configured as intended before travel is initiated, and applying specific
+ safeguards to the device after travel is completed. Specially configured notebook
+ computers include, for example, computers with sanitized hard drives, limited applications,
+ and additional hardening (e.g., more stringent configuration settings). Specified
+ safeguards applied to mobile devices upon return from travel include, for example,
+ examining the device for signs of physical tampering and purging/reimaging the hard
+ disk drive. Protecting information residing on mobile devices is covered in the media
+ protection family.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines information systems, system components, or devices to be issued to individuals
+ traveling to locations that the organization deems to be of significant risk;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines configurations to be employed on organization-defined information systems,
+ system components, or devices issued to individuals traveling to such locations;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
issues organization-defined information systems, system components, or devices with
+ organization-defined configurations to individuals traveling to locations that the
+ organization deems to be of significant risk;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines security safeguards to be applied to the devices when the individuals return;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
applies organization-defined safeguards to the devices when the individuals return.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
configuration management plan
+
+
+
procedures addressing the baseline configuration of the information system
+
+
+
procedures addressing information system component installations and upgrades
+
+
+
information system architecture and configuration documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
records of information system baseline configuration reviews and updates
+
+
+
information system component installations/upgrades and associated records
+
+
+
change control records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with configuration management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for managing baseline configurations
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-128
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW CM-2
+
+
MOD CM-2 (1) (3) (7)
+
+
HIGH CM-2 (1) (2) (3) (7)
+
+
+
+
+
+
+
+
CM-3 CONFIGURATION CHANGE CONTROL
+
+
+
+
+
+
Parameter: cm-3_a organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
Parameter: cm-3_b organization-defined configuration change control element (e.g., committee, board)
+
+
+
Default: organization-defined configuration change control element (e.g., committee, board)
+
+
+
+
+
+
+
Parameter: cm-3_c organization-defined frequency
+
Determines the types of changes to the information system that are configuration-controlled;
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews proposed configuration-controlled changes to the information system and approves
+ or disapproves such changes with explicit consideration for security impact analyses;
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Documents configuration change decisions associated with the information system;
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Implements approved configuration-controlled changes to the information system;
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Retains records of configuration-controlled changes to the information system for
+ cm-3_a organization-defined time period [organization-defined time period];
+
+
+
+
+
+
+
+
+
+
+
+
f.
+
+
+
+
+
Audits and reviews activities associated with configuration-controlled changes to
+ the information system; and
+
+
+
+
+
+
+
+
+
+
+
+
g.
+
+
+
+
+
Coordinates and provides oversight for configuration change control activities through
+ cm-3_b organization-defined configuration change control element (e.g., committee, board) [organization-defined configuration change control element (e.g., committee, board)] that convenes [Selection (one or more): cm-3_c organization-defined frequency [organization-defined frequency]; cm-3_d organization-defined configuration change conditions [organization-defined configuration change conditions]].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Configuration change controls for organizational information systems involve the systematic
+ proposal, justification, implementation, testing, review, and disposition of changes
+ to the systems, including system upgrades and modifications. Configuration change
+ control includes changes to baseline configurations for components and configuration
+ items of information systems, changes to configuration settings for information technology
+ products (e.g., operating systems, applications, firewalls, routers, and mobile devices),
+ unscheduled/unauthorized changes, and changes to remediate vulnerabilities. Typical
+ processes for managing configuration changes to information systems include, for example,
+ Configuration Control Boards that approve proposed changes to systems. For new development
+ information systems or systems undergoing major upgrades, organizations consider including
+ representatives from development organizations on the Configuration Control Boards.
+ Auditing of changes includes activities before and after changes are made to organizational
+ information systems and the auditing activities required to implement such changes.
+
determines the type of changes to the information system that must be configuration-controlled;
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
reviews proposed configuration-controlled changes to the information system and approves
+ or disapproves such changes with explicit consideration for security impact analyses;
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
documents configuration change decisions associated with the information system;
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
implements approved configuration-controlled changes to the information system;
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines a time period to retain records of configuration-controlled changes to the
+ information system;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
retains records of configuration-controlled changes to the information system for
+ the organization-defined time period;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(f)
+
+
+
+
+
audits and reviews activities associated with configuration-controlled changes to
+ the information system;
+
+
+
+
+
+
+
+
+
+
+
+
(g)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines a configuration change control element (e.g., committee, board) responsible
+ for coordinating and providing oversight for configuration change control activities;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the frequency with which the configuration change control element must convene;
+ and/or
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines configuration change conditions that prompt the configuration change control
+ element to convene; and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
coordinates and provides oversight for configuration change control activities through
+ organization-defined configuration change control element that convenes at organization-defined
+ frequency and/or for any organization-defined configuration change conditions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing information system configuration change control
+
+
+
configuration management plan
+
+
+
information system architecture and configuration documentation
+
+
+
security plan
+
+
+
change control records
+
+
+
information system audit records
+
+
+
change control audit and review reports
+
+
+
agenda /minutes from configuration change control oversight meetings
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with configuration change control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
members of change control board or similar
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for configuration change control
+
+
+
automated mechanisms that implement configuration change control
+
Document proposed changes to the information system;
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Notify cm-3_e organized-defined approval authorities [organized-defined approval authorities] of proposed changes to the information system and request change approval;
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
Highlight proposed changes to the information system that have not been approved or
+ disapproved by cm-3_f organization-defined time period [organization-defined time period];
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
Prohibit changes to the information system until designated approvals are received;
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
Document all changes to the information system; and
+
+
+
+
+
+
+
+
+
+
+
(f)
+
+
+
+
+
Notify cm-3_g organization-defined personnel [organization-defined personnel] when approved changes to the information system are completed.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
employs automated mechanisms to document proposed changes to the information system;
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines approval authorities to be notified of proposed changes to the information
+ system and request change approval;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs automated mechanisms to notify organization-defined approval authorities of
+ proposed changes to the information system and request change approval;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the time period within which proposed changes to the information system that
+ have not been approved or disapproved must be highlighted;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs automated mechanisms to highlight proposed changes to the information system
+ that have not been approved or disapproved by organization-defined time period;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
employs automated mechanisms to prohibit changes to the information system until designated
+ approvals are received;
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
employs automated mechanisms to document all changes to the information system;
+
+
+
+
+
+
+
+
+
+
+
(f)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel to be notified when approved changes to the information system are
+ completed; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs automated mechanisms to notify organization-defined personnel when approved
+ changes to the information system are completed.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing information system configuration change control
+
+
+
configuration management plan
+
+
+
information system design documentation
+
+
+
information system architecture and configuration documentation
+
+
+
automated configuration control mechanisms
+
+
+
information system configuration settings and associated documentation
+
+
+
change control records
+
+
+
information system audit records
+
+
+
change approval requests
+
+
+
change approvals
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with configuration change control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for configuration change control
+
+
+
automated mechanisms implementing configuration change control activities
+
+
+
+
+
+
+
CM-3 (2) TEST / VALIDATE / DOCUMENT CHANGES
+
+
+
+
+
+
+
Control
+
+
+
The organization tests, validates, and documents changes to the information system
+ before implementing the changes on the operational system.
+
+
+
+
+
Supplemental guidance
+
+
+
Changes to information systems include modifications to hardware, software, or firmware
+ components and configuration settings defined in CM-6. Organizations ensure that testing
+ does not interfere with information system operations. Individuals/groups conducting
+ tests understand organizational security policies and procedures, information system
+ security policies and procedures, and the specific health, safety, and environmental
+ risks associated with particular facilities/processes. Operational systems may need
+ to be taken off-line, or replicated to the extent feasible, before testing can be
+ conducted. If information systems must be taken off-line for testing, the tests are
+ scheduled to occur during planned system outages whenever possible. If testing cannot
+ be conducted on operational systems, organizations employ compensating controls (e.g.,
+ testing on replicated systems).
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization, before implementing changes on the operational system:
+
+
+
+
+
+
[1]
+
+
+
+
+
tests changes to the information system;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
validates changes to the information system; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
documents changes to the information system.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
configuration management plan
+
+
+
procedures addressing information system configuration change control
+
+
+
information system design documentation
+
+
+
information system architecture and configuration documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
test records
+
+
+
validation records
+
+
+
change control records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with configuration change control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for configuration change control
+
+
+
automated mechanisms supporting and/or implementing testing, validating, and documenting
+ information system changes
+
+
+
+
+
+
+
CM-3 (3) AUTOMATED CHANGE IMPLEMENTATION
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to implement changes to the current
+ information system baseline and deploys the updated baseline across the installed
+ base.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
employs automated mechanisms to implement changes to the current information system
+ baseline; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
deploys the updated baseline across the installed base.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
configuration management plan
+
+
+
procedures addressing information system configuration change control
+
+
+
information system design documentation
+
+
+
information system architecture and configuration documentation
+
+
+
automated configuration control mechanisms
+
+
+
change control records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with configuration change control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for configuration change control
+
+
+
automated mechanisms implementing changes to current information system baseline
+
+
+
+
+
+
+
CM-3 (4) SECURITY REPRESENTATIVE
+
+
+
+
+
+
Parameter: cm-3_h organization-defined configuration change control element
+
+
+
Default: organization-defined configuration change control element
+
+
+
+
+
+
Control
+
+
+
The organization requires an information security representative to be a member of
+ the cm-3_h organization-defined configuration change control element [organization-defined configuration change control element].
+
+
+
+
+
Supplemental guidance
+
+
+
Information security representatives can include, for example, senior agency information
+ security officers, information system security officers, or information system security
+ managers. Representation by personnel with information security expertise is important
+ because changes to information system configurations can have unintended side effects,
+ some of which may be security-relevant. Detecting such changes early in the process
+ can help avoid unintended, negative consequences that could ultimately affect the
+ security state of organizational information systems. The configuration change control
+ element in this control enhancement reflects the change control elements defined by
+ organizations in CM-3.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
specifies the configuration change control elements (as defined in CM-3g) of which
+ an information security representative is to be a member; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires an information security representative to be a member of the specified configuration
+ control element.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing information system configuration change control
+
+
+
configuration management plan
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with configuration change control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for configuration change control
+
The information system implements cm-3_i organization-defined security responses [organization-defined security responses] automatically if baseline configurations are changed in an unauthorized manner.
+
+
+
+
+
Supplemental guidance
+
+
+
Security responses include, for example, halting information system processing, halting
+ selected system functions, or issuing alerts/notifications to organizational personnel
+ when there is an unauthorized modification of a configuration item.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines security responses to be implemented automatically if baseline
+ configurations are changed in an unauthorized manner; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system implements organization-defined security responses automatically
+ if baseline configurations are changed in an unauthorized manner.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing information system configuration change control
+
+
+
configuration management plan
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system architecture and configuration documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
alerts/notifications of unauthorized baseline configuration changes
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with configuration change control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for configuration change control
+
+
+
automated mechanisms implementing security responses to changes to the baseline configurations
+
The organization ensures that cryptographic mechanisms used to provide cm-3_j organization-defined security safeguards [organization-defined security safeguards] are under configuration management.
+
+
+
+
+
Supplemental guidance
+
+
+
Regardless of the cryptographic means employed (e.g., public key, private key, shared
+ secrets), organizations ensure that there are processes and procedures in place to
+ effectively manage those means. For example, if devices use certificates as a basis
+ for identification and authentication, there needs to be a process in place to address
+ the expiration of those certificates.
+
The organization analyzes changes to the information system to determine potential
+ security impacts prior to change implementation.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizational personnel with information security responsibilities (e.g., Information
+ System Administrators, Information System Security Officers, Information System Security
+ Managers, and Information System Security Engineers) conduct security impact analyses.
+ Individuals conducting security impact analyses possess the necessary skills/technical
+ expertise to analyze the changes to information systems and the associated security
+ ramifications. Security impact analysis may include, for example, reviewing security
+ plans to understand security control requirements and reviewing system design documentation
+ to understand control implementation and how specific changes might affect the controls.
+ Security impact analyses may also include assessments of risk to better understand
+ the impact of the changes and to determine if additional security controls are required.
+ Security impact analyses are scaled in accordance with the security categories of
+ the information systems.
+
Determine if the organization analyzes changes to the information system to determine
+ potential security impacts prior to change implementation.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing security impact analysis for changes to the information system
+
+
+
configuration management plan
+
+
+
security impact analysis documentation
+
+
+
analysis tools and associated outputs
+
+
+
change control records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for conducting security impact analysis
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for security impact analysis
+
+
+
+
+
+
+
Control enhancements
+
+
CM-4 (1) SEPARATE TEST ENVIRONMENTS
+
+
+
+
+
+
Control
+
+
+
The organization analyzes changes to the information system in a separate test environment
+ before implementation in an operational environment, looking for security impacts
+ due to flaws, weaknesses, incompatibility, or intentional malice.
+
+
+
+
+
Supplemental guidance
+
+
+
Separate test environment in this context means an environment that is physically
+ or logically isolated and distinct from the operational environment. The separation
+ is sufficient to ensure that activities in the test environment do not impact activities
+ in the operational environment, and information in the operational environment is
+ not inadvertently transmitted to the test environment. Separate environments can be
+ achieved by physical or logical means. If physically separate test environments are
+ not used, organizations determine the strength of mechanism required when implementing
+ logical separation (e.g., separation achieved through virtual machines).
+
The organization, after the information system is changed, checks the security functions
+ to verify that the functions are implemented correctly, operating as intended, and
+ producing the desired outcome with regard to meeting the security requirements for
+ the system.
+
+
+
+
+
Supplemental guidance
+
+
+
Implementation is this context refers to installing changed code in the operational
+ information system.
+
Determine if the organization, after the information system is changed, checks the
+ security functions to verify that the functions are:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
implemented correctly;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
operating as intended; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
producing the desired outcome with regard to meeting the security requirements for
+ the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing security impact analysis for changes to the information system
+
+
+
configuration management plan
+
+
+
security impact analysis documentation
+
+
+
analysis tools and associated outputs
+
+
+
change control records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for conducting security impact analysis
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for security impact analysis
+
+
+
automated mechanisms supporting and/or implementing verification of security functions
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-128
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW CM-4
+
+
MOD CM-4
+
+
HIGH CM-4 (1)
+
+
+
+
+
+
+
+
CM-5 ACCESS RESTRICTIONS FOR CHANGE
+
+
+
+
+
+
+
+
Control
+
+
+
The organization defines, documents, approves, and enforces physical and logical access
+ restrictions associated with changes to the information system.
+
+
+
+
+
Supplemental guidance
+
+
+
Any changes to the hardware, software, and/or firmware components of information systems
+ can potentially have significant effects on the overall security of the systems. Therefore,
+ organizations permit only qualified and authorized individuals to access information
+ systems for purposes of initiating changes, including upgrades and modifications.
+ Organizations maintain records of access to ensure that configuration change control
+ is implemented and to support after-the-fact actions should organizations discover
+ any unauthorized changes. Access restrictions for change also include software libraries.
+ Access restrictions include, for example, physical and logical access controls (see
+ AC-3 and PE-3), workflow automation, media libraries, abstract layers (e.g., changes
+ implemented into third-party interfaces rather than directly into information systems),
+ and change windows (e.g., changes occur only during specified times, making unauthorized
+ changes easy to discover).
+
The organization reviews information system changes cm-5_a organization-defined frequency [organization-defined frequency] and cm-5_b organization-defined circumstances [organization-defined circumstances] to determine whether unauthorized changes have occurred.
+
+
+
+
+
Supplemental guidance
+
+
+
Indications that warrant review of information system changes and the specific circumstances
+ justifying such reviews may be obtained from activities carried out by organizations
+ during the configuration change process.
+
Determine if the organization, in an effort to ascertain whether unauthorized changes
+ have occurred:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review information system changes;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines circumstances that warrant review of information system changes;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
reviews information system changes with the organization-defined frequency; and
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
reviews information system changes with the organization-defined circumstances.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing access restrictions for changes to the information system
+
+
+
configuration management plan
+
+
+
security plan
+
+
+
reviews of information system changes
+
+
+
audit and review reports
+
+
+
change control records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for managing access restrictions to change
+
+
+
automated mechanisms supporting/implementing information system reviews to determine
+ whether unauthorized changes have occurred
+
+
+
+
+
+
+
CM-5 (3) SIGNED COMPONENTS
+
+
+
+
+
+
Parameter: cm-5_c organization-defined software and firmware components
+
+
+
Default: organization-defined software and firmware components
+
+
+
+
+
+
+
Control
+
+
+
The information system prevents the installation of cm-5_c organization-defined software and firmware components [organization-defined software and firmware components] without verification that the component has been digitally signed using a certificate
+ that is recognized and approved by the organization.
+
+
+
+
+
Supplemental guidance
+
+
+
Software and firmware components prevented from installation unless signed with recognized
+ and approved certificates include, for example, software and firmware version updates,
+ patches, service packs, device drivers, and basic input output system (BIOS) updates.
+ Organizations can identify applicable software and firmware components by type, by
+ specific items, or a combination of both. Digital signatures and organizational verification
+ of such signatures, is a method of code authentication.
+
the organization defines software and firmware components that the information system
+ will prevent from being installed without verification that such components have been
+ digitally signed using a certificate that is recognized and approved by the organization;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system prevents the installation of organization-defined software
+ and firmware components without verification that such components have been digitally
+ signed using a certificate that is recognized and approved by the organization.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing access restrictions for changes to the information system
+
+
+
configuration management plan
+
+
+
security plan
+
+
+
list of software and firmware components to be prohibited from installation without
+ a recognized and approved certificate
+
+
+
information system design documentation
+
+
+
information system architecture and configuration documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
change control records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for managing access restrictions to change
+
+
+
automated mechanisms preventing installation of software and firmware components not
+ signed with an organization-recognized and approved certificate
+
+
+
+
+
+
+
CM-5 (4) DUAL AUTHORIZATION
+
+
+
+
+
+
Parameter: cm-5_d organization-defined information system components and system-level information
+
+
+
Default: organization-defined information system components and system-level information
+
+
+
+
+
+
Control
+
+
+
The organization enforces dual authorization for implementing changes to cm-5_d organization-defined information system components and system-level information [organization-defined information system components and system-level information].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations employ dual authorization to ensure that any changes to selected information
+ system components and information cannot occur unless two qualified individuals implement
+ such changes. The two individuals possess sufficient skills/expertise to determine
+ if the proposed changes are correct implementations of approved changes. Dual authorization
+ may also be known as two-person control.
+
CM-5 (5) LIMIT PRODUCTION / OPERATIONAL PRIVILEGES
+
+
+
+
+
+
Parameter: cm-5_e organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Limits privileges to change information system components and system-related information
+ within a production or operational environment; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Reviews and reevaluates privileges cm-5_e organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
In many organizations, information systems support multiple core missions/business
+ functions. Limiting privileges to change information system components with respect
+ to operational systems is necessary because changes to a particular information system
+ component may have far-reaching effects on mission/business processes supported by
+ the system where the component resides. The complex, many-to-many relationships between
+ systems and mission/business processes are in some cases, unknown to developers.
+
Establishes and documents configuration settings for information technology products
+ employed within the information system using cm-6_a organization-defined security configuration checklists [organization-defined security configuration checklists] that reflect the most restrictive mode consistent with operational requirements;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Implements the configuration settings;
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Identifies, documents, and approves any deviations from established configuration
+ settings for cm-6_b organization-defined information system components [organization-defined information system components] based on cm-6_c organization-defined operational requirements [organization-defined operational requirements]; and
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Monitors and controls changes to the configuration settings in accordance with organizational
+ policies and procedures.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Configuration settings are the set of parameters that can be changed in hardware,
+ software, or firmware components of the information system that affect the security
+ posture and/or functionality of the system. Information technology products for which
+ security-related configuration settings can be defined include, for example, mainframe
+ computers, servers (e.g., database, electronic mail, authentication, web, proxy, file,
+ domain name), workstations, input/output devices (e.g., scanners, copiers, and printers),
+ network components (e.g., firewalls, routers, gateways, voice and data switches, wireless
+ access points, network appliances, sensors), operating systems, middleware, and applications.
+ Security-related parameters are those parameters impacting the security state of information
+ systems including the parameters required to satisfy other security control requirements.
+ Security-related parameters include, for example: (i) registry settings; (ii) account,
+ file, directory permission settings; and (iii) settings for functions, ports, protocols,
+ services, and remote connections. Organizations establish organization-wide configuration
+ settings and subsequently derive specific settings for information systems. The established
+ settings become part of the systems configuration baseline.
+ Common secure configurations (also referred to as security configuration checklists,
+ lockdown and hardening guides, security reference guides, security technical implementation
+ guides) provide recognized, standardized, and established benchmarks that stipulate
+ secure configuration settings for specific information technology platforms/products
+ and instructions for configuring those information system components to meet operational
+ requirements. Common secure configurations can be developed by a variety of organizations
+ including, for example, information technology product developers, manufacturers,
+ vendors, consortia, academia, industry, federal agencies, and other organizations
+ in the public and private sectors. Common secure configurations include the United
+ States Government Configuration Baseline (USGCB) which affects the implementation
+ of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation
+ Protocol (SCAP) and the defined standards within the protocol (e.g., Common Configuration
+ Enumeration) provide an effective method to uniquely identify, track, and control
+ configuration settings. OMB establishes federal policy on configuration requirements
+ for federal information systems.
+
defines security configuration checklists to be used to establish and document configuration
+ settings for the information technology products employed;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
ensures the defined security configuration checklists reflect the most restrictive
+ mode consistent with operational requirements;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
establishes and documents configuration settings for information technology products
+ employed within the information system using organization-defined security configuration
+ checklists;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
implements the configuration settings established/documented in CM-6(a);;
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines information system components for which any deviations from established configuration
+ settings must be:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
identified;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
documented;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
approved;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines operational requirements to support:
+
+
+
+
+
+
[a]
+
+
+
+
+
the identification of any deviations from established configuration settings;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
the documentation of any deviations from established configuration settings;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
the approval of any deviations from established configuration settings;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
identifies any deviations from established configuration settings for organization-defined
+ information system components based on organizational-defined operational requirements;
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
documents any deviations from established configuration settings for organization-defined
+ information system components based on organizational-defined operational requirements;
+
+
+
+
+
+
+
+
+
+
+
+
[5]
+
+
+
+
+
approves any deviations from established configuration settings for organization-defined
+ information system components based on organizational-defined operational requirements;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
monitors changes to the configuration settings in accordance with organizational policies
+ and procedures; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
controls changes to the configuration settings in accordance with organizational policies
+ and procedures.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing configuration settings for the information system
+
+
+
configuration management plan
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
security configuration checklists
+
+
+
evidence supporting approved deviations from established configuration settings
+
+
+
change control records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security configuration management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for managing configuration settings
+
+
+
automated mechanisms that implement, monitor, and/or control information system configuration
+ settings
+
+
+
automated mechanisms that identify and/or document deviations from established configuration
+ settings
+
+
+
+
+
+
+
Control enhancements
+
+
CM-6 (1) AUTOMATED CENTRAL MANAGEMENT / APPLICATION / VERIFICATION
+
+
+
+
+
+
Parameter: cm-6_d organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to centrally manage, apply, and verify
+ configuration settings for cm-6_d organization-defined information system components [organization-defined information system components].
+
The organization employs cm-6_e organization-defined security safeguards [organization-defined security safeguards] to respond to unauthorized changes to cm-6_f organization-defined configuration settings [organization-defined configuration settings].
+
+
+
+
+
Supplemental guidance
+
+
+
Responses to unauthorized changes to configuration settings can include, for example,
+ alerting designated organizational personnel, restoring established configuration
+ settings, or in extreme cases, halting affected information system processing.
+
defines configuration settings that, if modified by unauthorized changes, result in
+ organizational security safeguards being employed to respond to such changes;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines security safeguards to be employed to respond to unauthorized changes to organization-defined
+ configuration settings; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
employs organization-defined security safeguards to respond to unauthorized changes
+ to organization-defined configuration settings.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing configuration settings for the information system
+
+
+
configuration management plan
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
alerts/notifications of unauthorized changes to information system configuration settings
+
+
+
documented responses to unauthorized changes to information system configuration settings
+
+
+
change control records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security configuration management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational process for responding to unauthorized changes to information system
+ configuration settings
+
+
+
automated mechanisms supporting and/or implementing security safeguards for response
+ to unauthorized changes
+
Configures the information system to provide only essential capabilities; and
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Prohibits or restricts the use of the following functions, ports, protocols, and/or
+ services: cm-7_a organization-defined prohibited or restricted functions, ports, protocols, and/or
+ services [organization-defined prohibited or restricted functions, ports, protocols, and/or
+ services].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Information systems can provide a wide variety of functions and services. Some of
+ the functions and services, provided by default, may not be necessary to support essential
+ organizational operations (e.g., key missions, functions). Additionally, it is sometimes
+ convenient to provide multiple services from single information system components,
+ but doing so increases risk over limiting the services provided by any one component.
+ Where feasible, organizations limit component functionality to a single function per
+ device (e.g., email servers or web servers, but not both). Organizations review functions
+ and services provided by information systems or individual components of information
+ systems, to determine which functions and services are candidates for elimination
+ (e.g., Voice Over Internet Protocol, Instant Messaging, auto-execute, and file sharing).
+ Organizations consider disabling unused or unnecessary physical and logical ports/protocols
+ (e.g., Universal Serial Bus, File Transfer Protocol, and Hyper Text Transfer Protocol)
+ on information systems to prevent unauthorized connection of devices, unauthorized
+ transfer of information, or unauthorized tunneling. Organizations can utilize network
+ scanning tools, intrusion detection and prevention systems, and end-point protections
+ such as firewalls and host-based intrusion detection systems to identify and prevent
+ the use of prohibited functions, ports, protocols, and services.
+
automated mechanisms implementing restrictions or prohibition of functions, ports,
+ protocols, and/or services
+
+
+
+
+
+
+
Control enhancements
+
+
CM-7 (1) PERIODIC REVIEW
+
+
+
+
+
+
Parameter: cm-7_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: cm-7_c organization-defined functions, ports, protocols, and services within the information
+ system deemed to be unnecessary and/or nonsecure
+
+
+
Default: organization-defined functions, ports, protocols, and services within the information
+ system deemed to be unnecessary and/or nonsecure
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Reviews the information system cm-7_b organization-defined frequency [organization-defined frequency] to identify unnecessary and/or nonsecure functions, ports, protocols, and services;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Disables cm-7_c organization-defined functions, ports, protocols, and services within the information
+ system deemed to be unnecessary and/or nonsecure [organization-defined functions, ports, protocols, and services within the information
+ system deemed to be unnecessary and/or nonsecure].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
The organization can either make a determination of the relative security of the function,
+ port, protocol, and/or service or base the security decision on the assessment of
+ other entities. Bluetooth, FTP, and peer-to-peer networking are examples of less than
+ secure protocols.
+
automated mechanisms implementing review and disabling of nonsecure functions, ports,
+ protocols, and/or services
+
+
+
+
+
+
+
CM-7 (2) PREVENT PROGRAM EXECUTION
+
+
+
+
+
+
Parameter: cm-7_d organization-defined policies regarding software program usage and restrictions
+
+
+
Default: organization-defined policies regarding software program usage and restrictions
+
+
+
+
+
+
+
+
Control
+
+
+
The information system prevents program execution in accordance with [Selection (one
+ or more): cm-7_d organization-defined policies regarding software program usage and restrictions [organization-defined policies regarding software program usage and restrictions]; rules authorizing the terms and conditions of software program usage].
+
the organization defines policies regarding software program usage and restrictions;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system prevents program execution in accordance with one or more of
+ the following:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
organization-defined policies regarding program usage and restrictions; and/or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
rules authorizing the terms and conditions of software program usage.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing least functionality in the information system
+
+
+
configuration management plan
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
specifications for preventing software program execution
+
+
+
information system configuration settings and associated documentation
+
+
+
change control records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes preventing program execution on the information system
+
+
+
organizational processes for software program usage and restrictions
+
+
+
automated mechanisms preventing program execution on the information system
+
+
+
automated mechanisms supporting and/or implementing software program usage and restrictions
+
+
+
+
+
+
+
CM-7 (3) REGISTRATION COMPLIANCE
+
+
+
+
+
+
Parameter: cm-7_e organization-defined registration requirements for functions, ports, protocols, and
+ services
+
+
+
Default: organization-defined registration requirements for functions, ports, protocols, and
+ services
+
+
+
+
+
+
Control
+
+
+
The organization ensures compliance with cm-7_e organization-defined registration requirements for functions, ports, protocols, and
+ services [organization-defined registration requirements for functions, ports, protocols, and
+ services].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations use the registration process to manage, track, and provide oversight
+ for information systems and implemented functions, ports, protocols, and services.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines registration requirements for:
+
+
+
+
+
+
[a]
+
+
+
+
+
functions;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
ports;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
protocols; and/or
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
services;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
ensures compliance with organization-defined registration requirements for:
+
+
+
+
+
+
[a]
+
+
+
+
+
functions;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
ports;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
protocols; and/or
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
services.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing least functionality in the information system
+
+
+
configuration management plan
+
+
+
security plan
+
+
+
information system configuration settings and associated documentation
+
+
+
audit and compliance reviews
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes ensuring compliance with registration requirements for functions,
+ ports, protocols, and/or services
+
+
+
automated mechanisms implementing compliance with registration requirements for functions,
+ ports, protocols, and/or services
+
+
+
+
+
+
+
CM-7 (4) UNAUTHORIZED SOFTWARE / BLACKLISTING
+
+
+
+
+
+
Parameter: cm-7_f organization-defined software programs not authorized to execute on the information
+ system
+
+
+
Default: organization-defined software programs not authorized to execute on the information
+ system
+
+
+
+
+
+
+
Parameter: cm-7_g organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Identifies cm-7_f organization-defined software programs not authorized to execute on the information
+ system [organization-defined software programs not authorized to execute on the information
+ system];
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Employs an allow-all, deny-by-exception policy to prohibit the execution of unauthorized
+ software programs on the information system; and
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
Reviews and updates the list of unauthorized software programs cm-7_g organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
The process used to identify software programs that are not authorized to execute
+ on organizational information systems is commonly referred to as blacklisting. Organizations
+ can implement CM-7 (5) instead of this control enhancement if whitelisting (the stronger
+ of the two policies) is the preferred approach for restricting software program execution.
+
Parameter: cm-7_h organization-defined software programs authorized to execute on the information system
+
+
+
Default: organization-defined software programs authorized to execute on the information system
+
+
+
+
+
+
+
Parameter: cm-7_i organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Identifies cm-7_h organization-defined software programs authorized to execute on the information system [organization-defined software programs authorized to execute on the information system];
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Employs a deny-all, permit-by-exception policy to allow the execution of authorized
+ software programs on the information system; and
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
Reviews and updates the list of authorized software programs cm-7_i organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
The process used to identify software programs that are authorized to execute on organizational
+ information systems is commonly referred to as whitelisting. In addition to whitelisting,
+ organizations consider verifying the integrity of white-listed software programs using,
+ for example, cryptographic checksums, digital signatures, or hash functions. Verification
+ of white-listed software can occur either prior to execution or at system startup.
+
Identifies/defines software programs authorized to execute on the information system;
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
employs a deny-all, permit-by-exception policy to allow the execution of authorized
+ software programs on the information system;
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the list of authorized software programs
+ on the information system; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the list of authorized software programs with the organization-defined
+ frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing least functionality in the information system
+
+
+
configuration management plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of software programs authorized to execute on the information system
+
+
+
security configuration checklists
+
+
+
review and update records associated with list of authorized software programs
+
+
+
change control records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for identifying software authorized
+ to execute on the information system
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational process for identifying, reviewing, and updating programs authorized
+ to execute on the information system
+
+
+
organizational process for implementing whitelisting
+
+
+
automated mechanisms implementing whitelisting
+
+
+
+
+
+
+
+
References
+
+
+
+
DoD Instruction 8551.01
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW CM-7
+
+
MOD CM-7 (1) (2) (4)
+
+
HIGH CM-7 (1) (2) (5)
+
+
+
+
+
+
+
+
CM-8 INFORMATION SYSTEM COMPONENT INVENTORY
+
+
+
+
+
+
Parameter: cm-8_a organization-defined information deemed necessary to achieve effective information
+ system component accountability
+
+
+
Default: organization-defined information deemed necessary to achieve effective information
+ system component accountability
+
+
+
+
+
+
+
Parameter: cm-8_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops and documents an inventory of information system components that:
+
+
+
+
+
+
1.
+
+
+
+
+
Accurately reflects the current information system;
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Includes all components within the authorization boundary of the information system;
+
+
+
+
+
+
+
+
+
+
+
3.
+
+
+
+
+
Is at the level of granularity deemed necessary for tracking and reporting; and
+
+
+
+
+
+
+
+
+
+
+
4.
+
+
+
+
+
Includes cm-8_a organization-defined information deemed necessary to achieve effective information
+ system component accountability [organization-defined information deemed necessary to achieve effective information
+ system component accountability]; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the information system component inventory cm-8_b organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations may choose to implement centralized information system component inventories
+ that include components from all organizational information systems. In such situations,
+ organizations ensure that the resulting inventories include system-specific information
+ required for proper component accountability (e.g., information system association,
+ information system owner). Information deemed necessary for effective accountability
+ of information system components includes, for example, hardware inventory specifications,
+ software license information, software version numbers, component owners, and for
+ networked components or devices, machine names and network addresses. Inventory specifications
+ include, for example, manufacturer, device type, model, serial number, and physical
+ location.
+
develops and documents an inventory of information system components that accurately
+ reflects the current information system;
+
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
develops and documents an inventory of information system components that includes
+ all components within the authorization boundary of the information system;
+
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
develops and documents an inventory of information system components that is at the
+ level of granularity deemed necessary for tracking and reporting;
+
+
+
+
+
+
+
+
+
+
+
+
(4)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the information deemed necessary to achieve effective information system component
+ accountability;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
develops and documents an inventory of information system components that includes
+ organization-defined information deemed necessary to achieve effective information
+ system component accountability;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the information system component inventory;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the information system component inventory with the organization-defined
+ frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing information system component inventory
+
+
+
configuration management plan
+
+
+
security plan
+
+
+
information system inventory records
+
+
+
inventory reviews and update records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for information system component inventory
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for developing and documenting an inventory of information
+ system components
+
+
+
automated mechanisms supporting and/or implementing the information system component
+ inventory
+
+
+
+
+
+
+
Control enhancements
+
+
CM-8 (1) UPDATES DURING INSTALLATIONS / REMOVALS
+
+
+
+
+
+
+
Control
+
+
+
The organization updates the inventory of information system components as an integral
+ part of component installations, removals, and information system updates.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization updates the inventory of information system components
+ as an integral part of:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
component installations;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
component removals; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
information system updates.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing information system component inventory
+
+
+
configuration management plan
+
+
+
security plan
+
+
+
information system inventory records
+
+
+
inventory reviews and update records
+
+
+
component installation records
+
+
+
component removal records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for updating the information system
+ component inventory
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for updating inventory of information system components
+
+
+
automated mechanisms implementing updating of the information system component inventory
+
+
+
+
+
+
+
CM-8 (2) AUTOMATED MAINTENANCE
+
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to help maintain an up-to-date, complete,
+ accurate, and readily available inventory of information system components.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations maintain information system inventories to the extent feasible. Virtual
+ machines, for example, can be difficult to monitor because such machines are not visible
+ to the network when not in use. In such cases, organizations maintain as up-to-date,
+ complete, and accurate an inventory as is deemed reasonable. This control enhancement
+ can be satisfied by the implementation of CM-2 (2) for organizations that choose to
+ combine information system component inventory and baseline configuration activities.
+
Parameter: cm-8_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: cm-8_d organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Employs automated mechanisms cm-8_c organization-defined frequency [organization-defined frequency] to detect the presence of unauthorized hardware, software, and firmware components
+ within the information system; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Takes the following actions when unauthorized components are detected: [Selection
+ (one or more): disables network access by such components; isolates the components;
+ notifies cm-8_d organization-defined personnel or roles [organization-defined personnel or roles]].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement is applied in addition to the monitoring for unauthorized
+ remote connections and mobile devices. Monitoring for unauthorized system components
+ may be accomplished on an ongoing basis or by the periodic scanning of systems for
+ that purpose. Automated mechanisms can be implemented within information systems or
+ in other separate devices. Isolation can be achieved, for example, by placing unauthorized
+ information system components in separate domains or subnets or otherwise quarantining
+ such components. This type of component isolation is commonly referred to as sandboxing.
+
defines the frequency to employ automated mechanisms to detect the presence of unauthorized:
+
+
+
+
+
+
[a]
+
+
+
+
+
hardware components within the information system;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
software components within the information system;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
firmware components within the information system;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs automated mechanisms with the organization-defined frequency to detect the
+ presence of unauthorized:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
hardware components within the information system;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
software components within the information system;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
firmware components within the information system;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to be notified when unauthorized components are detected;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
takes one or more of the following actions when unauthorized components are detected:
+
+
+
+
+
+
[a]
+
+
+
+
+
disables network access by such components;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
isolates the components; and/or
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
notifies organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing information system component inventory
+
+
+
configuration management plan
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system inventory records
+
+
+
alerts/notifications of unauthorized components within the information system
+
+
+
information system monitoring records
+
+
+
change control records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for managing the automated mechanisms
+ implementing unauthorized information system component detection
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for detection of unauthorized information system components
+
+
+
automated mechanisms implementing the detection of unauthorized information system
+ components
+
+
+
+
+
+
+
CM-8 (4) ACCOUNTABILITY INFORMATION
+
+
+
+
+
+
Control
+
+
+
The organization includes in the information system component inventory information,
+ a means for identifying by [Selection (one or more): name; position; role], individuals
+ responsible/accountable for administering those components.
+
+
+
+
+
Supplemental guidance
+
+
+
Identifying individuals who are both responsible and accountable for administering
+ information system components helps to ensure that the assigned components are properly
+ administered and organizations can contact those individuals if some action is required
+ (e.g., component is determined to be the source of a breach/compromise, component
+ needs to be recalled/replaced, or component needs to be relocated).
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization includes in the information system component inventory
+ for information system components, a means for identifying the individuals responsible
+ and accountable for administering those components by one or more of the following:
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
name;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
position; and/or
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
role.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing information system component inventory
+
+
+
configuration management plan
+
+
+
security plan
+
+
+
information system inventory records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for managing the information system
+ component inventory
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for maintaining the inventory of information system components
+
+
+
automated mechanisms implementing the information system component inventory
+
+
+
+
+
+
+
CM-8 (5) NO DUPLICATE ACCOUNTING OF COMPONENTS
+
+
+
+
+
+
+
Control
+
+
+
The organization verifies that all components within the authorization boundary of
+ the information system are not duplicated in other information system component inventories.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement addresses the potential problem of duplicate accounting of
+ information system components in large or complex interconnected systems.
+
+
+
+
+
Objective
+
+
+
Determine if the organization verifies that all components within the authorization
+ boundary of the information system are not duplicated in other information system
+ inventories.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing information system component inventory
+
+
+
configuration management plan
+
+
+
security plan
+
+
+
information system inventory records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system inventory responsibilities
+
+
+
organizational personnel with responsibilities for defining information system components
+ within the authorization boundary of the system
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for maintaining the inventory of information system components
+
+
+
automated mechanisms implementing the information system component inventory
+
The organization includes assessed component configurations and any approved deviations
+ to current deployed configurations in the information system component inventory.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement focuses on configuration settings established by organizations
+ for information system components, the specific components that have been assessed
+ to determine compliance with the required configuration settings, and any approved
+ deviations from established configuration settings.
+
Determine if the organization includes in the information system component inventory:
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
assessed component configurations; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
any approved deviations to current deployed configurations.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing information system component inventory
+
+
+
configuration management plan
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system inventory records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with inventory management and assessment responsibilities
+ for information system components
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for maintaining the inventory of information system components
+
+
+
automated mechanisms implementing the information system component inventory
+
+
+
+
+
+
+
CM-8 (7) CENTRALIZED REPOSITORY
+
+
+
+
+
Control
+
+
+
The organization provides a centralized repository for the inventory of information
+ system components.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations may choose to implement centralized information system component inventories
+ that include components from all organizational information systems. Centralized repositories
+ of information system component inventories provide opportunities for efficiencies
+ in accounting for organizational hardware, software, and firmware assets. Such repositories
+ may also help organizations rapidly identify the location and responsible individuals
+ of system components that have been compromised, breached, or are otherwise in need
+ of mitigation actions. Organizations ensure that the resulting centralized inventories
+ include system-specific information required for proper component accountability (e.g.,
+ information system association, information system owner).
+
+
+
+
+
Objective
+
+
+
Determine if the organization provides a centralized repository for the inventory
+ of information system components.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing information system component inventory
+
+
+
configuration management plan
+
+
+
information system design documentation
+
+
+
information system inventory repository
+
+
+
information system inventory records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with inventory management responsibilities for information
+ system components
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing the information system component inventory in a
+ centralized repository
+
+
+
+
+
+
+
CM-8 (8) AUTOMATED LOCATION TRACKING
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to support tracking of information system
+ components by geographic location.
+
+
+
+
+
Supplemental guidance
+
+
+
The use of automated mechanisms to track the location of information system components
+ can increase the accuracy of component inventories. Such capability may also help
+ organizations rapidly identify the location and responsible individuals of system
+ components that have been compromised, breached, or are otherwise in need of mitigation
+ actions.
+
+
+
+
+
Objective
+
+
+
Determine if the organization employs automated mechanisms to support tracking of
+ information system components by geographic location.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing information system component inventory
+
+
+
configuration management plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system inventory records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with inventory management responsibilities for information
+ system components
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing the information system component inventory
+
+
+
automated mechanisms supporting tracking of information system components by geographic
+ location
+
+
+
+
+
+
+
CM-8 (9) ASSIGNMENT OF COMPONENTS TO SYSTEMS
+
+
+
+
+
+
Parameter: cm-8_e organization-defined acquired information system components
+
+
+
Default: organization-defined acquired information system components
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Assigns cm-8_e organization-defined acquired information system components [organization-defined acquired information system components] to an information system; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Receives an acknowledgement from the information system owner of this assignment.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations determine the criteria for or types of information system components
+ (e.g., microprocessors, motherboards, software, programmable logic controllers, and
+ network devices) that are subject to this control enhancement.
+
defines acquired information system components to be assigned to an information system;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
assigns organization-defined acquired information system components to an information
+ system; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
receives an acknowledgement from the information system owner of the assignment.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing information system component inventory
+
+
+
configuration management plan
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
acknowledgements of information system component assignments
+
+
+
information system inventory records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with inventory management responsibilities for information
+ system components
+
+
+
information system owner
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for assigning components to systems
+
+
+
organizational processes for acknowledging assignment of components to systems
+
+
+
automated mechanisms implementing assignment of acquired components to the information
+ system
+
+
+
automated mechanisms implementing acknowledgment of assignment of acquired components
+ to the information system
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-128
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW CM-8
+
+
MOD CM-8 (1) (3) (5)
+
+
HIGH CM-8 (1) (2) (3) (4) (5)
+
+
+
+
+
+
+
+
CM-9 CONFIGURATION MANAGEMENT PLAN
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization develops, documents, and implements a configuration management plan
+ for the information system that:
+
+
+
+
+
+
+
a.
+
+
+
+
+
Addresses roles, responsibilities, and configuration management processes and procedures;
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Establishes a process for identifying configuration items throughout the system development
+ life cycle and for managing the configuration of the configuration items;
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Defines the configuration items for the information system and places the configuration
+ items under configuration management; and
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Protects the configuration management plan from unauthorized disclosure and modification.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Configuration management plans satisfy the requirements in configuration management
+ policies while being tailored to individual information systems. Such plans define
+ detailed processes and procedures for how configuration management is used to support
+ system development life cycle activities at the information system level. Configuration
+ management plans are typically developed during the development/acquisition phase
+ of the system development life cycle. The plans describe how to move changes through
+ change management processes, how to update configuration settings and baselines, how
+ to maintain information system component inventories, how to control development,
+ test, and operational environments, and how to develop, release, and update key documents.
+ Organizations can employ templates to help ensure consistent and timely development
+ and implementation of configuration management plans. Such templates can represent
+ a master configuration management plan for the organization at large with subsets
+ of the plan implemented on a system by system basis. Configuration management approval
+ processes include designation of key management stakeholders responsible for reviewing
+ and approving proposed changes to information systems, and personnel that conduct
+ security impact analyses prior to the implementation of changes to the systems. Configuration
+ items are the information system items (hardware, software, firmware, and documentation)
+ to be configuration-managed. As information systems continue through the system development
+ life cycle, new configuration items may be identified and some existing configuration
+ items may no longer need to be under configuration control.
+
Organizational personnel with responsibilities for developing the configuration management
+ plan
+
+
+
organizational personnel with responsibilities for implementing and managing processes
+ defined in the configuration management plan
+
+
+
organizational personnel with responsibilities for protecting the configuration management
+ plan
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for developing and documenting the configuration management
+ plan
+
+
+
organizational processes for identifying and managing configuration items
+
+
+
organizational processes for protecting the configuration management plan
+
+
+
automated mechanisms implementing the configuration management plan
+
+
+
automated mechanisms for managing configuration items
+
+
+
automated mechanisms for protecting the configuration management plan
+
+
+
+
+
+
+
Control enhancements
+
+
CM-9 (1) ASSIGNMENT OF RESPONSIBILITY
+
+
+
+
+
Control
+
+
+
The organization assigns responsibility for developing the configuration management
+ process to organizational personnel that are not directly involved in information
+ system development.
+
+
+
+
+
Supplemental guidance
+
+
+
In the absence of dedicated configuration management teams assigned within organizations,
+ system developers may be tasked to develop configuration management processes using
+ personnel who are not directly involved in system development or integration. This
+ separation of duties ensures that organizations establish and maintain a sufficient
+ degree of independence between the information system development and integration
+ processes and configuration management processes to facilitate quality control and
+ more effective oversight.
+
+
+
+
+
Objective
+
+
+
Determine if the organization assigns responsibility for developing the configuration
+ management process to organizational personnel that are not directly involved in information
+ system development.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing responsibilities for configuration management process development
+
+
+
configuration management plan
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for configuration management process
+ development
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-128
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD CM-9
+
+
HIGH CM-9
+
+
+
+
+
+
+
+
CM-10 SOFTWARE USAGE RESTRICTIONS
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Uses software and associated documentation in accordance with contract agreements
+ and copyright laws;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Tracks the use of software and associated documentation protected by quantity licenses
+ to control copying and distribution; and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Controls and documents the use of peer-to-peer file sharing technology to ensure that
+ this capability is not used for the unauthorized distribution, display, performance,
+ or reproduction of copyrighted work.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Software license tracking can be accomplished by manual methods (e.g., simple spreadsheets)
+ or automated methods (e.g., specialized tracking applications) depending on organizational
+ needs.
+
uses software and associated documentation in accordance with contract agreements
+ and copyright laws;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
tracks the use of software and associated documentation protected by quantity licenses
+ to control copying and distribution; and
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
controls and documents the use of peer-to-peer file sharing technology to ensure that
+ this capability is not used for the unauthorized distribution, display, performance,
+ or reproduction of copyrighted work.
+
The organization establishes the following restrictions on the use of open source
+ software: cm-10_a organization-defined restrictions [organization-defined restrictions].
+
+
+
+
+
Supplemental guidance
+
+
+
Open source software refers to software that is available in source code form. Certain
+ software rights normally reserved for copyright holders are routinely provided under
+ software license agreements that permit individuals to study, change, and improve
+ the software. From a security perspective, the major advantage of open source software
+ is that it provides organizations with the ability to examine the source code. However,
+ there are also various licensing issues associated with open source software including,
+ for example, the constraints on derivative use of such software.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines restrictions on the use of open source software; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
establishes organization-defined restrictions on the use of open source software.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing restrictions on use of open source software
+
+
+
configuration management plan
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for establishing and enforcing restrictions
+ on use of open source software
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational process for restricting the use of open source software
+
+
+
automated mechanisms implementing restrictions on the use of open source software
+
Parameter: cm-11_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Establishes cm-11_a organization-defined policies [organization-defined policies] governing the installation of software by users;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Enforces software installation policies through cm-11_b organization-defined methods [organization-defined methods]; and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Monitors policy compliance at cm-11_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
If provided the necessary privileges, users have the ability to install software in
+ organizational information systems. To maintain control over the types of software
+ installed, organizations identify permitted and prohibited actions regarding software
+ installation. Permitted software installations may include, for example, updates and
+ security patches to existing software and downloading applications from organization-approved
+ �app stores.� Prohibited software installations may include, for example, software
+ with unknown or suspect pedigrees or software that organizations consider potentially
+ malicious. The policies organizations select governing user-installed software may
+ be organization-developed or provided by some external entity. Policy enforcement
+ methods include procedural methods (e.g., periodic examination of user accounts),
+ automated methods (e.g., configuration settings implemented on organizational information
+ systems), or both.
+
Parameter: cm-11_d organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
Control
+
+
+
The information system alerts cm-11_d organization-defined personnel or roles [organization-defined personnel or roles] when the unauthorized installation of software is detected.
+
Determine if the information system prohibits user installation of software without
+ explicit privileged status.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Configuration management policy
+
+
+
procedures addressing user installed software
+
+
+
configuration management plan
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
alerts/notifications of unauthorized software installations
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for governing user-installed software
+
+
+
organizational personnel operating, using, and/or maintaining the information system
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes governing user-installed software on the information system
+
+
+
automated mechanisms for prohibiting installation of software without privileged status
+ (e.g., access controls)
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW CM-11
+
+
MOD CM-11
+
+
HIGH CM-11
+
+
+
+
+
+
+
+
+
+
+
CONTINGENCY PLANNING
+
+
+
CP-1 CONTINGENCY PLANNING POLICY AND PROCEDURES
+
+
+
+
+
+
Parameter: cp-1_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: cp-1_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: cp-1_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops, documents, and disseminates to cp-1_a organization-defined personnel or roles [organization-defined personnel or roles]:
+
+
+
+
+
+
+
1.
+
+
+
+
+
A contingency planning policy that addresses purpose, scope, roles, responsibilities,
+ management commitment, coordination among organizational entities, and compliance;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Procedures to facilitate the implementation of the contingency planning policy and
+ associated contingency planning controls; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the current:
+
+
+
+
+
+
1.
+
+
+
+
+
Contingency planning policy cp-1_b organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Contingency planning procedures cp-1_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the establishment of policy and procedures for the effective
+ implementation of selected security controls and control enhancements in the CP family.
+ Policy and procedures reflect applicable federal laws, Executive Orders, directives,
+ regulations, policies, standards, and guidance. Security program policies and procedures
+ at the organization level may make the need for system-specific policies and procedures
+ unnecessary. The policy can be included as part of the general information security
+ policy for organizations or conversely, can be represented by multiple policies reflecting
+ the complex nature of certain organizations. The procedures can be established for
+ the security program in general and for particular information systems, if needed.
+ The organizational risk management strategy is a key factor in establishing policy
+ and procedures.
+
the organization develops and documents a contingency planning policy that addresses:
+
+
+
+
+
+
[a]
+
+
+
+
+
purpose;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
scope;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
roles;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
responsibilities;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
management commitment;
+
+
+
+
+
+
+
+
+
+
+
[f]
+
+
+
+
+
coordination among organizational entities;
+
+
+
+
+
+
+
+
+
+
+
[g]
+
+
+
+
+
compliance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines personnel or roles to whom the contingency planning policy
+ is to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the organization disseminates the contingency planning policy to organization-defined
+ personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(a)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization develops and documents procedures to facilitate the implementation
+ of the contingency planning policy and associated contingency planning controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines personnel or roles to whom the procedures are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the organization disseminates the procedures to organization-defined personnel or
+ roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines the frequency to review and update the current contingency
+ planning policy;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization reviews and updates the current contingency planning with the organization-defined
+ frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines the frequency to review and update the current contingency
+ planning procedures; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization reviews and updates the current contingency planning procedures with
+ the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy and procedures
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency planning responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
References
+
+
+
+
Federal Continuity Directive 1
+
+
+
+
+
+
NIST Special Publication 800-12
+
+
+
+
+
+
NIST Special Publication 800-34
+
+
+
+
+
+
NIST Special Publication 800-100
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW CP-1
+
+
MOD CP-1
+
+
HIGH CP-1
+
+
+
+
+
+
+
+
CP-2 CONTINGENCY PLAN
+
+
+
+
+
+
Parameter: cp-2_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: cp-2_b organization-defined key contingency personnel (identified by name and/or by role)
+ and organizational elements
+
+
+
Default: organization-defined key contingency personnel (identified by name and/or by role)
+ and organizational elements
+
+
+
+
+
+
+
Parameter: cp-2_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: cp-2_d organization-defined key contingency personnel (identified by name and/or by role)
+ and organizational elements
+
+
+
Default: organization-defined key contingency personnel (identified by name and/or by role)
+ and organizational elements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops a contingency plan for the information system that:
+
+
+
+
+
+
1.
+
+
+
+
+
Identifies essential missions and business functions and associated contingency requirements;
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Provides recovery objectives, restoration priorities, and metrics;
+
+
+
+
+
+
+
+
+
+
+
3.
+
+
+
+
+
Addresses contingency roles, responsibilities, assigned individuals with contact information;
+
+
+
+
+
+
+
+
+
+
+
4.
+
+
+
+
+
Addresses maintaining essential missions and business functions despite an information
+ system disruption, compromise, or failure;
+
+
+
+
+
+
+
+
+
+
+
+
5.
+
+
+
+
+
Addresses eventual, full information system restoration without deterioration of the
+ security safeguards originally planned and implemented; and
+
+
+
+
+
+
+
+
+
+
+
+
6.
+
+
+
+
+
Is reviewed and approved by cp-2_a organization-defined personnel or roles [organization-defined personnel or roles];
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Distributes copies of the contingency plan to cp-2_b organization-defined key contingency personnel (identified by name and/or by role)
+ and organizational elements [organization-defined key contingency personnel (identified by name and/or by role)
+ and organizational elements];
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Coordinates contingency planning activities with incident handling activities;
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Reviews the contingency plan for the information system cp-2_c organization-defined frequency [organization-defined frequency];
+
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Updates the contingency plan to address changes to the organization, information system,
+ or environment of operation and problems encountered during contingency plan implementation,
+ execution, or testing;
+
+
+
+
+
+
+
+
+
+
+
+
f.
+
+
+
+
+
Communicates contingency plan changes to cp-2_d organization-defined key contingency personnel (identified by name and/or by role)
+ and organizational elements [organization-defined key contingency personnel (identified by name and/or by role)
+ and organizational elements]; and
+
+
+
+
+
+
+
+
+
+
+
+
g.
+
+
+
+
+
Protects the contingency plan from unauthorized disclosure and modification.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Contingency planning for information systems is part of an overall organizational
+ program for achieving continuity of operations for mission/business functions. Contingency
+ planning addresses both information system restoration and implementation of alternative
+ mission/business processes when systems are compromised. The effectiveness of contingency
+ planning is maximized by considering such planning throughout the phases of the system
+ development life cycle. Performing contingency planning on hardware, software, and
+ firmware development can be an effective means of achieving information system resiliency.
+ Contingency plans reflect the degree of restoration required for organizational information
+ systems since not all systems may need to fully recover to achieve the level of continuity
+ of operations desired. Information system recovery objectives reflect applicable
+ laws, Executive Orders, directives, policies, standards, regulations, and guidelines.
+ In addition to information system availability, contingency plans also address other
+ security-related events resulting in a reduction in mission and/or business effectiveness,
+ such as malicious attacks compromising the confidentiality or integrity of information
+ systems. Actions addressed in contingency plans include, for example, orderly/graceful
+ degradation, information system shutdown, fallback to a manual mode, alternate information
+ flows, and operating in modes reserved for when systems are under attack. By closely
+ coordinating contingency planning with incident handling activities, organizations
+ can ensure that the necessary contingency planning activities are in place and activated
+ in the event of a security incident.
+
develops and documents a contingency plan for the information system that:
+
+
+
+
+
+
(1)
+
+
+
+
+
identifies essential missions and business functions and associated contingency requirements;
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
provides recovery objectives;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
provides restoration priorities;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
provides metrics;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
addresses contingency roles;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
addresses contingency responsibilities;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
addresses assigned individuals with contact information;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(4)
+
+
+
+
+
addresses maintaining essential missions and business functions despite an information
+ system disruption, compromise, or failure;
+
+
+
+
+
+
+
+
+
+
+
+
(5)
+
+
+
+
+
addresses eventual, full information system restoration without deterioration of the
+ security safeguards originally planned and implemented;
+
+
+
+
+
+
+
+
+
+
+
+
(6)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to review and approve the contingency plan for the information
+ system;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
is reviewed and approved by organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines key contingency personnel (identified by name and/or by role) and organizational
+ elements to whom copies of the contingency plan are to be distributed;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
distributes copies of the contingency plan to organization-defined key contingency
+ personnel and organizational elements;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
coordinates contingency planning activities with incident handling activities;
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines a frequency to review the contingency plan for the information system;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews the contingency plan with the organization-defined frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
updates the contingency plan to address:
+
+
+
+
+
+
[1]
+
+
+
+
+
changes to the organization, information system, or environment of operation;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
problems encountered during plan implementation, execution, and testing;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(f)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines key contingency personnel (identified by name and/or by role) and organizational
+ elements to whom contingency plan changes are to be communicated;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
communicates contingency plan changes to organization-defined key contingency personnel
+ and organizational elements; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(g)
+
+
+
+
+
protects the contingency plan from unauthorized disclosure and modification.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing contingency operations for the information system
+
+
+
contingency plan
+
+
+
security plan
+
+
+
evidence of contingency plan reviews and updates
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
+
+
organizational personnel with incident handling responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for contingency plan development, review, update, and protection
+
+
+
automated mechanisms for developing, reviewing, updating and/or protecting the contingency
+ plan
+
+
+
+
+
+
+
Control enhancements
+
+
CP-2 (1) COORDINATE WITH RELATED PLANS
+
+
+
+
+
+
+
Control
+
+
+
The organization coordinates contingency plan development with organizational elements
+ responsible for related plans.
+
+
+
+
+
Supplemental guidance
+
+
+
Plans related to contingency plans for organizational information systems include,
+ for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations
+ Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident
+ Response Plans, Insider Threat Implementation Plan, and Occupant Emergency Plans.
+
+
+
+
+
Objective
+
+
+
Determine if the organization coordinates contingency plan development with organizational
+ elements responsible for related plans.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing contingency operations for the information system
+
+
+
contingency plan
+
+
+
business contingency plans
+
+
+
disaster recovery plans
+
+
+
continuity of operations plans
+
+
+
crisis communications plans
+
+
+
critical infrastructure plans
+
+
+
cyber incident response plan
+
+
+
insider threat implementation plans
+
+
+
occupant emergency plans
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
personnel with responsibility for related plans
+
+
+
+
+
+
+
CP-2 (2) CAPACITY PLANNING
+
+
+
+
+
+
Control
+
+
+
The organization conducts capacity planning so that necessary capacity for information
+ processing, telecommunications, and environmental support exists during contingency
+ operations.
+
+
+
+
+
Supplemental guidance
+
+
+
Capacity planning is needed because different types of threats (e.g., natural disasters,
+ targeted cyber attacks) can result in a reduction of the available processing, telecommunications,
+ and support services originally intended to support the organizational missions/business
+ functions. Organizations may need to anticipate degraded operations during contingency
+ operations and factor such degradation into capacity planning.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization conducts capacity planning so that necessary capacity
+ exists during contingency operations for:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
information processing;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
telecommunications; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
environmental support.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing contingency operations for the information system
+
+
+
contingency plan
+
+
+
capacity planning documents
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
CP-2 (3) RESUME ESSENTIAL MISSIONS / BUSINESS FUNCTIONS
+
+
+
+
+
+
Parameter: cp-2_e organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
+
Control
+
+
+
The organization plans for the resumption of essential missions and business functions
+ within cp-2_e organization-defined time period [organization-defined time period] of contingency plan activation.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations may choose to carry out the contingency planning activities in this
+ control enhancement as part of organizational business continuity planning including,
+ for example, as part of business impact analyses. The time period for resumption of
+ essential missions/business functions may be dependent on the severity/extent of disruptions
+ to the information system and its supporting infrastructure.
+
defines the time period to plan for the resumption of essential missions and business
+ functions as a result of contingency plan activation; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
plans for the resumption of essential missions and business functions within organization-defined
+ time period of contingency plan activation.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing contingency operations for the information system
+
+
+
contingency plan
+
+
+
security plan
+
+
+
business impact assessment
+
+
+
other related plans
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for resumption of missions and business functions
+
+
+
+
+
+
+
CP-2 (4) RESUME ALL MISSIONS / BUSINESS FUNCTIONS
+
+
+
+
+
+
Parameter: cp-2_f organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
Control
+
+
+
The organization plans for the resumption of all missions and business functions within
+ cp-2_f organization-defined time period [organization-defined time period] of contingency plan activation.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations may choose to carry out the contingency planning activities in this
+ control enhancement as part of organizational business continuity planning including,
+ for example, as part of business impact analyses. The time period for resumption of
+ all missions/business functions may be dependent on the severity/extent of disruptions
+ to the information system and its supporting infrastructure.
+
defines the time period to plan for the resumption of all missions and business functions
+ as a result of contingency plan activation; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
plans for the resumption of all missions and business functions within organization-defined
+ time period of contingency plan activation.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing contingency operations for the information system
+
+
+
contingency plan
+
+
+
security plan
+
+
+
business impact assessment
+
+
+
other related plans
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for resumption of missions and business functions
+
+
+
+
+
+
+
CP-2 (5) CONTINUE ESSENTIAL MISSIONS / BUSINESS FUNCTIONS
+
+
+
+
+
+
Control
+
+
+
The organization plans for the continuance of essential missions and business functions
+ with little or no loss of operational continuity and sustains that continuity until
+ full information system restoration at primary processing and/or storage sites.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations may choose to carry out the contingency planning activities in this
+ control enhancement as part of organizational business continuity planning including,
+ for example, as part of business impact analyses. Primary processing and/or storage
+ sites defined by organizations as part of contingency planning may change depending
+ on the circumstances associated with the contingency (e.g., backup sites may become
+ primary sites).
+
plans for the continuance of essential missions and business functions with little
+ or no loss of operational continuity; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
sustains that operational continuity until full information system restoration at
+ primary processing and/or storage sites.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing contingency operations for the information system
+
+
+
contingency plan
+
+
+
business impact assessment
+
+
+
primary processing site agreements
+
+
+
primary storage site agreements
+
+
+
alternate processing site agreements
+
+
+
alternate storage site agreements
+
+
+
contingency plan test documentation
+
+
+
contingency plan test results
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for continuing missions and business functions
+
+
+
+
+
+
+
CP-2 (6) ALTERNATE PROCESSING / STORAGE SITE
+
+
+
+
+
Control
+
+
+
The organization plans for the transfer of essential missions and business functions
+ to alternate processing and/or storage sites with little or no loss of operational
+ continuity and sustains that continuity through information system restoration to
+ primary processing and/or storage sites.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations may choose to carry out the contingency planning activities in this
+ control enhancement as part of organizational business continuity planning including,
+ for example, as part of business impact analyses. Primary processing and/or storage
+ sites defined by organizations as part of contingency planning may change depending
+ on the circumstances associated with the contingency (e.g., backup sites may become
+ primary sites).
+
plans for the transfer of essential missions and business functions to alternate
+ processing and/or storage sites with little or no loss of operational continuity;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
sustains that operational continuity through information system restoration to primary
+ processing and/or storage sites.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing contingency operations for the information system
+
+
+
contingency plan
+
+
+
business impact assessment
+
+
+
alternate processing site agreements
+
+
+
alternate storage site agreements
+
+
+
contingency plan testing documentation
+
+
+
contingency plan test results
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for transfer of essential missions and business functions
+ to alternate processing/storage sites
+
+
+
+
+
+
+
CP-2 (7) COORDINATE WITH EXTERNAL SERVICE PROVIDERS
+
+
+
+
+
Control
+
+
+
The organization coordinates its contingency plan with the contingency plans of external
+ service providers to ensure that contingency requirements can be satisfied.
+
+
+
+
+
Supplemental guidance
+
+
+
When the capability of an organization to successfully carry out its core missions/business
+ functions is dependent on external service providers, developing a timely and comprehensive
+ contingency plan may become more challenging. In this situation, organizations coordinate
+ contingency planning activities with the external entities to ensure that the individual
+ plans reflect the overall contingency needs of the organization.
+
Determine if the organization coordinates its contingency plan with the contingency
+ plans of external service provides to ensure contingency requirements can be satisfied.
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing contingency operations for the information system
+
+
+
contingency plan
+
+
+
contingency plans of external
+
+
+
service providers
+
+
+
service level agreements
+
+
+
security plan
+
+
+
contingency plan requirements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
+
+
external service providers
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
CP-2 (8) IDENTIFY CRITICAL ASSETS
+
+
+
+
+
+
+
Control
+
+
+
The organization identifies critical information system assets supporting essential
+ missions and business functions.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations may choose to carry out the contingency planning activities in this
+ control enhancement as part of organizational business continuity planning including,
+ for example, as part of business impact analyses. Organizations identify critical
+ information system assets so that additional safeguards and countermeasures can be
+ employed (above and beyond those safeguards and countermeasures routinely implemented)
+ to help ensure that organizational missions/business functions can continue to be
+ conducted during contingency operations. In addition, the identification of critical
+ information assets facilitates the prioritization of organizational resources. Critical
+ information system assets include technical and operational aspects. Technical aspects
+ include, for example, information technology services, information system components,
+ information technology products, and mechanisms. Operational aspects include, for
+ example, procedures (manually executed operations) and personnel (individuals operating
+ technical safeguards and/or executing manual procedures). Organizational program protection
+ plans can provide assistance in identifying critical assets.
+
Determine if the organization identifies critical information system assets supporting
+ essential missions and business functions.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing contingency operations for the information system
+
+
+
contingency plan
+
+
+
business impact assessment
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
+
References
+
+
+
+
Federal Continuity Directive 1
+
+
+
+
+
+
NIST Special Publication 800-34
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW CP-2
+
+
MOD CP-2 (1) (3) (8)
+
+
HIGH CP-2 (1) (2) (3) (4) (5) (8)
+
+
+
+
+
+
+
+
CP-3 CONTINGENCY TRAINING
+
+
+
+
+
+
Parameter: cp-3_a organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
Parameter: cp-3_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization provides contingency training to information system users consistent
+ with assigned roles and responsibilities:
+
+
+
+
+
+
+
a.
+
+
+
+
+
Within cp-3_a organization-defined time period [organization-defined time period] of assuming a contingency role or responsibility;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
When required by information system changes; and
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
+ cp-3_b organization-defined frequency [organization-defined frequency] thereafter.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Contingency training provided by organizations is linked to the assigned roles and
+ responsibilities of organizational personnel to ensure that the appropriate content
+ and level of detail is included in such training. For example, regular users may only
+ need to know when and where to report for duty during contingency operations and if
+ normal duties are affected; system administrators may require additional training
+ on how to set up information systems at alternate processing and storage sites; and
+ managers/senior leaders may receive more specific training on how to conduct mission-essential
+ functions in designated off-site locations and how to establish communications with
+ other governmental entities for purposes of coordination on contingency-related activities.
+ Training for contingency roles/responsibilities reflects the specific continuity requirements
+ in the contingency plan.
+
defines a time period within which contingency training is to be provided to information
+ system users assuming a contingency role or responsibility;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
provides contingency training to information system users consistent with assigned
+ roles and responsibilities within the organization-defined time period of assuming
+ a contingency role or responsibility;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
provides contingency training to information system users consistent with assigned
+ roles and responsibilities when required by information system changes;
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency for contingency training thereafter; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
provides contingency training to information system users consistent with assigned
+ roles and responsibilities with the organization-defined frequency thereafter.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing contingency training
+
+
+
contingency plan
+
+
+
contingency training curriculum
+
+
+
contingency training material
+
+
+
security plan
+
+
+
contingency training records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency planning, plan implementation, and training
+ responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for contingency training
+
+
+
+
+
+
+
Control enhancements
+
+
CP-3 (1) SIMULATED EVENTS
+
+
+
+
+
+
Control
+
+
+
The organization incorporates simulated events into contingency training to facilitate
+ effective response by personnel in crisis situations.
+
+
+
+
+
Objective
+
+
+
Determine if the organization incorporates simulated events into contingency training
+ to facilitate effective response by personnel in crisis situations.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing contingency training
+
+
+
contingency plan
+
+
+
contingency training curriculum
+
+
+
contingency training material
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency planning, plan implementation, and training
+ responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for contingency training
+
+
+
automated mechanisms for simulating contingency events
+
+
+
+
+
+
+
CP-3 (2) AUTOMATED TRAINING ENVIRONMENTS
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to provide a more thorough and realistic
+ contingency training environment.
+
+
+
+
+
Objective
+
+
+
Determine if the organization employs automated mechanisms to provide a more thorough
+ and realistic contingency training environment.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing contingency training
+
+
+
contingency plan
+
+
+
contingency training curriculum
+
+
+
contingency training material
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency planning, plan implementation, and training
+ responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for contingency training
+
+
+
automated mechanisms for providing contingency training environments
+
+
+
+
+
+
+
+
References
+
+
+
+
Federal Continuity Directive 1
+
+
+
+
+
+
NIST Special Publication 800-16
+
+
+
+
+
+
NIST Special Publication 800-50
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW CP-3
+
+
MOD CP-3
+
+
HIGH CP-3 (1)
+
+
+
+
+
+
+
+
CP-4 CONTINGENCY PLAN TESTING
+
+
+
+
+
+
Parameter: cp-4_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: cp-4_b organization-defined tests
+
+
+
Default: organization-defined tests
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Tests the contingency plan for the information system cp-4_a organization-defined frequency [organization-defined frequency] using cp-4_b organization-defined tests [organization-defined tests] to determine the effectiveness of the plan and the organizational readiness to execute
+ the plan;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews the contingency plan test results; and
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Initiates corrective actions, if needed.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Methods for testing contingency plans to determine the effectiveness of the plans
+ and to identify potential weaknesses in the plans include, for example, walk-through
+ and tabletop exercises, checklists, simulations (parallel, full interrupt), and comprehensive
+ exercises. Organizations conduct testing based on the continuity requirements in contingency
+ plans and include a determination of the effects on organizational operations, assets,
+ and individuals arising due to contingency operations. Organizations have flexibility
+ and discretion in the breadth, depth, and timelines of corrective actions.
+
defines tests to determine the effectiveness of the contingency plan and the organizational
+ readiness to execute the plan;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines a frequency to test the contingency plan for the information system;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
tests the contingency plan for the information system with the organization-defined
+ frequency, using organization-defined tests to determine the effectiveness of the
+ plan and the organizational readiness to execute the plan;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
reviews the contingency plan test results; and
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
initiates corrective actions, if needed.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing contingency plan testing
+
+
+
contingency plan
+
+
+
security plan
+
+
+
contingency plan test documentation
+
+
+
contingency plan test results
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for contingency plan testing, reviewing
+ or responding to contingency plan tests
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for contingency plan testing
+
+
+
automated mechanisms supporting the contingency plan and/or contingency plan testing
+
+
+
+
+
+
+
Control enhancements
+
+
CP-4 (1) COORDINATE WITH RELATED PLANS
+
+
+
+
+
+
+
Control
+
+
+
The organization coordinates contingency plan testing with organizational elements
+ responsible for related plans.
+
+
+
+
+
Supplemental guidance
+
+
+
Plans related to contingency plans for organizational information systems include,
+ for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations
+ Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident
+ Response Plans, and Occupant Emergency Plans. This control enhancement does not require
+ organizations to create organizational elements to handle related plans or to align
+ such elements with specific plans. It does require, however, that if such organizational
+ elements are responsible for related plans, organizations should coordinate with those
+ elements.
+
Determine if the organization tests the contingency plan at the alternate processing
+ site to:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
familiarize contingency personnel with the facility and available resources; and
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
evaluate the capabilities of the alternate processing site to support contingency
+ operations.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing contingency plan testing
+
+
+
contingency plan
+
+
+
contingency plan test documentation
+
+
+
contingency plan test results
+
+
+
alternate processing site agreements
+
+
+
service-level agreements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for contingency plan testing
+
+
+
automated mechanisms supporting the contingency plan and/or contingency plan testing
+
+
+
+
+
+
+
CP-4 (3) AUTOMATED TESTING
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to more thoroughly and effectively test
+ the contingency plan.
+
+
+
+
+
Supplemental guidance
+
+
+
Automated mechanisms provide more thorough and effective testing of contingency plans,
+ for example: (i) by providing more complete coverage of contingency issues; (ii) by
+ selecting more realistic test scenarios and environments; and (iii) by effectively
+ stressing the information system and supported missions.
+
+
+
+
+
Objective
+
+
+
Determine if the organization employs automated mechanisms to more thoroughly and
+ effectively test the contingency plan.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing contingency plan testing
+
+
+
contingency plan
+
+
+
automated mechanisms supporting contingency plan testing
+
+
+
contingency plan test documentation
+
+
+
contingency plan test results
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency plan testing responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for contingency plan testing
+
+
+
automated mechanisms supporting contingency plan testing
+
+
+
+
+
+
+
CP-4 (4) FULL RECOVERY / RECONSTITUTION
+
+
+
+
+
Control
+
+
+
The organization includes a full recovery and reconstitution of the information system
+ to a known state as part of contingency plan testing.
+
Establishes an alternate storage site including necessary agreements to permit the
+ storage and retrieval of information system backup information; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Ensures that the alternate storage site provides information security safeguards equivalent
+ to that of the primary site.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Alternate storage sites are sites that are geographically distinct from primary storage
+ sites. An alternate storage site maintains duplicate copies of information and data
+ in the event that the primary storage site is not available. Items covered by alternate
+ storage site agreements include, for example, environmental conditions at alternate
+ sites, access rules, physical and environmental protection requirements, and coordination
+ of delivery/retrieval of backup media. Alternate storage sites reflect the requirements
+ in contingency plans so that organizations can maintain essential missions/business
+ functions despite disruption, compromise, or failure in organizational information
+ systems.
+
establishes an alternate storage site including necessary agreements to permit the
+ storage and retrieval of information system backup information; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
ensures that the alternate storage site provides information security safeguards equivalent
+ to that of the primary site.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing alternate storage sites
+
+
+
contingency plan
+
+
+
alternate storage site agreements
+
+
+
primary storage site agreements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency plan alternate storage site responsibilities
+
+
+
organizational personnel with information system recovery responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for storing and retrieving information system backup information
+ at the alternate storage site
+
+
+
automated mechanisms supporting and/or implementing storage and retrieval of information
+ system backup information at the alternate storage site
+
+
+
+
+
+
+
Control enhancements
+
+
CP-6 (1) SEPARATION FROM PRIMARY SITE
+
+
+
+
+
+
+
Control
+
+
+
The organization identifies an alternate storage site that is separated from the primary
+ storage site to reduce susceptibility to the same threats.
+
+
+
+
+
Supplemental guidance
+
+
+
Threats that affect alternate storage sites are typically defined in organizational
+ assessments of risk and include, for example, natural disasters, structural failures,
+ hostile cyber attacks, and errors of omission/commission. Organizations determine
+ what is considered a sufficient degree of separation between primary and alternate
+ storage sites based on the types of threats that are of concern. For one particular
+ type of threat (i.e., hostile cyber attack), the degree of separation between sites
+ is less relevant.
+
Determine if the organization identifies an alternate storage site that is separated
+ from the primary storage site to reduce susceptibility to the same threats.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing alternate storage sites
+
+
+
contingency plan
+
+
+
alternate storage site
+
+
+
alternate storage site agreements
+
+
+
primary storage site agreements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency plan alternate storage site responsibilities
+
+
+
organizational personnel with information system recovery responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
CP-6 (2) RECOVERY TIME / POINT OBJECTIVES
+
+
+
+
+
+
Control
+
+
+
The organization configures the alternate storage site to facilitate recovery operations
+ in accordance with recovery time and recovery point objectives.
+
+
+
+
+
Objective
+
+
+
Determine if the organization configures the alternate storage site to facilitate
+ recovery operations in accordance with recovery time objectives and recovery point
+ objectives (as specified in the information system contingency plan).
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing alternate storage sites
+
+
+
contingency plan
+
+
+
alternate storage site
+
+
+
alternate storage site agreements
+
+
+
alternate storage site configurations
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency plan testing responsibilities
+
+
+
organizational personnel with responsibilities for testing related plans
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for contingency plan testing
+
The organization identifies potential accessibility problems to the alternate storage
+ site in the event of an area-wide disruption or disaster and outlines explicit mitigation
+ actions.
+
+
+
+
+
Supplemental guidance
+
+
+
Area-wide disruptions refer to those types of disruptions that are broad in geographic
+ scope (e.g., hurricane, regional power outage) with such determinations made by organizations
+ based on organizational assessments of risk. Explicit mitigation actions include,
+ for example: (i) duplicating backup information at other alternate storage sites if
+ access problems occur at originally designated alternate sites; or (ii) planning for
+ physical access to retrieve backup information if electronic accessibility to the
+ alternate site is disrupted.
+
identifies potential accessibility problems to the alternate storage site in the event
+ of an area-wide disruption or disaster; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
outlines explicit mitigation actions for such potential accessibility problems to
+ the alternate storage site in the event of an area-wide disruption or disaster.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing alternate storage sites
+
+
+
contingency plan
+
+
+
alternate storage site
+
+
+
list of potential accessibility problems to alternate storage site
+
+
+
mitigation actions for accessibility problems to alternate storage site
+
+
+
organizational risk assessments
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency plan alternate storage site responsibilities
+
+
+
organizational personnel with information system recovery responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-34
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD CP-6 (1) (3)
+
+
HIGH CP-6 (1) (2) (3)
+
+
+
+
+
+
+
+
CP-7 ALTERNATE PROCESSING SITE
+
+
+
+
+
+
Parameter: cp-7_a organization-defined information system operations
+
+
+
Default: organization-defined information system operations
+
+
+
+
+
+
+
Parameter: cp-7_b organization-defined time period consistent with recovery time and recovery point
+ objectives
+
+
+
Default: organization-defined time period consistent with recovery time and recovery point
+ objectives
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Establishes an alternate processing site including necessary agreements to permit
+ the transfer and resumption of cp-7_a organization-defined information system operations [organization-defined information system operations] for essential missions/business functions within cp-7_b organization-defined time period consistent with recovery time and recovery point
+ objectives [organization-defined time period consistent with recovery time and recovery point
+ objectives] when the primary processing capabilities are unavailable;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Ensures that equipment and supplies required to transfer and resume operations are
+ available at the alternate processing site or contracts are in place to support delivery
+ to the site within the organization-defined time period for transfer/resumption; and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Ensures that the alternate processing site provides information security safeguards
+ equivalent to those of the primary site.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Alternate processing sites are sites that are geographically distinct from primary
+ processing sites. An alternate processing site provides processing capability in the
+ event that the primary processing site is not available. Items covered by alternate
+ processing site agreements include, for example, environmental conditions at alternate
+ sites, access rules, physical and environmental protection requirements, and coordination
+ for the transfer/assignment of personnel. Requirements are specifically allocated
+ to alternate processing sites that reflect the requirements in contingency plans to
+ maintain essential missions/business functions despite disruption, compromise, or
+ failure in organizational information systems.
+
defines information system operations requiring an alternate processing site to be
+ established to permit the transfer and resumption of such operations;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the time period consistent with recovery time objectives and recovery point
+ objectives (as specified in the information system contingency plan) for transfer/resumption
+ of organization-defined information system operations for essential missions/business
+ functions;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
establishes an alternate processing site including necessary agreements to permit
+ the transfer and resumption of organization-defined information system operations
+ for essential missions/business functions, within the organization-defined time period,
+ when the primary processing capabilities are unavailable;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
ensures that equipment and supplies required to transfer and resume operations are
+ available at the alternate processing site; or
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
ensures that contracts are in place to support delivery to the site within the organization-defined
+ time period for transfer/resumption; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
ensures that the alternate processing site provides information security safeguards
+ equivalent to those of the primary site.
+
spare equipment and supplies inventory at alternate processing site
+
+
+
equipment and supply contracts
+
+
+
service-level agreements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for contingency planning and/or alternate
+ site arrangements
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for recovery at the alternate site
+
+
+
automated mechanisms supporting and/or implementing recovery at the alternate processing
+ site
+
+
+
+
+
+
+
Control enhancements
+
+
CP-7 (1) SEPARATION FROM PRIMARY SITE
+
+
+
+
+
+
+
Control
+
+
+
The organization identifies an alternate processing site that is separated from the
+ primary processing site to reduce susceptibility to the same threats.
+
+
+
+
+
Supplemental guidance
+
+
+
Threats that affect alternate processing sites are typically defined in organizational
+ assessments of risk and include, for example, natural disasters, structural failures,
+ hostile cyber attacks, and errors of omission/commission. Organizations determine
+ what is considered a sufficient degree of separation between primary and alternate
+ processing sites based on the types of threats that are of concern. For one particular
+ type of threat (i.e., hostile cyber attack), the degree of separation between sites
+ is less relevant.
+
Determine if the organization identifies an alternate processing site that is separated
+ from the primary storage site to reduce susceptibility to the same threats.
+
Organizational personnel with contingency plan alternate processing site responsibilities
+
+
+
organizational personnel with information system recovery responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
CP-7 (2) ACCESSIBILITY
+
+
+
+
+
+
+
Control
+
+
+
The organization identifies potential accessibility problems to the alternate processing
+ site in the event of an area-wide disruption or disaster and outlines explicit mitigation
+ actions.
+
+
+
+
+
Supplemental guidance
+
+
+
Area-wide disruptions refer to those types of disruptions that are broad in geographic
+ scope (e.g., hurricane, regional power outage) with such determinations made by organizations
+ based on organizational assessments of risk.
+
identifies potential accessibility problems to the alternate processing site in the
+ event of an area-wide disruption or disaster; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
outlines explicit mitigation actions for such potential accessibility problems to
+ the alternate processing site in the event of an area-wide disruption or disaster.
+
Organizational personnel with contingency plan alternate processing site responsibilities
+
+
+
organizational personnel with information system recovery responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
CP-7 (3) PRIORITY OF SERVICE
+
+
+
+
+
+
+
Control
+
+
+
The organization develops alternate processing site agreements that contain priority-of-service
+ provisions in accordance with organizational availability requirements (including
+ recovery time objectives).
+
+
+
+
+
Supplemental guidance
+
+
+
Priority-of-service agreements refer to negotiated agreements with service providers
+ that ensure that organizations receive priority treatment consistent with their availability
+ requirements and the availability of information resources at the alternate processing
+ site.
+
+
+
+
+
Objective
+
+
+
Determine if the organization develops alternate processing site agreements that contain
+ priority-of-service provisions in accordance with organizational availability requirements
+ (including recovery time objectives as specified in the information system contingency
+ plan).
+
Organizational personnel with contingency plan alternate processing site responsibilities
+
+
+
organizational personnel with information system recovery responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility for acquisitions/contractual agreements
+
+
+
+
+
+
+
CP-7 (4) PREPARATION FOR USE
+
+
+
+
+
+
Control
+
+
+
The organization prepares the alternate processing site so that the site is ready
+ to be used as the operational site supporting essential missions and business functions.
+
+
+
+
+
Supplemental guidance
+
+
+
Site preparation includes, for example, establishing configuration settings for information
+ system components at the alternate processing site consistent with the requirements
+ for such settings at the primary site and ensuring that essential supplies and other
+ logistical considerations are in place.
+
Determine if the organization prepares the alternate processing site so that the site
+ is ready to be used as the operational site supporting essential missions and business
+ functions.
+
Organizational personnel with information system reconstitution responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-34
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD CP-7 (1) (2) (3)
+
+
HIGH CP-7 (1) (2) (3) (4)
+
+
+
+
+
+
+
+
CP-8 TELECOMMUNICATIONS SERVICES
+
+
+
+
+
+
Parameter: cp-8_a organization-defined information system operations
+
+
+
Default: organization-defined information system operations
+
+
+
+
+
+
+
Parameter: cp-8_b organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
+
+
Control
+
+
+
The organization establishes alternate telecommunications services including necessary
+ agreements to permit the resumption of cp-8_a organization-defined information system operations [organization-defined information system operations] for essential missions and business functions within cp-8_b organization-defined time period [organization-defined time period] when the primary telecommunications capabilities are unavailable at either the primary
+ or alternate processing or storage sites.
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies to telecommunications services (data and voice) for primary and
+ alternate processing and storage sites. Alternate telecommunications services reflect
+ the continuity requirements in contingency plans to maintain essential missions/business
+ functions despite the loss of primary telecommunications services. Organizations may
+ specify different time periods for primary/alternate sites. Alternate telecommunications
+ services include, for example, additional organizational or commercial ground-based
+ circuits/lines or satellites in lieu of ground-based communications. Organizations
+ consider factors such as availability, quality of service, and access when entering
+ into alternate telecommunications agreements.
+
defines information system operations requiring alternate telecommunications services
+ to be established to permit the resumption of such operations;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the time period to permit resumption of organization-defined information system
+ operations for essential missions and business functions; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
establishes alternate telecommunications services including necessary agreements to
+ permit the resumption of organization-defined information system operations for essential
+ missions and business functions, within the organization-defined time period, when
+ the primary telecommunications capabilities are unavailable at either the primary
+ or alternate processing or storage sites.
+
Develops primary and alternate telecommunications service agreements that contain
+ priority-of-service provisions in accordance with organizational availability requirements
+ (including recovery time objectives); and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Requests Telecommunications Service Priority for all telecommunications services used
+ for national security emergency preparedness in the event that the primary and/or
+ alternate telecommunications services are provided by a common carrier.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations consider the potential mission/business impact in situations where telecommunications
+ service providers are servicing other organizations with similar priority-of-service
+ provisions.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
develops primary and alternate telecommunications service agreements that contain
+ priority-of-service provisions in accordance with organizational availability requirements
+ (including recovery time objectives as specified in the information system contingency
+ plan); and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requests Telecommunications Service Priority for all telecommunications services used
+ for national security emergency preparedness in the event that the primary and/or
+ alternate telecommunications services are provided by a common carrier.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing primary and alternate telecommunications services
+
+
+
contingency plan
+
+
+
primary and alternate telecommunications service agreements
+
+
+
Telecommunications Service Priority documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency plan telecommunications responsibilities
+
+
+
organizational personnel with information system recovery responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility for acquisitions/contractual agreements
+
The organization obtains alternate telecommunications services to reduce the likelihood
+ of sharing a single point of failure with primary telecommunications services.
+
+
+
+
+
Objective
+
+
+
Determine if the organization obtains alternate telecommunications services to reduce
+ the likelihood of sharing a single point of failure with primary telecommunications
+ services.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing primary and alternate telecommunications services
+
+
+
contingency plan
+
+
+
primary and alternate telecommunications service agreements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency plan telecommunications responsibilities
+
+
+
organizational personnel with information system recovery responsibilities
+
+
+
primary and alternate telecommunications service providers
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
CP-8 (3) SEPARATION OF PRIMARY / ALTERNATE PROVIDERS
+
+
+
+
+
+
Control
+
+
+
The organization obtains alternate telecommunications services from providers that
+ are separated from primary service providers to reduce susceptibility to the same
+ threats.
+
+
+
+
+
Supplemental guidance
+
+
+
Threats that affect telecommunications services are typically defined in organizational
+ assessments of risk and include, for example, natural disasters, structural failures,
+ hostile cyber/physical attacks, and errors of omission/commission. Organizations seek
+ to reduce common susceptibilities by, for example, minimizing shared infrastructure
+ among telecommunications service providers and achieving sufficient geographic separation
+ between services. Organizations may consider using a single service provider in situations
+ where the service provider can provide alternate telecommunications services meeting
+ the separation needs addressed in the risk assessment.
+
+
+
+
+
Objective
+
+
+
Determine if the organization obtains alternate telecommunications services from providers
+ that are separated from primary service providers to reduce susceptibility to the
+ same threats.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing primary and alternate telecommunications services
+
+
+
contingency plan
+
+
+
primary and alternate telecommunications service agreements
+
+
+
alternate telecommunications service provider site
+
+
+
primary telecommunications service provider site
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency plan telecommunications responsibilities
+
+
+
organizational personnel with information system recovery responsibilities
+
+
+
primary and alternate telecommunications service providers
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
CP-8 (4) PROVIDER CONTINGENCY PLAN
+
+
+
+
+
+
Parameter: cp-8_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Requires primary and alternate telecommunications service providers to have contingency
+ plans;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Reviews provider contingency plans to ensure that the plans meet organizational contingency
+ requirements; and
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
Obtains evidence of contingency testing/training by providers cp-8_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Reviews of provider contingency plans consider the proprietary nature of such plans.
+ In some situations, a summary of provider contingency plans may be sufficient evidence
+ for organizations to satisfy the review requirement. Telecommunications service providers
+ may also participate in ongoing disaster recovery exercises in coordination with the
+ Department of Homeland Security, state, and local governments. Organizations may use
+ these types of activities to satisfy evidentiary requirements related to service provider
+ contingency plan reviews, testing, and training.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
requires primary telecommunications service provider to have contingency plans;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires alternate telecommunications service provider(s) to have contingency plans;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
reviews provider contingency plans to ensure that the plans meet organizational contingency
+ requirements;
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to obtain evidence of contingency testing/training by providers;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
obtains evidence of contingency testing/training by providers with the organization-defined
+ frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing primary and alternate telecommunications services
+
+
+
contingency plan
+
+
+
provider contingency plans
+
+
+
evidence of contingency testing/training by providers
+
+
+
primary and alternate telecommunications service agreements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency planning, plan implementation, and testing
+ responsibilities
+
+
+
primary and alternate telecommunications service providers
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility for acquisitions/contractual agreements
+
+
+
+
+
+
+
CP-8 (5) ALTERNATE TELECOMMUNICATION SERVICE TESTING
+
+
+
+
+
+
Parameter: cp-8_d organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
Control
+
+
+
The organization tests alternate telecommunication services cp-8_d organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to test alternate telecommunication services; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
tests alternate telecommunication services with the organization-defined frequency.
Parameter: cp-9_a organization-defined frequency consistent with recovery time and recovery point objectives
+
+
+
Default: organization-defined frequency consistent with recovery time and recovery point objectives
+
+
+
+
+
+
+
Parameter: cp-9_b organization-defined frequency consistent with recovery time and recovery point objectives
+
+
+
Default: organization-defined frequency consistent with recovery time and recovery point objectives
+
+
+
+
+
+
+
Parameter: cp-9_c organization-defined frequency consistent with recovery time and recovery point objectives
+
+
+
Default: organization-defined frequency consistent with recovery time and recovery point objectives
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Conducts backups of user-level information contained in the information system cp-9_a organization-defined frequency consistent with recovery time and recovery point objectives [organization-defined frequency consistent with recovery time and recovery point objectives];
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Conducts backups of system-level information contained in the information system cp-9_b organization-defined frequency consistent with recovery time and recovery point objectives [organization-defined frequency consistent with recovery time and recovery point objectives];
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Conducts backups of information system documentation including security-related documentation
+ cp-9_c organization-defined frequency consistent with recovery time and recovery point objectives [organization-defined frequency consistent with recovery time and recovery point objectives]; and
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Protects the confidentiality, integrity, and availability of backup information at
+ storage locations.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
System-level information includes, for example, system-state information, operating
+ system and application software, and licenses. User-level information includes any
+ information other than system-level information. Mechanisms employed by organizations
+ to protect the integrity of information system backups include, for example, digital
+ signatures and cryptographic hashes. Protection of system backup information while
+ in transit is beyond the scope of this control. Information system backups reflect
+ the requirements in contingency plans as well as other organizational requirements
+ for backing up information.
+
defines a frequency, consistent with recovery time objectives and recovery point objectives
+ as specified in the information system contingency plan, to conduct backups of user-level
+ information contained in the information system;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
conducts backups of user-level information contained in the information system with
+ the organization-defined frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines a frequency, consistent with recovery time objectives and recovery point objectives
+ as specified in the information system contingency plan, to conduct backups of system-level
+ information contained in the information system;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
conducts backups of system-level information contained in the information system with
+ the organization-defined frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines a frequency, consistent with recovery time objectives and recovery point objectives
+ as specified in the information system contingency plan, to conduct backups of information
+ system documentation including security-related documentation;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
conducts backups of information system documentation, including security-related documentation,
+ with the organization-defined frequency; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
protects the confidentiality, integrity, and availability of backup information at
+ storage locations.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing information system backup
+
+
+
contingency plan
+
+
+
backup storage location(s)
+
+
+
information system backup logs or records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system backup responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for conducting information system backups
+
+
+
automated mechanisms supporting and/or implementing information system backups
+
+
+
+
+
+
+
Control enhancements
+
+
CP-9 (1) TESTING FOR RELIABILITY / INTEGRITY
+
+
+
+
+
+
Parameter: cp-9_d organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
Control
+
+
+
The organization tests backup information cp-9_d organization-defined frequency [organization-defined frequency] to verify media reliability and information integrity.
+
defines the frequency to test backup information to verify media reliability and information
+ integrity; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
tests backup information with the organization-defined frequency to verify media reliability
+ and information integrity.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing information system backup
+
+
+
contingency plan
+
+
+
information system backup test results
+
+
+
contingency plan test documentation
+
+
+
contingency plan test results
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system backup responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for conducting information system backups
+
+
+
automated mechanisms supporting and/or implementing information system backups
+
+
+
+
+
+
+
CP-9 (2) TEST RESTORATION USING SAMPLING
+
+
+
+
+
+
Control
+
+
+
The organization uses a sample of backup information in the restoration of selected
+ information system functions as part of contingency plan testing.
+
Determine if the organization uses a sample of backup information in the restoration
+ of selected information system functions as part of contingency plan testing.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing information system backup
+
+
+
contingency plan
+
+
+
information system backup test results
+
+
+
contingency plan test documentation
+
+
+
contingency plan test results
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system backup responsibilities
+
+
+
organizational personnel with contingency planning/contingency plan testing responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for conducting information system backups
+
+
+
automated mechanisms supporting and/or implementing information system backups
+
+
+
+
+
+
+
CP-9 (3) SEPARATE STORAGE FOR CRITICAL INFORMATION
+
+
+
+
+
+
Parameter: cp-9_e organization-defined critical information system software and other security-related
+ information
+
+
+
Default: organization-defined critical information system software and other security-related
+ information
+
+
+
+
+
+
+
Control
+
+
+
The organization stores backup copies of cp-9_e organization-defined critical information system software and other security-related
+ information [organization-defined critical information system software and other security-related
+ information] in a separate facility or in a fire-rated container that is not collocated with the
+ operational system.
+
+
+
+
+
Supplemental guidance
+
+
+
Critical information system software includes, for example, operating systems, cryptographic
+ key management systems, and intrusion detection/prevention systems. Security-related
+ information includes, for example, organizational inventories of hardware, software,
+ and firmware components. Alternate storage sites typically serve as separate storage
+ facilities for organizations.
+
defines critical information system software and other security-related information
+ requiring backup copies to be stored in a separate facility; or
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
defines critical information system software and other security-related information
+ requiring backup copies to be stored in a fire-rated container that is not collocated
+ with the operational system; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
stores backup copies of organization-defined critical information system software
+ and other security-related information in a separate facility or in a fire-rated container
+ that is not collocated with the operational system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing information system backup
+
+
+
contingency plan
+
+
+
backup storage location(s)
+
+
+
information system backup configurations and associated documentation
+
+
+
information system backup logs or records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
+
+
organizational personnel with information system backup responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
CP-9 (4) PROTECTION FROM UNAUTHORIZED MODIFICATION
+
Parameter: cp-9_f organization-defined time period and transfer rate consistent with the recovery time
+ and recovery point objectives
+
+
+
Default: organization-defined time period and transfer rate consistent with the recovery time
+ and recovery point objectives
+
+
+
+
+
+
+
Control
+
+
+
The organization transfers information system backup information to the alternate
+ storage site cp-9_f organization-defined time period and transfer rate consistent with the recovery time
+ and recovery point objectives [organization-defined time period and transfer rate consistent with the recovery time
+ and recovery point objectives].
+
+
+
+
+
Supplemental guidance
+
+
+
Information system backup information can be transferred to alternate storage sites
+ either electronically or by physical shipment of storage media.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines a time period, consistent with recovery time objectives and recovery point
+ objectives as specified in the information system contingency plan, to transfer information
+ system backup information to the alternate storage site;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines a transfer rate, consistent with recovery time objectives and recovery point
+ objectives as specified in the information system contingency plan, to transfer information
+ system backup information to the alternate storage site; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
transfers information system backup information to the alternate storage site with
+ the organization-defined time period and transfer rate.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing information system backup
+
+
+
contingency plan
+
+
+
information system backup logs or records
+
+
+
evidence of system backup information transferred to alternate storage site
+
+
+
alternate storage site agreements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system backup responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for transferring information system backups to the alternate
+ storage site
+
+
+
automated mechanisms supporting and/or implementing information system backups
+
+
+
automated mechanisms supporting and/or implementing information transfer to the alternate
+ storage site
+
+
+
+
+
+
+
CP-9 (6) REDUNDANT SECONDARY SYSTEM
+
+
+
+
+
Control
+
+
+
The organization accomplishes information system backup by maintaining a redundant
+ secondary system that is not collocated with the primary system and that can be activated
+ without loss of information or disruption to operations.
+
Determine if the organization accomplishes information system backup by maintaining
+ a redundant secondary system that:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
is not collocated with the primary system; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
can be activated without loss of information or disruption to operations.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing information system backup
+
+
+
contingency plan
+
+
+
information system backup test results
+
+
+
contingency plan test results
+
+
+
contingency plan test documentation
+
+
+
redundant secondary system for information system backups
+
+
+
location(s) of redundant secondary backup system(s)
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system backup responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility for the redundant secondary system
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for maintaining redundant secondary systems
+
+
+
automated mechanisms supporting and/or implementing information system backups
+
+
+
automated mechanisms supporting and/or implementing information transfer to a redundant
+ secondary system
+
+
+
+
+
+
+
CP-9 (7) DUAL AUTHORIZATION
+
+
+
+
+
+
Parameter: cp-9_g organization-defined backup information
+
+
+
Default: organization-defined backup information
+
+
+
+
+
+
Control
+
+
+
The organization enforces dual authorization for the deletion or destruction of cp-9_g organization-defined backup information [organization-defined backup information].
+
+
+
+
+
Supplemental guidance
+
+
+
Dual authorization ensures that the deletion or destruction of backup information
+ cannot occur unless two qualified individuals carry out the task. Individuals deleting/destroying
+ backup information possess sufficient skills/expertise to determine if the proposed
+ deletion/destruction of backup information reflects organizational policies and procedures.
+ Dual authorization may also be known as two-person control.
+
automated mechanisms supporting and/or implementing deletion/destruction of backup
+ information
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-34
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW CP-9
+
+
MOD CP-9 (1)
+
+
HIGH CP-9 (1) (2) (3) (5)
+
+
+
+
+
+
+
+
CP-10 INFORMATION SYSTEM RECOVERY AND RECONSTITUTION
+
+
+
+
+
+
+
+
+
Control
+
+
+
The organization provides for the recovery and reconstitution of the information system
+ to a known state after a disruption, compromise, or failure.
+
+
+
+
+
Supplemental guidance
+
+
+
Recovery is executing information system contingency plan activities to restore organizational
+ missions/business functions. Reconstitution takes place following recovery and includes
+ activities for returning organizational information systems to fully operational states.
+ Recovery and reconstitution operations reflect mission and business priorities, recovery
+ point/time and reconstitution objectives, and established organizational metrics consistent
+ with contingency plan requirements. Reconstitution includes the deactivation of any
+ interim information system capabilities that may have been needed during recovery
+ operations. Reconstitution also includes assessments of fully restored information
+ system capabilities, reestablishment of continuous monitoring activities, potential
+ information system reauthorizations, and activities to prepare the systems against
+ future disruptions, compromises, or failures. Recovery/reconstitution capabilities
+ employed by organizations can include both automated mechanisms and manual procedures.
+
The information system implements transaction recovery for systems that are transaction-based.
+
+
+
+
Supplemental guidance
+
+
+
Transaction-based information systems include, for example, database management systems
+ and transaction processing systems. Mechanisms supporting transaction recovery include,
+ for example, transaction rollback and transaction journaling.
+
+
+
+
+
Objective
+
+
+
Determine if the information system implements transaction recovery for systems that
+ are transaction-based.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing information system recovery and reconstitution
+
+
+
contingency plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
contingency plan test documentation
+
+
+
contingency plan test results
+
+
+
information system transaction recovery records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for transaction recovery
+
+
+
organizational personnel with information security responsibilities
+
The organization provides the capability to restore information system components
+ within cp-10_a organization-defined restoration time-periods [organization-defined restoration time-periods] from configuration-controlled and integrity-protected information representing a
+ known, operational state for the components.
+
+
+
+
+
Supplemental guidance
+
+
+
Restoration of information system components includes, for example, reimaging which
+ restores components to known, operational states.
+
defines a time period to restore information system components from configuration-controlled
+ and integrity-protected information representing a known, operational state for the
+ components; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
provides the capability to restore information system components within the organization-defined
+ time period from configuration-controlled and integrity-protected information representing
+ a known, operational state for the components.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing information system recovery and reconstitution
+
+
+
contingency plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
contingency plan test documentation
+
+
+
contingency plan test results
+
+
+
evidence of information system recovery and reconstitution operations
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system recovery and reconstitution responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing recovery/reconstitution of information
+ system information
+
The organization protects backup and restoration hardware, firmware, and software.
+
+
+
+
Supplemental guidance
+
+
+
Protection of backup and restoration hardware, firmware, and software components includes
+ both physical and technical safeguards. Backup and restoration software includes,
+ for example, router tables, compilers, and other security-relevant system software.
+
Determine if the organization protects backup and restoration:
+
+
+
+
+
+
[1]
+
+
+
+
+
hardware;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
firmware; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
software.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing information system recovery and reconstitution
+
+
+
contingency plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
logical access credentials
+
+
+
physical access credentials
+
+
+
logical access authorization records
+
+
+
physical access authorization records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system recovery and reconstitution responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for protecting backup and restoration hardware, firmware,
+ and software
+
+
+
automated mechanisms supporting and/or implementing protection of backup and restoration
+ hardware, firmware, and software
+
+
+
+
+
+
+
+
References
+
+
+
+
Federal Continuity Directive 1
+
+
+
+
+
+
NIST Special Publication 800-34
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW CP-10
+
+
MOD CP-10 (2)
+
+
HIGH CP-10 (2) (4)
+
+
+
+
+
+
+
+
CP-11 ALTERNATE COMMUNICATIONS PROTOCOLS
+
+
+
+
+
+
Parameter: cp-11_a organization-defined alternative communications protocols
+
+
+
Default: organization-defined alternative communications protocols
+
+
+
+
+
+
+
Control
+
+
+
The information system provides the capability to employ cp-11_a organization-defined alternative communications protocols [organization-defined alternative communications protocols] in support of maintaining continuity of operations.
+
+
+
+
+
Supplemental guidance
+
+
+
Contingency plans and the associated training and testing for those plans, incorporate
+ an alternate communications protocol capability as part of increasing the resilience
+ of organizational information systems. Alternate communications protocols include,
+ for example, switching from Transmission Control Protocol/Internet Protocol (TCP/IP)
+ Version 4 to TCP/IP Version 6. Switching communications protocols may affect software
+ applications and therefore, the potential side effects of introducing alternate communications
+ protocols are analyzed prior to implementation.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines alternative communications protocols to be employed in support
+ of maintaining continuity of operations; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system provides the capability to employ organization-defined alternative
+ communications protocols in support of maintaining continuity of operations.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing alternative communications protocols
+
+
+
contingency plan
+
+
+
continuity of operations plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of alternative communications protocols supporting continuity of operations
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
+
+
organizational personnel with continuity of operations planning and plan implementation
+ responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms employing alternative communications protocols
+
Parameter: cp-12_b organization-defined restrictions of safe mode of operation
+
+
+
Default: organization-defined restrictions of safe mode of operation
+
+
+
+
+
+
+
Control
+
+
+
The information system, when cp-12_a organization-defined conditions [organization-defined conditions] are detected, enters a safe mode of operation with cp-12_b organization-defined restrictions of safe mode of operation [organization-defined restrictions of safe mode of operation].
+
+
+
+
+
Supplemental guidance
+
+
+
For information systems supporting critical missions/business functions including,
+ for example, military operations and weapons systems, civilian space operations, nuclear
+ power plant operations, and air traffic control operations (especially real-time operational
+ environments), organizations may choose to identify certain conditions under which
+ those systems revert to a predefined safe mode of operation. The safe mode of operation,
+ which can be activated automatically or manually, restricts the types of activities
+ or operations information systems could execute when those conditions are encountered.
+ Restriction includes, for example, allowing only certain functions that could be carried
+ out under limited power or with reduced communications bandwidth.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines conditions that, when detected, requires the information
+ system to enter a safe mode of operation;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines restrictions of safe mode of operation; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system, when organization-defined conditions are detected, enters
+ a safe mode of operation with organization-defined restrictions of safe mode of operation.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Contingency planning policy
+
+
+
procedures addressing safe mode of operation for the information system
+
+
+
contingency plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system administration manuals
+
+
+
information system operation manuals
+
+
+
information system installation manuals
+
+
+
contingency plan test records
+
+
+
incident handling records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system operation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing safe mode of operation
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
CP-13 ALTERNATIVE SECURITY MECHANISMS
+
+
+
+
+
+
Parameter: cp-13_a organization-defined alternative or supplemental security mechanisms
+
+
+
Default: organization-defined alternative or supplemental security mechanisms
+
The organization employs cp-13_a organization-defined alternative or supplemental security mechanisms [organization-defined alternative or supplemental security mechanisms] for satisfying cp-13_b organization-defined security functions [organization-defined security functions] when the primary means of implementing the security function is unavailable or compromised.
+
+
+
+
+
Supplemental guidance
+
+
+
This control supports information system resiliency and contingency planning/continuity
+ of operations. To ensure mission/business continuity, organizations can implement
+ alternative or supplemental security mechanisms. These mechanisms may be less effective
+ than the primary mechanisms (e.g., not as easy to use, not as scalable, or not as
+ secure). However, having the capability to readily employ these alternative/supplemental
+ mechanisms enhances overall mission/business continuity that might otherwise be adversely
+ impacted if organizational operations had to be curtailed until the primary means
+ of implementing the functions was restored. Given the cost and level of effort required
+ to provide such alternative capabilities, this control would typically be applied
+ only to critical security capabilities provided by information systems, system components,
+ or information system services. For example, an organization may issue to senior executives
+ and system administrators one-time pads in case multifactor tokens, the organization�s
+ standard means for secure remote authentication, is compromised.
+
defines alternative or supplemental security mechanisms to be employed when the primary
+ means of implementing the security function is unavailable or compromised;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines security functions to be satisfied using organization-defined alternative
+ or supplemental security mechanisms when the primary means of implementing the security
+ function is unavailable or compromised; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
employs organization-defined alternative or supplemental security mechanisms satisfying
+ organization-defined security functions when the primary means of implementing the
+ security function is unavailable or compromised.
+
information system configuration settings and associated documentation
+
+
+
contingency plan test records
+
+
+
contingency plan test results
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system operation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Information system capability implementing alternative security mechanisms
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
+
+
+
IDENTIFICATION AND AUTHENTICATION
+
+
+
IA-1 IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES
+
+
+
+
+
+
Parameter: ia-1_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: ia-1_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: ia-1_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops, documents, and disseminates to ia-1_a organization-defined personnel or roles [organization-defined personnel or roles]:
+
+
+
+
+
+
+
1.
+
+
+
+
+
An identification and authentication policy that addresses purpose, scope, roles,
+ responsibilities, management commitment, coordination among organizational entities,
+ and compliance; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Procedures to facilitate the implementation of the identification and authentication
+ policy and associated identification and authentication controls; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the current:
+
+
+
+
+
+
1.
+
+
+
+
+
Identification and authentication policy ia-1_b organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Identification and authentication procedures ia-1_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the establishment of policy and procedures for the effective
+ implementation of selected security controls and control enhancements in the IA family.
+ Policy and procedures reflect applicable federal laws, Executive Orders, directives,
+ regulations, policies, standards, and guidance. Security program policies and procedures
+ at the organization level may make the need for system-specific policies and procedures
+ unnecessary. The policy can be included as part of the general information security
+ policy for organizations or conversely, can be represented by multiple policies reflecting
+ the complex nature of certain organizations. The procedures can be established for
+ the security program in general and for particular information systems, if needed.
+ The organizational risk management strategy is a key factor in establishing policy
+ and procedures.
+
develops and documents an identification and authentication policy that addresses:
+
+
+
+
+
+
[a]
+
+
+
+
+
purpose;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
scope;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
roles;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
responsibilities;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
management commitment;
+
+
+
+
+
+
+
+
+
+
+
[f]
+
+
+
+
+
coordination among organizational entities;
+
+
+
+
+
+
+
+
+
+
+
[g]
+
+
+
+
+
compliance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the identification and authentication policy is
+ to be disseminated; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the identification and authentication policy to organization-defined
+ personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(a)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops and documents procedures to facilitate the implementation of the identification
+ and authentication policy and associated identification and authentication controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current identification and authentication
+ policy;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current identification and authentication policy with the
+ organization-defined frequency; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current identification and authentication
+ procedures; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current identification and authentication procedures with
+ the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy and procedures
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with identification and authentication responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
References
+
+
+
+
FIPS Publication 201
+
+
+
+
+
+
NIST Special Publication 800-12
+
+
+
+
+
+
NIST Special Publication 800-63
+
+
+
+
+
+
NIST Special Publication 800-73
+
+
+
+
+
+
NIST Special Publication 800-76
+
+
+
+
+
+
NIST Special Publication 800-78
+
+
+
+
+
+
NIST Special Publication 800-100
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW IA-1
+
+
MOD IA-1
+
+
HIGH IA-1
+
+
+
+
+
+
+
+
IA-2 IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
+
+
+
+
+
+
+
+
+
Control
+
+
+
The information system uniquely identifies and authenticates organizational users
+ (or processes acting on behalf of organizational users).
+
+
+
+
+
Supplemental guidance
+
+
+
Organizational users include employees or individuals that organizations deem to have
+ equivalent status of employees (e.g., contractors, guest researchers). This control
+ applies to all accesses other than: (i) accesses that are explicitly identified and
+ documented in AC-14; and (ii) accesses that occur through authorized use of group
+ authenticators without individual authentication. Organizations may require unique
+ identification of individuals in group accounts (e.g., shared privilege accounts)
+ or for detailed accountability of individual activity. Organizations employ passwords,
+ tokens, or biometrics to authenticate user identities, or in the case multifactor
+ authentication, or some combination thereof. Access to organizational information
+ systems is defined as either local access or network access. Local access is any access
+ to organizational information systems by users (or processes acting on behalf of users)
+ where such access is obtained by direct connections without the use of networks. Network
+ access is access to organizational information systems by users (or processes acting
+ on behalf of users) where such access is obtained through network connections (i.e.,
+ nonlocal accesses). Remote access is a type of network access that involves communication
+ through external networks (e.g., the Internet). Internal networks include local area
+ networks and wide area networks. In addition, the use of encrypted virtual private
+ networks (VPNs) for network connections between organization-controlled endpoints
+ and non-organization controlled endpoints may be treated as internal networks from
+ the perspective of protecting the confidentiality and integrity of information traversing
+ the network.
+ Organizations can satisfy the identification and authentication requirements in this
+ control by complying with the requirements in Homeland Security Presidential Directive
+ 12 consistent with the specific organizational implementation plans. Multifactor authentication
+ requires the use of two or more different factors to achieve authentication. The factors
+ are defined as: (i) something you know (e.g., password, personal identification number
+ [PIN]); (ii) something you have (e.g., cryptographic identification device, token);
+ or (iii) something you are (e.g., biometric). Multifactor solutions that require devices
+ separate from information systems gaining access include, for example, hardware tokens
+ providing time-based or challenge-response authenticators and smart cards such as
+ the U.S. Government Personal Identity Verification card and the DoD common access
+ card. In addition to identifying and authenticating users at the information system
+ level (i.e., at logon), organizations also employ identification and authentication
+ mechanisms at the application level, when necessary, to provide increased information
+ security. Identification and authentication requirements for other than organizational
+ users are described in IA-8.
+
Determine if the information system uniquely identifies and authenticates organizational
+ users (or processes acting on behalf of organizational users).
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing user identification and authentication
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
list of information system accounts
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system operations responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with account management responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for uniquely identifying and authenticating users
+
The organization requires individuals to be authenticated with an individual authenticator
+ when a group authenticator is employed.
+
+
+
+
+
Supplemental guidance
+
+
+
Requiring individuals to use individual authenticators as a second level of authentication
+ helps organizations to mitigate the risk of using group authenticators.
+
+
+
+
+
Objective
+
+
+
Determine if the organization requires individuals to be authenticated with an individual
+ authenticator when a group authenticator is employed.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing user identification and authentication
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
list of information system accounts
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system operations responsibilities
+
+
+
organizational personnel with account management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing authentication capability for
+ group accounts
+
+
+
+
+
+
+
IA-2 (6) NETWORK ACCESS TO PRIVILEGED ACCOUNTS - SEPARATE DEVICE
+
+
+
+
+
+
Parameter: ia-2_a organization-defined strength of mechanism requirements
+
+
+
Default: organization-defined strength of mechanism requirements
+
+
+
+
+
+
Control
+
+
+
The information system implements multifactor authentication for network access to
+ privileged accounts such that one of the factors is provided by a device separate
+ from the system gaining access and the device meets ia-2_a organization-defined strength of mechanism requirements [organization-defined strength of mechanism requirements].
+
the information system implements multifactor authentication for network access to
+ privileged accounts such that one of the factors is provided by a device separate
+ from the system gaining access;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines strength of mechanism requirements to be enforced by a device
+ separate from the system gaining network access to privileged accounts; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system implements multifactor authentication for network access to
+ privileged accounts such that a device, separate from the system gaining access, meets
+ organization-defined strength of mechanism requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing user identification and authentication
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
list of information system accounts
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system operations responsibilities
+
+
+
organizational personnel with account management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
IA-2 (7) NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - SEPARATE DEVICE
+
+
+
+
+
+
Parameter: ia-2_b organization-defined strength of mechanism requirements
+
+
+
Default: organization-defined strength of mechanism requirements
+
+
+
+
+
+
Control
+
+
+
The information system implements multifactor authentication for network access to
+ non-privileged accounts such that one of the factors is provided by a device separate
+ from the system gaining access and the device meets ia-2_b organization-defined strength of mechanism requirements [organization-defined strength of mechanism requirements].
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the information system implements multifactor authentication for network access to
+ non-privileged accounts such that one of the factors is provided by a device separate
+ from the system gaining access;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines strength of mechanism requirements to be enforced by a device
+ separate from the system gaining network access to non-privileged accounts; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system implements multifactor authentication for network access to
+ non-privileged accounts such that a device, separate from the system gaining access,
+ meets organization-defined strength of mechanism requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing user identification and authentication
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
list of information system accounts
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system operations responsibilities
+
+
+
organizational personnel with account management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
The information system implements replay-resistant authentication mechanisms for network
+ access to privileged accounts.
+
+
+
+
+
Supplemental guidance
+
+
+
Authentication processes resist replay attacks if it is impractical to achieve successful
+ authentications by replaying previous authentication messages. Replay-resistant techniques
+ include, for example, protocols that use nonces or challenges such as Transport Layer
+ Security (TLS) and time synchronous or challenge-response one-time authenticators.
+
+
+
+
+
Objective
+
+
+
Determine if the information system implements replay-resistant authentication mechanisms
+ for network access to privileged accounts.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing user identification and authentication
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
list of privileged information system accounts
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system operations responsibilities
+
+
+
organizational personnel with account management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
The information system implements replay-resistant authentication mechanisms for network
+ access to non-privileged accounts.
+
+
+
+
+
Supplemental guidance
+
+
+
Authentication processes resist replay attacks if it is impractical to achieve successful
+ authentications by recording/replaying previous authentication messages. Replay-resistant
+ techniques include, for example, protocols that use nonces or challenges such as Transport
+ Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.
+
+
+
+
+
Objective
+
+
+
Determine if the information system implements replay-resistant authentication mechanisms
+ for network access to non-privileged accounts.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing user identification and authentication
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
list of non-privileged information system accounts
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system operations responsibilities
+
+
+
organizational personnel with account management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
Parameter: ia-2_c organization-defined information system accounts and services
+
+
+
Default: organization-defined information system accounts and services
+
+
+
+
+
+
Control
+
+
+
The information system provides a single sign-on capability for ia-2_c organization-defined information system accounts and services [organization-defined information system accounts and services].
+
+
+
+
+
Supplemental guidance
+
+
+
Single sign-on enables users to log in once and gain access to multiple information
+ system resources. Organizations consider the operational efficiencies provided by
+ single sign-on capabilities with the increased risk from disclosures of single authenticators
+ providing access to multiple system resources.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines a list of information system accounts and services for which
+ a single sign-on capability must be provided; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system provides a single sign-on capability for organization-defined
+ information system accounts and services.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing single sign-on capability for information system accounts and
+ services
+
+
+
procedures addressing identification and authentication
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
list of information system accounts and services requiring single sign-on capability
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system operations responsibilities
+
+
+
organizational personnel with account management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
automated mechanisms supporting and/or implementing single sign-on capability for
+ information system accounts and services
+
+
+
+
+
+
+
IA-2 (11) REMOTE ACCESS - SEPARATE DEVICE
+
+
+
+
+
+
Parameter: ia-2_d organization-defined strength of mechanism requirements
+
+
+
Default: organization-defined strength of mechanism requirements
+
+
+
+
+
+
+
+
Control
+
+
+
The information system implements multifactor authentication for remote access to
+ privileged and non-privileged accounts such that one of the factors is provided by
+ a device separate from the system gaining access and the device meets ia-2_d organization-defined strength of mechanism requirements [organization-defined strength of mechanism requirements].
+
+
+
+
+
Supplemental guidance
+
+
+
For remote access to privileged/non-privileged accounts, the purpose of requiring
+ a device that is separate from the information system gaining access for one of the
+ factors during multifactor authentication is to reduce the likelihood of compromising
+ authentication credentials stored on the system. For example, adversaries deploying
+ malicious code on organizational information systems can potentially compromise such
+ credentials resident on the system and subsequently impersonate authorized users.
+
the information system implements multifactor authentication for remote access to
+ privileged accounts such that one of the factors is provided by a device separate
+ from the system gaining access;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system implements multifactor authentication for remote access to
+ non-privileged accounts such that one of the factors is provided by a device separate
+ from the system gaining access;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the organization defines strength of mechanism requirements to be enforced by a device
+ separate from the system gaining remote access to privileged accounts;
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
the organization defines strength of mechanism requirements to be enforced by a device
+ separate from the system gaining remote access to non-privileged accounts;
+
+
+
+
+
+
+
+
+
+
+
+
[5]
+
+
+
+
+
the information system implements multifactor authentication for remote access to
+ privileged accounts such that a device, separate from the system gaining access, meets
+ organization-defined strength of mechanism requirements; and
+
+
+
+
+
+
+
+
+
+
+
+
[6]
+
+
+
+
+
the information system implements multifactor authentication for remote access to
+ non-privileged accounts such that a device, separate from the system gaining access,
+ meets organization-defined strength of mechanism requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing user identification and authentication
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
list of privileged and non-privileged information system accounts
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system operations responsibilities
+
+
+
organizational personnel with account management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
The information system accepts and electronically verifies Personal Identity Verification
+ (PIV) credentials.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement applies to organizations implementing logical access control
+ systems (LACS) and physical access control systems (PACS). Personal Identity Verification
+ (PIV) credentials are those credentials issued by federal agencies that conform to
+ FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires
+ federal agencies to continue implementing the requirements specified in HSPD-12 to
+ enable agency-wide use of PIV credentials.
+
The information system implements ia-2_e organization-defined out-of-band authentication [organization-defined out-of-band authentication] under ia-2_f organization-defined conditions [organization-defined conditions].
+
+
+
+
+
Supplemental guidance
+
+
+
Out-of-band authentication (OOBA) refers to the use of two separate communication
+ paths to identify and authenticate users or devices to an information system. The
+ first path (i.e., the in-band path), is used to identify and authenticate users or
+ devices, and generally is the path through which information flows. The second path
+ (i.e., the out-of-band path) is used to independently verify the authentication and/or
+ requested action. For example, a user authenticates via a notebook computer to a remote
+ server to which the user desires access, and requests some action of the server via
+ that communication path. Subsequently, the server contacts the user via the user�s
+ cell phone to verify that the requested action originated from the user. The user
+ may either confirm the intended action to an individual on the telephone or provide
+ an authentication code via the telephone. This type of authentication can be employed
+ by organizations to mitigate actual or suspected man-in the-middle attacks. The conditions
+ for activation can include, for example, suspicious activities, new threat indicators
+ or elevated threat levels, or the impact level or classification level of information
+ in requested transactions.
+
Parameter: ia-3_a organization-defined specific and/or types of devices
+
+
+
Default: organization-defined specific and/or types of devices
+
+
+
+
+
+
+
+
+
Control
+
+
+
The information system uniquely identifies and authenticates ia-3_a organization-defined specific and/or types of devices [organization-defined specific and/or types of devices] before establishing a [Selection (one or more): local; remote; network] connection.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizational devices requiring unique device-to-device identification and authentication
+ may be defined by type, by device, or by a combination of type/device. Information
+ systems typically use either shared known information (e.g., Media Access Control
+ [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device
+ identification or organizational authentication solutions (e.g., IEEE 802.1x and Extensible
+ Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security [TLS]
+ authentication, Kerberos) to identify/authenticate devices on local and/or wide area
+ networks. Organizations determine the required strength of authentication mechanisms
+ by the security categories of information systems. Because of the challenges of applying
+ this control on large scale, organizations are encouraged to only apply the control
+ to those limited number (and type) of devices that truly need to support this capability.
+
the organization defines specific and/or types of devices that the information system
+ uniquely identifies and authenticates before establishing one or more of the following:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
a local connection;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
a remote connection; and/or
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
a network connection; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system uniquely identifies and authenticates organization-defined
+ devices before establishing one or more of the following:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
a local connection;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
a remote connection; and/or
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
a network connection.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing device identification and authentication
+
+
+
information system design documentation
+
+
+
list of devices requiring unique identification and authentication
+
+
+
device connection reports
+
+
+
information system configuration settings and associated documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with operational responsibilities for device identification
+ and authentication
+
+
+
organizational personnel with information security responsibilities
+
Parameter: ia-3_b organization-defined specific devices and/or types of devices
+
+
+
Default: organization-defined specific devices and/or types of devices
+
+
+
+
+
+
Control
+
+
+
The information system authenticates ia-3_b organization-defined specific devices and/or types of devices [organization-defined specific devices and/or types of devices] before establishing [Selection (one or more): local; remote; network] connection
+ using bidirectional authentication that is cryptographically based.
+
+
+
+
+
Supplemental guidance
+
+
+
A local connection is any connection with a device communicating without the use of
+ a network. A network connection is any connection with a device that communicates
+ through a network (e.g., local area or wide area network, Internet). A remote connection
+ is any connection with a device communicating through an external network (e.g., the
+ Internet). Bidirectional authentication provides stronger safeguards to validate the
+ identity of other devices for connections that are of greater risk (e.g., remote connections).
+
the organization defines specific and/or types of devices requiring use of cryptographically
+ based, bidirectional authentication to authenticate before establishing one or more
+ of the following:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
a local connection;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
a remote connection; and/or
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
a network connection;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system uses cryptographically based bidirectional authentication to
+ authenticate organization-defined devices before establishing one or more of the following:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
a local connection;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
a remote connection; and/or
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
a network connection.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing device identification and authentication
+
+
+
information system design documentation
+
+
+
list of devices requiring unique identification and authentication
+
+
+
device connection reports
+
+
+
information system configuration settings and associated documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with operational responsibilities for device identification
+ and authentication
+
+
+
organizational personnel with information security responsibilities
+
Parameter: ia-3_c organization-defined lease information and lease duration
+
+
+
Default: organization-defined lease information and lease duration
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Standardizes dynamic address allocation lease information and the lease duration assigned
+ to devices in accordance with ia-3_c organization-defined lease information and lease duration [organization-defined lease information and lease duration]; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Audits lease information when assigned to a device.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
DHCP-enabled clients obtaining leases for IP addresses from DHCP servers, is a typical
+ example of dynamic address allocation for devices.
+
automated mechanisms supporting and/or implanting auditing of lease information
+
+
+
+
+
+
+
IA-3 (4) DEVICE ATTESTATION
+
+
+
+
+
+
Parameter: ia-3_d organization-defined configuration management process
+
+
+
Default: organization-defined configuration management process
+
+
+
+
+
+
Control
+
+
+
The organization ensures that device identification and authentication based on attestation
+ is handled by ia-3_d organization-defined configuration management process [organization-defined configuration management process].
+
+
+
+
+
Supplemental guidance
+
+
+
Device attestation refers to the identification and authentication of a device based
+ on its configuration and known operating state. This might be determined via some
+ cryptographic hash of the device. If device attestation is the means of identification
+ and authentication, then it is important that patches and updates to the device are
+ handled via a configuration management process such that the those patches/updates
+ are done securely and at the same time do not disrupt the identification and authentication
+ to other devices.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines configuration management process to be employed to handle device identification
+ and authentication based on attestation; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
ensures that device identification and authentication based on attestation is handled
+ by organization-defined configuration management process.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing device identification and authentication
+
Parameter: ia-4_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: ia-4_b organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
Parameter: ia-4_c organization-defined time period of inactivity
+
+
+
Default: organization-defined time period of inactivity
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization manages information system identifiers by:
+
+
+
+
+
+
a.
+
+
+
+
+
Receiving authorization from ia-4_a organization-defined personnel or roles [organization-defined personnel or roles] to assign an individual, group, role, or device identifier;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Selecting an identifier that identifies an individual, group, role, or device;
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Assigning the identifier to the intended individual, group, role, or device;
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Preventing reuse of identifiers for ia-4_b organization-defined time period [organization-defined time period]; and
+
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Disabling the identifier after ia-4_c organization-defined time period of inactivity [organization-defined time period of inactivity].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Common device identifiers include, for example, media access control (MAC), Internet
+ protocol (IP) addresses, or device-unique token identifiers. Management of individual
+ identifiers is not applicable to shared information system accounts (e.g., guest and
+ anonymous accounts). Typically, individual identifiers are the user names of the information
+ system accounts assigned to those individuals. In such instances, the account management
+ activities of AC-2 use account names provided by IA-4. This control also addresses
+ individual identifiers not necessarily associated with information system accounts
+ (e.g., identifiers used in physical security control databases accessed by badge reader
+ systems for access to information systems). Preventing reuse of identifiers implies
+ preventing the assignment of previously used individual, group, role, or device identifiers
+ to different individuals, groups, roles, or devices.
+
IA-4 (1) PROHIBIT ACCOUNT IDENTIFIERS AS PUBLIC IDENTIFIERS
+
+
+
+
+
Control
+
+
+
The organization prohibits the use of information system account identifiers that
+ are the same as public identifiers for individual electronic mail accounts.
+
+
+
+
+
Supplemental guidance
+
+
+
Prohibiting the use of information systems account identifiers that are the same as
+ some public identifier such as the individual identifier section of an electronic
+ mail address, makes it more difficult for adversaries to guess user identifiers on
+ organizational information systems.
+
Determine if the organization prohibits the use of information system account identifiers
+ that are the same as public identifiers for individual electronic mail accounts.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing identifier management
+
+
+
procedures addressing account management
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with identifier management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
The organization requires multiple forms of certification of individual identification
+ be presented to the registration authority.
+
+
+
+
+
Supplemental guidance
+
+
+
Requiring multiple forms of identification, such as documentary evidence or a combination
+ of documents and biometrics, reduces the likelihood of individuals using fraudulent
+ identification to establish an identity, or at least increases the work factor of
+ potential adversaries.
+
+
+
+
+
Objective
+
+
+
Determine if the organization requires multiple forms of certification of individual
+ identification such as documentary evidence or a combination of documents and biometrics
+ be presented to the registration authority.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing identifier management
+
+
+
procedures addressing account management
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with identifier management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
Parameter: ia-4_d organization-defined characteristic identifying individual status
+
+
+
Default: organization-defined characteristic identifying individual status
+
+
+
+
+
+
Control
+
+
+
The organization manages individual identifiers by uniquely identifying each individual
+ as ia-4_d organization-defined characteristic identifying individual status [organization-defined characteristic identifying individual status].
+
+
+
+
+
Supplemental guidance
+
+
+
Characteristics identifying the status of individuals include, for example, contractors
+ and foreign nationals. Identifying the status of individuals by specific characteristics
+ provides additional information about the people with whom organizational personnel
+ are communicating. For example, it might be useful for a government employee to know
+ that one of the individuals on an email message is a contractor.
+
The information system dynamically manages identifiers.
+
+
+
+
Supplemental guidance
+
+
+
In contrast to conventional approaches to identification which presume static accounts
+ for preregistered users, many distributed information systems including, for example,
+ service-oriented architectures, rely on establishing identifiers at run time for entities
+ that were previously unknown. In these situations, organizations anticipate and provision
+ for the dynamic establishment of identifiers. Preestablished trust relationships and
+ mechanisms with appropriate authorities to validate identities and related credentials
+ are essential.
+
The organization coordinates with ia-4_e organization-defined external organizations [organization-defined external organizations] for cross-organization management of identifiers.
+
+
+
+
+
Supplemental guidance
+
+
+
Cross-organization identifier management provides the capability for organizations
+ to appropriately identify individuals, groups, roles, or devices when conducting cross-organization
+ activities involving the processing, storage, or transmission of information.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines external organizations with whom to coordinate cross-organization management
+ of identifiers; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
coordinates with organization-defined external organizations for cross-organization
+ management of identifiers.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing identifier management
+
+
+
procedures addressing account management
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with identifier management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
The organization requires that the registration process to receive an individual identifier
+ be conducted in person before a designated registration authority.
+
+
+
+
+
Supplemental guidance
+
+
+
In-person registration reduces the likelihood of fraudulent identifiers being issued
+ because it requires the physical presence of individuals and actual face-to-face interactions
+ with designated registration authorities.
+
+
+
+
+
Objective
+
+
+
Determine if the organization requires that the registration process to receive an
+ individual identifier be conducted in person before a designated registration authority.
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing identifier management
+
+
+
procedures addressing account management
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with identifier management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
+
References
+
+
+
+
FIPS Publication 201
+
+
+
+
+
+
NIST Special Publication 800-73
+
+
+
+
+
+
NIST Special Publication 800-76
+
+
+
+
+
+
NIST Special Publication 800-78
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW IA-4
+
+
MOD IA-4
+
+
HIGH IA-4
+
+
+
+
+
+
+
+
IA-5 AUTHENTICATOR MANAGEMENT
+
+
+
+
+
+
Parameter: ia-5_a organization-defined time period by authenticator type
+
+
+
Default: organization-defined time period by authenticator type
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization manages information system authenticators by:
+
+
+
+
+
+
a.
+
+
+
+
+
Verifying, as part of the initial authenticator distribution, the identity of the
+ individual, group, role, or device receiving the authenticator;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Establishing initial authenticator content for authenticators defined by the organization;
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Ensuring that authenticators have sufficient strength of mechanism for their intended
+ use;
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Establishing and implementing administrative procedures for initial authenticator
+ distribution, for lost/compromised or damaged authenticators, and for revoking authenticators;
+
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Changing default content of authenticators prior to information system installation;
+
+
+
+
+
+
+
+
+
+
+
f.
+
+
+
+
+
Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators;
+
+
+
+
+
+
+
+
+
+
+
g.
+
+
+
+
+
Changing/refreshing authenticators ia-5_a organization-defined time period by authenticator type [organization-defined time period by authenticator type];
+
+
+
+
+
+
+
+
+
+
+
+
h.
+
+
+
+
+
Protecting authenticator content from unauthorized disclosure and modification;
+
+
+
+
+
+
+
+
+
+
+
i.
+
+
+
+
+
Requiring individuals to take, and having devices implement, specific security safeguards
+ to protect authenticators; and
+
+
+
+
+
+
+
+
+
+
+
+
j.
+
+
+
+
+
Changing authenticators for group/role accounts when membership to those accounts
+ changes.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Individual authenticators include, for example, passwords, tokens, biometrics, PKI
+ certificates, and key cards. Initial authenticator content is the actual content (e.g.,
+ the initial password) as opposed to requirements about authenticator content (e.g.,
+ minimum password length). In many cases, developers ship information system components
+ with factory default authentication credentials to allow for initial installation
+ and configuration. Default authentication credentials are often well known, easily
+ discoverable, and present a significant security risk. The requirement to protect
+ individual authenticators may be implemented via control PL-4 or PS-6 for authenticators
+ in the possession of individuals and by controls AC-3, AC-6, and SC-28 for authenticators
+ stored within organizational information systems (e.g., passwords stored in hashed
+ or encrypted formats, files containing encrypted or hashed passwords accessible with
+ administrator privileges). Information systems support individual authenticator management
+ by organization-defined settings and restrictions for various authenticator characteristics
+ including, for example, minimum password length, password composition, validation
+ time window for time synchronous one-time tokens, and number of allowed rejections
+ during the verification stage of biometric authentication. Specific actions that can
+ be taken to safeguard authenticators include, for example, maintaining possession
+ of individual authenticators, not loaning or sharing individual authenticators with
+ others, and reporting lost, stolen, or compromised authenticators immediately. Authenticator
+ management includes issuing and revoking, when no longer needed, authenticators for
+ temporary access such as that required for remote maintenance. Device authenticators
+ include, for example, certificates and passwords.
+
Parameter: ia-5_b organization-defined requirements for case sensitivity, number of characters, mix
+ of upper-case letters, lower-case letters, numbers, and special characters, including
+ minimum requirements for each type
+
+
+
Default: organization-defined requirements for case sensitivity, number of characters, mix
+ of upper-case letters, lower-case letters, numbers, and special characters, including
+ minimum requirements for each type
+
+
+
+
+
+
+
Parameter: ia-5_c organization-defined number
+
+
+
Default: organization-defined number
+
+
+
+
+
+
+
Parameter: ia-5_d organization-defined numbers for lifetime minimum, lifetime maximum
+
+
+
Default: organization-defined numbers for lifetime minimum, lifetime maximum
+
+
+
+
+
+
+
Parameter: ia-5_e organization-defined number
+
+
+
Default: organization-defined number
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The information system, for password-based authentication:
+
+
+
+
+
+
(a)
+
+
+
+
+
Enforces minimum password complexity of ia-5_b organization-defined requirements for case sensitivity, number of characters, mix
+ of upper-case letters, lower-case letters, numbers, and special characters, including
+ minimum requirements for each type [organization-defined requirements for case sensitivity, number of characters, mix
+ of upper-case letters, lower-case letters, numbers, and special characters, including
+ minimum requirements for each type];
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Enforces at least the following number of changed characters when new passwords are
+ created: ia-5_c organization-defined number [organization-defined number];
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
Stores and transmits only cryptographically-protected passwords;
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
Enforces password minimum and maximum lifetime restrictions of ia-5_d organization-defined numbers for lifetime minimum, lifetime maximum [organization-defined numbers for lifetime minimum, lifetime maximum];
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
Prohibits password reuse for ia-5_e organization-defined number [organization-defined number] generations; and
+
+
+
+
+
+
+
+
+
+
+
+
(f)
+
+
+
+
+
Allows the use of a temporary password for system logons with an immediate change
+ to a permanent password.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement applies to single-factor authentication of individuals using
+ passwords as individual or group authenticators, and in a similar manner, when passwords
+ are part of multifactor authenticators. This control enhancement does not apply when
+ passwords are used to unlock hardware authenticators (e.g., Personal Identity Verification
+ cards). The implementation of such password mechanisms may not meet all of the requirements
+ in the enhancement. Cryptographically-protected passwords include, for example, encrypted
+ versions of passwords and one-way cryptographic hashes of passwords. The number of
+ changed characters refers to the number of changes required with respect to the total
+ number of positions in the current password. Password lifetime restrictions do not
+ apply to temporary passwords. To mitigate certain brute force attacks against passwords,
+ organizations may also consider salting passwords.
+
the organization defines requirements for case sensitivity;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines requirements for number of characters;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the organization defines requirements for the mix of upper-case letters, lower-case
+ letters, numbers and special characters;
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
the organization defines minimum requirements for each type of character;
+
+
+
+
+
+
+
+
+
+
+
[5]
+
+
+
+
+
the information system enforces minimum password complexity of organization-defined
+ requirements for case sensitivity, number of characters, mix of upper-case letters,
+ lower-case letters, numbers, and special characters, including minimum requirements
+ for each type;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines a minimum number of changed characters to be enforced when
+ new passwords are created;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system enforces at least the organization-defined minimum number of
+ characters that must be changed when new passwords are created;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
the information system stores and transmits only encrypted representations of passwords;
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines numbers for password minimum lifetime restrictions to be
+ enforced for passwords;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines numbers for password maximum lifetime restrictions to be
+ enforced for passwords;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system enforces password minimum lifetime restrictions of organization-defined
+ numbers for lifetime minimum;
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
the information system enforces password maximum lifetime restrictions of organization-defined
+ numbers for lifetime maximum;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines the number of password generations to be prohibited from
+ password reuse;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system prohibits password reuse for the organization-defined number
+ of generations; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(f)
+
+
+
+
+
the information system allows the use of a temporary password for system logons with
+ an immediate change to a permanent password.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
password policy
+
+
+
procedures addressing authenticator management
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
password configurations and associated documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with authenticator management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
The information system, for PKI-based authentication:
+
+
+
+
+
+
(a)
+
+
+
+
+
Validates certifications by constructing and verifying a certification path to an
+ accepted trust anchor including checking certificate status information;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Enforces authorized access to the corresponding private key;
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
Maps the authenticated identity to the account of the individual or group; and
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
Implements a local cache of revocation data to support path discovery and validation
+ in case of inability to access revocation information via the network.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Status information for certification paths includes, for example, certificate revocation
+ lists or certificate status protocol responses. For PIV cards, validation of certifications
+ involves the construction and verification of a certification path to the Common Policy
+ Root trust anchor including certificate policy processing.
+
Determine if the information system, for PKI-based authentication:
+
+
+
+
+
+
(a)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
validates certifications by constructing a certification path to an accepted trust
+ anchor;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
validates certifications by verifying a certification path to an accepted trust anchor;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
includes checking certificate status information when constructing and verifying the
+ certification path;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
enforces authorized access to the corresponding private key;
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
maps the authenticated identity to the account of the individual or group; and
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
implements a local cache of revocation data to support path discovery and validation
+ in case of inability to access revocation information via the network.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing authenticator management
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
PKI certification validation records
+
+
+
PKI certification revocation lists
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with PKI-based, authenticator management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
Parameter: ia-5_h organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
+
Control
+
+
+
The organization requires that the registration process to receive ia-5_f organization-defined types of and/or specific authenticators [organization-defined types of and/or specific authenticators] be conducted [Selection: in person; by a trusted third party] before ia-5_g organization-defined registration authority [organization-defined registration authority] with authorization by ia-5_h organization-defined personnel or roles [organization-defined personnel or roles].
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines types of and/or specific authenticators to be received in person or by a trusted
+ third party;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the registration authority with oversight of the registration process for
+ receipt of organization-defined types of and/or specific authenticators;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines personnel or roles responsible for authorizing organization-defined registration
+ authority;
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
defines if the registration process is to be conducted:
+
+
+
+
+
+
[a]
+
+
+
+
+
in person; or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
by a trusted third party; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[5]
+
+
+
+
+
requires that the registration process to receive organization-defined types of and/or
+ specific authenticators be conducted in person or by a trusted third party before
+ organization-defined registration authority with authorization by organization-defined
+ personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing authenticator management
+
+
+
registration process for receiving information system authenticators
+
+
+
list of authenticators requiring in-person registration
+
+
+
list of authenticators requiring trusted third party registration
+
+
+
authenticator registration documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with authenticator management responsibilities
+
+
+
registration authority
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
IA-5 (4) AUTOMATED SUPPORT FOR PASSWORD STRENGTH DETERMINATION
+
The organization employs automated tools to determine if password authenticators are
+ sufficiently strong to satisfy ia-5_i organization-defined requirements [organization-defined requirements].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement focuses on the creation of strong passwords and the characteristics
+ of such passwords (e.g., complexity) prior to use, the enforcement of which is carried
+ out by organizational information systems in IA-5 (1).
+
automated tools for determining password strength
+
+
+
+
+
+
+
IA-5 (5) CHANGE AUTHENTICATORS PRIOR TO DELIVERY
+
+
+
+
+
Control
+
+
+
The organization requires developers/installers of information system components to
+ provide unique authenticators or change default authenticators prior to delivery/installation.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement extends the requirement for organizations to change default
+ authenticators upon information system installation, by requiring developers and/or
+ installers to provide unique authenticators or change default authenticators for system
+ components prior to delivery and/or installation. However, it typically does not apply
+ to the developers of commercial off-the-shelve information technology products. Requirements
+ for unique authenticators can be included in acquisition documents prepared by organizations
+ when procuring information systems or system components.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization requires developers/installers of information system
+ components to:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
provide unique authenticators prior to delivery/installation; or
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
change default authenticators prior to delivery/installation.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
system and services acquisition policy
+
+
+
procedures addressing authenticator management
+
+
+
procedures addressing the integration of security requirements into the acquisition
+ process
+
+
+
acquisition documentation
+
+
+
acquisition contracts for information system procurements or services
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with authenticator management responsibilities
+
+
+
organizational personnel with information system security, acquisition, and contracting
+ responsibilities
+
The organization protects authenticators commensurate with the security category of
+ the information to which use of the authenticator permits access.
+
+
+
+
+
Supplemental guidance
+
+
+
For information systems containing multiple security categories of information without
+ reliable physical or logical separation between categories, authenticators used to
+ grant access to the systems are protected commensurate with the highest security category
+ of information on the systems.
+
+
+
+
+
Objective
+
+
+
Determine if the organization protects authenticators commensurate with the security
+ category of the information to which use of the authenticator permits access.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing authenticator management
+
+
+
security categorization documentation for the information system
+
+
+
security assessments of authenticator protections
+
+
+
risk assessment results
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with authenticator management responsibilities
+
IA-5 (7) NO EMBEDDED UNENCRYPTED STATIC AUTHENTICATORS
+
+
+
+
+
Control
+
+
+
The organization ensures that unencrypted static authenticators are not embedded in
+ applications or access scripts or stored on function keys.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations exercise caution in determining whether embedded or stored authenticators
+ are in encrypted or unencrypted form. If authenticators are used in the manner stored,
+ then those representations are considered unencrypted authenticators. This is irrespective
+ of whether that representation is perhaps an encrypted version of something else (e.g.,
+ a password).
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization ensures that unencrypted static authenticators are not:
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
embedded in applications;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
embedded in access scripts; or
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
stored on function keys.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing authenticator management
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
logical access scripts
+
+
+
application code reviews for detecting unencrypted static authenticators
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with authenticator management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
The organization implements ia-5_j organization-defined security safeguards [organization-defined security safeguards] to manage the risk of compromise due to individuals having accounts on multiple information
+ systems.
+
+
+
+
+
Supplemental guidance
+
+
+
When individuals have accounts on multiple information systems, there is the risk
+ that the compromise of one account may lead to the compromise of other accounts if
+ individuals use the same authenticators. Possible alternatives include, for example:
+ (i) having different authenticators on all systems; (ii) employing some form of single
+ sign-on mechanism; or (iii) including some form of one-time passwords on all systems.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines security safeguards to manage the risk of compromise due to individuals having
+ accounts on multiple information systems; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
implements organization-defined security safeguards to manage the risk of compromise
+ due to individuals having accounts on multiple information systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing authenticator management
+
+
+
security plan
+
+
+
list of individuals having accounts on multiple information systems
+
+
+
list of security safeguards intended to manage risk of compromise due to individuals
+ having accounts on multiple information systems
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with authenticator management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing safeguards for authenticator management
+
The organization coordinates with ia-5_k organization-defined external organizations [organization-defined external organizations] for cross-organization management of credentials.
+
+
+
+
+
Supplemental guidance
+
+
+
Cross-organization management of credentials provides the capability for organizations
+ to appropriately authenticate individuals, groups, roles, or devices when conducting
+ cross-organization activities involving the processing, storage, or transmission of
+ information.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines external organizations with whom to coordinate cross-organizational management
+ of credentials; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
coordinates with organization-defined external organizations for cross-organizational
+ management of credentials.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing authenticator management
+
+
+
procedures addressing account management
+
+
+
security plan
+
+
+
information security agreements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with authenticator management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing safeguards for authenticator management
+
+
+
+
+
+
+
IA-5 (10) DYNAMIC CREDENTIAL ASSOCIATION
+
+
+
+
+
Control
+
+
+
The information system dynamically provisions identities.
+
+
+
+
Supplemental guidance
+
+
+
Authentication requires some form of binding between an identity and the authenticator
+ used to confirm the identity. In conventional approaches, this binding is established
+ by pre-provisioning both the identity and the authenticator to the information system.
+ For example, the binding between a username (i.e., identity) and a password (i.e.,
+ authenticator) is accomplished by provisioning the identity and authenticator as a
+ pair in the information system. New authentication techniques allow the binding between
+ the identity and the authenticator to be implemented outside an information system.
+ For example, with smartcard credentials, the identity and the authenticator are bound
+ together on the card. Using these credentials, information systems can authenticate
+ identities that have not been pre-provisioned, dynamically provisioning the identity
+ after authentication. In these situations, organizations can anticipate the dynamic
+ provisioning of identities. Preestablished trust relationships and mechanisms with
+ appropriate authorities to validate identities and related credentials are essential.
+
+
+
+
+
Objective
+
+
+
Determine if the information system dynamically provisions identifiers.
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing identifier management
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
automated mechanisms providing dynamic binding of identifiers and authenticators
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with identifier management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
The information system, for hardware token-based authentication, employs mechanisms
+ that satisfy ia-5_l organization-defined token quality requirements [organization-defined token quality requirements].
+
+
+
+
+
Supplemental guidance
+
+
+
Hardware token-based authentication typically refers to the use of PKI-based tokens,
+ such as the U.S. Government Personal Identity Verification (PIV) card. Organizations
+ define specific requirements for tokens, such as working with a particular PKI.
+
+
+
+
+
+
+
+
+
+
+
Determine if, for hardware token-based authentication:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines token quality requirements to be satisfied; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system employs mechanisms that satisfy organization-defined token
+ quality requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing authenticator management
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
automated mechanisms employing hardware token-based authentication for the information
+ system
+
+
+
list of token quality requirements
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with authenticator management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
The information system, for biometric-based authentication, employs mechanisms that
+ satisfy ia-5_m organization-defined biometric quality requirements [organization-defined biometric quality requirements].
+
+
+
+
+
Supplemental guidance
+
+
+
Unlike password-based authentication which provides exact matches of user-input passwords
+ to stored passwords, biometric authentication does not provide such exact matches.
+ Depending upon the type of biometric and the type of collection mechanism, there is
+ likely to be some divergence from the presented biometric and stored biometric which
+ serves as the basis of comparison. There will likely be both false positives and false
+ negatives when making such comparisons. The rate at which the false accept and false
+ reject rates are equal is known as the crossover rate. Biometric quality requirements
+ include, for example, acceptable crossover rates, as that essentially reflects the
+ accuracy of the biometric.
+
+
+
+
+
+
+
+
+
+
+
Determine if, for biometric-based authentication:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines biometric quality requirements to be satisfied; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system employs mechanisms that satisfy organization-defined biometric
+ quality requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing authenticator management
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
automated mechanisms employing biometric-based authentication for the information
+ system
+
+
+
list of biometric quality requirements
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with authenticator management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
The organization, for PKI-based authentication, employs a deliberate organization-wide
+ methodology for managing the content of PKI trust stores installed across all platforms
+ including networks, operating systems, browsers, and applications.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization, for PKI-based authentication, employs a deliberate
+ organization-wide methodology for managing the content of PKI trust stores installed
+ across all platforms including:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
networks;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
operating systems;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
browsers; and
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
applications.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing authenticator management
+
+
+
security plan
+
+
+
organizational methodology for managing content of PKI trust stores across installed
+ all platforms
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
enterprise security architecture documentation
+
+
+
enterprise architecture documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with authenticator management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
automated mechanisms supporting and/or implementing the PKI trust store capability
+
+
+
+
+
+
+
IA-5 (15) FICAM-APPROVED PRODUCTS AND SERVICES
+
+
+
+
+
Control
+
+
+
The organization uses only FICAM-approved path discovery and validation products and
+ services.
+
+
+
+
+
Supplemental guidance
+
+
+
Federal Identity, Credential, and Access Management (FICAM)-approved path discovery
+ and validation products and services are those products and services that have been
+ approved through the FICAM conformance program, where applicable.
+
+
+
+
+
Objective
+
+
+
Determine if the organization uses only FICAM-approved path discovery and validation
+ products and services.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing identifier management
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
automated mechanisms providing dynamic binding of identifiers and authenticators
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with identification and authentication management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
automated mechanisms supporting and/or implementing identification and authentication
+ management capability for the information system
+
+
+
+
+
+
+
+
References
+
+
+
+
OMB Memorandum 04-04
+
+
+
+
+
+
OMB Memorandum 11-11
+
+
+
+
+
+
FIPS Publication 201
+
+
+
+
+
+
NIST Special Publication 800-73
+
+
+
+
+
+
NIST Special Publication 800-63
+
+
+
+
+
+
NIST Special Publication 800-76
+
+
+
+
+
+
NIST Special Publication 800-78
+
+
+
+
+
+
FICAM Roadmap and Implementation Guidance
+
+
+
+
+
+
http://idmanagement.gov
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW IA-5 (1) (11)
+
+
MOD IA-5 (1) (2) (3) (11)
+
+
HIGH IA-5 (1) (2) (3) (11)
+
+
+
+
+
+
+
+
IA-6 AUTHENTICATOR FEEDBACK
+
+
+
+
+
+
+
+
+
Control
+
+
+
The information system obscures feedback of authentication information during the
+ authentication process to protect the information from possible exploitation/use by
+ unauthorized individuals.
+
+
+
+
+
Supplemental guidance
+
+
+
The feedback from information systems does not provide information that would allow
+ unauthorized individuals to compromise authentication mechanisms. For some types of
+ information systems or system components, for example, desktops/notebooks with relatively
+ large monitors, the threat (often referred to as shoulder surfing) may be significant.
+ For other types of systems or components, for example, mobile devices with 2-4 inch
+ screens, this threat may be less significant, and may need to be balanced against
+ the increased likelihood of typographic input errors due to the small keyboards. Therefore,
+ the means for obscuring the authenticator feedback is selected accordingly. Obscuring
+ the feedback of authentication information includes, for example, displaying asterisks
+ when users type passwords into input devices, or displaying feedback for a very limited
+ time before fully obscuring it.
+
Determine if the information system obscures feedback of authentication information
+ during the authentication process to protect the information from possible exploitation/use
+ by unauthorized individuals.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing authenticator feedback
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing the obscuring of feedback of authentication
+ information during authentication
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW IA-6
+
+
MOD IA-6
+
+
HIGH IA-6
+
+
+
+
+
+
+
+
IA-7 CRYPTOGRAPHIC MODULE AUTHENTICATION
+
+
+
+
+
+
+
+
+
Control
+
+
+
The information system implements mechanisms for authentication to a cryptographic
+ module that meet the requirements of applicable federal laws, Executive Orders, directives,
+ policies, regulations, standards, and guidance for such authentication.
+
+
+
+
+
Supplemental guidance
+
+
+
Authentication mechanisms may be required within a cryptographic module to authenticate
+ an operator accessing the module and to verify that the operator is authorized to
+ assume the requested role and perform services within that role.
+
Determine if the information system implements mechanisms for authentication to a
+ cryptographic module that meet the requirements of applicable federal laws, Executive
+ Orders, directives, policies, regulations, standards, and guidance for such authentication.
+
IA-8 IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)
+
+
+
+
+
+
+
+
+
Control
+
+
+
The information system uniquely identifies and authenticates non-organizational users
+ (or processes acting on behalf of non-organizational users).
+
+
+
+
+
Supplemental guidance
+
+
+
Non-organizational users include information system users other than organizational
+ users explicitly covered by IA-2. These individuals are uniquely identified and authenticated
+ for accesses other than those accesses explicitly identified and documented in AC-14.
+ In accordance with the E-Authentication E-Government initiative, authentication of
+ non-organizational users accessing federal information systems may be required to
+ protect federal, proprietary, or privacy-related information (with exceptions noted
+ for national security systems). Organizations use risk assessments to determine authentication
+ needs and consider scalability, practicality, and security in balancing the need to
+ ensure ease of use for access to federal information and information systems with
+ the need to protect and adequately mitigate risk. IA-2 addresses identification and
+ authentication requirements for access to information systems by organizational users.
+
Determine if the information system uniquely identifies and authenticates non-organizational
+ users (or processes acting on behalf of non-organizational users).
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing user identification and authentication
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
list of information system accounts
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system operations responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with account management responsibilities
+
IA-8 (1) ACCEPTANCE OF PIV CREDENTIALS FROM OTHER AGENCIES
+
+
+
+
+
+
+
+
Control
+
+
+
The information system accepts and electronically verifies Personal Identity Verification
+ (PIV) credentials from other federal agencies.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement applies to logical access control systems (LACS) and physical
+ access control systems (PACS). Personal Identity Verification (PIV) credentials are
+ those credentials issued by federal agencies that conform to FIPS Publication 201
+ and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies
+ to continue implementing the requirements specified in HSPD-12 to enable agency-wide
+ use of PIV credentials.
+
automated mechanisms that accept and verify PIV credentials
+
+
+
+
+
+
+
IA-8 (2) ACCEPTANCE OF THIRD-PARTY CREDENTIALS
+
+
+
+
+
+
+
+
Control
+
+
+
The information system accepts only FICAM-approved third-party credentials.
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement typically applies to organizational information systems that
+ are accessible to the general public, for example, public-facing websites. Third-party
+ credentials are those credentials issued by nonfederal government entities approved
+ by the Federal Identity, Credential, and Access Management (FICAM) Trust Framework
+ Solutions initiative. Approved third-party credentials meet or exceed the set of minimum
+ federal government-wide technical, security, privacy, and organizational maturity
+ requirements. This allows federal government relying parties to trust such credentials
+ at their approved assurance levels.
+
automated mechanisms that accept FICAM-approved credentials
+
+
+
+
+
+
+
IA-8 (3) USE OF FICAM-APPROVED PRODUCTS
+
+
+
+
+
+
Parameter: ia-8_a organization-defined information systems
+
+
+
Default: organization-defined information systems
+
+
+
+
+
+
+
+
+
Control
+
+
+
The organization employs only FICAM-approved information system components in ia-8_a organization-defined information systems [organization-defined information systems] to accept third-party credentials.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement typically applies to information systems that are accessible
+ to the general public, for example, public-facing websites. FICAM-approved information
+ system components include, for example, information technology products and software
+ libraries that have been approved by the Federal Identity, Credential, and Access
+ Management conformance program.
+
The information system conforms to FICAM-issued profiles.
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement addresses open identity management standards. To ensure that
+ these standards are viable, robust, reliable, sustainable (e.g., available in commercial
+ information technology products), and interoperable as documented, the United States
+ Government assesses and scopes identity management standards and technology implementations
+ against applicable federal legislation, directives, policies, and requirements. The
+ result is FICAM-issued implementation profiles of approved protocols (e.g., FICAM
+ authentication protocols such as SAML 2.0 and OpenID 2.0, as well as other protocols
+ such as the FICAM Backend Attribute Exchange).
+
The information system accepts and electronically verifies Personal Identity Verification-I
+ (PIV-I) credentials.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement: (i) applies to logical and physical access control systems;
+ and (ii) addresses Non-Federal Issuers (NFIs) of identity cards that desire to interoperate
+ with United States Government Personal Identity Verification (PIV) information systems
+ and that can be trusted by federal government-relying parties. The X.509 certificate
+ policy for the Federal Bridge Certification Authority (FBCA) addresses PIV-I requirements.
+ The PIV-I card is suitable for Assurance Level 4 as defined in OMB Memorandum 04-04
+ and NIST Special Publication 800-63, and multifactor authentication as defined in
+ NIST Special Publication 800-116. PIV-I credentials are those credentials issued by
+ a PIV-I provider whose PIV-I certificate policy maps to the Federal Bridge PIV-I Certificate
+ Policy. A PIV-I provider is cross-certified (directly or through another PKI bridge)
+ with the FBCA with policies that have been mapped and approved as meeting the requirements
+ of the PIV-I policies defined in the FBCA certificate policy.
+
The organization identifies and authenticates ia-9_a organization-defined information system services [organization-defined information system services] using ia-9_b organization-defined security safeguards [organization-defined security safeguards].
+
+
+
+
+
Supplemental guidance
+
+
+
This control supports service-oriented architectures and other distributed architectural
+ approaches requiring the identification and authentication of information system services.
+ In such architectures, external services often appear dynamically. Therefore, information
+ systems should be able to determine in a dynamic manner, if external providers and
+ associated services are authentic. Safeguards implemented by organizational information
+ systems to validate provider and service authenticity include, for example, information
+ or code signing, provenance graphs, and/or electronic signatures indicating or including
+ the sources of services.
+
+
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines information system services to be identified and authenticated using security
+ safeguards;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines security safeguards to be used to identify and authenticate organization-defined
+ information system services; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
identifies and authenticates organization-defined information system services using
+ organization-defined security safeguards.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing service identification and authentication
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
security safeguards used to identify and authenticate information system services
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system operations responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
organizational personnel with identification and authentication responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Security safeguards implementing service identification and authentication capability
+
+
+
+
+
+
Control enhancements
+
+
IA-9 (1) INFORMATION EXCHANGE
+
+
+
+
+
Control
+
+
+
The organization ensures that service providers receive, validate, and transmit identification
+ and authentication information.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization ensures that service providers:
+
+
+
+
+
+
[1]
+
+
+
+
+
receive identification and authentication information;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
validate identification and authentication information; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
transmit identification and authentication information.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing service identification and authentication
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with identification and authentication responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
service providers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing service identification and authentication capabilities
+
+
+
+
+
+
+
IA-9 (2) TRANSMISSION OF DECISIONS
+
+
+
+
+
+
Parameter: ia-9_c organization-defined services
+
+
+
Default: organization-defined services
+
+
+
+
+
+
Control
+
+
+
The organization ensures that identification and authentication decisions are transmitted
+ between ia-9_c organization-defined services [organization-defined services] consistent with organizational policies.
+
+
+
+
+
Supplemental guidance
+
+
+
For distributed architectures (e.g., service-oriented architectures), the decisions
+ regarding the validation of identification and authentication claims may be made by
+ services separate from the services acting on those decisions. In such situations,
+ it is necessary to provide the identification and authentication decisions (as opposed
+ to the actual identifiers and authenticators) to the services that need to act on
+ those decisions.
+
defines services for which identification and authentication decisions transmitted
+ between such services are to be consistent with organizational policies; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
ensures that identification and authentication decisions are transmitted between organization-defined
+ services consistent with organizational policies.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing service identification and authentication
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
transmission records
+
+
+
transmission verification records
+
+
+
rules for identification and authentication transmission decisions between organizational
+ services
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with identification and authentication responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing service identification and authentication capabilities
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
IA-10 ADAPTIVE IDENTIFICATION AND AUTHENTICATION
+
+
+
+
+
+
Parameter: ia-10_a organization-defined supplemental authentication techniques or mechanisms
+
+
+
Default: organization-defined supplemental authentication techniques or mechanisms
+
+
+
+
+
+
+
Parameter: ia-10_b organization-defined circumstances or situations
+
+
+
Default: organization-defined circumstances or situations
+
+
+
+
+
+
+
Control
+
+
+
The organization requires that individuals accessing the information system employ
+ ia-10_a organization-defined supplemental authentication techniques or mechanisms [organization-defined supplemental authentication techniques or mechanisms] under specific ia-10_b organization-defined circumstances or situations [organization-defined circumstances or situations].
+
+
+
+
+
Supplemental guidance
+
+
+
Adversaries may compromise individual authentication mechanisms and subsequently attempt
+ to impersonate legitimate users. This situation can potentially occur with any authentication
+ mechanisms employed by organizations. To address this threat, organizations may employ
+ specific techniques/mechanisms and establish protocols to assess suspicious behavior
+ (e.g., individuals accessing information that they do not typically access as part
+ of their normal duties, roles, or responsibilities, accessing greater quantities of
+ information than the individuals would routinely access, or attempting to access information
+ from suspicious network addresses). In these situations when certain preestablished
+ conditions or triggers occur, organizations can require selected individuals to provide
+ additional authentication information. Another potential use for adaptive identification
+ and authentication is to increase the strength of mechanism based on the number and/or
+ types of records being accessed.
+
defines specific circumstances or situations that require individuals accessing the
+ information system to employ supplemental authentication techniques or mechanisms;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines supplemental authentication techniques or mechanisms to be employed when accessing
+ the information system under specific organization-defined circumstances or situations;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
requires that individuals accessing the information system employ organization-defined
+ supplemental authentication techniques or mechanisms under specific organization-defined
+ circumstances or situations.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Identification and authentication policy
+
+
+
procedures addressing adaptive/ supplemental identification and authentication techniques
+ or mechanisms
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
supplemental identification and authentication techniques or mechanisms
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system operations responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
organizational personnel with identification and authentication responsibilities
+
Parameter: ia-11_a organization-defined circumstances or situations requiring re-authentication
+
+
+
Default: organization-defined circumstances or situations requiring re-authentication
+
+
+
+
+
+
+
Control
+
+
+
The organization requires users and devices to re-authenticate when ia-11_a organization-defined circumstances or situations requiring re-authentication [organization-defined circumstances or situations requiring re-authentication].
+
+
+
+
+
Supplemental guidance
+
+
+
In addition to the re-authentication requirements associated with session locks, organizations
+ may require re-authentication of individuals and/or devices in other situations including,
+ for example: (i) when authenticators change; (ii), when roles change; (iii) when security
+ categories of information systems change; (iv), when the execution of privileged functions
+ occurs; (v) after a fixed period of time; or (vi) periodically.
+
Parameter: ir-1_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: ir-1_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: ir-1_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops, documents, and disseminates to ir-1_a organization-defined personnel or roles [organization-defined personnel or roles]:
+
+
+
+
+
+
+
1.
+
+
+
+
+
An incident response policy that addresses purpose, scope, roles, responsibilities,
+ management commitment, coordination among organizational entities, and compliance;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Procedures to facilitate the implementation of the incident response policy and associated
+ incident response controls; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the current:
+
+
+
+
+
+
1.
+
+
+
+
+
Incident response policy ir-1_b organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Incident response procedures ir-1_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the establishment of policy and procedures for the effective
+ implementation of selected security controls and control enhancements in the IR family.
+ Policy and procedures reflect applicable federal laws, Executive Orders, directives,
+ regulations, policies, standards, and guidance. Security program policies and procedures
+ at the organization level may make the need for system-specific policies and procedures
+ unnecessary. The policy can be included as part of the general information security
+ policy for organizations or conversely, can be represented by multiple policies reflecting
+ the complex nature of certain organizations. The procedures can be established for
+ the security program in general and for particular information systems, if needed.
+ The organizational risk management strategy is a key factor in establishing policy
+ and procedures.
+
develops and documents an incident response policy that addresses:
+
+
+
+
+
+
[a]
+
+
+
+
+
purpose;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
scope;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
roles;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
responsibilities;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
management commitment;
+
+
+
+
+
+
+
+
+
+
+
[f]
+
+
+
+
+
coordination among organizational entities;
+
+
+
+
+
+
+
+
+
+
+
[g]
+
+
+
+
+
compliance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the incident response policy is to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the incident response policy to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(a)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops and documents procedures to facilitate the implementation of the incident
+ response policy and associated incident response controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current incident response policy;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current incident response policy with the organization-defined
+ frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current incident response procedures;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current incident response procedures with the organization-defined
+ frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy and procedures
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident response responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-12
+
+
+
+
+
+
NIST Special Publication 800-61
+
+
+
+
+
+
NIST Special Publication 800-83
+
+
+
+
+
+
NIST Special Publication 800-100
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW IR-1
+
+
MOD IR-1
+
+
HIGH IR-1
+
+
+
+
+
+
+
+
IR-2 INCIDENT RESPONSE TRAINING
+
+
+
+
+
+
Parameter: ir-2_a organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
Parameter: ir-2_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization provides incident response training to information system users consistent
+ with assigned roles and responsibilities:
+
+
+
+
+
+
+
a.
+
+
+
+
+
Within ir-2_a organization-defined time period [organization-defined time period] of assuming an incident response role or responsibility;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
When required by information system changes; and
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
+ ir-2_b organization-defined frequency [organization-defined frequency] thereafter.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Incident response training provided by organizations is linked to the assigned roles
+ and responsibilities of organizational personnel to ensure the appropriate content
+ and level of detail is included in such training. For example, regular users may only
+ need to know who to call or how to recognize an incident on the information system;
+ system administrators may require additional training on how to handle/remediate incidents;
+ and incident responders may receive more specific training on forensics, reporting,
+ system recovery, and restoration. Incident response training includes user training
+ in the identification and reporting of suspicious activities, both from external and
+ internal sources.
+
defines a time period within which incident response training is to be provided to
+ information system users assuming an incident response role or responsibility;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
provides incident response training to information system users consistent with assigned
+ roles and responsibilities within the organization-defined time period of assuming
+ an incident response role or responsibility;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
provides incident response training to information system users consistent with assigned
+ roles and responsibilities when required by information system changes;
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to provide refresher incident response training to information
+ system users consistent with assigned roles or responsibilities; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
after the initial incident response training, provides refresher incident response
+ training to information system users consistent with assigned roles and responsibilities
+ in accordance with the organization-defined frequency to provide refresher training.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy
+
+
+
procedures addressing incident response training
+
+
+
incident response training curriculum
+
+
+
incident response training materials
+
+
+
security plan
+
+
+
incident response plan
+
+
+
security plan
+
+
+
incident response training records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident response training and operational responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
Control enhancements
+
+
IR-2 (1) SIMULATED EVENTS
+
+
+
+
+
+
Control
+
+
+
The organization incorporates simulated events into incident response training to
+ facilitate effective response by personnel in crisis situations.
+
+
+
+
+
Objective
+
+
+
Determine if the organization incorporates simulated events into incident response
+ training to facilitate effective response by personnel in crisis situations.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy
+
+
+
procedures addressing incident response training
+
+
+
incident response training curriculum
+
+
+
incident response training materials
+
+
+
incident response plan
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident response training and operational responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms that support and/or implement simulated events for incident response
+ training
+
+
+
+
+
+
+
IR-2 (2) AUTOMATED TRAINING ENVIRONMENTS
+
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to provide a more thorough and realistic
+ incident response training environment.
+
+
+
+
+
Objective
+
+
+
Determine if the organization employs automated mechanisms to provide a more thorough
+ and realistic incident response training environment.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy
+
+
+
procedures addressing incident response training
+
+
+
incident response training curriculum
+
+
+
incident response training materials
+
+
+
automated mechanisms supporting incident response training
+
+
+
incident response plan
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident response training and operational responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms that provide a thorough and realistic incident response training
+ environment
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-16
+
+
+
+
+
+
NIST Special Publication 800-50
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW IR-2
+
+
MOD IR-2
+
+
HIGH IR-2 (1) (2)
+
+
+
+
+
+
+
+
IR-3 INCIDENT RESPONSE TESTING
+
+
+
+
+
+
Parameter: ir-3_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: ir-3_b organization-defined tests
+
+
+
Default: organization-defined tests
+
+
+
+
+
+
+
+
+
Control
+
+
+
The organization tests the incident response capability for the information system
+ ir-3_a organization-defined frequency [organization-defined frequency] using ir-3_b organization-defined tests [organization-defined tests] to determine the incident response effectiveness and documents the results.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations test incident response capabilities to determine the overall effectiveness
+ of the capabilities and to identify potential weaknesses or deficiencies. Incident
+ response testing includes, for example, the use of checklists, walk-through or tabletop
+ exercises, simulations (parallel/full interrupt), and comprehensive exercises. Incident
+ response testing can also include a determination of the effects on organizational
+ operations (e.g., reduction in mission capabilities), organizational assets, and individuals
+ due to incident response.
+
defines incident response tests to test the incident response capability for the information
+ system;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the frequency to test the incident response capability for the information
+ system; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
tests the incident response capability for the information system with the organization-defined
+ frequency, using organization-defined tests to determine the incident response effectiveness
+ and documents the results.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy
+
+
+
contingency planning policy
+
+
+
procedures addressing incident response testing
+
+
+
procedures addressing contingency plan testing
+
+
+
incident response testing material
+
+
+
incident response test results
+
+
+
incident response test plan
+
+
+
incident response plan
+
+
+
contingency plan
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident response testing responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
Control enhancements
+
+
IR-3 (1) AUTOMATED TESTING
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to more thoroughly and effectively test
+ the incident response capability.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations use automated mechanisms to more thoroughly and effectively test incident
+ response capabilities, for example: (i) by providing more complete coverage of incident
+ response issues; (ii) by selecting more realistic test scenarios and test environments;
+ and (iii) by stressing the response capability.
+
Organizational personnel with incident response testing responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms that more thoroughly and effectively test the incident response
+ capability
+
+
+
+
+
+
+
IR-3 (2) COORDINATION WITH RELATED PLANS
+
+
+
+
+
+
+
Control
+
+
+
The organization coordinates incident response testing with organizational elements
+ responsible for related plans.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizational plans related to incident response testing include, for example, Business
+ Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity of Operations
+ Plans, Crisis Communications Plans, Critical Infrastructure Plans, and Occupant Emergency
+ Plans.
+
+
+
+
+
Objective
+
+
+
Determine if the organization coordinates incident response testing with organizational
+ elements responsible for related plans.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy
+
+
+
contingency planning policy
+
+
+
procedures addressing incident response testing
+
+
+
incident response testing documentation
+
+
+
incident response plan
+
+
+
business continuity plans
+
+
+
contingency plans
+
+
+
disaster recovery plans
+
+
+
continuity of operations plans
+
+
+
crisis communications plans
+
+
+
critical infrastructure plans
+
+
+
occupant emergency plans
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident response testing responsibilities
+
+
+
organizational personnel with responsibilities for testing organizational plans related
+ to incident response testing
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-84
+
+
+
+
+
+
NIST Special Publication 800-115
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW Not selected
+
+
MOD IR-3 (2)
+
+
HIGH IR-3 (2)
+
+
+
+
+
+
+
+
IR-4 INCIDENT HANDLING
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Implements an incident handling capability for security incidents that includes preparation,
+ detection and analysis, containment, eradication, and recovery;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Coordinates incident handling activities with contingency planning activities; and
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Incorporates lessons learned from ongoing incident handling activities into incident
+ response procedures, training, and testing, and implements the resulting changes accordingly.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations recognize that incident response capability is dependent on the capabilities
+ of organizational information systems and the mission/business processes being supported
+ by those systems. Therefore, organizations consider incident response as part of the
+ definition, design, and development of mission/business processes and information
+ systems. Incident-related information can be obtained from a variety of sources including,
+ for example, audit monitoring, network monitoring, physical access monitoring, user/administrator
+ reports, and reported supply chain events. Effective incident handling capability
+ includes coordination among many organizational entities including, for example, mission/business
+ owners, information system owners, authorizing officials, human resources offices,
+ physical and personnel security offices, legal departments, operations personnel,
+ procurement offices, and the risk executive (function).
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
incident response plan
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident handling responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms that support and/or implement the incident handling process
+
+
+
+
+
+
+
IR-4 (2) DYNAMIC RECONFIGURATION
+
+
+
+
+
+
Parameter: ir-4_a organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
Control
+
+
+
The organization includes dynamic reconfiguration of ir-4_a organization-defined information system components [organization-defined information system components] as part of the incident response capability.
+
+
+
+
+
Supplemental guidance
+
+
+
Dynamic reconfiguration includes, for example, changes to router rules, access control
+ lists, intrusion detection/prevention system parameters, and filter rules for firewalls
+ and gateways. Organizations perform dynamic reconfiguration of information systems,
+ for example, to stop attacks, to misdirect attackers, and to isolate components of
+ systems, thus limiting the extent of the damage from breaches or compromises. Organizations
+ include time frames for achieving the reconfiguration of information systems in the
+ definition of the reconfiguration capability, considering the potential need for rapid
+ response in order to effectively address sophisticated cyber threats.
+
list of system components to be dynamically reconfigured as part of incident response
+ capability
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
incident response plan
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident handling responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms that support and/or implement dynamic reconfiguration of components
+ as part of incident response
+
+
+
+
+
+
+
IR-4 (3) CONTINUITY OF OPERATIONS
+
+
+
+
+
+
Parameter: ir-4_b organization-defined classes of incidents
+
+
+
Default: organization-defined classes of incidents
+
+
+
+
+
+
+
Parameter: ir-4_c organization-defined actions to take in response to classes of incidents
+
+
+
Default: organization-defined actions to take in response to classes of incidents
+
+
+
+
+
+
Control
+
+
+
The organization identifies ir-4_b organization-defined classes of incidents [organization-defined classes of incidents] and ir-4_c organization-defined actions to take in response to classes of incidents [organization-defined actions to take in response to classes of incidents] to ensure continuation of organizational missions and business functions.
+
+
+
+
+
Supplemental guidance
+
+
+
Classes of incidents include, for example, malfunctions due to design/implementation
+ errors and omissions, targeted malicious attacks, and untargeted malicious attacks.
+ Appropriate incident response actions include, for example, graceful degradation,
+ information system shutdown, fall back to manual mode/alternative technology whereby
+ the system operates differently, employing deceptive measures, alternate information
+ flows, or operating in a mode that is reserved solely for when systems are under attack.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines classes of incidents requiring an organization-defined action to be taken;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines actions to be taken in response to organization-defined classes of incidents;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
identifies organization-defined classes of incidents and organization-defined actions
+ to take in response to classes of incidents to ensure continuation of organizational
+ missions and business functions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy
+
+
+
procedures addressing incident handling
+
+
+
incident response plan
+
+
+
security plan
+
+
+
list of classes of incidents
+
+
+
list of appropriate incident response actions
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident handling responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms that support and/or implement continuity of operations
+
+
+
+
+
+
+
IR-4 (4) INFORMATION CORRELATION
+
+
+
+
+
+
Control
+
+
+
The organization correlates incident information and individual incident responses
+ to achieve an organization-wide perspective on incident awareness and response.
+
+
+
+
+
Supplemental guidance
+
+
+
Sometimes the nature of a threat event, for example, a hostile cyber attack, is such
+ that it can only be observed by bringing together information from different sources
+ including various reports and reporting procedures established by organizations.
+
+
+
+
+
Objective
+
+
+
Determine if the organization correlates incident information and individual incident
+ responses to achieve an organization-wide perspective on incident awareness and response.
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy
+
+
+
procedures addressing incident handling
+
+
+
incident response plan
+
+
+
security plan
+
+
+
automated mechanisms supporting incident and event correlation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
incident management correlation logs
+
+
+
event management correlation logs
+
+
+
security information and event management logs
+
+
+
incident management correlation reports
+
+
+
event management correlation reports
+
+
+
security information and event management reports
+
+
+
audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident handling responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with whom incident information and individual incident responses
+ are to be correlated
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for correlating incident information and individual incident
+ responses
+
+
+
automated mechanisms that support and or implement correlation of incident response
+ information with individual incident responses
+
+
+
+
+
+
+
IR-4 (5) AUTOMATIC DISABLING OF INFORMATION SYSTEM
+
The organization implements a configurable capability to automatically disable the
+ information system if ir-4_d organization-defined security violations [organization-defined security violations] are detected.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines security violations that, if detected, initiate a configurable capability
+ to automatically disable the information system; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
implements a configurable capability to automatically disable the information system
+ if any of the organization-defined security violations are detected.
+
information system configuration settings and associated documentation
+
+
+
incident response plan
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident handling responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Incident handling capability for the organization
+
+
+
automated mechanisms supporting and/or implementing automatic disabling of the information
+ system
+
+
+
+
+
+
+
IR-4 (6) INSIDER THREATS - SPECIFIC CAPABILITIES
+
+
+
+
+
Control
+
+
+
The organization implements incident handling capability for insider threats.
+
+
+
+
Supplemental guidance
+
+
+
While many organizations address insider threat incidents as an inherent part of their
+ organizational incident response capability, this control enhancement provides additional
+ emphasis on this type of threat and the need for specific incident handling capabilities
+ (as defined within organizations) to provide appropriate and timely responses.
+
+
+
+
+
Objective
+
+
+
Determine if the organization implements incident handling capability for insider
+ threats.
+
Parameter: ir-4_e organization-defined components or elements of the organization
+
+
+
Default: organization-defined components or elements of the organization
+
+
+
+
+
+
Control
+
+
+
The organization coordinates incident handling capability for insider threats across
+ ir-4_e organization-defined components or elements of the organization [organization-defined components or elements of the organization].
+
+
+
+
+
Supplemental guidance
+
+
+
Incident handling for insider threat incidents (including preparation, detection and
+ analysis, containment, eradication, and recovery) requires close coordination among
+ a variety of organizational components or elements to be effective. These components
+ or elements include, for example, mission/business owners, information system owners,
+ human resources offices, procurement offices, personnel/physical security offices,
+ operations personnel, and risk executive (function). In addition, organizations may
+ require external support from federal, state, and local law enforcement agencies.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines components or elements of the organization with whom the incident handling
+ capability for insider threats is to be coordinated; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
coordinates incident handling capability for insider threats across organization-defined
+ components or elements of the organization.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy
+
+
+
procedures addressing incident handling
+
+
+
incident response plan
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident handling responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel/elements with whom incident handling capability is to be
+ coordinated
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for coordinating incident handling
+
+
+
+
+
+
+
IR-4 (8) CORRELATION WITH EXTERNAL ORGANIZATIONS
+
Parameter: ir-4_g organization-defined incident information
+
+
+
Default: organization-defined incident information
+
+
+
+
+
+
Control
+
+
+
The organization coordinates with ir-4_f organization-defined external organizations [organization-defined external organizations] to correlate and share ir-4_g organization-defined incident information [organization-defined incident information] to achieve a cross-organization perspective on incident awareness and more effective
+ incident responses.
+
+
+
+
+
Supplemental guidance
+
+
+
The coordination of incident information with external organizations including, for
+ example, mission/business partners, military/coalition partners, customers, and multitiered
+ developers, can provide significant benefits. Cross-organizational coordination with
+ respect to incident handling can serve as an important risk management capability.
+ This capability allows organizations to leverage critical information from a variety
+ of sources to effectively respond to information security-related incidents potentially
+ affecting the organization�s operations, assets, and individuals.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines external organizations with whom organizational incident information is to
+ be coordinated;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines incident information to be correlated and shared with organization-defined
+ external organizations; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the organization coordinates with organization-defined external organizations to correlate
+ and share organization-defined information to achieve a cross-organization perspective
+ on incident awareness and more effective incident responses.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy
+
+
+
procedures addressing incident handling
+
+
+
list of external organizations
+
+
+
records of incident handling coordination with external organizations
+
+
+
incident response plan
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident handling responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
personnel from external organizations with whom incident response information is to
+ be coordinated/shared/correlated
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for coordinating incident handling information with external
+ organizations
+
The organization employs ir-4_h organization-defined dynamic response capabilities [organization-defined dynamic response capabilities] to effectively respond to security incidents.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement addresses the deployment of replacement or new capabilities
+ in a timely manner in response to security incidents (e.g., adversary actions during
+ hostile cyber attacks). This includes capabilities implemented at the mission/business
+ process level (e.g., activating alternative mission/business processes) and at the
+ information system level.
+
information system configuration settings and associated documentation
+
+
+
incident response plan
+
+
+
security plan
+
+
+
audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident handling responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for dynamic response capability
+
+
+
automated mechanisms supporting and/or implementing the dynamic response capability
+ for the organization
+
+
+
+
+
+
+
IR-4 (10) SUPPLY CHAIN COORDINATION
+
+
+
+
+
Control
+
+
+
The organization coordinates incident handling activities involving supply chain events
+ with other organizations involved in the supply chain.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations involved in supply chain activities include, for example, system/product
+ developers, integrators, manufacturers, packagers, assemblers, distributors, vendors,
+ and resellers. Supply chain incidents include, for example, compromises/breaches involving
+ information system components, information technology products, development processes
+ or personnel, and distribution processes or warehousing facilities.
+
+
+
+
+
Objective
+
+
+
Determine if the organization coordinates incident handling activities involving supply
+ chain events with other organizations involved in the supply chain.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy
+
+
+
procedures addressing supply chain coordination
+
+
+
acquisition contracts
+
+
+
service-level agreements
+
+
+
incident response plan
+
+
+
security plan
+
+
+
incident response plans of other organization involved in supply chain activities
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident handling responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with supply chain responsibilities
+
+
+
+
+
+
+
+
References
+
+
+
+
Executive Order 13587
+
+
+
+
+
+
NIST Special Publication 800-61
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW IR-4
+
+
MOD IR-4 (1)
+
+
HIGH IR-4 (1) (4)
+
+
+
+
+
+
+
+
IR-5 INCIDENT MONITORING
+
+
+
+
+
+
+
+
+
Control
+
+
+
The organization tracks and documents information system security incidents.
+
+
+
+
Supplemental guidance
+
+
+
Documenting information system security incidents includes, for example, maintaining
+ records about each incident, the status of the incident, and other pertinent information
+ necessary for forensics, evaluating incident details, trends, and handling. Incident
+ information can be obtained from a variety of sources including, for example, incident
+ reports, incident response teams, audit monitoring, network monitoring, physical access
+ monitoring, and user/administrator reports.
+
Organizational personnel with incident monitoring responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Incident monitoring capability for the organization
+
+
+
automated mechanisms supporting and/or implementing tracking and documenting of system
+ security incidents
+
+
+
+
+
+
+
Control enhancements
+
+
IR-5 (1) AUTOMATED TRACKING / DATA COLLECTION / ANALYSIS
+
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to assist in the tracking of security
+ incidents and in the collection and analysis of incident information.
+
+
+
+
+
Supplemental guidance
+
+
+
Automated mechanisms for tracking security incidents and collecting/analyzing incident
+ information include, for example, the Einstein network monitoring device and monitoring
+ online Computer Incident Response Centers (CIRCs) or other electronic databases of
+ incidents.
+
Requires personnel to report suspected security incidents to the organizational incident
+ response capability within ir-6_a organization-defined time period [organization-defined time period]; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reports security incident information to ir-6_b organization-defined authorities [organization-defined authorities].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
The intent of this control is to address both specific incident reporting requirements
+ within an organization and the formal incident reporting requirements for federal
+ agencies and their subordinate organizations. Suspected security incidents include,
+ for example, the receipt of suspicious email communications that can potentially contain
+ malicious code. The types of security incidents reported, the content and timeliness
+ of the reports, and the designated reporting authorities reflect applicable federal
+ laws, Executive Orders, directives, regulations, policies, standards, and guidance.
+ Current federal policy requires that all federal agencies (unless specifically exempted
+ from such requirements) report security incidents to the United States Computer Emergency
+ Readiness Team (US-CERT) within specified time frames designated in the US-CERT Concept
+ of Operations for Federal Cyber Security Incident Handling.
+
defines the time period within which personnel report suspected security incidents
+ to the organizational incident response capability;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires personnel to report suspected security incidents to the organizational incident
+ response capability within the organization-defined time period;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines authorities to whom security incident information is to be reported; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reports security incident information to organization-defined authorities.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy
+
+
+
procedures addressing incident reporting
+
+
+
incident reporting records and documentation
+
+
+
incident response plan
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident reporting responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
personnel who have/should have reported incidents
+
+
+
personnel (authorities) to whom incident information is to be reported
+
information system configuration settings and associated documentation
+
+
+
incident response plan
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident reporting responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for incident reporting
+
+
+
automated mechanisms supporting and/or implementing reporting of security incidents
+
+
+
+
+
+
+
IR-6 (2) VULNERABILITIES RELATED TO INCIDENTS
+
+
+
+
+
+
Parameter: ir-6_c organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
Control
+
+
+
The organization reports information system vulnerabilities associated with reported
+ security incidents to ir-6_c organization-defined personnel or roles [organization-defined personnel or roles].
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to whom information system vulnerabilities associated with
+ reported security incidents are to be reported; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reports information system vulnerabilities associated with reported security incidents
+ to organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy
+
+
+
procedures addressing incident reporting
+
+
+
incident response plan
+
+
+
security plan
+
+
+
security incident reports and associated information system vulnerabilities
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident reporting responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
personnel to whom vulnerabilities associated with security incidents are to be reported
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for incident reporting
+
+
+
automated mechanisms supporting and/or implementing reporting of vulnerabilities associated
+ with security incidents
+
+
+
+
+
+
+
IR-6 (3) COORDINATION WITH SUPPLY CHAIN
+
+
+
+
+
Control
+
+
+
The organization provides security incident information to other organizations involved
+ in the supply chain for information systems or information system components related
+ to the incident.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations involved in supply chain activities include, for example, system/product
+ developers, integrators, manufacturers, packagers, assemblers, distributors, vendors,
+ and resellers. Supply chain incidents include, for example, compromises/breaches involving
+ information system components, information technology products, development processes
+ or personnel, and distribution processes or warehousing facilities. Organizations
+ determine the appropriate information to share considering the value gained from support
+ by external organizations with the potential for harm due to sensitive information
+ being released to outside organizations of perhaps questionable trustworthiness.
+
+
+
+
+
Objective
+
+
+
Determine if the organization provides security incident information to other organizations
+ involved in the supply chain for information systems or information system components
+ related to the incident.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy
+
+
+
procedures addressing supply chain coordination
+
+
+
acquisition contracts
+
+
+
service-level agreements
+
+
+
incident response plan
+
+
+
security plan
+
+
+
plans of other organization involved in supply chain activities
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident reporting responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with supply chain responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for incident reporting
+
+
+
automated mechanisms supporting and/or implementing reporting of incident information
+ involved in the supply chain
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-61
+
+
+
+
+
+
http://www.us-cert.gov
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW IR-6
+
+
MOD IR-6 (1)
+
+
HIGH IR-6 (1)
+
+
+
+
+
+
+
+
IR-7 INCIDENT RESPONSE ASSISTANCE
+
+
+
+
+
+
+
+
+
Control
+
+
+
The organization provides an incident response support resource, integral to the organizational
+ incident response capability that offers advice and assistance to users of the information
+ system for the handling and reporting of security incidents.
+
+
+
+
+
Supplemental guidance
+
+
+
Incident response support resources provided by organizations include, for example,
+ help desks, assistance groups, and access to forensics services, when required.
+
IR-7 (1) AUTOMATION SUPPORT FOR AVAILABILITY OF INFORMATION / SUPPORT
+
+
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to increase the availability of incident
+ response-related information and support.
+
+
+
+
+
Supplemental guidance
+
+
+
Automated mechanisms can provide a push and/or pull capability for users to obtain
+ incident response assistance. For example, individuals might have access to a website
+ to query the assistance capability, or conversely, the assistance capability may have
+ the ability to proactively send information to users (general distribution or targeted)
+ as part of increasing understanding of current response capabilities and support.
+
+
+
+
+
Objective
+
+
+
Determine if the organization employs automated mechanisms to increase the availability
+ of incident response-related information and support.
+
automated mechanisms supporting incident response support and assistance
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
incident response plan
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident response support and assistance responsibilities
+
+
+
organizational personnel with access to incident response support and assistance capability
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for incident response assistance
+
+
+
automated mechanisms supporting and/or implementing an increase in the availability
+ of incident response information and support
+
+
+
+
+
+
+
IR-7 (2) COORDINATION WITH EXTERNAL PROVIDERS
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Establishes a direct, cooperative relationship between its incident response capability
+ and external providers of information system protection capability; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Identifies organizational incident response team members to the external providers.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
External providers of information system protection capability include, for example,
+ the Computer Network Defense program within the U.S. Department of Defense. External
+ providers help to protect, monitor, analyze, detect, and respond to unauthorized activity
+ within organizational information systems and networks.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
establishes a direct, cooperative relationship between its incident response capability
+ and external providers of information system protection capability; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
identifies organizational incident response team members to the external providers.
Organizational personnel with incident response support and assistance responsibilities
+
+
+
external providers of information system protection capability
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW IR-7
+
+
MOD IR-7 (1)
+
+
HIGH IR-7 (1)
+
+
+
+
+
+
+
+
IR-8 INCIDENT RESPONSE PLAN
+
+
+
+
+
+
Parameter: ir-8_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: ir-8_b organization-defined incident response personnel (identified by name and/or by role)
+ and organizational elements
+
+
+
Default: organization-defined incident response personnel (identified by name and/or by role)
+ and organizational elements
+
+
+
+
+
+
+
Parameter: ir-8_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: ir-8_d organization-defined incident response personnel (identified by name and/or by role)
+ and organizational elements
+
+
+
Default: organization-defined incident response personnel (identified by name and/or by role)
+ and organizational elements
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops an incident response plan that:
+
+
+
+
+
+
1.
+
+
+
+
+
Provides the organization with a roadmap for implementing its incident response capability;
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Describes the structure and organization of the incident response capability;
+
+
+
+
+
+
+
+
+
+
+
3.
+
+
+
+
+
Provides a high-level approach for how the incident response capability fits into
+ the overall organization;
+
+
+
+
+
+
+
+
+
+
+
+
4.
+
+
+
+
+
Meets the unique requirements of the organization, which relate to mission, size,
+ structure, and functions;
+
+
+
+
+
+
+
+
+
+
+
+
5.
+
+
+
+
+
Defines reportable incidents;
+
+
+
+
+
+
+
+
+
+
+
6.
+
+
+
+
+
Provides metrics for measuring the incident response capability within the organization;
+
+
+
+
+
+
+
+
+
+
+
7.
+
+
+
+
+
Defines the resources and management support needed to effectively maintain and mature
+ an incident response capability; and
+
+
+
+
+
+
+
+
+
+
+
+
8.
+
+
+
+
+
Is reviewed and approved by ir-8_a organization-defined personnel or roles [organization-defined personnel or roles];
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Distributes copies of the incident response plan to ir-8_b organization-defined incident response personnel (identified by name and/or by role)
+ and organizational elements [organization-defined incident response personnel (identified by name and/or by role)
+ and organizational elements];
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Reviews the incident response plan ir-8_c organization-defined frequency [organization-defined frequency];
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Updates the incident response plan to address system/organizational changes or problems
+ encountered during plan implementation, execution, or testing;
+
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Communicates incident response plan changes to ir-8_d organization-defined incident response personnel (identified by name and/or by role)
+ and organizational elements [organization-defined incident response personnel (identified by name and/or by role)
+ and organizational elements]; and
+
+
+
+
+
+
+
+
+
+
+
+
f.
+
+
+
+
+
Protects the incident response plan from unauthorized disclosure and modification.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
It is important that organizations develop and implement a coordinated approach to
+ incident response. Organizational missions, business functions, strategies, goals,
+ and objectives for incident response help to determine the structure of incident response
+ capabilities. As part of a comprehensive incident response capability, organizations
+ consider the coordination and sharing of information with external organizations,
+ including, for example, external service providers and organizations involved in the
+ supply chain for organizational information systems.
+
provides the organization with a roadmap for implementing its incident response capability;
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
describes the structure and organization of the incident response capability;
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
provides a high-level approach for how the incident response capability fits into
+ the overall organization;
+
+
+
+
+
+
+
+
+
+
+
+
(4)
+
+
+
+
+
meets the unique requirements of the organization, which relate to:
+
+
+
+
+
+
[1]
+
+
+
+
+
mission;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
size;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
structure;
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
functions;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(5)
+
+
+
+
+
defines reportable incidents;
+
+
+
+
+
+
+
+
+
+
+
(6)
+
+
+
+
+
provides metrics for measuring the incident response capability within the organization;
+
+
+
+
+
+
+
+
+
+
+
(7)
+
+
+
+
+
defines the resources and management support needed to effectively maintain and mature
+ an incident response capability;
+
+
+
+
+
+
+
+
+
+
+
+
(8)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to review and approve the incident response plan;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
is reviewed and approved by organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
+
+
+
+
[a]
+
+
+
+
+
defines incident response personnel (identified by name and/or by role) to whom copies
+ of the incident response plan are to be distributed;
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
defines organizational elements to whom copies of the incident response plan are to
+ be distributed;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
distributes copies of the incident response plan to organization-defined incident
+ response personnel (identified by name and/or by role) and organizational elements;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review the incident response plan;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews the incident response plan with the organization-defined frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
updates the incident response plan to address system/organizational changes or problems
+ encountered during plan:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
implementation;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
execution; or
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
testing;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
+
+
+
+
[a]
+
+
+
+
+
defines incident response personnel (identified by name and/or by role) to whom incident
+ response plan changes are to be communicated;
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
defines organizational elements to whom incident response plan changes are to be communicated;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
communicates incident response plan changes to organization-defined incident response
+ personnel (identified by name and/or by role) and organizational elements; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(f)
+
+
+
+
+
protects the incident response plan from unauthorized disclosure and modification.
records of incident response plan reviews and approvals
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident response planning responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational incident response plan and related organizational processes
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-61
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW IR-8
+
+
MOD IR-8
+
+
HIGH IR-8
+
+
+
+
+
+
+
+
IR-9 INFORMATION SPILLAGE RESPONSE
+
+
+
+
+
+
Parameter: ir-9_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: ir-9_b organization-defined actions
+
+
+
Default: organization-defined actions
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization responds to information spills by:
+
+
+
+
+
+
a.
+
+
+
+
+
Identifying the specific information involved in the information system contamination;
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Alerting ir-9_a organization-defined personnel or roles [organization-defined personnel or roles] of the information spill using a method of communication not associated with the
+ spill;
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Isolating the contaminated information system or system component;
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Eradicating the information from the contaminated information system or component;
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Identifying other information systems or system components that may have been subsequently
+ contaminated; and
+
+
+
+
+
+
+
+
+
+
+
+
f.
+
+
+
+
+
Performing other ir-9_b organization-defined actions [organization-defined actions].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Information spillage refers to instances where either classified or sensitive information
+ is inadvertently placed on information systems that are not authorized to process
+ such information. Such information spills often occur when information that is initially
+ thought to be of lower sensitivity is transmitted to an information system and then
+ is subsequently determined to be of higher sensitivity. At that point, corrective
+ action is required. The nature of the organizational response is generally based upon
+ the degree of sensitivity of the spilled information (e.g., security category or classification
+ level), the security capabilities of the information system, the specific nature of
+ contaminated storage media, and the access authorizations (e.g., security clearances)
+ of individuals with authorized access to the contaminated system. The methods used
+ to communicate information about the spill after the fact do not involve methods directly
+ associated with the actual spill to minimize the risk of further spreading the contamination
+ before such contamination is isolated and eradicated.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
responds to information spills by identifying the specific information causing the
+ information system contamination;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel to be alerted of the information spillage;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
identifies a method of communication not associated with the information spill to
+ use to alert organization-defined personnel of the spill;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
responds to information spills by alerting organization-defined personnel of the information
+ spill using a method of communication not associated with the spill;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
responds to information spills by isolating the contaminated information system;
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
responds to information spills by eradicating the information from the contaminated
+ information system;
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
responds to information spills by identifying other information systems that may have
+ been subsequently contaminated;
+
+
+
+
+
+
+
+
+
+
+
+
(f)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines other actions to be performed in response to information spills; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
responds to information spills by performing other organization-defined actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy
+
+
+
procedures addressing information spillage
+
+
+
incident response plan
+
+
+
records of information spillage alerts/notifications, list of personnel who should
+ receive alerts of information spillage
+
+
+
list of actions to be performed regarding information spillage
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident response responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for information spillage response
+
+
+
automated mechanisms supporting and/or implementing information spillage response
+ actions and related communications
+
+
+
+
+
+
Control enhancements
+
+
IR-9 (1) RESPONSIBLE PERSONNEL
+
+
+
+
+
+
Parameter: ir-9_c organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
Control
+
+
+
The organization assigns ir-9_c organization-defined personnel or roles [organization-defined personnel or roles] with responsibility for responding to information spills.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel with responsibility for responding to information spills; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
assigns organization-defined personnel with responsibility for responding to information
+ spills.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy
+
+
+
procedures addressing information spillage
+
+
+
incident response plan
+
+
+
list of personnel responsible for responding to information spillage
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident response responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
IR-9 (2) TRAINING
+
+
+
+
+
+
Parameter: ir-9_d organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
Control
+
+
+
The organization provides information spillage response training ir-9_d organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to provide information spillage response training; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
provides information spillage response training with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy
+
+
+
procedures addressing information spillage response training
+
+
+
information spillage response training curriculum
+
+
+
information spillage response training materials
+
+
+
incident response plan
+
+
+
information spillage response training records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident response training responsibilities
+
+
+
organizational personnel with information security responsibilities
+
The organization implements ir-9_e organization-defined procedures [organization-defined procedures] to ensure that organizational personnel impacted by information spills can continue
+ to carry out assigned tasks while contaminated systems are undergoing corrective actions.
+
+
+
+
+
Supplemental guidance
+
+
+
Correction actions for information systems contaminated due to information spillages
+ may be very time-consuming. During those periods, personnel may not have access to
+ the contaminated systems, which may potentially affect their ability to conduct organizational
+ business.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines procedures that ensure organizational personnel impacted by information spills
+ can continue to carry out assigned tasks while contaminated systems are undergoing
+ corrective actions; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
implements organization-defined procedures to ensure that organizational personnel
+ impacted by information spills can continue to carry out assigned tasks while contaminated
+ systems are undergoing corrective actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy
+
+
+
procedures addressing incident handling
+
+
+
procedures addressing information spillage
+
+
+
incident response plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident response responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for post-spill operations
+
The organization employs ir-9_f organization-defined security safeguards [organization-defined security safeguards] for personnel exposed to information not within assigned access authorizations.
+
+
+
+
+
Supplemental guidance
+
+
+
Security safeguards include, for example, making personnel exposed to spilled information
+ aware of the federal laws, directives, policies, and/or regulations regarding the
+ information and the restrictions imposed based on exposure to such information.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines security safeguards to be employed for personnel exposed to information not
+ within assigned access authorizations; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs organization-defined security safeguards for personnel exposed to information
+ not within assigned access authorizations.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy
+
+
+
procedures addressing incident handling
+
+
+
procedures addressing information spillage
+
+
+
incident response plan
+
+
+
security safeguards regarding information spillage/exposure to unauthorized personnel
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident response responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for dealing with information exposed to unauthorized personnel
+
+
+
automated mechanisms supporting and/or implementing safeguards for personnel exposed
+ to information not within assigned access authorizations
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
IR-10 INTEGRATED INFORMATION SECURITY ANALYSIS TEAM
+
+
+
+
+
+
Control
+
+
+
The organization establishes an integrated team of forensic/malicious code analysts,
+ tool developers, and real-time operations personnel.
+
+
+
+
+
Supplemental guidance
+
+
+
Having an integrated team for incident response facilitates information sharing. Such
+ capability allows organizational personnel, including developers, implementers, and
+ operators, to leverage the team knowledge of the threat in order to implement defensive
+ measures that will enable organizations to deter intrusions more effectively. Moreover,
+ it promotes the rapid detection of intrusions, development of appropriate mitigations,
+ and the deployment of effective defensive measures. For example, when an intrusion
+ is detected, the integrated security analysis team can rapidly develop an appropriate
+ response for operators to implement, correlate the new incident with information on
+ past intrusions, and augment ongoing intelligence development. This enables the team
+ to identify adversary TTPs that are linked to the operations tempo or to specific
+ missions/business functions, and to define responsive actions in a way that does not
+ disrupt the mission/business operations. Ideally, information security analysis teams
+ are distributed within organizations to make the capability more resilient.
+
+
+
+
+
Objective
+
+
+
Determine if the organization establishes an integrated team of forensic/malicious
+ code analyst, tool developers, and real-time operations personnel.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Incident response policy
+
+
+
procedures addressing incident response planning and security analysis team integration
+
+
+
incident response plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with incident response and information security analysis
+ responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel participating on integrated security analysis teams
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
+
+
+
MAINTENANCE
+
+
+
MA-1 SYSTEM MAINTENANCE POLICY AND PROCEDURES
+
+
+
+
+
+
Parameter: ma-1_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: ma-1_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: ma-1_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops, documents, and disseminates to ma-1_a organization-defined personnel or roles [organization-defined personnel or roles]:
+
+
+
+
+
+
+
1.
+
+
+
+
+
A system maintenance policy that addresses purpose, scope, roles, responsibilities,
+ management commitment, coordination among organizational entities, and compliance;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Procedures to facilitate the implementation of the system maintenance policy and associated
+ system maintenance controls; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the current:
+
+
+
+
+
+
1.
+
+
+
+
+
System maintenance policy ma-1_b organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
System maintenance procedures ma-1_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the establishment of policy and procedures for the effective
+ implementation of selected security controls and control enhancements in the MA family.
+ Policy and procedures reflect applicable federal laws, Executive Orders, directives,
+ regulations, policies, standards, and guidance. Security program policies and procedures
+ at the organization level may make the need for system-specific policies and procedures
+ unnecessary. The policy can be included as part of the general information security
+ policy for organizations or conversely, can be represented by multiple policies reflecting
+ the complex nature of certain organizations. The procedures can be established for
+ the security program in general and for particular information systems, if needed.
+ The organizational risk management strategy is a key factor in establishing policy
+ and procedures.
+
develops and documents a system maintenance policy that addresses:
+
+
+
+
+
+
[a]
+
+
+
+
+
purpose;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
scope;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
roles;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
responsibilities;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
management commitment;
+
+
+
+
+
+
+
+
+
+
+
[f]
+
+
+
+
+
coordination among organizational entities;
+
+
+
+
+
+
+
+
+
+
+
[g]
+
+
+
+
+
compliance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the system maintenance policy is to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the system maintenance policy to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(a)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops and documents procedures to facilitate the implementation of the maintenance
+ policy and associated system maintenance controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current system maintenance policy;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current system maintenance policy with the organization-defined
+ frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current system maintenance procedures;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current system maintenance procedures with the organization-defined
+ frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Maintenance policy and procedures
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with maintenance responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-12
+
+
+
+
+
+
NIST Special Publication 800-100
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW MA-1
+
+
MOD MA-1
+
+
HIGH MA-1
+
+
+
+
+
+
+
+
MA-2 CONTROLLED MAINTENANCE
+
+
+
+
+
+
Parameter: ma-2_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: ma-2_b organization-defined maintenance-related information
+
+
+
Default: organization-defined maintenance-related information
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Schedules, performs, documents, and reviews records of maintenance and repairs on
+ information system components in accordance with manufacturer or vendor specifications
+ and/or organizational requirements;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Approves and monitors all maintenance activities, whether performed on site or remotely
+ and whether the equipment is serviced on site or removed to another location;
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Requires that ma-2_a organization-defined personnel or roles [organization-defined personnel or roles] explicitly approve the removal of the information system or system components from
+ organizational facilities for off-site maintenance or repairs;
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Sanitizes equipment to remove all information from associated media prior to removal
+ from organizational facilities for off-site maintenance or repairs;
+
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Checks all potentially impacted security controls to verify that the controls are
+ still functioning properly following maintenance or repair actions; and
+
+
+
+
+
+
+
+
+
+
+
+
f.
+
+
+
+
+
Includes ma-2_b organization-defined maintenance-related information [organization-defined maintenance-related information] in organizational maintenance records.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the information security aspects of the information system
+ maintenance program and applies to all types of maintenance to any system component
+ (including applications) conducted by any local or nonlocal entity (e.g., in-contract,
+ warranty, in-house, software maintenance agreement). System maintenance also includes
+ those components not directly associated with information processing and/or data/information
+ retention such as scanners, copiers, and printers. Information necessary for creating
+ effective maintenance records includes, for example: (i) date and time of maintenance;
+ (ii) name of individuals or group performing the maintenance; (iii) name of escort,
+ if necessary; (iv) a description of the maintenance performed; and (v) information
+ system components/equipment removed or replaced (including identification numbers,
+ if applicable). The level of detail included in maintenance records can be informed
+ by the security categories of organizational information systems. Organizations consider
+ supply chain issues associated with replacement components for information systems.
+
schedules maintenance and repairs on information system components in accordance with:
+
+
+
+
+
+
[a]
+
+
+
+
+
manufacturer or vendor specifications; and/or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
organizational requirements;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
performs maintenance and repairs on information system components in accordance with:
+
+
+
+
+
+
[a]
+
+
+
+
+
manufacturer or vendor specifications; and/or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
organizational requirements;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
documents maintenance and repairs on information system components in accordance with:
+
+
+
+
+
+
[a]
+
+
+
+
+
manufacturer or vendor specifications; and/or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
organizational requirements;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
reviews records of maintenance and repairs on information system components in accordance
+ with:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
manufacturer or vendor specifications; and/or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
organizational requirements;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
approves all maintenance activities, whether performed on site or remotely and whether
+ the equipment is serviced on site or removed to another location;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
monitors all maintenance activities, whether performed on site or remotely and whether
+ the equipment is serviced on site or removed to another location;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles required to explicitly approve the removal of the information
+ system or system components from organizational facilities for off-site maintenance
+ or repairs;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires that organization-defined personnel or roles explicitly approve the removal
+ of the information system or system components from organizational facilities for
+ off-site maintenance or repairs;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
sanitizes equipment to remove all information from associated media prior to removal
+ from organizational facilities for off-site maintenance or repairs;
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
checks all potentially impacted security controls to verify that the controls are
+ still functioning properly following maintenance or repair actions;
+
+
+
+
+
+
+
+
+
+
+
+
(f)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines maintenance-related information to be included in organizational maintenance
+ records; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
includes organization-defined maintenance-related information in organizational maintenance
+ records.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing controlled information system maintenance
+
+
+
maintenance records
+
+
+
manufacturer/vendor maintenance specifications
+
+
+
equipment sanitization records
+
+
+
media sanitization records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system maintenance responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel responsible for media sanitization
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for scheduling, performing, documenting, reviewing, approving,
+ and monitoring maintenance and repairs for the information system
+
+
+
organizational processes for sanitizing information system components
+
automated mechanisms supporting and/or implementing production of records of maintenance
+ and repair actions
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW MA-2
+
+
MOD MA-2
+
+
HIGH MA-2 (2)
+
+
+
+
+
+
+
+
MA-3 MAINTENANCE TOOLS
+
+
+
+
+
+
+
+
Control
+
+
+
The organization approves, controls, and monitors information system maintenance tools.
+
+
+
+
Supplemental guidance
+
+
+
This control addresses security-related issues associated with maintenance tools used
+ specifically for diagnostic and repair actions on organizational information systems.
+ Maintenance tools can include hardware, software, and firmware items. Maintenance
+ tools are potential vehicles for transporting malicious code, either intentionally
+ or unintentionally, into a facility and subsequently into organizational information
+ systems. Maintenance tools can include, for example, hardware/software diagnostic
+ test equipment and hardware/software packet sniffers. This control does not cover
+ hardware/software components that may support information system maintenance, yet
+ are a part of the system, for example, the software implementing �ping,� �ls,� �ipconfig,�
+ or the hardware and software implementing the monitoring port of an Ethernet switch.
+
The organization inspects the maintenance tools carried into a facility by maintenance
+ personnel for improper or unauthorized modifications.
+
+
+
+
+
Supplemental guidance
+
+
+
If, upon inspection of maintenance tools, organizations determine that the tools have
+ been modified in an improper/unauthorized manner or contain malicious code, the incident
+ is handled consistent with organizational policies and procedures for incident handling.
+
Determine if the organization inspects the maintenance tools carried into a facility
+ by maintenance personnel for improper or unauthorized modifications.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing information system maintenance tools
+
+
+
information system maintenance tools and associated documentation
+
+
+
maintenance tool inspection records
+
+
+
maintenance records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system maintenance responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for inspecting maintenance tools
+
+
+
automated mechanisms supporting and/or implementing inspection of maintenance tools
+
+
+
+
+
+
+
MA-3 (2) INSPECT MEDIA
+
+
+
+
+
+
+
Control
+
+
+
The organization checks media containing diagnostic and test programs for malicious
+ code before the media are used in the information system.
+
+
+
+
+
Supplemental guidance
+
+
+
If, upon inspection of media containing maintenance diagnostic and test programs,
+ organizations determine that the media contain malicious code, the incident is handled
+ consistent with organizational incident handling policies and procedures.
+
Determine if the organization checks media containing diagnostic and test programs
+ for malicious code before the media are used in the information system.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing information system maintenance tools
+
+
+
information system maintenance tools and associated documentation
+
+
+
maintenance records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system maintenance responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational process for inspecting media for malicious code
+
+
+
automated mechanisms supporting and/or implementing inspection of media used for maintenance
+
+
+
+
+
+
+
MA-3 (3) PREVENT UNAUTHORIZED REMOVAL
+
+
+
+
+
+
Parameter: ma-3_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization prevents the unauthorized removal of maintenance equipment containing
+ organizational information by:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
Verifying that there is no organizational information contained on the equipment;
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Sanitizing or destroying the equipment;
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
Retaining the equipment within the facility; or
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
Obtaining an exemption from ma-3_a organization-defined personnel or roles [organization-defined personnel or roles] explicitly authorizing removal of the equipment from the facility.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Organizational information includes all information specifically owned by organizations
+ and information provided to organizations in which organizations serve as information
+ stewards.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization prevents the unauthorized removal of maintenance equipment
+ containing organizational information by:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
verifying that there is no organizational information contained on the equipment;
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
sanitizing or destroying the equipment;
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
retaining the equipment within the facility; or
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defining personnel or roles that can grant an exemption from explicitly authorizing
+ removal of the equipment from the facility; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
obtaining an exemption from organization-defined personnel or roles explicitly authorizing
+ removal of the equipment from the facility.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing information system maintenance tools
+
+
+
information system maintenance tools and associated documentation
+
+
+
maintenance records
+
+
+
equipment sanitization records
+
+
+
media sanitization records
+
+
+
exemptions for equipment removal
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system maintenance responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel responsible for media sanitization
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational process for preventing unauthorized removal of information
+
+
+
automated mechanisms supporting media sanitization or destruction of equipment
+
+
+
automated mechanisms supporting verification of media sanitization
+
+
+
+
+
+
+
MA-3 (4) RESTRICTED TOOL USE
+
+
+
+
+
Control
+
+
+
The information system restricts the use of maintenance tools to authorized personnel
+ only.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement applies to information systems that are used to carry out
+ maintenance functions.
+
Determine if the organization restricts the use of maintenance tools to authorized
+ personnel only.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing information system maintenance tools
+
+
+
information system maintenance tools and associated documentation
+
+
+
list of personnel authorized to use maintenance tools
+
+
+
maintenance tool usage records
+
+
+
maintenance records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system maintenance responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational process for restricting use of maintenance tools
+
+
+
automated mechanisms supporting and/or implementing restricted use of maintenance
+ tools
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-88
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P3
+
LOW Not selected
+
+
MOD MA-3 (1) (2)
+
+
HIGH MA-3 (1) (2) (3)
+
+
+
+
+
+
+
+
MA-4 NONLOCAL MAINTENANCE
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Approves and monitors nonlocal maintenance and diagnostic activities;
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Allows the use of nonlocal maintenance and diagnostic tools only as consistent with
+ organizational policy and documented in the security plan for the information system;
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Employs strong authenticators in the establishment of nonlocal maintenance and diagnostic
+ sessions;
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Maintains records for nonlocal maintenance and diagnostic activities; and
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Terminates session and network connections when nonlocal maintenance is completed.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Nonlocal maintenance and diagnostic activities are those activities conducted by individuals
+ communicating through a network, either an external network (e.g., the Internet) or
+ an internal network. Local maintenance and diagnostic activities are those activities
+ carried out by individuals physically present at the information system or information
+ system component and not communicating across a network connection. Authentication
+ techniques used in the establishment of nonlocal maintenance and diagnostic sessions
+ reflect the network access requirements in IA-2. Typically, strong authentication
+ requires authenticators that are resistant to replay attacks and employ multifactor
+ authentication. Strong authenticators include, for example, PKI where certificates
+ are stored on a token protected by a password, passphrase, or biometric. Enforcing
+ requirements in MA-4 is accomplished in part by other controls.
+
defines audit events to audit nonlocal maintenance and diagnostic sessions;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
audits organization-defined audit events for non-local maintenance and diagnostic
+ sessions; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
reviews records of the maintenance and diagnostic sessions.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing nonlocal information system maintenance
+
+
+
list of audit events
+
+
+
information system configuration settings and associated documentation
+
+
+
maintenance records
+
+
+
diagnostic records
+
+
+
audit records
+
+
+
reviews of maintenance and diagnostic session records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system maintenance responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with audit and review responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for audit and review of nonlocal maintenance
+
+
+
automated mechanisms supporting and/or implementing audit and review of nonlocal maintenance
+
+
+
+
+
+
+
MA-4 (2) DOCUMENT NONLOCAL MAINTENANCE
+
+
+
+
+
+
+
Control
+
+
+
The organization documents in the security plan for the information system, the policies
+ and procedures for the establishment and use of nonlocal maintenance and diagnostic
+ connections.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization documents in the security plan for the information system:
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the policies for the establishment and use of nonlocal maintenance and diagnostic
+ connections; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the procedures for the establishment and use of nonlocal maintenance and diagnostic
+ connections.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing non-local information system maintenance
+
+
+
security plan
+
+
+
maintenance records
+
+
+
diagnostic records
+
+
+
audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system maintenance responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
MA-4 (3) COMPARABLE SECURITY / SANITIZATION
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Requires that nonlocal maintenance and diagnostic services be performed from an information
+ system that implements a security capability comparable to the capability implemented
+ on the system being serviced; or
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Removes the component to be serviced from the information system prior to nonlocal
+ maintenance or diagnostic services, sanitizes the component (with regard to organizational
+ information) before removal from organizational facilities, and after the service
+ is performed, inspects and sanitizes the component (with regard to potentially malicious
+ software) before reconnecting the component to the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Comparable security capability on information systems, diagnostic tools, and equipment
+ providing maintenance services implies that the implemented security controls on those
+ systems, tools, and equipment are at least as comprehensive as the controls on the
+ information system being serviced.
+
requires that nonlocal maintenance and diagnostic services be performed from an information
+ system that implements a security capability comparable to the capability implemented
+ on the system being serviced; or
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
removes the component to be serviced from the information system;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
sanitizes the component (with regard to organizational information) prior to nonlocal
+ maintenance or diagnostic services and/or before removal from organizational facilities;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
inspects and sanitizes the component (with regard to potentially malicious software)
+ after service is performed on the component and before reconnecting the component
+ to the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing nonlocal information system maintenance
+
+
+
service provider contracts and/or service-level agreements
+
+
+
maintenance records
+
+
+
inspection records
+
+
+
audit records
+
+
+
equipment sanitization records
+
+
+
media sanitization records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system maintenance responsibilities
+
+
+
information system maintenance provider
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel responsible for media sanitization
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for comparable security and sanitization for nonlocal maintenance
+
+
+
organizational processes for removal, sanitization, and inspection of components serviced
+ via nonlocal maintenance
+
+
+
automated mechanisms supporting and/or implementing component sanitization and inspection
+
+
+
+
+
+
+
MA-4 (4) AUTHENTICATION / SEPARATION OF MAINTENANCE SESSIONS
+
+
+
+
+
+
Parameter: ma-4_b organization-defined authenticators that are replay resistant
+
+
+
Default: organization-defined authenticators that are replay resistant
+
+
+
+
+
+
+
+
+
+
+
+
The organization protects nonlocal maintenance sessions by:
+
+
+
+
+
+
(a)
+
+
+
+
+
Employing ma-4_b organization-defined authenticators that are replay resistant [organization-defined authenticators that are replay resistant]; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Separating the maintenance sessions from other network sessions with the information
+ system by either:
+
+
+
+
+
+
+
(1)
+
+
+
+
+
Physically separated communications paths; or
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
Logically separated communications paths based upon encryption.
Parameter: ma-4_c organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: ma-4_d organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Requires the approval of each nonlocal maintenance session by ma-4_c organization-defined personnel or roles [organization-defined personnel or roles]; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Notifies ma-4_d organization-defined personnel or roles [organization-defined personnel or roles] of the date and time of planned nonlocal maintenance.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Notification may be performed by maintenance personnel. Approval of nonlocal maintenance
+ sessions is accomplished by organizational personnel with sufficient information security
+ and information system knowledge to determine the appropriateness of the proposed
+ maintenance.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles required to approve each nonlocal maintenance session;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires the approval of each nonlocal maintenance session by organization-defined
+ personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to be notified of the date and time of planned nonlocal
+ maintenance; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
notifies organization-defined personnel roles of the date and time of planned nonlocal
+ maintenance.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing non-local information system maintenance
+
Organizational personnel with information system maintenance responsibilities
+
+
+
organizational personnel with notification responsibilities
+
+
+
organizational personnel with approval responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for approving and notifying personnel regarding nonlocal
+ maintenance
+
+
+
automated mechanisms supporting notification and approval of nonlocal maintenance
+
+
+
+
+
+
+
MA-4 (6) CRYPTOGRAPHIC PROTECTION
+
+
+
+
+
Control
+
+
+
The information system implements cryptographic mechanisms to protect the integrity
+ and confidentiality of nonlocal maintenance and diagnostic communications.
+
Determine if the information system implements cryptographic mechanisms to protect
+ the integrity and confidentiality of nonlocal maintenance and diagnostic communications.
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing non-local information system maintenance
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
Organizational personnel with information system maintenance responsibilities
+
+
+
network engineers
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Cryptographic mechanisms protecting nonlocal maintenance and diagnostic communications
+
+
+
+
+
+
+
MA-4 (7) REMOTE DISCONNECT VERIFICATION
+
+
+
+
+
Control
+
+
+
The information system implements remote disconnect verification at the termination
+ of nonlocal maintenance and diagnostic sessions.
+
+
+
+
+
Supplemental guidance
+
+
+
Remote disconnect verification ensures that remote connections from nonlocal maintenance
+ sessions have been terminated and are no longer available for use.
+
Organizational personnel with information system maintenance responsibilities
+
+
+
network engineers
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing remote disconnect verifications of terminated nonlocal
+ maintenance and diagnostic sessions
+
+
+
+
+
+
+
+
References
+
+
+
+
FIPS Publication 140-2
+
+
+
+
+
+
FIPS Publication 197
+
+
+
+
+
+
FIPS Publication 201
+
+
+
+
+
+
NIST Special Publication 800-63
+
+
+
+
+
+
NIST Special Publication 800-88
+
+
+
+
+
+
CNSS Policy 15
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW MA-4
+
+
MOD MA-4 (2)
+
+
HIGH MA-4 (2) (3)
+
+
+
+
+
+
+
+
MA-5 MAINTENANCE PERSONNEL
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Establishes a process for maintenance personnel authorization and maintains a list
+ of authorized maintenance organizations or personnel;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Ensures that non-escorted personnel performing maintenance on the information system
+ have required access authorizations; and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Designates organizational personnel with required access authorizations and technical
+ competence to supervise the maintenance activities of personnel who do not possess
+ the required access authorizations.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies to individuals performing hardware or software maintenance on
+ organizational information systems, while PE-2 addresses physical access for individuals
+ whose maintenance duties place them within the physical protection perimeter of the
+ systems (e.g., custodial staff, physical plant maintenance personnel). Technical competence
+ of supervising individuals relates to the maintenance performed on the information
+ systems while having required access authorizations refers to maintenance on and near
+ the systems. Individuals not previously identified as authorized maintenance personnel,
+ such as information technology manufacturers, vendors, systems integrators, and consultants,
+ may require privileged access to organizational information systems, for example,
+ when required to conduct maintenance activities with little or no notice. Based on
+ organizational assessments of risk, organizations may issue temporary credentials
+ to these individuals. Temporary credentials may be for one-time use or for very limited
+ time periods.
+
establishes a process for maintenance personnel authorization;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
maintains a list of authorized maintenance organizations or personnel;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
ensures that non-escorted personnel performing maintenance on the information system
+ have required access authorizations; and
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
designates organizational personnel with required access authorizations and technical
+ competence to supervise the maintenance activities of personnel who do not possess
+ the required access authorizations.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing maintenance personnel
+
+
+
service provider contracts
+
+
+
service-level agreements
+
+
+
list of authorized personnel
+
+
+
maintenance records
+
+
+
access control records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system maintenance responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for authorizing and managing maintenance personnel
+
+
+
automated mechanisms supporting and/or implementing authorization of maintenance personnel
+
+
+
+
+
+
Control enhancements
+
+
MA-5 (1) INDIVIDUALS WITHOUT APPROPRIATE ACCESS
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Implements procedures for the use of maintenance personnel that lack appropriate security
+ clearances or are not U.S. citizens, that include the following requirements:
+
+
+
+
+
+
+
(1)
+
+
+
+
+
Maintenance personnel who do not have needed access authorizations, clearances, or
+ formal access approvals are escorted and supervised during the performance of maintenance
+ and diagnostic activities on the information system by approved organizational personnel
+ who are fully cleared, have appropriate access authorizations, and are technically
+ qualified;
+
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
Prior to initiating maintenance or diagnostic activities by personnel who do not have
+ needed access authorizations, clearances or formal access approvals, all volatile
+ information storage components within the information system are sanitized and all
+ nonvolatile storage media are removed or physically disconnected from the system and
+ secured; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Develops and implements alternate security safeguards in the event an information
+ system component cannot be sanitized, removed, or disconnected from the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement denies individuals who lack appropriate security clearances
+ (i.e., individuals who do not possess security clearances or possess security clearances
+ at a lower level than required) or who are not U.S. citizens, visual and electronic
+ access to any classified information, Controlled Unclassified Information (CUI), or
+ any other sensitive information contained on organizational information systems. Procedures
+ for the use of maintenance personnel can be documented in security plans for the information
+ systems.
+
implements procedures for the use of maintenance personnel that lack appropriate security
+ clearances or are not U.S. citizens, that include the following requirements:
+
+
+
+
+
+
+
(1)
+
+
+
+
+
maintenance personnel who do not have needed access authorizations, clearances, or
+ formal access approvals are escorted and supervised during the performance of maintenance
+ and diagnostic activities on the information system by approved organizational personnel
+ who:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
are fully cleared;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
have appropriate access authorizations;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
are technically qualified;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
prior to initiating maintenance or diagnostic activities by personnel who do not have
+ needed access authorizations, clearances, or formal access approvals:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
all volatile information storage components within the information system are sanitized;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
all nonvolatile storage media are removed; or
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
all nonvolatile storage media are physically disconnected from the system and secured;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
develops and implements alternative security safeguards in the event an information
+ system component cannot be sanitized, removed, or disconnected from the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing maintenance personnel
+
+
+
information system media protection policy
+
+
+
physical and environmental protection policy
+
+
+
security plan
+
+
+
list of maintenance personnel requiring escort/supervision
+
+
+
maintenance records
+
+
+
access control records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system maintenance responsibilities
+
+
+
organizational personnel with personnel security responsibilities
+
+
+
organizational personnel with physical access control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel responsible for media sanitization
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for managing maintenance personnel without appropriate access
+
+
+
automated mechanisms supporting and/or implementing alternative security safeguards
+
MA-5 (2) SECURITY CLEARANCES FOR CLASSIFIED SYSTEMS
+
+
+
+
+
Control
+
+
+
The organization ensures that personnel performing maintenance and diagnostic activities
+ on an information system processing, storing, or transmitting classified information
+ possess security clearances and formal access approvals for at least the highest classification
+ level and for all compartments of information on the system.
+
Determine if the organization ensures that personnel performing maintenance and diagnostic
+ activities on an information system processing, storing, or transmitting classified
+ information possess:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
security clearances for at least the highest classification level on the system;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
security clearances for all compartments of information on the system;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
formal access approvals for at least the highest classification level on the system;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
formal access approvals for all compartments of information on the system.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing maintenance personnel
+
+
+
personnel records
+
+
+
maintenance records
+
+
+
access control records
+
+
+
access credentials
+
+
+
access authorizations
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system maintenance responsibilities
+
+
+
organizational personnel with personnel security responsibilities
+
+
+
organizational personnel with physical access control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for managing security clearances for maintenance personnel
+
+
+
+
+
+
+
MA-5 (3) CITIZENSHIP REQUIREMENTS FOR CLASSIFIED SYSTEMS
+
+
+
+
+
Control
+
+
+
The organization ensures that personnel performing maintenance and diagnostic activities
+ on an information system processing, storing, or transmitting classified information
+ are U.S. citizens.
+
Determine if the organization ensures that personnel performing maintenance and diagnostic
+ activities on an information system processing, storing, or transmitting classified
+ information are U.S. citizens.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing maintenance personnel
+
+
+
personnel records
+
+
+
maintenance records
+
+
+
access control records
+
+
+
access credentials
+
+
+
access authorizations
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system maintenance responsibilities
+
+
+
organizational personnel with personnel security responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
MA-5 (4) FOREIGN NATIONALS
+
+
+
+
+
+
+
+
+
+
+
The organization ensures that:
+
+
+
+
+
+
(a)
+
+
+
+
+
Cleared foreign nationals (i.e., foreign nationals with appropriate security clearances),
+ are used to conduct maintenance and diagnostic activities on classified information
+ systems only when the systems are jointly owned and operated by the United States
+ and foreign allied governments, or owned and operated solely by foreign allied governments;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Approvals, consents, and detailed operational conditions regarding the use of foreign
+ nationals to conduct maintenance and diagnostic activities on classified information
+ systems are fully documented within Memoranda of Agreements.
+
cleared foreign nationals (i.e., foreign nationals with appropriate security clearances)
+ are used to conduct maintenance and diagnostic activities on classified information
+ systems only when the systems are:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
jointly owned and operated by the United States and foreign allied governments; or
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
owned and operated solely by foreign allied governments; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
approvals, consents, and detailed operational conditions regarding the use of foreign
+ nationals to conduct maintenance and diagnostic activities on classified information
+ systems are fully documented within Memoranda of Agreements.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing maintenance personnel
+
+
+
information system media protection policy
+
+
+
access control policy and procedures
+
+
+
physical and environmental protection policy and procedures
+
+
+
memorandum of agreement
+
+
+
maintenance records
+
+
+
access control records
+
+
+
access credentials
+
+
+
access authorizations
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system maintenance responsibilities, organizational
+ personnel with personnel security responsibilities
+
+
+
organizational personnel managing memoranda of agreements
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for managing foreign national maintenance personnel
+
+
+
+
+
+
+
MA-5 (5) NONSYSTEM-RELATED MAINTENANCE
+
+
+
+
+
Control
+
+
+
The organization ensures that non-escorted personnel performing maintenance activities
+ not directly associated with the information system but in the physical proximity
+ of the system, have required access authorizations.
+
+
+
+
+
Supplemental guidance
+
+
+
Personnel performing maintenance activities in other capacities not directly related
+ to the information system include, for example, physical plant personnel and janitorial
+ personnel.
+
+
+
+
+
Objective
+
+
+
Determine if the organization ensures that non-escorted personnel performing maintenance
+ activities not directly associated with the information system but in the physical
+ proximity of the system, have required access authorizations.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing maintenance personnel
+
+
+
information system media protection policy
+
+
+
access control policy and procedures
+
+
+
physical and environmental protection policy and procedures
+
+
+
maintenance records
+
+
+
access control records
+
+
+
access authorizations
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system maintenance responsibilities
+
+
+
organizational personnel with personnel security responsibilities
+
+
+
organizational personnel with physical access control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW MA-5
+
+
MOD MA-5
+
+
HIGH MA-5 (1)
+
+
+
+
+
+
+
+
MA-6 TIMELY MAINTENANCE
+
+
+
+
+
+
Parameter: ma-6_a organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
+
Parameter: ma-6_b organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
+
+
Control
+
+
+
The organization obtains maintenance support and/or spare parts for ma-6_a organization-defined information system components [organization-defined information system components] within ma-6_b organization-defined time period [organization-defined time period] of failure.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations specify the information system components that result in increased risk
+ to organizational operations and assets, individuals, other organizations, or the
+ Nation when the functionality provided by those components is not operational. Organizational
+ actions to obtain maintenance support typically include having appropriate contracts
+ in place.
+
defines information system components for which maintenance support and/or spare parts
+ are to be obtained;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the time period within which maintenance support and/or spare parts are to
+ be obtained after a failure;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
+
+
+
+
[a]
+
+
+
+
+
obtains maintenance support for organization-defined information system components
+ within the organization-defined time period of failure; and/or
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
obtains spare parts for organization-defined information system components within
+ the organization-defined time period of failure.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing information system maintenance
+
+
+
service provider contracts
+
+
+
service-level agreements
+
+
+
inventory and availability of spare parts
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system maintenance responsibilities
+
+
+
organizational personnel with acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for ensuring timely maintenance
+
+
+
+
+
+
Control enhancements
+
+
MA-6 (1) PREVENTIVE MAINTENANCE
+
+
+
+
+
+
Parameter: ma-6_c organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
+
Parameter: ma-6_d organization-defined time intervals
+
+
+
Default: organization-defined time intervals
+
+
+
+
+
+
Control
+
+
+
The organization performs preventive maintenance on ma-6_c organization-defined information system components [organization-defined information system components] at ma-6_d organization-defined time intervals [organization-defined time intervals].
+
+
+
+
+
Supplemental guidance
+
+
+
Preventive maintenance includes proactive care and servicing of organizational information
+ systems components for the purpose of maintaining equipment and facilities in satisfactory
+ operating condition. Such maintenance provides for the systematic inspection, tests,
+ measurements, adjustments, parts replacement, detection, and correction of incipient
+ failures either before they occur or before they develop into major defects. The primary
+ goal of preventive maintenance is to avoid/mitigate the consequences of equipment
+ failures. Preventive maintenance is designed to preserve and restore equipment reliability
+ by replacing worn components before they actually fail. Methods of determining what
+ preventive (or other) failure management policies to apply include, for example, original
+ equipment manufacturer (OEM) recommendations, statistical failure records, requirements
+ of codes, legislation, or regulations within a jurisdiction, expert opinion, maintenance
+ that has already been conducted on similar equipment, or measured values and performance
+ indications.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines information system components on which preventive maintenance is to be performed;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines time intervals within which preventive maintenance is to be performed on organization-defined
+ information system components; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
performs preventive maintenance on organization-defined information system components
+ at organization-defined time intervals.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing information system maintenance
+
+
+
service provider contracts
+
+
+
service-level agreements
+
+
+
security plan
+
+
+
maintenance records
+
+
+
list of system components requiring preventive maintenance
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system maintenance responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for preventive maintenance
+
Parameter: ma-6_e organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
+
Parameter: ma-6_f organization-defined time intervals
+
+
+
Default: organization-defined time intervals
+
+
+
+
+
+
Control
+
+
+
The organization performs predictive maintenance on ma-6_e organization-defined information system components [organization-defined information system components] at ma-6_f organization-defined time intervals [organization-defined time intervals].
+
+
+
+
+
Supplemental guidance
+
+
+
Predictive maintenance, or condition-based maintenance, attempts to evaluate the condition
+ of equipment by performing periodic or continuous (online) equipment condition monitoring.
+ The goal of predictive maintenance is to perform maintenance at a scheduled point
+ in time when the maintenance activity is most cost-effective and before the equipment
+ loses performance within a threshold. The predictive component of predictive maintenance
+ stems from the goal of predicting the future trend of the equipment's condition. This
+ approach uses principles of statistical process control to determine at what point
+ in the future maintenance activities will be appropriate. Most predictive maintenance
+ inspections are performed while equipment is in service, thereby minimizing disruption
+ of normal system operations. Predictive maintenance can result in substantial cost
+ savings and higher system reliability. Predictive maintenance tends to include measurement
+ of the item. To evaluate equipment condition, predictive maintenance utilizes nondestructive
+ testing technologies such as infrared, acoustic (partial discharge and airborne ultrasonic),
+ corona detection, vibration analysis, sound level measurements, oil analysis, and
+ other specific online tests.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines information system components on which predictive maintenance is to be performed;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines time intervals within which predictive maintenance is to be performed on organization-defined
+ information system components; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
performs predictive maintenance on organization-defined information system components
+ at organization-defined time intervals.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing information system maintenance
+
+
+
service provider contracts
+
+
+
service-level agreements
+
+
+
security plan
+
+
+
maintenance records
+
+
+
list of system components requiring predictive maintenance
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system maintenance responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for predictive maintenance
+
MA-6 (3) AUTOMATED SUPPORT FOR PREDICTIVE MAINTENANCE
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to transfer predictive maintenance data
+ to a computerized maintenance management system.
+
+
+
+
+
Supplemental guidance
+
+
+
A computerized maintenance management system maintains a computer database of information
+ about the maintenance operations of organizations and automates processing equipment
+ condition data in order to trigger maintenance planning, execution, and reporting.
+
+
+
+
+
Objective
+
+
+
Determine if the organization employs automated mechanisms to transfer predictive
+ maintenance data to a computerized maintenance management system.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system maintenance policy
+
+
+
procedures addressing information system maintenance
+
+
+
service provider contracts
+
+
+
service-level agreements
+
+
+
security plan
+
+
+
maintenance records
+
+
+
list of system components requiring predictive maintenance
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system maintenance responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing the transfer of predictive maintenance data to a
+ computerized maintenance management system
+
+
+
operations of the computer maintenance management system
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW Not selected
+
+
MOD MA-6
+
+
HIGH MA-6
+
+
+
+
+
+
+
+
+
+
+
MEDIA PROTECTION
+
+
+
MP-1 MEDIA PROTECTION POLICY AND PROCEDURES
+
+
+
+
+
+
Parameter: mp-1_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: mp-1_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: mp-1_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops, documents, and disseminates to mp-1_a organization-defined personnel or roles [organization-defined personnel or roles]:
+
+
+
+
+
+
+
1.
+
+
+
+
+
A media protection policy that addresses purpose, scope, roles, responsibilities,
+ management commitment, coordination among organizational entities, and compliance;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Procedures to facilitate the implementation of the media protection policy and associated
+ media protection controls; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the current:
+
+
+
+
+
+
1.
+
+
+
+
+
Media protection policy mp-1_b organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Media protection procedures mp-1_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the establishment of policy and procedures for the effective
+ implementation of selected security controls and control enhancements in the MP family.
+ Policy and procedures reflect applicable federal laws, Executive Orders, directives,
+ regulations, policies, standards, and guidance. Security program policies and procedures
+ at the organization level may make the need for system-specific policies and procedures
+ unnecessary. The policy can be included as part of the general information security
+ policy for organizations or conversely, can be represented by multiple policies reflecting
+ the complex nature of certain organizations. The procedures can be established for
+ the security program in general and for particular information systems, if needed.
+ The organizational risk management strategy is a key factor in establishing policy
+ and procedures.
+
develops and documents a media protection policy that addresses:
+
+
+
+
+
+
[a]
+
+
+
+
+
purpose;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
scope;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
roles;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
responsibilities;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
management commitment;
+
+
+
+
+
+
+
+
+
+
+
[f]
+
+
+
+
+
coordination among organizational entities;
+
+
+
+
+
+
+
+
+
+
+
[g]
+
+
+
+
+
compliance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the media protection policy is to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the media protection policy to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(a)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops and documents procedures to facilitate the implementation of the media protection
+ policy and associated media protection controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current media protection policy;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current media protection policy with the organization-defined
+ frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current media protection procedures;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current media protection procedures with the organization-defined
+ frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Media protection policy and procedures
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with media protection responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-12
+
+
+
+
+
+
NIST Special Publication 800-100
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW MP-1
+
+
MOD MP-1
+
+
HIGH MP-1
+
+
+
+
+
+
+
+
MP-2 MEDIA ACCESS
+
+
+
+
+
+
Parameter: mp-2_a organization-defined types of digital and/or non-digital media
+
+
+
Default: organization-defined types of digital and/or non-digital media
+
+
+
+
+
+
+
Parameter: mp-2_b organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
+
+
+
Control
+
+
+
The organization restricts access to mp-2_a organization-defined types of digital and/or non-digital media [organization-defined types of digital and/or non-digital media] to mp-2_b organization-defined personnel or roles [organization-defined personnel or roles].
+
+
+
+
+
Supplemental guidance
+
+
+
Information system media includes both digital and non-digital media. Digital media
+ includes, for example, diskettes, magnetic tapes, external/removable hard disk drives,
+ flash drives, compact disks, and digital video disks. Non-digital media includes,
+ for example, paper and microfilm. Restricting non-digital media access includes, for
+ example, denying access to patient medical records in a community hospital unless
+ the individuals seeking access to such records are authorized healthcare providers.
+ Restricting access to digital media includes, for example, limiting access to design
+ specifications stored on compact disks in the media library to the project leader
+ and the individuals on the development team.
+
Parameter: mp-3_a organization-defined types of information system media
+
+
+
Default: organization-defined types of information system media
+
+
+
+
+
+
+
Parameter: mp-3_b organization-defined controlled areas
+
+
+
Default: organization-defined controlled areas
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Marks information system media indicating the distribution limitations, handling caveats,
+ and applicable security markings (if any) of the information; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Exempts mp-3_a organization-defined types of information system media [organization-defined types of information system media] from marking as long as the media remain within mp-3_b organization-defined controlled areas [organization-defined controlled areas].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
The term security marking refers to the application/use of human-readable security
+ attributes. The term security labeling refers to the application/use of security attributes
+ with regard to internal data structures within information systems (see AC-16). Information
+ system media includes both digital and non-digital media. Digital media includes,
+ for example, diskettes, magnetic tapes, external/removable hard disk drives, flash
+ drives, compact disks, and digital video disks. Non-digital media includes, for example,
+ paper and microfilm. Security marking is generally not required for media containing
+ information determined by organizations to be in the public domain or to be publicly
+ releasable. However, some organizations may require markings for public information
+ indicating that the information is publicly releasable. Marking of information system
+ media reflects applicable federal laws, Executive Orders, directives, policies, regulations,
+ standards, and guidance.
+
applicable security markings (if any) of the information;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines types of information system media to be exempted from marking as long as the
+ media remain in designated controlled areas;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines controlled areas where organization-defined types of information system media
+ exempt from marking are to be retained; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
exempts organization-defined types of information system media from marking as long
+ as the media remain within organization-defined controlled areas.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system media protection policy
+
+
+
procedures addressing media marking
+
+
+
physical and environmental protection policy and procedures
+
+
+
security plan
+
+
+
list of information system media marking security attributes
+
+
+
designated controlled areas
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system media protection and marking responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for marking information media
+
+
+
automated mechanisms supporting and/or implementing media marking
+
+
+
+
+
+
+
References
+
+
+
+
FIPS Publication 199
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW Not selected
+
+
MOD MP-3
+
+
HIGH MP-3
+
+
+
+
+
+
+
+
MP-4 MEDIA STORAGE
+
+
+
+
+
+
Parameter: mp-4_a organization-defined types of digital and/or non-digital media
+
+
+
Default: organization-defined types of digital and/or non-digital media
+
+
+
+
+
+
+
Parameter: mp-4_b organization-defined controlled areas
+
+
+
Default: organization-defined controlled areas
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Physically controls and securely stores mp-4_a organization-defined types of digital and/or non-digital media [organization-defined types of digital and/or non-digital media] within mp-4_b organization-defined controlled areas [organization-defined controlled areas]; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Protects information system media until the media are destroyed or sanitized using
+ approved equipment, techniques, and procedures.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Information system media includes both digital and non-digital media. Digital media
+ includes, for example, diskettes, magnetic tapes, external/removable hard disk drives,
+ flash drives, compact disks, and digital video disks. Non-digital media includes,
+ for example, paper and microfilm. Physically controlling information system media
+ includes, for example, conducting inventories, ensuring procedures are in place to
+ allow individuals to check out and return media to the media library, and maintaining
+ accountability for all stored media. Secure storage includes, for example, a locked
+ drawer, desk, or cabinet, or a controlled media library. The type of media storage
+ is commensurate with the security category and/or classification of the information
+ residing on the media. Controlled areas are areas for which organizations provide
+ sufficient physical and procedural safeguards to meet the requirements established
+ for protecting information and/or information systems. For media containing information
+ determined by organizations to be in the public domain, to be publicly releasable,
+ or to have limited or no adverse impact on organizations or individuals if accessed
+ by other than authorized personnel, fewer safeguards may be needed. In these situations,
+ physical access controls provide adequate protection.
+
Protects and controls mp-5_a organization-defined types of information system media [organization-defined types of information system media] during transport outside of controlled areas using mp-5_b organization-defined security safeguards [organization-defined security safeguards];
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Maintains accountability for information system media during transport outside of
+ controlled areas;
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Documents activities associated with the transport of information system media; and
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Restricts the activities associated with the transport of information system media
+ to authorized personnel.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Information system media includes both digital and non-digital media. Digital media
+ includes, for example, diskettes, magnetic tapes, external/removable hard disk drives,
+ flash drives, compact disks, and digital video disks. Non-digital media includes,
+ for example, paper and microfilm. This control also applies to mobile devices with
+ information storage capability (e.g., smart phones, tablets, E-readers), that are
+ transported outside of controlled areas. Controlled areas are areas or spaces for
+ which organizations provide sufficient physical and/or procedural safeguards to meet
+ the requirements established for protecting information and/or information systems.
+ Physical and technical safeguards for media are commensurate with the security category
+ or classification of the information residing on the media. Safeguards to protect
+ media during transport include, for example, locked containers and cryptography. Cryptographic
+ mechanisms can provide confidentiality and integrity protections depending upon the
+ mechanisms used. Activities associated with transport include the actual transport
+ as well as those activities such as releasing media for transport and ensuring that
+ media enters the appropriate transport processes. For the actual transport, authorized
+ transport and courier personnel may include individuals from outside the organization
+ (e.g., U.S. Postal Service or a commercial transport or delivery service). Maintaining
+ accountability of media during transport includes, for example, restricting transport
+ activities to authorized personnel, and tracking and/or obtaining explicit records
+ of transport activities as the media moves through the transportation system to prevent
+ and detect loss, destruction, or tampering. Organizations establish documentation
+ requirements for activities associated with the transport of information system media
+ in accordance with organizational assessments of risk to include the flexibility to
+ define different record-keeping methods for the different types of media transport
+ as part of an overall system of transport-related records.
+
defines types of information system media to be protected and controlled during transport
+ outside of controlled areas;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines security safeguards to protect and control organization-defined information
+ system media during transport outside of controlled areas;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
protects and controls organization-defined information system media during transport
+ outside of controlled areas using organization-defined security safeguards;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
maintains accountability for information system media during transport outside of
+ controlled areas;
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
documents activities associated with the transport of information system media; and
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
restricts the activities associated with transport of information system media to
+ authorized personnel.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system media protection policy
+
+
+
procedures addressing media storage
+
+
+
physical and environmental protection policy and procedures
+
+
+
access control policy and procedures
+
+
+
security plan
+
+
+
information system media
+
+
+
designated controlled areas
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system media protection and storage responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for storing information media
+
+
+
automated mechanisms supporting and/or implementing media storage/media protection
+
The organization employs an identified custodian during transport of information system
+ media outside of controlled areas.
+
+
+
+
+
Supplemental guidance
+
+
+
Identified custodians provide organizations with specific points of contact during
+ the media transport process and facilitate individual accountability. Custodial responsibilities
+ can be transferred from one individual to another as long as an unambiguous custodian
+ is identified at all times.
+
+
+
+
+
Objective
+
+
+
Determine if the organization employs an identified custodian during transport of
+ information system media outside of controlled areas.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system media protection policy
+
+
+
procedures addressing media transport
+
+
+
physical and environmental protection policy and procedures
+
+
+
information system media transport records
+
+
+
audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system media transport responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
MP-5 (4) CRYPTOGRAPHIC PROTECTION
+
+
+
+
+
+
+
Control
+
+
+
The information system implements cryptographic mechanisms to protect the confidentiality
+ and integrity of information stored on digital media during transport outside of controlled
+ areas.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement applies to both portable storage devices (e.g., USB memory
+ sticks, compact disks, digital video disks, external/removable hard disk drives) and
+ mobile devices with storage capability (e.g., smart phones, tablets, E-readers).
+
Determine if the organization employs cryptographic mechanisms to protect the confidentiality
+ and integrity of information stored on digital media during transport outside of controlled
+ areas.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system media protection policy
+
+
+
procedures addressing media transport
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system media transport records
+
+
+
audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system media transport responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Cryptographic mechanisms protecting information on digital media during transportation
+ outside controlled areas
+
+
+
+
+
+
+
+
References
+
+
+
+
FIPS Publication 199
+
+
+
+
+
+
NIST Special Publication 800-60
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD MP-5 (4)
+
+
HIGH MP-5 (4)
+
+
+
+
+
+
+
+
MP-6 MEDIA SANITIZATION
+
+
+
+
+
+
Parameter: mp-6_a organization-defined information system media
+
+
+
Default: organization-defined information system media
+
+
+
+
+
+
+
Parameter: mp-6_b organization-defined sanitization techniques and procedures
+
+
+
Default: organization-defined sanitization techniques and procedures
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Sanitizes mp-6_a organization-defined information system media [organization-defined information system media] prior to disposal, release out of organizational control, or release for reuse using
+ mp-6_b organization-defined sanitization techniques and procedures [organization-defined sanitization techniques and procedures] in accordance with applicable federal and organizational standards and policies;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Employs sanitization mechanisms with the strength and integrity commensurate with
+ the security category or classification of the information.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies to all information system media, both digital and non-digital,
+ subject to disposal or reuse, whether or not the media is considered removable. Examples
+ include media found in scanners, copiers, printers, notebook computers, workstations,
+ network components, and mobile devices. The sanitization process removes information
+ from the media such that the information cannot be retrieved or reconstructed. Sanitization
+ techniques, including clearing, purging, cryptographic erase, and destruction, prevent
+ the disclosure of information to unauthorized individuals when such media is reused
+ or released for disposal. Organizations determine the appropriate sanitization methods
+ recognizing that destruction is sometimes necessary when other methods cannot be applied
+ to media requiring sanitization. Organizations use discretion on the employment of
+ approved sanitization techniques and procedures for media containing information deemed
+ to be in the public domain or publicly releasable, or deemed to have no adverse impact
+ on organizations or individuals if released for reuse or disposal. Sanitization of
+ non-digital media includes, for example, removing a classified appendix from an otherwise
+ unclassified document, or redacting selected sections or words from a document by
+ obscuring the redacted sections/words in a manner equivalent in effectiveness to removing
+ them from the document. NSA standards and policies control the sanitization process
+ for media containing classified information.
+
defines information system media to be sanitized prior to:
+
+
+
+
+
+
[a]
+
+
+
+
+
disposal;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
release out of organizational control; or
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
release for reuse;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines sanitization techniques or procedures to be used for sanitizing organization-defined
+ information system media prior to:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
disposal;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
release out of organizational control; or
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
release for reuse;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
sanitizes organization-defined information system media prior to disposal, release
+ out of organizational control, or release for reuse using organization-defined sanitization
+ techniques or procedures in accordance with applicable federal and organizational
+ standards and policies; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
employs sanitization mechanisms with strength and integrity commensurate with the
+ security category or classification of the information.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system media protection policy
+
+
+
procedures addressing media sanitization and disposal
+
+
+
applicable federal standards and policies addressing media sanitization
+
+
+
media sanitization records
+
+
+
audit records
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with media sanitization responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for media sanitization
+
+
+
automated mechanisms supporting and/or implementing media sanitization
+
The organization reviews, approves, tracks, documents, and verifies media sanitization
+ and disposal actions.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations review and approve media to be sanitized to ensure compliance with records-retention
+ policies. Tracking/documenting actions include, for example, listing personnel who
+ reviewed and approved sanitization and disposal actions, types of media sanitized,
+ specific files stored on the media, sanitization methods used, date and time of the
+ sanitization actions, personnel who performed the sanitization, verification actions
+ taken, personnel who performed the verification, and disposal action taken. Organizations
+ verify that the sanitization of the media was effective prior to disposal.
+
documents media sanitization and disposal actions; and
+
+
+
+
+
+
+
+
+
+
+
[5]
+
+
+
+
+
verifies media sanitization and disposal actions.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system media protection policy
+
+
+
procedures addressing media sanitization and disposal
+
+
+
media sanitization and disposal records
+
+
+
review records for media sanitization and disposal actions
+
+
+
approvals for media sanitization and disposal actions
+
+
+
tracking records
+
+
+
verification records
+
+
+
audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system media sanitization and disposal responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for media sanitization
+
+
+
automated mechanisms supporting and/or implementing media sanitization
+
+
+
+
+
+
+
MP-6 (2) EQUIPMENT TESTING
+
+
+
+
+
+
Parameter: mp-6_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Control
+
+
+
The organization tests sanitization equipment and procedures mp-6_c organization-defined frequency [organization-defined frequency] to verify that the intended sanitization is being achieved.
+
+
+
+
+
Supplemental guidance
+
+
+
Testing of sanitization equipment and procedures may be conducted by qualified and
+ authorized external entities (e.g., other federal agencies or external service providers).
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency for testing sanitization equipment and procedures to verify
+ that the intended sanitization is being achieved; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
tests sanitization equipment and procedures with the organization-defined frequency
+ to verify that the intended sanitization is being achieved.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system media protection policy
+
+
+
procedures addressing media sanitization and disposal
+
+
+
procedures addressing testing of media sanitization equipment
+
+
+
results of media sanitization equipment and procedures testing
+
+
+
audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system media sanitization responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for media sanitization
+
+
+
automated mechanisms supporting and/or implementing media sanitization
+
Default: organization-defined circumstances requiring sanitization of portable storage devices
+
+
+
+
+
+
+
Control
+
+
+
The organization applies nondestructive sanitization techniques to portable storage
+ devices prior to connecting such devices to the information system under the following
+ circumstances: mp-6_d organization-defined circumstances requiring sanitization of portable storage devices [organization-defined circumstances requiring sanitization of portable storage devices].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement applies to digital media containing classified information
+ and Controlled Unclassified Information (CUI). Portable storage devices can be the
+ source of malicious code insertions into organizational information systems. Many
+ of these devices are obtained from unknown and potentially untrustworthy sources and
+ may contain malicious code that can be readily transferred to information systems
+ through USB ports or other entry portals. While scanning such storage devices is always
+ recommended, sanitization provides additional assurance that the devices are free
+ of malicious code to include code capable of initiating zero-day attacks. Organizations
+ consider nondestructive sanitization of portable storage devices when such devices
+ are first purchased from the manufacturer or vendor prior to initial use or when organizations
+ lose a positive chain of custody for the devices.
+
defines circumstances requiring sanitization of portable storage devices; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
applies nondestructive sanitization techniques to portable storage devices prior to
+ connecting such devices to the information system under organization-defined circumstances
+ requiring sanitization of portable storage devices.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system media protection policy
+
+
+
procedures addressing media sanitization and disposal
+
+
+
list of circumstances requiring sanitization of portable storage devices
+
+
+
media sanitization records
+
+
+
audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system media sanitization responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for media sanitization of portable storage devices
+
+
+
automated mechanisms supporting and/or implementing media sanitization
+
Parameter: mp-6_e organization-defined information system media
+
+
+
Default: organization-defined information system media
+
+
+
+
+
+
Control
+
+
+
The organization enforces dual authorization for the sanitization of mp-6_e organization-defined information system media [organization-defined information system media].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations employ dual authorization to ensure that information system media sanitization
+ cannot occur unless two technically qualified individuals conduct the task. Individuals
+ sanitizing information system media possess sufficient skills/expertise to determine
+ if the proposed sanitization reflects applicable federal/organizational standards,
+ policies, and procedures. Dual authorization also helps to ensure that sanitization
+ occurs as intended, both protecting against errors and false claims of having performed
+ the sanitization actions. Dual authorization may also be known as two-person control.
+
The organization provides the capability to purge/wipe information from mp-6_f organization-defined information systems, system components, or devices [organization-defined information systems, system components, or devices] either remotely or under the following conditions: mp-6_g organization-defined conditions [organization-defined conditions].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement protects data/information on organizational information systems,
+ system components, or devices (e.g., mobile devices) if such systems, components,
+ or devices are obtained by unauthorized individuals. Remote purge/wipe commands require
+ strong authentication to mitigate the risk of unauthorized individuals purging/wiping
+ the system/component/device. The purge/wipe function can be implemented in a variety
+ of ways including, for example, by overwriting data/information multiple times or
+ by destroying the key necessary to decrypt encrypted data.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines information systems, system components, or devices to purge/wipe either remotely
+ or under specific organizational conditions;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines conditions under which information is to be purged/wiped from organization-defined
+ information systems, system components, or devices; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
provides the capability to purge/wipe information from organization-defined information
+ systems, system components, or devices either:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
remotely; or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
under organization-defined conditions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system media protection policy
+
+
+
procedures addressing media sanitization and disposal
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
media sanitization records
+
+
+
audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system media sanitization responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for purging/wiping media
+
The organization [Selection: restricts; prohibits] the use of mp-7_a organization-defined types of information system media [organization-defined types of information system media] on mp-7_b organization-defined information systems or system components [organization-defined information systems or system components] using mp-7_c organization-defined security safeguards [organization-defined security safeguards].
+
+
+
+
+
Supplemental guidance
+
+
+
Information system media includes both digital and non-digital media. Digital media
+ includes, for example, diskettes, magnetic tapes, external/removable hard disk drives,
+ flash drives, compact disks, and digital video disks. Non-digital media includes,
+ for example, paper and microfilm. This control also applies to mobile devices with
+ information storage capability (e.g., smart phones, tablets, E-readers). In contrast
+ to MP-2, which restricts user access to media, this control restricts the use of certain
+ types of media on information systems, for example, restricting/prohibiting the use
+ of flash drives or external hard disk drives. Organizations can employ technical and
+ nontechnical safeguards (e.g., policies, procedures, rules of behavior) to restrict
+ the use of information system media. Organizations may restrict the use of portable
+ storage devices, for example, by using physical cages on workstations to prohibit
+ access to certain external ports, or disabling/removing the ability to insert, read
+ or write to such devices. Organizations may also limit the use of portable storage
+ devices to only approved devices including, for example, devices provided by the organization,
+ devices provided by other approved organizations, and devices that are not personally
+ owned. Finally, organizations may restrict the use of portable storage devices based
+ on the type of device, for example, prohibiting the use of writeable, portable storage
+ devices, and implementing this restriction by disabling or removing the capability
+ to write to such devices.
+
restricted on information systems or system components; or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
prohibited from use on information systems or system components;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines information systems or system components on which the use of organization-defined
+ types of information system media is to be one of the following:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
restricted; or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
prohibited;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines security safeguards to be employed to restrict or prohibit the use of organization-defined
+ types of information system media on organization-defined information systems or system
+ components; and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
restricts or prohibits the use of organization-defined information system media on
+ organization-defined information systems or system components using organization-defined
+ security safeguards.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system media protection policy
+
+
+
system use policy
+
+
+
procedures addressing media usage restrictions
+
+
+
security plan
+
+
+
rules of behavior
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system media use responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for media use
+
+
+
automated mechanisms restricting or prohibiting use of information system media on
+ information systems or system components
+
+
+
+
+
+
+
Control enhancements
+
+
MP-7 (1) PROHIBIT USE WITHOUT OWNER
+
+
+
+
+
+
+
Control
+
+
+
The organization prohibits the use of portable storage devices in organizational information
+ systems when such devices have no identifiable owner.
+
+
+
+
+
Supplemental guidance
+
+
+
Requiring identifiable owners (e.g., individuals, organizations, or projects) for
+ portable storage devices reduces the risk of using such technologies by allowing organizations
+ to assign responsibility and accountability for addressing known vulnerabilities in
+ the devices (e.g., malicious code insertion).
+
Determine if the organization prohibits the use of portable storage devices in organizational
+ information systems when such devices have no identifiable owner.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system media protection policy
+
+
+
system use policy
+
+
+
procedures addressing media usage restrictions
+
+
+
security plan
+
+
+
rules of behavior
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system media use responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for media use
+
+
+
automated mechanisms prohibiting use of media on information systems or system components
+
+
+
+
+
+
+
MP-7 (2) PROHIBIT USE OF SANITIZATION-RESISTANT MEDIA
+
+
+
+
+
Control
+
+
+
The organization prohibits the use of sanitization-resistant media in organizational
+ information systems.
+
+
+
+
+
Supplemental guidance
+
+
+
Sanitization-resistance applies to the capability to purge information from media.
+ Certain types of media do not support sanitize commands, or if supported, the interfaces
+ are not supported in a standardized way across these devices. Sanitization-resistant
+ media include, for example, compact flash, embedded flash on boards and devices, solid
+ state drives, and USB removable media.
+
Determine if the organization prohibits the use of sanitization-resistant media in
+ organizational information systems.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system media protection policy, system use policy
+
+
+
procedures addressing media usage restrictions
+
+
+
rules of behavior
+
+
+
audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system media use responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for media use
+
+
+
automated mechanisms prohibiting use of media on information systems or system components
+
+
+
+
+
+
+
+
References
+
+
+
+
FIPS Publication 199
+
+
+
+
+
+
NIST Special Publication 800-111
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW MP-7
+
+
MOD MP-7 (1)
+
+
HIGH MP-7 (1)
+
+
+
+
+
+
+
+
MP-8 MEDIA DOWNGRADING
+
+
+
+
+
+
Parameter: mp-8_a organization-defined information system media downgrading process
+
+
+
Default: organization-defined information system media downgrading process
+
+
+
+
+
+
+
Parameter: mp-8_b organization-defined strength and integrity
+
+
+
Default: organization-defined strength and integrity
+
+
+
+
+
+
+
Parameter: mp-8_c organization-defined information system media requiring downgrading
+
+
+
Default: organization-defined information system media requiring downgrading
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Establishes mp-8_a organization-defined information system media downgrading process [organization-defined information system media downgrading process] that includes employing downgrading mechanisms with mp-8_b organization-defined strength and integrity [organization-defined strength and integrity];
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Ensures that the information system media downgrading process is commensurate with
+ the security category and/or classification level of the information to be removed
+ and the access authorizations of the potential recipients of the downgraded information;
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Identifies mp-8_c organization-defined information system media requiring downgrading [organization-defined information system media requiring downgrading]; and
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Downgrades the identified information system media using the established process.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies to all information system media, digital and non-digital, subject
+ to release outside of the organization, whether or not the media is considered removable.
+ The downgrading process, when applied to system media, removes information from the
+ media, typically by security category or classification level, such that the information
+ cannot be retrieved or reconstructed. Downgrading of media includes redacting information
+ to enable wider release and distribution. Downgrading of media also ensures that empty
+ space on the media (e.g., slack space within files) is devoid of information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the information system media downgrading process;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the strength and integrity with which media downgrading mechanisms are to
+ be employed;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
establishes an organization-defined information system media downgrading process that
+ includes employing downgrading mechanisms with organization-defined strength and integrity;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
ensures that the information system media downgrading process is commensurate with
+ the:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
security category and/or classification level of the information to be removed;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
access authorizations of the potential recipients of the downgraded information;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
identifies/defines information system media requiring downgrading; and
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
downgrades the identified information system media using the established process.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system media protection policy
+
+
+
procedures addressing media downgrading
+
+
+
system categorization documentation
+
+
+
list of media requiring downgrading
+
+
+
records of media downgrading
+
+
+
audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system media downgrading responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for media downgrading
+
+
+
automated mechanisms supporting and/or implementing media downgrading
+
+
+
+
+
+
Control enhancements
+
+
MP-8 (1) DOCUMENTATION OF PROCESS
+
+
+
+
+
Control
+
+
+
The organization documents information system media downgrading actions.
+
+
+
+
Supplemental guidance
+
+
+
Organizations can document the media downgrading process by providing information
+ such as the downgrading technique employed, the identification number of the downgraded
+ media, and the identity of the individual that authorized and/or performed the downgrading
+ action.
+
+
+
+
+
Objective
+
+
+
Determine if the organization documents information system media downgrading actions.
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system media protection policy
+
+
+
procedures addressing media downgrading
+
+
+
list of media requiring downgrading
+
+
+
records of media downgrading
+
+
+
audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system media downgrading responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for media downgrading
+
+
+
automated mechanisms supporting and/or implementing media downgrading
+
+
+
+
+
+
+
MP-8 (2) EQUIPMENT TESTING
+
+
+
+
+
+
Parameter: mp-8_d organization-defined tests
+
+
+
Default: organization-defined tests
+
+
+
+
+
+
+
Parameter: mp-8_e organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
Control
+
+
+
The organization employs mp-8_d organization-defined tests [organization-defined tests] of downgrading equipment and procedures to verify correct performance mp-8_e organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
+
+
+
+
[a]
+
+
+
+
+
defines tests to be employed for downgrading equipment;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
defines procedures to verify correct performance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the frequency for employing tests of downgrading equipment and procedures
+ to verify correct performance; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
employs organization-defined tests of downgrading equipment and procedures to verify
+ correct performance with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system media protection policy
+
+
+
procedures addressing media downgrading
+
+
+
procedures addressing testing of media downgrading equipment
+
+
+
results of downgrading equipment and procedures testing
+
+
+
audit records: other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system media downgrading responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for media downgrading
+
+
+
automated mechanisms supporting and/or implementing media downgrading
+
+
+
automated mechanisms supporting and/or implementing tests for downgrading equipment
+
+
+
+
+
+
+
MP-8 (3) CONTROLLED UNCLASSIFIED INFORMATION
+
+
+
+
+
+
Parameter: mp-8_f organization-defined Controlled Unclassified Information (CUI)
+
+
+
Default: organization-defined Controlled Unclassified Information (CUI)
+
+
+
+
+
+
Control
+
+
+
The organization downgrades information system media containing mp-8_f organization-defined Controlled Unclassified Information (CUI) [organization-defined Controlled Unclassified Information (CUI)] prior to public release in accordance with applicable federal and organizational
+ standards and policies.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines Controlled Unclassified Information (CUI) contained on information system
+ media that requires downgrading prior to public release; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
downgrades information system media containing organization-defined CUI prior to public
+ release in accordance with applicable federal and organizational standards and policies.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system media protection policy
+
+
+
access authorization policy
+
+
+
procedures addressing downgrading of media containing CUI
+
+
+
applicable federal and organizational standards and policies regarding protection
+ of CUI
+
+
+
media downgrading records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system media downgrading responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for media downgrading
+
+
+
automated mechanisms supporting and/or implementing media downgrading
+
+
+
+
+
+
+
MP-8 (4) CLASSIFIED INFORMATION
+
+
+
+
+
Control
+
+
+
The organization downgrades information system media containing classified information
+ prior to release to individuals without required access authorizations in accordance
+ with NSA standards and policies.
+
+
+
+
+
Supplemental guidance
+
+
+
Downgrading of classified information uses approved sanitization tools, techniques,
+ and procedures to transfer information confirmed to be unclassified from classified
+ information systems to unclassified media.
+
+
+
+
+
Objective
+
+
+
Determine if the organization downgrades information system media containing classified
+ information prior to release to individuals without required access authorizations
+ in accordance with NSA standards and policies.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system media protection policy
+
+
+
access authorization policy
+
+
+
procedures addressing downgrading of media containing classified information
+
+
+
procedures addressing handling of classified information
+
+
+
NSA standards and policies regarding protection of classified information
+
+
+
media downgrading records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information system media downgrading responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for media downgrading
+
+
+
automated mechanisms supporting and/or implementing media downgrading
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
+
+
+
PHYSICAL AND ENVIRONMENTAL PROTECTION
+
+
+
PE-1 PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES
+
+
+
+
+
+
Parameter: pe-1_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: pe-1_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: pe-1_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops, documents, and disseminates to pe-1_a organization-defined personnel or roles [organization-defined personnel or roles]:
+
+
+
+
+
+
+
1.
+
+
+
+
+
A physical and environmental protection policy that addresses purpose, scope, roles,
+ responsibilities, management commitment, coordination among organizational entities,
+ and compliance; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Procedures to facilitate the implementation of the physical and environmental protection
+ policy and associated physical and environmental protection controls; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the current:
+
+
+
+
+
+
1.
+
+
+
+
+
Physical and environmental protection policy pe-1_b organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Physical and environmental protection procedures pe-1_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the establishment of policy and procedures for the effective
+ implementation of selected security controls and control enhancements in the PE family.
+ Policy and procedures reflect applicable federal laws, Executive Orders, directives,
+ regulations, policies, standards, and guidance. Security program policies and procedures
+ at the organization level may make the need for system-specific policies and procedures
+ unnecessary. The policy can be included as part of the general information security
+ policy for organizations or conversely, can be represented by multiple policies reflecting
+ the complex nature of certain organizations. The procedures can be established for
+ the security program in general and for particular information systems, if needed.
+ The organizational risk management strategy is a key factor in establishing policy
+ and procedures.
+
develops and documents a physical and environmental protection policy that addresses:
+
+
+
+
+
+
[a]
+
+
+
+
+
purpose;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
scope;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
roles;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
responsibilities;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
management commitment;
+
+
+
+
+
+
+
+
+
+
+
[f]
+
+
+
+
+
coordination among organizational entities;
+
+
+
+
+
+
+
+
+
+
+
[g]
+
+
+
+
+
compliance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the physical and environmental protection policy
+ is to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the physical and environmental protection policy to organization-defined
+ personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(a)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops and documents procedures to facilitate the implementation of the physical
+ and environmental protection policy and associated physical and environmental protection
+ controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current physical and environmental
+ protection policy;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current physical and environmental protection policy with
+ the organization-defined frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current physical and environmental
+ protection procedures; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current physical and environmental protection procedures with
+ the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy and procedures
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with physical and environmental protection responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-12
+
+
+
+
+
+
NIST Special Publication 800-100
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW PE-1
+
+
MOD PE-1
+
+
HIGH PE-1
+
+
+
+
+
+
+
+
PE-2 PHYSICAL ACCESS AUTHORIZATIONS
+
+
+
+
+
+
Parameter: pe-2_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops, approves, and maintains a list of individuals with authorized access to
+ the facility where the information system resides;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Issues authorization credentials for facility access;
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Reviews the access list detailing authorized facility access by individuals pe-2_a organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Removes individuals from the facility access list when access is no longer required.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies to organizational employees and visitors. Individuals (e.g.,
+ employees, contractors, and others) with permanent physical access authorization credentials
+ are not considered visitors. Authorization credentials include, for example, badges,
+ identification cards, and smart cards. Organizations determine the strength of authorization
+ credentials needed (including level of forge-proof badges, smart cards, or identification
+ cards) consistent with federal standards, policies, and procedures. This control only
+ applies to areas within facilities that have not been designated as publicly accessible.
+
Parameter: pe-2_b organization-defined list of acceptable forms of identification
+
+
+
Default: organization-defined list of acceptable forms of identification
+
+
+
+
+
+
Control
+
+
+
The organization requires two forms of identification from pe-2_b organization-defined list of acceptable forms of identification [organization-defined list of acceptable forms of identification] for visitor access to the facility where the information system resides.
+
+
+
+
+
Supplemental guidance
+
+
+
Acceptable forms of government photo identification include, for example, passports,
+ Personal Identity Verification (PIV) cards, and drivers� licenses. In the case of
+ gaining access to facilities using automated mechanisms, organizations may use PIV
+ cards, key cards, PINs, and biometrics.
+
defines a list of acceptable forms of identification for visitor access to the facility
+ where the information system resides; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires two forms of identification from the organization-defined list of acceptable
+ forms of identification for visitor access to the facility where the information system
+ resides.
+
The organization restricts unescorted access to the facility where the information
+ system resides to personnel with [Selection (one or more): security clearances for
+ all information contained within the system; formal access authorizations for all
+ information contained within the system; need for access to all information contained
+ within the system; pe-2_c organization-defined credentials [organization-defined credentials]].
+
+
+
+
+
Supplemental guidance
+
+
+
Due to the highly sensitive nature of classified information stored within certain
+ facilities, it is important that individuals lacking sufficient security clearances,
+ access approvals, or need to know, be escorted by individuals with appropriate credentials
+ to ensure that such information is not exposed or otherwise compromised.
+
Parameter: pe-3_g organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: pe-3_h organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Enforces physical access authorizations at pe-3_a organization-defined entry/exit points to the facility where the information system
+ resides [organization-defined entry/exit points to the facility where the information system
+ resides] by;
+
+
+
+
+
+
+
1.
+
+
+
+
+
Verifying individual access authorizations before granting access to the facility;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Controlling ingress/egress to the facility using [Selection (one or more): pe-3_b organization-defined physical access control systems/devices [organization-defined physical access control systems/devices]; guards];
+
Provides pe-3_d organization-defined security safeguards [organization-defined security safeguards] to control access to areas within the facility officially designated as publicly
+ accessible;
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Escorts visitors and monitors visitor activity pe-3_e organization-defined circumstances requiring visitor escorts and monitoring [organization-defined circumstances requiring visitor escorts and monitoring];
+
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Secures keys, combinations, and other physical access devices;
+
+
+
+
+
+
+
+
+
+
+
f.
+
+
+
+
+
Inventories pe-3_f organization-defined physical access devices [organization-defined physical access devices] every pe-3_g organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
g.
+
+
+
+
+
Changes combinations and keys pe-3_h organization-defined frequency [organization-defined frequency] and/or when keys are lost, combinations are compromised, or individuals are transferred
+ or terminated.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies to organizational employees and visitors. Individuals (e.g.,
+ employees, contractors, and others) with permanent physical access authorization credentials
+ are not considered visitors. Organizations determine the types of facility guards
+ needed including, for example, professional physical security staff or other personnel
+ such as administrative staff or information system users. Physical access devices
+ include, for example, keys, locks, combinations, and card readers. Safeguards for
+ publicly accessible areas within organizational facilities include, for example, cameras,
+ monitoring by guards, and isolating selected information systems and/or system components
+ in secured areas. Physical access control systems comply with applicable federal laws,
+ Executive Orders, directives, policies, regulations, standards, and guidance. The
+ Federal Identity, Credential, and Access Management Program provides implementation
+ guidance for identity, credential, and access management capabilities for physical
+ access control systems. Organizations have flexibility in the types of audit logs
+ employed. Audit logs can be procedural (e.g., a written log of individuals accessing
+ the facility and when such access occurred), automated (e.g., capturing ID provided
+ by a PIV card), or some combination thereof. Physical access points can include facility
+ access points, interior access points to information systems and/or components requiring
+ supplemental access controls, or both. Components of organizational information systems
+ (e.g., workstations, terminals) may be located in areas designated as publicly accessible
+ with organizations safeguarding access to such devices.
+
defines entry/exit points to the facility where the information system resides;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
enforces physical access authorizations at organization-defined entry/exit points
+ to the facility where the information system resides by:
+
+
+
+
+
+
+
(1)
+
+
+
+
+
verifying individual access authorizations before granting access to the facility;
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
+
+
+
+
[a]
+
+
+
+
+
defining physical access control systems/devices to be employed to control ingress/egress
+ to the facility where the information system resides;
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
using one or more of the following ways to control ingress/egress to the facility:
+
+
+
+
+
+
[1]
+
+
+
+
+
organization-defined physical access control systems/devices; and/or
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
guards;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines entry/exit points for which physical access audit logs are to be maintained;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
maintains physical access audit logs for organization-defined entry/exit points;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines security safeguards to be employed to control access to areas within the facility
+ officially designated as publicly accessible;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
provides organization-defined security safeguards to control access to areas within
+ the facility officially designated as publicly accessible;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines circumstances requiring visitor:
+
+
+
+
+
+
[a]
+
+
+
+
+
escorts;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
monitoring;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
in accordance with organization-defined circumstances requiring visitor escorts and
+ monitoring:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
escorts visitors;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
monitors visitor activities;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
secures keys;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
secures combinations;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
secures other physical access devices;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(f)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines physical access devices to be inventoried;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the frequency to inventory organization-defined physical access devices;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
inventories the organization-defined physical access devices with the organization-defined
+ frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(g)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to change combinations and keys; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
changes combinations and keys with the organization-defined frequency and/or when:
+
+
+
+
+
+
[a]
+
+
+
+
+
keys are lost;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
combinations are compromised;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
individuals are transferred or terminated.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing physical access control
+
+
+
security plan
+
+
+
physical access control logs or records
+
+
+
inventory records of physical access control devices
+
+
+
information system entry and exit points
+
+
+
records of key and lock combination changes
+
+
+
storage locations for physical access control devices
+
+
+
physical access control devices
+
+
+
list of security safeguards controlling access to designated publicly accessible areas
+ within facility
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with physical access control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for physical access control
+
+
+
automated mechanisms supporting and/or implementing physical access control
+
+
+
physical access control devices
+
+
+
+
+
+
+
Control enhancements
+
+
PE-3 (1) INFORMATION SYSTEM ACCESS
+
+
+
+
+
+
Parameter: pe-3_i organization-defined physical spaces containing one or more components of the information
+ system
+
+
+
Default: organization-defined physical spaces containing one or more components of the information
+ system
+
+
+
+
+
+
+
Control
+
+
+
The organization enforces physical access authorizations to the information system
+ in addition to the physical access controls for the facility at pe-3_i organization-defined physical spaces containing one or more components of the information
+ system [organization-defined physical spaces containing one or more components of the information
+ system].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement provides additional physical security for those areas within
+ facilities where there is a concentration of information system components (e.g.,
+ server rooms, media storage areas, data and communications centers).
+
defines physical spaces containing one or more components of the information system;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
enforces physical access authorizations to the information system in addition to the
+ physical access controls for the facility at organization-defined physical spaces
+ containing one or more components of the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing physical access control
+
+
+
physical access control logs or records
+
+
+
physical access control devices
+
+
+
access authorizations
+
+
+
access credentials
+
+
+
information system entry and exit points
+
+
+
list of areas within the facility containing concentrations of information system
+ components or information system components requiring additional physical protection
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with physical access authorization responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for physical access control to the information system/components
+
+
+
automated mechanisms supporting and/or implementing physical access control for facility
+ areas containing information system components
+
+
+
+
+
+
+
PE-3 (2) FACILITY / INFORMATION SYSTEM BOUNDARIES
+
+
+
+
+
+
Parameter: pe-3_j organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
Control
+
+
+
The organization performs security checks pe-3_j organization-defined frequency [organization-defined frequency] at the physical boundary of the facility or information system for unauthorized exfiltration
+ of information or removal of information system components.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations determine the extent, frequency, and/or randomness of security checks
+ to adequately mitigate risk associated with exfiltration.
+
The organization employs guards and/or alarms to monitor every physical access point
+ to the facility where the information system resides 24 hours per day, 7 days per
+ week.
+
Determine if the organization employs one or more of the following to monitor every
+ physical access point to the facility where the information system resides 24 hours
+ per day, 7 days per week:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
guards; and/or
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
alarms.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing physical access control
+
+
+
physical access control logs or records
+
+
+
physical access control devices
+
+
+
facility surveillance records
+
+
+
facility layout documentation
+
+
+
information system entry and exit points
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with physical access control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for physical access control to the facility where the information
+ system resides
+
+
+
automated mechanisms supporting and/or implementing physical access control for the
+ facility where the information system resides
+
+
+
+
+
+
+
PE-3 (4) LOCKABLE CASINGS
+
+
+
+
+
+
Parameter: pe-3_k organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
Control
+
+
+
The organization uses lockable physical casings to protect pe-3_k organization-defined information system components [organization-defined information system components] from unauthorized physical access.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines information system components to be protected from unauthorized physical access
+ using lockable physical casings; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
uses lockable physical casings to protect organization-defined information system
+ components from unauthorized physical access.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing physical access control
+
+
+
security plan
+
+
+
list of information system components requiring protection through lockable physical
+ casings
+
+
+
lockable physical casings
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with physical access control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
The organization employs pe-3_l organization-defined security safeguards [organization-defined security safeguards] to [Selection (one or more): detect; prevent] physical tampering or alteration of
+ pe-3_m organization-defined hardware components [organization-defined hardware components] within the information system.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations may implement tamper detection/prevention at selected hardware components
+ or tamper detection at some components and tamper prevention at other components.
+ Tamper detection/prevention activities can employ many types of anti-tamper technologies
+ including, for example, tamper-detection seals and anti-tamper coatings. Anti-tamper
+ programs help to detect hardware alterations through counterfeiting and other supply
+ chain-related risks.
+
defines security safeguards to be employed to detect and/or prevent physical tampering
+ or alteration of organization-defined hardware components within the information system;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines hardware components within the information system for which security safeguards
+ are to be employed to detect and/or prevent physical tampering or alteration of such
+ components;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
employs organization-defined security safeguards to do one or more of the following:
+
+
+
+
+
+
[a]
+
+
+
+
+
detect physical tampering or alteration of organization-defined hardware components
+ within the information system; and/or
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
prevent physical tampering or alteration of organization-defined hardware components
+ within the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing physical access control
+
+
+
list of security safeguards to detect/prevent physical tampering or alteration of
+ information system hardware components
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with physical access control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes to detect/prevent physical tampering or alteration of information
+ system hardware components
+
+
+
automated mechanisms/security safeguards supporting and/or implementing detection/prevention
+ of physical tampering/alternation of information system hardware components
+
+
+
+
+
+
+
PE-3 (6) FACILITY PENETRATION TESTING
+
+
+
+
+
+
Parameter: pe-3_n organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
Control
+
+
+
The organization employs a penetration testing process that includes pe-3_n organization-defined frequency [organization-defined frequency], unannounced attempts to bypass or circumvent security controls associated with physical
+ access points to the facility.
+
defines the frequency of unannounced attempts to be included in a penetration testing
+ process to bypass or circumvent security controls associated with physical access
+ points to the facility; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs a penetration testing process with the organization-defined frequency that
+ includes unannounced attempts to bypass or circumvent security controls associated
+ with physical access points to the facility.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing physical access control
+
+
+
procedures addressing penetration testing
+
+
+
rules of engagement and associated documentation
+
+
+
penetration test results
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with physical access control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for facility penetration testing
+
The organization controls physical access to pe-4_a organization-defined information system distribution and transmission lines [organization-defined information system distribution and transmission lines] within organizational facilities using pe-4_b organization-defined security safeguards [organization-defined security safeguards].
+
+
+
+
+
Supplemental guidance
+
+
+
Physical security safeguards applied to information system distribution and transmission
+ lines help to prevent accidental damage, disruption, and physical tampering. In addition,
+ physical safeguards may be necessary to help prevent eavesdropping or in transit modification
+ of unencrypted transmissions. Security safeguards to control physical access to system
+ distribution and transmission lines include, for example: (i) locked wiring closets;
+ (ii) disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit
+ or cable trays.
+
defines information system distribution and transmission lines requiring physical
+ access controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines security safeguards to be employed to control physical access to organization-defined
+ information system distribution and transmission lines within organizational facilities;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
controls physical access to organization-defined information system distribution and
+ transmission lines within organizational facilities using organization-defined security
+ safeguards.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing access control for transmission medium
+
+
+
information system design documentation
+
+
+
facility communications and wiring diagrams
+
+
+
list of physical security safeguards applied to information system distribution and
+ transmission lines
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with physical access control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for access control to distribution and transmission lines
+
+
+
automated mechanisms/security safeguards supporting and/or implementing access control
+ to distribution and transmission lines
+
+
+
+
+
+
+
References
+
+
+
+
NSTISSI No. 7003
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD PE-4
+
+
HIGH PE-4
+
+
+
+
+
+
+
+
PE-5 ACCESS CONTROL FOR OUTPUT DEVICES
+
+
+
+
+
+
+
+
Control
+
+
+
The organization controls physical access to information system output devices to
+ prevent unauthorized individuals from obtaining the output.
+
+
+
+
+
Supplemental guidance
+
+
+
Controlling physical access to output devices includes, for example, placing output
+ devices in locked rooms or other secured areas and allowing access to authorized individuals
+ only, and placing output devices in locations that can be monitored by organizational
+ personnel. Monitors, printers, copiers, scanners, facsimile machines, and audio devices
+ are examples of information system output devices.
+
Determine if the organization controls physical access to information system output
+ devices to prevent unauthorized individuals from obtaining the output.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing access control for display medium
+
+
+
facility layout of information system components
+
+
+
actual displays from information system components
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with physical access control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for access control to output devices
+
+
+
automated mechanisms supporting and/or implementing access control to output devices
+
+
+
+
+
+
Control enhancements
+
+
PE-5 (1) ACCESS TO OUTPUT BY AUTHORIZED INDIVIDUALS
+
Controls physical access to output from pe-5_a organization-defined output devices [organization-defined output devices]; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Ensures that only authorized individuals receive output from the device.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Controlling physical access to selected output devices includes, for example, placing
+ printers, copiers, and facsimile machines in controlled areas with keypad access controls
+ or limiting access to individuals with certain types of badges.
+
Controls physical access to output from pe-5_b organization-defined output devices [organization-defined output devices]; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Links individual identity to receipt of the output from the device.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Controlling physical access to selected output devices includes, for example, installing
+ security functionality on printers, copiers, and facsimile machines that allows organizations
+ to implement authentication (e.g., using a PIN or hardware token) on output devices
+ prior to the release of output to individuals.
+
the information system controls physical access to output from organization-defined
+ output devices; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
the information system links individual identity to receipt of the output from the
+ device.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing physical access control
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of output devices and associated outputs requiring physical access controls
+
+
+
physical access control logs or records for areas containing output devices and related
+ outputs
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with physical access control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for access control to output devices
+
+
+
automated mechanisms supporting and/or implementing access control to output devices
+
+
+
+
+
+
+
PE-5 (3) MARKING OUTPUT DEVICES
+
+
+
+
+
+
Parameter: pe-5_c organization-defined information system output devices
+
+
+
Default: organization-defined information system output devices
+
+
+
+
+
+
Control
+
+
+
The organization marks pe-5_c organization-defined information system output devices [organization-defined information system output devices] indicating the appropriate security marking of the information permitted to be output
+ from the device.
+
+
+
+
+
Supplemental guidance
+
+
+
Outputs devices include, for example, printers, monitors, facsimile machines, scanners,
+ copiers, and audio devices. This control enhancement is generally applicable to information
+ system output devices other than mobiles devices.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines information system output devices to be marked with appropriate security marking
+ of the information permitted to be output from such devices; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
marks organization-defined information system output devices indicating the appropriate
+ security marking of the information permitted to be output from the device.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing physical access control
+
+
+
security markings for information types permitted as output from information system
+ output devices
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with physical access control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for marking output devices
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW Not selected
+
+
MOD PE-5
+
+
HIGH PE-5
+
+
+
+
+
+
+
+
PE-6 MONITORING PHYSICAL ACCESS
+
+
+
+
+
+
Parameter: pe-6_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: pe-6_b organization-defined events or potential indications of events
+
+
+
Default: organization-defined events or potential indications of events
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Monitors physical access to the facility where the information system resides to detect
+ and respond to physical security incidents;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews physical access logs pe-6_a organization-defined frequency [organization-defined frequency] and upon occurrence of pe-6_b organization-defined events or potential indications of events [organization-defined events or potential indications of events]; and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Coordinates results of reviews and investigations with the organizational incident
+ response capability.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Organizational incident response capabilities include investigations of and responses
+ to detected physical security incidents. Security incidents include, for example,
+ apparent security violations or suspicious physical access activities. Suspicious
+ physical access activities include, for example: (i) accesses outside of normal work
+ hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for unusual
+ lengths of time; and (iv) out-of-sequence accesses.
+
monitors physical access to the facility where the information system resides to detect
+ and respond to physical security incidents;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review physical access logs;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines events or potential indication of events requiring physical access logs to
+ be reviewed;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
reviews physical access logs with the organization-defined frequency and upon occurrence
+ of organization-defined events or potential indications of events; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
coordinates results of reviews and investigations with the organizational incident
+ response capability.
+
automated mechanisms supporting and/or implementing recognition of classes/types of
+ intrusions and initiation of a response
+
+
+
+
+
+
+
PE-6 (3) VIDEO SURVEILLANCE
+
+
+
+
+
+
Parameter: pe-6_e organization-defined operational areas
+
+
+
Default: organization-defined operational areas
+
+
+
+
+
+
+
Parameter: pe-6_f organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
Control
+
+
+
The organization employs video surveillance of pe-6_e organization-defined operational areas [organization-defined operational areas] and retains video recordings for pe-6_f organization-defined time period [organization-defined time period].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement focuses on recording surveillance video for purposes of subsequent
+ review, if circumstances so warrant (e.g., a break-in detected by other means). It
+ does not require monitoring surveillance video although organizations may choose to
+ do so. Note that there may be legal considerations when performing and retaining video
+ surveillance, especially if such surveillance is in a public location.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines operational areas where video surveillance is to be employed;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines a time period to retain video recordings of organization-defined operational
+ areas;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
+
+
+
+
[a]
+
+
+
+
+
employs video surveillance of organization-defined operational areas; and
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
retains video recordings for the organization-defined time period.
automated mechanisms supporting and/or implementing video surveillance
+
+
+
+
+
+
+
PE-6 (4) MONITORING PHYSICAL ACCESS TO INFORMATION SYSTEMS
+
+
+
+
+
+
Parameter: pe-6_g organization-defined physical spaces containing one or more components of the information
+ system
+
+
+
Default: organization-defined physical spaces containing one or more components of the information
+ system
+
+
+
+
+
+
+
Control
+
+
+
The organization monitors physical access to the information system in addition to
+ the physical access monitoring of the facility as pe-6_g organization-defined physical spaces containing one or more components of the information
+ system [organization-defined physical spaces containing one or more components of the information
+ system].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement provides additional monitoring for those areas within facilities
+ where there is a concentration of information system components (e.g., server rooms,
+ media storage areas, communications centers).
+
defines physical spaces containing one or more components of the information system;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
monitors physical access to the information system in addition to the physical access
+ monitoring of the facility at organization-defined physical spaces containing one
+ or more components of the information system.
+
list of areas within the facility containing concentrations of information system
+ components or information system components requiring additional physical access
+ monitoring
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with physical access monitoring responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for monitoring physical access to the information system
+
+
+
automated mechanisms supporting and/or implementing physical access monitoring for
+ facility areas containing information system components
+
Parameter: pe-8_a organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
Parameter: pe-8_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Maintains visitor access records to the facility where the information system resides
+ for pe-8_a organization-defined time period [organization-defined time period]; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews visitor access records pe-8_b organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Visitor access records include, for example, names and organizations of persons visiting,
+ visitor signatures, forms of identification, dates of access, entry and departure
+ times, purposes of visits, and names and organizations of persons visited. Visitor
+ access records are not required for publicly accessible areas.
+
+
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the time period to maintain visitor access records to the facility where the
+ information system resides;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
maintains visitor access records to the facility where the information system resides
+ for the organization-defined time period;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review visitor access records; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews visitor access records with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing visitor access records
+
+
+
security plan
+
+
+
visitor access control logs or records
+
+
+
visitor access record or log reviews
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with visitor access records responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for maintaining and reviewing visitor access records
+
+
+
automated mechanisms supporting and/or implementing maintenance and review of visitor
+ access records
+
+
+
+
+
+
Control enhancements
+
+
PE-8 (1) AUTOMATED RECORDS MAINTENANCE / REVIEW
+
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to facilitate the maintenance and review
+ of visitor access records.
+
+
+
+
+
Objective
+
+
+
Determine if the organization employs automated mechanisms to facilitate the maintenance
+ and review of visitor access records.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing visitor access records
+
+
+
automated mechanisms supporting management of visitor access records
+
+
+
visitor access control logs or records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with visitor access records responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for maintaining and reviewing visitor access records
+
+
+
automated mechanisms supporting and/or implementing maintenance and review of visitor
+ access records
+
The organization protects power equipment and power cabling for the information system
+ from damage and destruction.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations determine the types of protection necessary for power equipment and
+ cabling employed at different locations both internal and external to organizational
+ facilities and environments of operation. This includes, for example, generators and
+ power cabling outside of buildings, internal cabling and uninterruptable power sources
+ within an office or data center, and power sources for self-contained entities such
+ as vehicles and satellites.
+
Determine if the organization protects power equipment and power cabling for the information
+ system from damage and destruction.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing power equipment/cabling protection
+
+
+
facilities housing power equipment/cabling
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for protecting power equipment/cabling
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing protection of power equipment/cabling
+
+
+
+
+
+
Control enhancements
+
+
PE-9 (1) REDUNDANT CABLING
+
+
+
+
+
+
Parameter: pe-9_a organization-defined distance
+
+
+
Default: organization-defined distance
+
+
+
+
+
+
Control
+
+
+
The organization employs redundant power cabling paths that are physically separated
+ by pe-9_a organization-defined distance [organization-defined distance].
+
+
+
+
+
Supplemental guidance
+
+
+
Physically separate, redundant power cables help to ensure that power continues to
+ flow in the event one of the cables is cut or otherwise damaged.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the distance by which redundant power cabling paths are to be physically separated;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs redundant power cabling paths that are physically separated by organization-defined
+ distance.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing power equipment/cabling protection
+
+
+
facilities housing power equipment/cabling
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for protecting power equipment/cabling
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing protection of power equipment/cabling
+
+
+
+
+
+
+
PE-9 (2) AUTOMATIC VOLTAGE CONTROLS
+
+
+
+
+
+
Parameter: pe-9_b organization-defined critical information system components
+
+
+
Default: organization-defined critical information system components
+
+
+
+
+
+
Control
+
+
+
The organization employs automatic voltage controls for pe-9_b organization-defined critical information system components [organization-defined critical information system components].
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines critical information system components that require automatic voltage controls;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs automatic voltage controls for organization-defined critical information system
+ components.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing voltage control
+
+
+
security plan
+
+
+
list of critical information system components requiring automatic voltage controls
+
+
+
automatic voltage control mechanisms and associated configurations
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for environmental protection of information
+ system components
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing automatic voltage controls
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD PE-9
+
+
HIGH PE-9
+
+
+
+
+
+
+
+
PE-10 EMERGENCY SHUTOFF
+
+
+
+
+
+
Parameter: pe-10_a organization-defined location by information system or system component
+
+
+
Default: organization-defined location by information system or system component
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Provides the capability of shutting off power to the information system or individual
+ system components in emergency situations;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Places emergency shutoff switches or devices in pe-10_a organization-defined location by information system or system component [organization-defined location by information system or system component] to facilitate safe and easy access for personnel; and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Protects emergency power shutoff capability from unauthorized activation.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies primarily to facilities containing concentrations of information
+ system resources including, for example, data centers, server rooms, and mainframe
+ computer rooms.
+
provides the capability of shutting off power to the information system or individual
+ system components in emergency situations;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the location of emergency shutoff switches or devices by information system
+ or system component;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
places emergency shutoff switches or devices in the organization-defined location
+ by information system or system component to facilitate safe and easy access for personnel;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
protects emergency power shutoff capability from unauthorized activation.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing power source emergency shutoff
+
+
+
security plan
+
+
+
emergency shutoff controls or switches
+
+
+
locations housing emergency shutoff switches and devices
+
+
+
security safeguards protecting emergency power shutoff capability from unauthorized
+ activation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for emergency power shutoff capability
+ (both implementing and using the capability)
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing emergency power shutoff
+
The organization provides a short-term uninterruptible power supply to facilitate
+ [Selection (one or more): an orderly shutdown of the information system; transition
+ of the information system to long-term alternate power] in the event of a primary
+ power source loss.
+
Determine if the organization provides a short-term uninterruptible power supply to
+ facilitate one or more of the following in the event of a primary power source loss:
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
an orderly shutdown of the information system; and/or
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
transition of the information system to long-term alternate power.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing emergency power
+
+
+
uninterruptible power supply
+
+
+
uninterruptible power supply documentation
+
+
+
uninterruptible power supply test records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for emergency power and/or planning
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing uninterruptible power supply
+
The organization provides a long-term alternate power supply for the information system
+ that is capable of maintaining minimally required operational capability in the event
+ of an extended loss of the primary power source.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement can be satisfied, for example, by the use of a secondary
+ commercial power supply or other external power supply. Long-term alternate power
+ supplies for the information system can be either manually or automatically activated.
+
+
+
+
+
Objective
+
+
+
Determine if the organization provides a long-term alternate power supply for the
+ information system that is capable of maintaining minimally required operational capability
+ in the event of an extended loss of the primary power source.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing emergency power
+
+
+
alternate power supply
+
+
+
alternate power supply documentation
+
+
+
alternate power supply test records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for emergency power and/or planning
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing alternate power supply
+
+
+
the alternate power supply
+
+
+
+
+
+
+
PE-11 (2) LONG-TERM ALTERNATE POWER SUPPLY - SELF-CONTAINED
+
+
+
+
+
+
+
+
+
+
+
The organization provides a long-term alternate power supply for the information system
+ that is:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
Self-contained;
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Not reliant on external power generation; and
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
Capable of maintaining [Selection: minimally required operational capability; full
+ operational capability] in the event of an extended loss of the primary power source.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement can be satisfied, for example, by the use of one or more
+ generators with sufficient capacity to meet the needs of the organization. Long-term
+ alternate power supplies for organizational information systems are either manually
+ or automatically activated.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization provides a long-term alternate power supply for the
+ information system that is:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
self-contained;
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
not reliant on external power generation;
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
capable of maintaining one of the following in the event of an extended loss of the
+ primary power source:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
minimally required operational capability; or
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
full operational capability.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing emergency power
+
+
+
alternate power supply
+
+
+
alternate power supply documentation
+
+
+
alternate power supply test records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for emergency power and/or planning
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing alternate power supply
+
+
+
the alternate power supply
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD PE-11
+
+
HIGH PE-11 (1)
+
+
+
+
+
+
+
+
PE-12 EMERGENCY LIGHTING
+
+
+
+
+
+
+
+
+
Control
+
+
+
The organization employs and maintains automatic emergency lighting for the information
+ system that activates in the event of a power outage or disruption and that covers
+ emergency exits and evacuation routes within the facility.
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies primarily to facilities containing concentrations of information
+ system resources including, for example, data centers, server rooms, and mainframe
+ computer rooms.
+
The organization employs and maintains fire suppression and detection devices/systems
+ for the information system that are supported by an independent energy source.
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies primarily to facilities containing concentrations of information
+ system resources including, for example, data centers, server rooms, and mainframe
+ computer rooms. Fire suppression and detection devices/systems include, for example,
+ sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
employs fire suppression and detection devices/systems for the information system
+ that are supported by an independent energy source; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
maintains fire suppression and detection devices/systems for the information system
+ that are supported by an independent energy source.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing fire protection
+
+
+
fire suppression and detection devices/systems
+
+
+
fire suppression and detection devices/systems documentation
+
+
+
test records of fire suppression and detection devices/systems
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for fire detection and suppression
+ devices/systems
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing fire suppression/detection devices/systems
+
+
+
+
+
+
Control enhancements
+
+
PE-13 (1) DETECTION DEVICES / SYSTEMS
+
+
+
+
+
+
Parameter: pe-13_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
The organization employs fire detection devices/systems for the information system
+ that activate automatically and notify pe-13_a organization-defined personnel or roles [organization-defined personnel or roles] and pe-13_b organization-defined emergency responders [organization-defined emergency responders] in the event of a fire.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations can identify specific personnel, roles, and emergency responders in
+ the event that individuals on the notification list must have appropriate access authorizations
+ and/or clearances, for example, to obtain access to facilities where classified operations
+ are taking place or where there are information systems containing classified information.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to be notified in the event of a fire;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines emergency responders to be notified in the event of a fire;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
employs fire detection devices/systems for the information system that, in the event
+ of a fire,:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
activate automatically;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
notify organization-defined personnel or roles; and
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
notify organization-defined emergency responders.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing fire protection
+
+
+
facility housing the information system
+
+
+
alarm service-level agreements
+
+
+
test records of fire suppression and detection devices/systems
+
+
+
fire suppression and detection devices/systems documentation
+
+
+
alerts/notifications of fire events
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for fire detection and suppression
+ devices/systems
+
+
+
organizational personnel with responsibilities for notifying appropriate personnel,
+ roles, and emergency responders of fires
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing fire detection devices/systems
+
+
+
activation of fire detection devices/systems (simulated)
+
The organization employs fire suppression devices/systems for the information system
+ that provide automatic notification of any activation to Assignment: organization-defined
+ personnel or roles] and pe-13_c organization-defined emergency responders [organization-defined emergency responders].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations can identify specific personnel, roles, and emergency responders in
+ the event that individuals on the notification list must have appropriate access authorizations
+ and/or clearances, for example, to obtain access to facilities where classified operations
+ are taking place or where there are information systems containing classified information.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to be provided automatic notification of any activation
+ of fire suppression devices/systems for the information system;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines emergency responders to be provided automatic notification of any activation
+ of fire suppression devices/systems for the information system;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
employs fire suppression devices/systems for the information system that provide automatic
+ notification of any activation to:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
organization-defined personnel or roles; and
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
organization-defined emergency responders.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing fire protection
+
+
+
fire suppression and detection devices/systems documentation
+
+
+
facility housing the information system
+
+
+
alarm service-level agreements
+
+
+
test records of fire suppression and detection devices/systems
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for fire detection and suppression
+ devices/systems
+
+
+
organizational personnel with responsibilities for providing automatic notifications
+ of any activation of fire suppression devices/systems to appropriate personnel, roles,
+ and emergency responders
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing fire suppression devices/systems
+
+
+
activation of fire suppression devices/systems (simulated)
+
+
+
automated notifications
+
+
+
+
+
+
+
PE-13 (3) AUTOMATIC FIRE SUPPRESSION
+
+
+
+
+
+
+
Control
+
+
+
The organization employs an automatic fire suppression capability for the information
+ system when the facility is not staffed on a continuous basis.
+
+
+
+
+
Objective
+
+
+
Determine if the organization employs an automatic fire suppression capability for
+ the information system when the facility is not staffed on a continuous basis.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing fire protection
+
+
+
fire suppression and detection devices/systems documentation
+
+
+
facility housing the information system
+
+
+
alarm service-level agreements
+
+
+
test records of fire suppression and detection devices/systems
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for fire detection and suppression
+ devices/systems
+
+
+
organizational personnel with responsibilities for providing automatic notifications
+ of any activation of fire suppression devices/systems to appropriate personnel, roles,
+ and emergency responders
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing fire suppression devices/systems
+
+
+
activation of fire suppression devices/systems (simulated)
+
+
+
+
+
+
+
PE-13 (4) INSPECTIONS
+
+
+
+
+
+
Parameter: pe-13_d organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: pe-13_e organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
Control
+
+
+
The organization ensures that the facility undergoes pe-13_d organization-defined frequency [organization-defined frequency] inspections by authorized and qualified inspectors and resolves identified deficiencies
+ within pe-13_e organization-defined time period [organization-defined time period].
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency of inspections to be conducted on the facility by authorized
+ and qualified inspectors;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
ensures that the facility undergoes inspections by authorized and qualified inspectors
+ with the organization-defined frequency;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines a time period to resolve deficiencies identified when the facility undergoes
+ such inspections; and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
resolves identified deficiencies within the organization-defined time period.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing fire protection
+
+
+
security plan
+
+
+
facility housing the information system
+
+
+
inspection plans
+
+
+
inspection results
+
+
+
inspect reports
+
+
+
test records of fire suppression and detection devices/systems
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for planning, approving, and executing
+ fire inspections
+
+
+
organizational personnel with information security responsibilities
+
Parameter: pe-14_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Maintains temperature and humidity levels within the facility where the information
+ system resides at pe-14_a organization-defined acceptable levels [organization-defined acceptable levels]; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Monitors temperature and humidity levels pe-14_b organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies primarily to facilities containing concentrations of information
+ system resources, for example, data centers, server rooms, and mainframe computer
+ rooms.
+
defines acceptable temperature levels to be maintained within the facility where the
+ information system resides;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines acceptable humidity levels to be maintained within the facility where the
+ information system resides;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
maintains temperature levels within the facility where the information system resides
+ at the organization-defined levels;
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
maintains humidity levels within the facility where the information system resides
+ at the organization-defined levels;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to monitor temperature levels;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the frequency to monitor humidity levels;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
monitors temperature levels with the organization-defined frequency; and
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
monitors humidity levels with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing temperature and humidity control
+
+
+
security plan
+
+
+
temperature and humidity controls
+
+
+
facility housing the information system
+
+
+
temperature and humidity controls documentation
+
+
+
temperature and humidity records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for information system environmental
+ controls
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing maintenance and monitoring of
+ temperature and humidity levels
+
+
+
+
+
+
Control enhancements
+
+
PE-14 (1) AUTOMATIC CONTROLS
+
+
+
+
+
Control
+
+
+
The organization employs automatic temperature and humidity controls in the facility
+ to prevent fluctuations potentially harmful to the information system.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
employs automatic temperature controls in the facility to prevent fluctuations potentially
+ harmful to the information system; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs automatic humidity controls in the facility to prevent fluctuations potentially
+ harmful to the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing temperature and humidity controls
+
+
+
facility housing the information system
+
+
+
automated mechanisms for temperature and humidity
+
+
+
temperature and humidity controls
+
+
+
temperature and humidity documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for information system environmental
+ controls
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing temperature and humidity levels
+
+
+
+
+
+
+
PE-14 (2) MONITORING WITH ALARMS / NOTIFICATIONS
+
+
+
+
+
Control
+
+
+
The organization employs temperature and humidity monitoring that provides an alarm
+ or notification of changes potentially harmful to personnel or equipment.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
employs temperature monitoring that provides an alarm of changes potentially harmful
+ to personnel or equipment; and/or
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs temperature monitoring that provides notification of changes potentially harmful
+ to personnel or equipment;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
employs humidity monitoring that provides an alarm of changes potentially harmful
+ to personnel or equipment; and/or
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
employs humidity monitoring that provides notification of changes potentially harmful
+ to personnel or equipment.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing temperature and humidity monitoring
+
+
+
facility housing the information system
+
+
+
logs or records of temperature and humidity monitoring
+
+
+
records of changes to temperature and humidity levels that generate alarms or notifications
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for information system environmental
+ controls
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing temperature and humidity monitoring
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW PE-14
+
+
MOD PE-14
+
+
HIGH PE-14
+
+
+
+
+
+
+
+
PE-15 WATER DAMAGE PROTECTION
+
+
+
+
+
+
+
+
+
Control
+
+
+
The organization protects the information system from damage resulting from water
+ leakage by providing master shutoff or isolation valves that are accessible, working
+ properly, and known to key personnel.
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies primarily to facilities containing concentrations of information
+ system resources including, for example, data centers, server rooms, and mainframe
+ computer rooms. Isolation valves can be employed in addition to or in lieu of master
+ shutoff valves to shut off water supplies in specific areas of concern, without affecting
+ entire organizations.
+
Determine if the organization protects the information system from damage resulting
+ from water leakage by providing master shutoff or isolation valves that are:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
accessible;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
working properly; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
known to key personnel.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing water damage protection
+
+
+
facility housing the information system
+
+
+
master shutoff valves
+
+
+
list of key personnel with knowledge of location and activation procedures for master
+ shutoff valves for the plumbing system
+
+
+
master shutoff valve documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for information system environmental
+ controls
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Master water-shutoff valves
+
+
+
organizational process for activating master water-shutoff
+
+
+
+
+
+
Control enhancements
+
+
PE-15 (1) AUTOMATION SUPPORT
+
+
+
+
+
+
Parameter: pe-15_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to detect the presence of water in the
+ vicinity of the information system and alerts pe-15_a organization-defined personnel or roles [organization-defined personnel or roles].
+
+
+
+
+
Supplemental guidance
+
+
+
Automated mechanisms can include, for example, water detection sensors, alarms, and
+ notification systems.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to be alerted when the presence of water is detected in
+ the vicinity of the information system;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs automated mechanisms to detect the presence of water in the vicinity of the
+ information system; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
alerts organization-defined personnel or roles when the presence of water is detected
+ in the vicinity of the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing water damage protection
+
+
+
facility housing the information system
+
+
+
automated mechanisms for water shutoff valves
+
+
+
automated mechanisms detecting presence of water in vicinity of information system
+
+
+
alerts/notifications of water detection in information system facility
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for information system environmental
+ controls
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing water detection capability and
+ alerts for the information system
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW PE-15
+
+
MOD PE-15
+
+
HIGH PE-15 (1)
+
+
+
+
+
+
+
+
PE-16 DELIVERY AND REMOVAL
+
+
+
+
+
+
Parameter: pe-16_a organization-defined types of information system components
+
+
+
Default: organization-defined types of information system components
+
+
+
+
+
+
+
+
+
+
Control
+
+
+
The organization authorizes, monitors, and controls pe-16_a organization-defined types of information system components [organization-defined types of information system components] entering and exiting the facility and maintains records of those items.
+
+
+
+
+
Supplemental guidance
+
+
+
Effectively enforcing authorizations for entry and exit of information system components
+ may require restricting access to delivery areas and possibly isolating the areas
+ from the information system and media libraries.
+
defines types of information system components to be authorized, monitored, and controlled
+ as such components are entering and exiting the facility;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
authorizes organization-defined information system components entering the facility;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
monitors organization-defined information system components entering the facility;
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
controls organization-defined information system components entering the facility;
+
+
+
+
+
+
+
+
+
+
+
[5]
+
+
+
+
+
authorizes organization-defined information system components exiting the facility;
+
+
+
+
+
+
+
+
+
+
+
[6]
+
+
+
+
+
monitors organization-defined information system components exiting the facility;
+
+
+
+
+
+
+
+
+
+
+
[7]
+
+
+
+
+
controls organization-defined information system components exiting the facility;
+
+
+
+
+
+
+
+
+
+
+
[8]
+
+
+
+
+
maintains records of information system components entering the facility; and
+
+
+
+
+
+
+
+
+
+
+
[9]
+
+
+
+
+
maintains records of information system components exiting the facility.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing delivery and removal of information system components from the
+ facility
+
+
+
security plan
+
+
+
facility housing the information system
+
+
+
records of items entering and exiting the facility
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for controlling information system
+ components entering and exiting the facility
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational process for authorizing, monitoring, and controlling information system-related
+ items entering and exiting the facility
+
+
+
automated mechanisms supporting and/or implementing authorizing, monitoring, and controlling
+ information system-related items entering and exiting the facility
+
Employs pe-17_a organization-defined security controls [organization-defined security controls] at alternate work sites;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Assesses as feasible, the effectiveness of security controls at alternate work sites;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Provides a means for employees to communicate with information security personnel
+ in case of security incidents or problems.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Alternate work sites may include, for example, government facilities or private residences
+ of employees. While commonly distinct from alternative processing sites, alternate
+ work sites may provide readily available alternate locations as part of contingency
+ operations. Organizations may define different sets of security controls for specific
+ alternate work sites or types of sites depending on the work-related activities conducted
+ at those sites. This control supports the contingency planning activities of organizations
+ and the federal telework initiative.
+
defines security controls to be employed at alternate work sites;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs organization-defined security controls at alternate work sites;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
assesses, as feasible, the effectiveness of security controls at alternate work sites;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
provides a means for employees to communicate with information security personnel
+ in case of security incidents or problems.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing alternate work sites for organizational personnel
+
+
+
security plan
+
+
+
list of security controls required for alternate work sites
+
+
+
assessments of security controls at alternate work sites
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel approving use of alternate work sites
+
+
+
organizational personnel using alternate work sites
+
+
+
organizational personnel assessing controls at alternate work sites
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for security at alternate work sites
+
+
+
automated mechanisms supporting alternate work sites
+
+
+
security controls employed at alternate work sites
+
+
+
means of communications between personnel at alternate work sites and security personnel
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-46
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW Not selected
+
+
MOD PE-17
+
+
HIGH PE-17
+
+
+
+
+
+
+
+
PE-18 LOCATION OF INFORMATION SYSTEM COMPONENTS
+
+
+
+
+
+
Parameter: pe-18_a organization-defined physical and environmental hazards
+
+
+
Default: organization-defined physical and environmental hazards
+
+
+
+
+
+
+
+
Control
+
+
+
The organization positions information system components within the facility to minimize
+ potential damage from pe-18_a organization-defined physical and environmental hazards [organization-defined physical and environmental hazards] and to minimize the opportunity for unauthorized access.
+
+
+
+
+
Supplemental guidance
+
+
+
Physical and environmental hazards include, for example, flooding, fire, tornados,
+ earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, electrical
+ interference, and other forms of incoming electromagnetic radiation. In addition,
+ organizations consider the location of physical entry points where unauthorized individuals,
+ while not being granted access, might nonetheless be in close proximity to information
+ systems and therefore increase the potential for unauthorized access to organizational
+ communications (e.g., through the use of wireless sniffers or microphones).
+
defines physical hazards that could result in potential damage to information system
+ components within the facility;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines environmental hazards that could result in potential damage to information
+ system components within the facility;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
positions information system components within the facility to minimize potential
+ damage from organization-defined physical and environmental hazards; and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
positions information system components within the facility to minimize the opportunity
+ for unauthorized access.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing positioning of information system components
+
+
+
documentation providing the location and position of information system components
+ within the facility
+
+
+
locations housing information system components within the facility
+
+
+
list of physical and environmental hazards with potential to damage information system
+ components within the facility
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for positioning information system
+ components
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for positioning information system components
+
+
+
+
+
+
Control enhancements
+
+
PE-18 (1) FACILITY SITE
+
+
+
+
+
Control
+
+
+
The organization plans the location or site of the facility where the information
+ system resides with regard to physical and environmental hazards and for existing
+ facilities, considers the physical and environmental hazards in its risk mitigation
+ strategy.
+
plans the location or site of the facility where the information system resides with
+ regard to physical hazards;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
plans the location or site of the facility where the information system resides with
+ regard to environmental hazards;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
for existing facilities, considers the physical hazards in its risk mitigation strategy;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
for existing facilities, considers the environmental hazards in its risk mitigation
+ strategy.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
physical site planning documents
+
+
+
organizational assessment of risk, contingency plan
+
+
+
risk mitigation strategy documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with site selection responsibilities for the facility housing
+ the information system
+
+
+
organizational personnel with risk mitigation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for site planning
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P3
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH PE-18
+
+
+
+
+
+
+
+
PE-19 INFORMATION LEAKAGE
+
+
+
+
+
+
Control
+
+
+
The organization protects the information system from information leakage due to electromagnetic
+ signals emanations.
+
+
+
+
+
Supplemental guidance
+
+
+
Information leakage is the intentional or unintentional release of information to
+ an untrusted environment from electromagnetic signals emanations. Security categories
+ or classifications of information systems (with respect to confidentiality) and organizational
+ security policies guide the selection of security controls employed to protect systems
+ against information leakage due to electromagnetic signals emanations.
+
+
+
+
+
+
Objective
+
+
+
Determine if the organization protects the information system from information leakage
+ due to electromagnetic signals emanations.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing information leakage due to electromagnetic signals emanations
+
+
+
mechanisms protecting the information system against electronic signals emanation
+
+
+
facility housing the information system
+
+
+
records from electromagnetic signals emanation tests
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for information system environmental
+ controls
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing protection from information leakage
+ due to electromagnetic signals emanations
+
+
+
+
+
+
+
Control enhancements
+
+
PE-19 (1) NATIONAL EMISSIONS / TEMPEST POLICIES AND PROCEDURES
+
+
+
+
+
Control
+
+
+
The organization ensures that information system components, associated data communications,
+ and networks are protected in accordance with national emissions and TEMPEST policies
+ and procedures based on the security category or classification of the information.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization ensures that the following are protected in accordance
+ with national emissions and TEMPEST policies and procedures based on the security
+ category or classification of the information:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
information system components;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
associated data communications; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
networks.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing information leakage that comply with national emissions and
+ TEMPEST policies and procedures
+
+
+
information system component design documentation
+
+
+
information system configuration settings and associated documentation other relevant
+ documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibilities for information system environmental
+ controls
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Information system components for compliance with national emissions and TEMPEST policies
+ and procedures
+
Parameter: pe-20_c organization-defined controlled areas
+
+
+
Default: organization-defined controlled areas
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Employs pe-20_a organization-defined asset location technologies [organization-defined asset location technologies] to track and monitor the location and movement of pe-20_b organization-defined assets [organization-defined assets] within pe-20_c organization-defined controlled areas [organization-defined controlled areas]; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Ensures that asset location technologies are employed in accordance with applicable
+ federal laws, Executive Orders, directives, regulations, policies, standards, and
+ guidance.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Asset location technologies can help organizations ensure that critical assets such
+ as vehicles or essential information system components remain in authorized locations.
+ Organizations consult with the Office of the General Counsel and the Senior Agency
+ Official for Privacy (SAOP)/Chief Privacy Officer (CPO) regarding the deployment and
+ use of asset location technologies to address potential privacy concerns.
+
defines assets whose location and movement are to be tracked and monitored;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines asset location technologies to be employed to track and monitor the location
+ and movement of organization-defined assets;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines controlled areas within which to track and monitor organization-defined assets;
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
employs organization-defined asset location technologies to track and monitor the
+ location and movement of organization-defined assets within organization-defined controlled
+ areas; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
ensures that asset location technologies are employed in accordance with applicable
+ federal laws, Executive Orders, directives, regulations, policies, standards and guidance.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Physical and environmental protection policy
+
+
+
procedures addressing asset monitoring and tracking
+
+
+
asset location technologies and associated configuration documentation
+
+
+
list of organizational assets requiring tracking and monitoring
+
+
+
asset monitoring and tracking records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with asset monitoring and tracking responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for tracking and monitoring assets
+
+
+
automated mechanisms supporting and/or implementing tracking and monitoring of assets
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
+
+
+
PLANNING
+
+
+
PL-1 SECURITY PLANNING POLICY AND PROCEDURES
+
+
+
+
+
+
Parameter: pl-1_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: pl-1_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: pl-1_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops, documents, and disseminates to pl-1_a organization-defined personnel or roles [organization-defined personnel or roles]:
+
+
+
+
+
+
+
1.
+
+
+
+
+
A security planning policy that addresses purpose, scope, roles, responsibilities,
+ management commitment, coordination among organizational entities, and compliance;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Procedures to facilitate the implementation of the security planning policy and associated
+ security planning controls; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the current:
+
+
+
+
+
+
1.
+
+
+
+
+
Security planning policy pl-1_b organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Security planning procedures pl-1_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the establishment of policy and procedures for the effective
+ implementation of selected security controls and control enhancements in the PL family.
+ Policy and procedures reflect applicable federal laws, Executive Orders, directives,
+ regulations, policies, standards, and guidance. Security program policies and procedures
+ at the organization level may make the need for system-specific policies and procedures
+ unnecessary. The policy can be included as part of the general information security
+ policy for organizations or conversely, can be represented by multiple policies reflecting
+ the complex nature of certain organizations. The procedures can be established for
+ the security program in general and for particular information systems, if needed.
+ The organizational risk management strategy is a key factor in establishing policy
+ and procedures.
+
develops and documents a planning policy that addresses:
+
+
+
+
+
+
[a]
+
+
+
+
+
purpose;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
scope;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
roles;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
responsibilities;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
management commitment;
+
+
+
+
+
+
+
+
+
+
+
[f]
+
+
+
+
+
coordination among organizational entities;
+
+
+
+
+
+
+
+
+
+
+
[g]
+
+
+
+
+
compliance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the planning policy is to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the planning policy to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(a)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops and documents procedures to facilitate the implementation of the planning
+ policy and associated planning controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current planning policy;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current planning policy with the organization-defined frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current planning procedures; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current planning procedures with the organization-defined
+ frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Planning policy and procedures
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with planning responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-12
+
+
+
+
+
+
NIST Special Publication 800-18
+
+
+
+
+
+
NIST Special Publication 800-100
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW PL-1
+
+
MOD PL-1
+
+
HIGH PL-1
+
+
+
+
+
+
+
+
PL-2 SYSTEM SECURITY PLAN
+
+
+
+
+
+
Parameter: pl-2_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: pl-2_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops a security plan for the information system that:
+
+
+
+
+
+
1.
+
+
+
+
+
Is consistent with the organization�s enterprise architecture;
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Explicitly defines the authorization boundary for the system;
+
+
+
+
+
+
+
+
+
+
+
3.
+
+
+
+
+
Describes the operational context of the information system in terms of missions and
+ business processes;
+
+
+
+
+
+
+
+
+
+
+
+
4.
+
+
+
+
+
Provides the security categorization of the information system including supporting
+ rationale;
+
+
+
+
+
+
+
+
+
+
+
+
5.
+
+
+
+
+
Describes the operational environment for the information system and relationships
+ with or connections to other information systems;
+
+
+
+
+
+
+
+
+
+
+
+
6.
+
+
+
+
+
Provides an overview of the security requirements for the system;
+
+
+
+
+
+
+
+
+
+
+
7.
+
+
+
+
+
Identifies any relevant overlays, if applicable;
+
+
+
+
+
+
+
+
+
+
+
8.
+
+
+
+
+
Describes the security controls in place or planned for meeting those requirements
+ including a rationale for the tailoring decisions; and
+
+
+
+
+
+
+
+
+
+
+
+
9.
+
+
+
+
+
Is reviewed and approved by the authorizing official or designated representative
+ prior to plan implementation;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Distributes copies of the security plan and communicates subsequent changes to the
+ plan to pl-2_a organization-defined personnel or roles [organization-defined personnel or roles];
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Reviews the security plan for the information system pl-2_b organization-defined frequency [organization-defined frequency];
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Updates the plan to address changes to the information system/environment of operation
+ or problems identified during plan implementation or security control assessments;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Protects the security plan from unauthorized disclosure and modification.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Security plans relate security requirements to a set of security controls and control
+ enhancements. Security plans also describe, at a high level, how the security controls
+ and control enhancements meet those security requirements, but do not provide detailed,
+ technical descriptions of the specific design or implementation of the controls/enhancements.
+ Security plans contain sufficient information (including the specification of parameter
+ values for assignment and selection statements either explicitly or by reference)
+ to enable a design and implementation that is unambiguously compliant with the intent
+ of the plans and subsequent determinations of risk to organizational operations and
+ assets, individuals, other organizations, and the Nation if the plan is implemented
+ as intended. Organizations can also apply tailoring guidance to the security control
+ baselines in Appendix D and CNSS Instruction 1253 to develop overlays for community-wide
+ use or to address specialized requirements, technologies, or missions/environments
+ of operation (e.g., DoD-tactical, Federal Public Key Infrastructure, or Federal Identity,
+ Credential, and Access Management, space operations). Appendix I provides guidance
+ on developing overlays.
+ Security plans need not be single documents; the plans can be a collection of various
+ documents including documents that already exist. Effective security plans make extensive
+ use of references to policies, procedures, and additional documents (e.g., design
+ and implementation specifications) where more detailed information can be obtained.
+ This reduces the documentation requirements associated with security programs and
+ maintains security-related information in other established management/operational
+ areas related to enterprise architecture, system development life cycle, systems engineering,
+ and acquisition. For example, security plans do not contain detailed contingency plan
+ or incident response plan information but instead provide explicitly or by reference,
+ sufficient information to define what needs to be accomplished by those plans.
+
develops a security plan for the information system that:
+
+
+
+
+
+
(1)
+
+
+
+
+
is consistent with the organization’s enterprise architecture;
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
explicitly defines the authorization boundary for the system;
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
describes the operational context of the information system in terms of missions and
+ business processes;
+
+
+
+
+
+
+
+
+
+
+
+
(4)
+
+
+
+
+
provides the security categorization of the information system including supporting
+ rationale;
+
+
+
+
+
+
+
+
+
+
+
+
(5)
+
+
+
+
+
describes the operational environment for the information system and relationships
+ with or connections to other information systems;
+
+
+
+
+
+
+
+
+
+
+
+
(6)
+
+
+
+
+
provides an overview of the security requirements for the system;
+
+
+
+
+
+
+
+
+
+
+
(7)
+
+
+
+
+
identifies any relevant overlays, if applicable;
+
+
+
+
+
+
+
+
+
+
+
(8)
+
+
+
+
+
describes the security controls in place or planned for meeting those requirements
+ including a rationale for the tailoring and supplemental decisions;
+
+
+
+
+
+
+
+
+
+
+
+
(9)
+
+
+
+
+
is reviewed and approved by the authorizing official or designated representative
+ prior to plan implementation;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to whom copies of the security plan are to be distributed
+ and subsequent changes to the plan are to be communicated;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
distributes copies of the security plan and communicates subsequent changes to the
+ plan to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review the security plan for the information system;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews the security plan for the information system with the organization-defined
+ frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
updates the plan to address:
+
+
+
+
+
+
[1]
+
+
+
+
+
changes to the information system/environment of operation;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
problems identified during plan implementation;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
problems identified during security control assessments;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
protects the security plan from unauthorized:
+
+
+
+
+
+
[1]
+
+
+
+
+
disclosure; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
modification.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security planning policy
+
+
+
procedures addressing security plan development and implementation
+
+
+
procedures addressing security plan reviews and updates
+
+
+
enterprise architecture documentation
+
+
+
security plan for the information system
+
+
+
records of security plan reviews and updates
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security planning and plan implementation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for security plan development/review/update/approval
+
+
+
automated mechanisms supporting the information system security plan
+
PL-2 (3) PLAN / COORDINATE WITH OTHER ORGANIZATIONAL ENTITIES
+
+
+
+
+
+
Parameter: pl-2_c organization-defined individuals or groups
+
+
+
Default: organization-defined individuals or groups
+
+
+
+
+
+
+
+
Control
+
+
+
The organization plans and coordinates security-related activities affecting the information
+ system with pl-2_c organization-defined individuals or groups [organization-defined individuals or groups] before conducting such activities in order to reduce the impact on other organizational
+ entities.
+
+
+
+
+
Supplemental guidance
+
+
+
Security-related activities include, for example, security assessments, audits, hardware
+ and software maintenance, patch management, and contingency plan testing. Advance
+ planning and coordination includes emergency and nonemergency (i.e., planned or nonurgent
+ unplanned) situations. The process defined by organizations to plan and coordinate
+ security-related activities can be included in security plans for information systems
+ or other documents, as appropriate.
+
defines individuals or groups with whom security-related activities affecting the
+ information system are to be planned and coordinated before conducting such activities
+ in order to reduce the impact on other organizational entities; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
plans and coordinates security-related activities affecting the information system
+ with organization-defined individuals or groups before conducting such activities
+ in order to reduce the impact on other organizational entities.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security planning policy
+
+
+
access control policy
+
+
+
contingency planning policy
+
+
+
procedures addressing security-related activity planning for the information system
+
+
+
security plan for the information system
+
+
+
contingency plan for the information system
+
+
+
information system design documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security planning and plan implementation responsibilities
+
+
+
organizational individuals or groups with whom security-related activities are to
+ be planned and coordinated
+
+
+
organizational personnel with information security responsibilities
+
Parameter: pl-4_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Establishes and makes readily available to individuals requiring access to the information
+ system, the rules that describe their responsibilities and expected behavior with
+ regard to information and information system usage;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Receives a signed acknowledgment from such individuals, indicating that they have
+ read, understand, and agree to abide by the rules of behavior, before authorizing
+ access to information and the information system;
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Reviews and updates the rules of behavior pl-4_a organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Requires individuals who have signed a previous version of the rules of behavior to
+ read and re-sign when the rules of behavior are revised/updated.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement applies to organizational users. Organizations consider rules
+ of behavior based on individual user roles and responsibilities, differentiating,
+ for example, between rules that apply to privileged users and rules that apply to
+ general users. Establishing rules of behavior for some types of non-organizational
+ users including, for example, individuals who simply receive data/information from
+ federal information systems, is often not feasible given the large number of such
+ users and the limited nature of their interactions with the systems. Rules of behavior
+ for both organizational and non-organizational users can also be established in AC-8,
+ System Use Notification. PL-4 b. (the signed acknowledgment portion of this control)
+ may be satisfied by the security awareness training and role-based security training
+ programs conducted by organizations if such training includes rules of behavior. Organizations
+ can use electronic signatures for acknowledging rules of behavior.
+
establishes, for individuals requiring access to the information system, the rules
+ that describe their responsibilities and expected behavior with regard to information
+ and information system usage;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
makes readily available to individuals requiring access to the information system,
+ the rules that describe their responsibilities and expected behavior with regard to
+ information and information system usage;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
receives a signed acknowledgement from such individuals, indicating that they have
+ read, understand, and agree to abide by the rules of behavior, before authorizing
+ access to information and the information system;
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the rules of behavior;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the rules of behavior with the organization-defined frequency;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
requires individuals who have signed a previous version of the rules of behavior to
+ read and resign when the rules of behavior are revised/updated.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security planning policy
+
+
+
procedures addressing rules of behavior for information system users
+
+
+
rules of behavior
+
+
+
signed acknowledgements
+
+
+
records for rules of behavior reviews and updates
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for establishing, reviewing, and updating
+ rules of behavior
+
+
+
organizational personnel who are authorized users of the information system and have
+ signed and resigned rules of behavior
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for establishing, reviewing, disseminating, and updating
+ rules of behavior
+
+
+
automated mechanisms supporting and/or implementing the establishment, review, dissemination,
+ and update of rules of behavior
+
+
+
+
+
+
+
Control enhancements
+
+
PL-4 (1) SOCIAL MEDIA AND NETWORKING RESTRICTIONS
+
+
+
+
+
+
+
Control
+
+
+
The organization includes in the rules of behavior, explicit restrictions on the use
+ of social media/networking sites and posting organizational information on public
+ websites.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement addresses rules of behavior related to the use of social
+ media/networking sites: (i) when organizational personnel are using such sites for
+ official duties or in the conduct of official business; (ii) when organizational information
+ is involved in social media/networking transactions; and (iii) when personnel are
+ accessing social media/networking sites from organizational information systems. Organizations
+ also address specific rules that prevent unauthorized entities from obtaining and/or
+ inferring non-public organizational information (e.g., system account information,
+ personally identifiable information) from social media/networking sites.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization includes the following in the rules of behavior:
+
+
+
+
+
+
[1]
+
+
+
+
+
explicit restrictions on the use of social media/networking sites; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
posting organizational information on public websites.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security planning policy
+
+
+
procedures addressing rules of behavior for information system users
+
+
+
rules of behavior
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for establishing, reviewing, and updating
+ rules of behavior
+
+
+
organizational personnel who are authorized users of the information system and have
+ signed rules of behavior
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for establishing rules of behavior
+
+
+
automated mechanisms supporting and/or implementing the establishment of rules of
+ behavior
+
Parameter: pl-7_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops a security Concept of Operations (CONOPS) for the information system containing
+ at a minimum, how the organization intends to operate the system from the perspective
+ of information security; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the CONOPS pl-7_a organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
The security CONOPS may be included in the security plan for the information system
+ or in other system development life cycle-related documents, as appropriate. Changes
+ to the CONOPS are reflected in ongoing updates to the security plan, the information
+ security architecture, and other appropriate organizational documents (e.g., security
+ specifications for procurements/acquisitions, system development life cycle documents,
+ and systems/security engineering documents).
+
develops a security Concept of Operations (CONOPS) for the information system containing
+ at a minimum, how the organization intends to operate the system from the perspective
+ of information security;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the security CONOPS; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the security CONOPS with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security planning policy
+
+
+
procedures addressing security CONOPS development
+
+
+
procedures addressing security CONOPS reviews and updates
+
+
+
security CONOPS for the information system
+
+
+
security plan for the information system
+
+
+
records of security CONOPS reviews and updates
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security planning and plan implementation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for developing, reviewing, and updating the security CONOPS
+
+
+
automated mechanisms supporting and/or implementing the development, review, and update
+ of the security CONOPS
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
PL-8 INFORMATION SECURITY ARCHITECTURE
+
+
+
+
+
+
Parameter: pl-8_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops an information security architecture for the information system that:
+
+
+
+
+
+
1.
+
+
+
+
+
Describes the overall philosophy, requirements, and approach to be taken with regard
+ to protecting the confidentiality, integrity, and availability of organizational information;
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Describes how the information security architecture is integrated into and supports
+ the enterprise architecture; and
+
+
+
+
+
+
+
+
+
+
+
+
3.
+
+
+
+
+
Describes any information security assumptions about, and dependencies on, external
+ services;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the information security architecture pl-8_a organization-defined frequency [organization-defined frequency] to reflect updates in the enterprise architecture; and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Ensures that planned information security architecture changes are reflected in the
+ security plan, the security Concept of Operations (CONOPS), and organizational procurements/acquisitions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses actions taken by organizations in the design and development
+ of information systems. The information security architecture at the individual information
+ system level is consistent with and complements the more global, organization-wide
+ information security architecture described in PM-7 that is integral to and developed
+ as part of the enterprise architecture. The information security architecture includes
+ an architectural description, the placement/allocation of security functionality (including
+ security controls), security-related information for external interfaces, information
+ being exchanged across the interfaces, and the protection mechanisms associated with
+ each interface. In addition, the security architecture can include other important
+ security-related information, for example, user roles and access privileges assigned
+ to each role, unique security requirements, the types of information processed, stored,
+ and transmitted by the information system, restoration priorities of information and
+ information system services, and any other specific protection needs.
+ In today�s modern architecture, it is becoming less common for organizations to control
+ all information resources. There are going to be key dependencies on external information
+ services and service providers. Describing such dependencies in the information security
+ architecture is important to developing a comprehensive mission/business protection
+ strategy. Establishing, developing, documenting, and maintaining under configuration
+ control, a baseline configuration for organizational information systems is critical
+ to implementing and maintaining an effective information security architecture. The
+ development of the information security architecture is coordinated with the Senior
+ Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security
+ controls needed to support privacy requirements are identified and effectively implemented.
+ PL-8 is primarily directed at organizations (i.e., internally focused) to help ensure
+ that organizations develop an information security architecture for the information
+ system, and that the security architecture is integrated with or tightly coupled to
+ the enterprise architecture through the organization-wide information security architecture.
+ In contrast, SA-17 is primarily directed at external information technology product/system
+ developers and integrators (although SA-17 could be used internally within organizations
+ for in-house system development). SA-17, which is complementary to PL-8, is selected
+ when organizations outsource the development of information systems or information
+ system components to external entities, and there is a need to demonstrate/show consistency
+ with the organization�s enterprise architecture and information security architecture.
+
develops an information security architecture for the information system that describes:
+
+
+
+
+
+
(1)
+
+
+
+
+
the overall philosophy, requirements, and approach to be taken with regard to protecting
+ the confidentiality, integrity, and availability of organizational information;
+
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
how the information security architecture is integrated into and supports the enterprise
+ architecture;
+
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
any information security assumptions about, and dependencies on, external services;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the information security architecture;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the information security architecture with the organization-defined
+ frequency to reflect updates in the enterprise architecture;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
ensures that planned information security architecture changes are reflected in:
+
+
+
+
+
+
[1]
+
+
+
+
+
the security plan;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the security Concept of Operations (CONOPS); and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the organizational procurements/acquisitions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security planning policy
+
+
+
procedures addressing information security architecture development
+
+
+
procedures addressing information security architecture reviews and updates
+
+
+
enterprise architecture documentation
+
+
+
information security architecture documentation
+
+
+
security plan for the information system
+
+
+
security CONOPS for the information system
+
+
+
records of information security architecture reviews and updates
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security planning and plan implementation responsibilities
+
+
+
organizational personnel with information security architecture development responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for developing, reviewing, and updating the information security
+ architecture
+
+
+
automated mechanisms supporting and/or implementing the development, review, and update
+ of the information security architecture
+
Parameter: pl-8_c organization-defined locations and architectural layers
+
+
+
Default: organization-defined locations and architectural layers
+
+
+
+
+
+
+
+
+
+
+
+
The organization designs its security architecture using a defense-in-depth approach
+ that:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
Allocates pl-8_b organization-defined security safeguards [organization-defined security safeguards] to pl-8_c organization-defined locations and architectural layers [organization-defined locations and architectural layers]; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Ensures that the allocated security safeguards operate in a coordinated and mutually
+ reinforcing manner.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations strategically allocate security safeguards (procedural, technical, or
+ both) in the security architecture so that adversaries have to overcome multiple safeguards
+ to achieve their objective. Requiring adversaries to defeat multiple mechanisms makes
+ it more difficult to successfully attack critical information resources (i.e., increases
+ adversary work factor) and also increases the likelihood of detection. The coordination
+ of allocated safeguards is essential to ensure that an attack that involves one safeguard
+ does not create adverse unintended consequences (e.g., lockout, cascading alarms)
+ by interfering with another safeguard. Placement of security safeguards is a key activity.
+ Greater asset criticality or information value merits additional layering. Thus, an
+ organization may choose to place anti-virus software at organizational boundary layers,
+ email/web servers, notebook computers, and workstations to maximize the number of
+ related safeguards adversaries must penetrate before compromising the information
+ and information systems.
+
defines security safeguards to be allocated to locations and architectural layers
+ within the design of its security architecture;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines locations and architectural layers of its security architecture in which organization-defined
+ security safeguards are to be allocated;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
designs its security architecture using a defense-in-depth approach that allocates
+ organization-defined security safeguards to organization-defined locations and architectural
+ layers; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
designs its security architecture using a defense-in-depth approach that ensures the
+ allocated organization-defined security safeguards operate in a coordinated and mutually
+ reinforcing manner.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security planning policy
+
+
+
procedures addressing information security architecture development
+
+
+
enterprise architecture documentation
+
+
+
information security architecture documentation
+
+
+
security plan for the information system
+
+
+
security CONOPS for the information system
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security planning and plan implementation responsibilities
+
+
+
organizational personnel with information security architecture development responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for designing the information security architecture
+
+
+
automated mechanisms supporting and/or implementing the design of the information
+ security architecture
+
Parameter: pl-8_e organization-defined locations and architectural layers
+
+
+
Default: organization-defined locations and architectural layers
+
+
+
+
+
+
Control
+
+
+
The organization requires that pl-8_d organization-defined security safeguards [organization-defined security safeguards] allocated to pl-8_e organization-defined locations and architectural layers [organization-defined locations and architectural layers] are obtained from different suppliers.
+
+
+
+
+
Supplemental guidance
+
+
+
Different information technology products have different strengths and weaknesses.
+ Providing a broad spectrum of products complements the individual offerings. For example,
+ vendors offering malicious code protection typically update their products at different
+ times, often developing solutions for known viruses, Trojans, or worms according to
+ their priorities and development schedules. By having different products at different
+ locations (e.g., server, boundary, desktop) there is an increased likelihood that
+ at least one will detect the malicious code.
+
defines security safeguards to be allocated to locations and architectural layers
+ within the design of its security architecture;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines locations and architectural layers of its security architecture in which organization-defined
+ security safeguards are to be allocated; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
requires that organization-defined security safeguards allocated to organization-defined
+ locations and architectural layers are obtained from different suppliers.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security planning policy
+
+
+
procedures addressing information security architecture development
+
+
+
enterprise architecture documentation
+
+
+
information security architecture documentation
+
+
+
security plan for the information system
+
+
+
security CONOPS for the information system
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security planning and plan implementation responsibilities
+
+
+
organizational personnel with information security architecture development responsibilities
+
+
+
organizational personnel with acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for obtaining information security safeguards from different
+ suppliers
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD PL-8
+
+
HIGH PL-8
+
+
+
+
+
+
+
+
PL-9 CENTRAL MANAGEMENT
+
+
+
+
+
+
Parameter: pl-9_a organization-defined security controls and related processes
+
+
+
Default: organization-defined security controls and related processes
+
+
+
+
+
+
+
Control
+
+
+
The organization centrally manages pl-9_a organization-defined security controls and related processes [organization-defined security controls and related processes].
+
+
+
+
+
Supplemental guidance
+
+
+
Central management refers to the organization-wide management and implementation of
+ selected security controls and related processes. Central management includes planning,
+ implementing, assessing, authorizing, and monitoring the organization-defined, centrally
+ managed security controls and processes. As central management of security controls
+ is generally associated with common controls, such management promotes and facilitates
+ standardization of security control implementations and management and judicious use
+ of organizational resources. Centrally-managed security controls and processes may
+ also meet independence requirements for assessments in support of initial and ongoing
+ authorizations to operate as part of organizational continuous monitoring. As part
+ of the security control selection process, organizations determine which controls
+ may be suitable for central management based on organizational resources and capabilities.
+ Organizations consider that it may not always be possible to centrally manage every
+ aspect of a security control. In such cases, the security control is treated as a
+ hybrid control with the control managed and implemented either centrally or at the
+ information system level. Controls and control enhancements that are candidates for
+ full or partial central management include, but are not limited to: AC-2 (1) (2) (3)
+ (4); AC-17 (1) (2) (3) (9); AC-18 (1) (3) (4) (5); AC-19 (4); AC-22; AC-23; AT-2 (1)
+ (2); AT-3 (1) (2) (3); AT-4; AU-6 (1) (3) (5) (6) (9); AU-7 (1) (2); AU-11, AU-13,
+ AU-16, CA-2 (1) (2) (3); CA-3 (1) (2) (3); CA-7 (1); CA-9; CM-2 (1) (2); CM-3 (1)
+ (4); CM-4; CM-6 (1); CM-7 (4) (5); CM-8 (all); CM-9 (1); CM-10; CM-11; CP-7 (all);
+ CP-8 (all); SC-43; SI-2; SI-3; SI-7; and SI-8.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines security controls and related processes to be centrally managed; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
centrally manages organization-defined security controls and related processes.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Security planning policy
+
+
+
procedures addressing security plan development and implementation
+
+
+
security plan for the information system
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security planning and plan implementation responsibilities
+
+
+
organizational personnel with responsibilities for planning/implementing central management
+ of security controls and related processes
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for central management of security controls and related processes
+
+
+
automated mechanisms supporting and/or implementing central management of security
+ controls and related processes
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-37
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
+
+
+
PERSONNEL SECURITY
+
+
+
PS-1 PERSONNEL SECURITY POLICY AND PROCEDURES
+
+
+
+
+
+
Parameter: ps-1_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: ps-1_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: ps-1_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops, documents, and disseminates to ps-1_a organization-defined personnel or roles [organization-defined personnel or roles]:
+
+
+
+
+
+
+
1.
+
+
+
+
+
A personnel security policy that addresses purpose, scope, roles, responsibilities,
+ management commitment, coordination among organizational entities, and compliance;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Procedures to facilitate the implementation of the personnel security policy and associated
+ personnel security controls; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the current:
+
+
+
+
+
+
1.
+
+
+
+
+
Personnel security policy ps-1_b organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Personnel security procedures ps-1_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the establishment of policy and procedures for the effective
+ implementation of selected security controls and control enhancements in the PS family.
+ Policy and procedures reflect applicable federal laws, Executive Orders, directives,
+ regulations, policies, standards, and guidance. Security program policies and procedures
+ at the organization level may make the need for system-specific policies and procedures
+ unnecessary. The policy can be included as part of the general information security
+ policy for organizations or conversely, can be represented by multiple policies reflecting
+ the complex nature of certain organizations. The procedures can be established for
+ the security program in general and for particular information systems, if needed.
+ The organizational risk management strategy is a key factor in establishing policy
+ and procedures.
+
develops and documents an personnel security policy that addresses:
+
+
+
+
+
+
[a]
+
+
+
+
+
purpose;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
scope;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
roles;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
responsibilities;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
management commitment;
+
+
+
+
+
+
+
+
+
+
+
[f]
+
+
+
+
+
coordination among organizational entities;
+
+
+
+
+
+
+
+
+
+
+
[g]
+
+
+
+
+
compliance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the personnel security policy is to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the personnel security policy to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(a)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops and documents procedures to facilitate the implementation of the personnel
+ security policy and associated personnel security controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current personnel security policy;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current personnel security policy with the organization-defined
+ frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current personnel security procedures;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current personnel security procedures with the organization-defined
+ frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Personnel security policy and procedures
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with access control responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-12
+
+
+
+
+
+
NIST Special Publication 800-100
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW PS-1
+
+
MOD PS-1
+
+
HIGH PS-1
+
+
+
+
+
+
+
+
PS-2 POSITION RISK DESIGNATION
+
+
+
+
+
+
Parameter: ps-2_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Assigns a risk designation to all organizational positions;
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Establishes screening criteria for individuals filling those positions; and
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Reviews and updates position risk designations ps-2_a organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Position risk designations reflect Office of Personnel Management policy and guidance.
+ Risk designations can guide and inform the types of authorizations individuals receive
+ when accessing organizational information and information systems. Position screening
+ criteria include explicit information security role appointment requirements (e.g.,
+ training, security clearances).
+
assigns a risk designation to all organizational positions;
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
establishes screening criteria for individuals filling those positions;
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update position risk designations; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates position risk designations with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Personnel security policy
+
+
+
procedures addressing position categorization
+
+
+
appropriate codes of federal regulations
+
+
+
list of risk designations for organizational positions
+
+
+
security plan
+
+
+
records of position risk designation reviews and updates
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with personnel security responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for assigning, reviewing, and updating position risk designations
+
+
+
organizational processes for establishing screening criteria
+
+
+
+
+
+
+
References
+
+
+
+
5 C.F.R. 731.106
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW PS-2
+
+
MOD PS-2
+
+
HIGH PS-2
+
+
+
+
+
+
+
+
PS-3 PERSONNEL SCREENING
+
+
+
+
+
+
Parameter: ps-3_a organization-defined conditions requiring rescreening and, where rescreening is so
+ indicated, the frequency of such rescreening
+
+
+
Default: organization-defined conditions requiring rescreening and, where rescreening is so
+ indicated, the frequency of such rescreening
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Screens individuals prior to authorizing access to the information system; and
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Rescreens individuals according to ps-3_a organization-defined conditions requiring rescreening and, where rescreening is so
+ indicated, the frequency of such rescreening [organization-defined conditions requiring rescreening and, where rescreening is so
+ indicated, the frequency of such rescreening].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Personnel screening and rescreening activities reflect applicable federal laws, Executive
+ Orders, directives, regulations, policies, standards, guidance, and specific criteria
+ established for the risk designations of assigned positions. Organizations may define
+ different rescreening conditions and frequencies for personnel accessing information
+ systems based on types of information processed, stored, or transmitted by the systems.
+
screens individuals prior to authorizing access to the information system;
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines conditions requiring re-screening;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the frequency of re-screening where it is so indicated; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
re-screens individuals in accordance with organization-defined conditions requiring
+ re-screening and, where re-screening is so indicated, with the organization-defined
+ frequency of such re-screening.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Personnel security policy
+
+
+
procedures addressing personnel screening
+
+
+
records of screened personnel
+
+
+
security plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with personnel security responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for personnel screening
+
+
+
+
+
+
+
Control enhancements
+
+
PS-3 (1) CLASSIFIED INFORMATION
+
+
+
+
+
Control
+
+
+
The organization ensures that individuals accessing an information system processing,
+ storing, or transmitting classified information are cleared and indoctrinated to the
+ highest classification level of the information to which they have access on the system.
+
ensures that individuals accessing an information system processing, storing, or transmitting
+ classified information are cleared to the highest classification level of the information
+ to which they have access on the system; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
ensures that individuals accessing an information system processing, storing, or transmitting
+ classified information are indoctrinated to the highest classification level of the
+ information to which they have access on the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Personnel security policy
+
+
+
procedures addressing personnel screening
+
+
+
records of screened personnel
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with personnel security responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for clearing and indoctrinating personnel for access to classified
+ information
+
+
+
+
+
+
+
PS-3 (2) FORMAL INDOCTRINATION
+
+
+
+
+
Control
+
+
+
The organization ensures that individuals accessing an information system processing,
+ storing, or transmitting types of classified information which require formal indoctrination,
+ are formally indoctrinated for all of the relevant types of information to which they
+ have access on the system.
+
+
+
+
+
Supplemental guidance
+
+
+
Types of classified information requiring formal indoctrination include, for example,
+ Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information
+ (SCI).
+
Determine if the organization ensures that individuals accessing an information system
+ processing, storing, or transmitting types of classified information which require
+ formal indoctrination, are formally indoctrinated for all of the relevant types of
+ information to which they have access on the system.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Personnel security policy
+
+
+
procedures addressing personnel screening
+
+
+
records of screened personnel
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with personnel security responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for formal indoctrination for all relevant types of information
+ to which personnel have access
+
+
+
+
+
+
+
PS-3 (3) INFORMATION WITH SPECIAL PROTECTION MEASURES
+
The organization ensures that individuals accessing an information system processing,
+ storing, or transmitting information requiring special protection:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
Have valid access authorizations that are demonstrated by assigned official government
+ duties; and
+
Organizational information requiring special protection includes, for example, Controlled
+ Unclassified Information (CUI) and Sources and Methods Information (SAMI). Personnel
+ security criteria include, for example, position sensitivity background screening
+ requirements.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
ensures that individuals accessing an information system processing, storing, or transmitting
+ information requiring special protection have valid access authorizations that are
+ demonstrated by assigned official government duties;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines additional personnel screening criteria to be satisfied for individuals accessing
+ an information system processing, storing, or transmitting information requiring special
+ protection; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
ensures that individuals accessing an information system processing, storing, or transmitting
+ information requiring special protection satisfy organization-defined additional personnel
+ screening criteria.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Personnel security policy
+
+
+
access control policy, procedures addressing personnel screening
+
+
+
records of screened personnel
+
+
+
screening criteria
+
+
+
records of access authorizations
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with personnel security responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for ensuring valid access authorizations for information
+ requiring special protection
+
+
+
organizational process for additional personnel screening for information requiring
+ special protection
+
+
+
+
+
+
+
+
References
+
+
+
+
5 C.F.R. 731.106
+
+
+
+
+
+
FIPS Publication 199
+
+
+
+
+
+
FIPS Publication 201
+
+
+
+
+
+
NIST Special Publication 800-60
+
+
+
+
+
+
NIST Special Publication 800-73
+
+
+
+
+
+
NIST Special Publication 800-76
+
+
+
+
+
+
NIST Special Publication 800-78
+
+
+
+
+
+
ICD 704
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW PS-3
+
+
MOD PS-3
+
+
HIGH PS-3
+
+
+
+
+
+
+
+
PS-4 PERSONNEL TERMINATION
+
+
+
+
+
+
Parameter: ps-4_a organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
Parameter: ps-4_b organization-defined information security topics
+
+
+
Default: organization-defined information security topics
+
+
+
+
+
+
+
Parameter: ps-4_c organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: ps-4_d organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization, upon termination of individual employment:
+
+
+
+
+
+
a.
+
+
+
+
+
Disables information system access within ps-4_a organization-defined time period [organization-defined time period];
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Terminates/revokes any authenticators/credentials associated with the individual;
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Conducts exit interviews that include a discussion of ps-4_b organization-defined information security topics [organization-defined information security topics];
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Retrieves all security-related organizational information system-related property;
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Retains access to organizational information and information systems formerly controlled
+ by terminated individual; and
+
+
+
+
+
+
+
+
+
+
+
+
f.
+
+
+
+
+
Notifies ps-4_c organization-defined personnel or roles [organization-defined personnel or roles] within ps-4_d organization-defined time period [organization-defined time period].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Information system-related property includes, for example, hardware authentication
+ tokens, system administration technical manuals, keys, identification cards, and building
+ passes. Exit interviews ensure that terminated individuals understand the security
+ constraints imposed by being former employees and that proper accountability is achieved
+ for information system-related property. Security topics of interest at exit interviews
+ can include, for example, reminding terminated individuals of nondisclosure agreements
+ and potential limitations on future employment. Exit interviews may not be possible
+ for some terminated individuals, for example, in cases related to job abandonment,
+ illnesses, and nonavailability of supervisors. Exit interviews are important for individuals
+ with security clearances. Timely execution of termination actions is essential for
+ individuals terminated for cause. In certain situations, organizations consider disabling
+ the information system accounts of individuals that are being terminated prior to
+ the individuals being notified.
+
automated mechanisms for disabling information system access/revoking authenticators
+
+
+
+
+
+
Control enhancements
+
+
PS-4 (1) POST-EMPLOYMENT REQUIREMENTS
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Notifies terminated individuals of applicable, legally binding post-employment requirements
+ for the protection of organizational information; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Requires terminated individuals to sign an acknowledgment of post-employment requirements
+ as part of the organizational termination process.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations consult with the Office of the General Counsel regarding matters of
+ post-employment requirements on terminated individuals.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
notifies terminated individuals of applicable, legally binding, post-employment requirements
+ for the protection of organizational information; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
requires terminated individuals to sign an acknowledgement of post-employment requirements
+ as part of the organizational termination process.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Personnel security policy
+
+
+
procedures addressing personnel termination
+
+
+
signed post-employment acknowledgement forms
+
+
+
list of applicable, legally binding post-employment requirements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with personnel security responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for post-employment requirements
+
+
+
+
+
+
+
PS-4 (2) AUTOMATED NOTIFICATION
+
+
+
+
+
+
Parameter: ps-4_e organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to notify ps-4_e organization-defined personnel or roles [organization-defined personnel or roles] upon termination of an individual.
+
+
+
+
+
Supplemental guidance
+
+
+
In organizations with a large number of employees, not all personnel who need to know
+ about termination actions receive the appropriate notifications�or, if such notifications
+ are received, they may not occur in a timely manner. Automated mechanisms can be used
+ to send automatic alerts or notifications to specific organizational personnel or
+ roles (e.g., management personnel, supervisors, personnel security officers, information
+ security officers, systems administrators, or information technology administrators)
+ when individuals are terminated. Such automatic alerts or notifications can be conveyed
+ in a variety of ways, including, for example, telephonically, via electronic mail,
+ via text message, or via websites.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to be notified upon termination of an individual; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs automated mechanisms to notify organization-defined personnel or roles upon
+ termination of an individual.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Personnel security policy
+
+
+
procedures addressing personnel termination
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
records of personnel termination actions
+
+
+
automated notifications of employee terminations
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with personnel security responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for personnel termination
+
Parameter: ps-5_a organization-defined transfer or reassignment actions
+
+
+
Default: organization-defined transfer or reassignment actions
+
+
+
+
+
+
+
Parameter: ps-5_b organization-defined time period following the formal transfer action
+
+
+
Default: organization-defined time period following the formal transfer action
+
+
+
+
+
+
+
Parameter: ps-5_c organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: ps-5_d organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Reviews and confirms ongoing operational need for current logical and physical access
+ authorizations to information systems/facilities when individuals are reassigned or
+ transferred to other positions within the organization;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Initiates ps-5_a organization-defined transfer or reassignment actions [organization-defined transfer or reassignment actions] within ps-5_b organization-defined time period following the formal transfer action [organization-defined time period following the formal transfer action];
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Modifies access authorization as needed to correspond with any changes in operational
+ need due to reassignment or transfer; and
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Notifies ps-5_c organization-defined personnel or roles [organization-defined personnel or roles] within ps-5_d organization-defined time period [organization-defined time period].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies when reassignments or transfers of individuals are permanent
+ or of such extended durations as to make the actions warranted. Organizations define
+ actions appropriate for the types of reassignments or transfers, whether permanent
+ or extended. Actions that may be required for personnel transfers or reassignments
+ to other positions within organizations include, for example: (i) returning old and
+ issuing new keys, identification cards, and building passes; (ii) closing information
+ system accounts and establishing new accounts; (iii) changing information system access
+ authorizations (i.e., privileges); and (iv) providing for access to official records
+ to which individuals had access at previous work locations and in previous information
+ system accounts.
+
when individuals are reassigned or transferred to other positions within the organization,
+ reviews and confirms ongoing operational need for current:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
logical access authorizations to information systems;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
physical access authorizations to information systems and facilities;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines transfer or reassignment actions to be initiated following transfer or reassignment;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the time period within which transfer or reassignment actions must occur following
+ transfer or reassignment;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
initiates organization-defined transfer or reassignment actions within the organization-defined
+ time period following transfer or reassignment;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
modifies access authorization as needed to correspond with any changes in operational
+ need due to reassignment or transfer;
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to be notified when individuals are reassigned or transferred
+ to other positions within the organization;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the time period within which to notify organization-defined personnel or roles
+ when individuals are reassigned or transferred to other positions within the organization;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
notifies organization-defined personnel or roles within the organization-defined time
+ period when individuals are reassigned or transferred to other positions within the
+ organization.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Personnel security policy
+
+
+
procedures addressing personnel transfer
+
+
+
security plan
+
+
+
records of personnel transfer actions
+
+
+
list of information system and facility access authorizations
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with personnel security responsibilities organizational personnel
+ with account management responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for personnel transfer
+
+
+
automated mechanisms supporting and/or implementing personnel transfer notifications
+
+
+
automated mechanisms for disabling information system access/revoking authenticators
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW PS-5
+
+
MOD PS-5
+
+
HIGH PS-5
+
+
+
+
+
+
+
+
PS-6 ACCESS AGREEMENTS
+
+
+
+
+
+
Parameter: ps-6_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: ps-6_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops and documents access agreements for organizational information systems;
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the access agreements ps-6_a organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Ensures that individuals requiring access to organizational information and information
+ systems:
+
+
+
+
+
+
+
1.
+
+
+
+
+
Sign appropriate access agreements prior to being granted access; and
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Re-sign access agreements to maintain access to organizational information systems
+ when access agreements have been updated or ps-6_b organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Access agreements include, for example, nondisclosure agreements, acceptable use agreements,
+ rules of behavior, and conflict-of-interest agreements. Signed access agreements include
+ an acknowledgement that individuals have read, understand, and agree to abide by the
+ constraints associated with organizational information systems to which access is
+ authorized. Organizations can use electronic signatures to acknowledge access agreements
+ unless specifically prohibited by organizational policy.
+
develops and documents access agreements for organizational information systems;
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the access agreements;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the access agreements with the organization-defined frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
(1)
+
+
+
+
+
ensures that individuals requiring access to organizational information and information
+ systems sign appropriate access agreements prior to being granted access;
+
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to re-sign access agreements to maintain access to organizational
+ information systems when access agreements have been updated;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
ensures that individuals requiring access to organizational information and information
+ systems re-sign access agreements to maintain access to organizational information
+ systems when access agreements have been updated or with the organization-defined
+ frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Personnel security policy
+
+
+
procedures addressing access agreements for organizational information and information
+ systems
+
+
+
security plan
+
+
+
access agreements
+
+
+
records of access agreement reviews and updates
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with personnel security responsibilities
+
+
+
organizational personnel who have signed/resigned access agreements
+
+
+
organizational personnel with information security responsibilities
+
PS-6 (2) CLASSIFIED INFORMATION REQUIRING SPECIAL PROTECTION
+
+
+
+
+
+
+
+
+
+
+
The organization ensures that access to classified information requiring special protection
+ is granted only to individuals who:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
Have a valid access authorization that is demonstrated by assigned official government
+ duties;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Satisfy associated personnel security criteria; and
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
Have read, understood, and signed a nondisclosure agreement.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Classified information requiring special protection includes, for example, collateral
+ information, Special Access Program (SAP) information, and Sensitive Compartmented
+ Information (SCI). Personnel security criteria reflect applicable federal laws, Executive
+ Orders, directives, regulations, policies, standards, and guidance.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization ensures that access to classified information requiring
+ special protection is granted only to individuals who:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
have a valid access authorization that is demonstrated by assigned official government
+ duties;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
satisfy associated personnel security criteria; and
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
have read, understood, and signed a nondisclosure agreement.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Personnel security policy
+
+
+
procedures addressing access agreements for organizational information and information
+ systems
+
+
+
access agreements
+
+
+
access authorizations
+
+
+
personnel security criteria
+
+
+
signed nondisclosure agreements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with personnel security responsibilities
+
+
+
organizational personnel who have signed nondisclosure agreements
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for access to classified information requiring special protection
+
+
+
+
+
+
+
PS-6 (3) POST-EMPLOYMENT REQUIREMENTS
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Notifies individuals of applicable, legally binding post-employment requirements for
+ protection of organizational information; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Requires individuals to sign an acknowledgment of these requirements, if applicable,
+ as part of granting initial access to covered information.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations consult with the Office of the General Counsel regarding matters of
+ post-employment requirements on terminated individuals.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
notifies individuals of applicable, legally binding post-employment requirements for
+ protection of organizational information; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
requires individuals to sign an acknowledgement of these requirements, if applicable,
+ as part of granting initial access to covered information.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Personnel security policy
+
+
+
procedures addressing access agreements for organizational information and information
+ systems
+
+
+
signed post-employment acknowledgement forms
+
+
+
access agreements
+
+
+
list of applicable, legally binding post-employment requirements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with personnel security responsibilities
+
+
+
organizational personnel who have signed access agreements that include post-employment
+ requirements
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for post-employment requirements
+
+
+
automated mechanisms supporting notifications and individual acknowledgements of post-employment
+ requirements
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P3
+
LOW PS-6
+
+
MOD PS-6
+
+
HIGH PS-6
+
+
+
+
+
+
+
+
PS-7 THIRD-PARTY PERSONNEL SECURITY
+
+
+
+
+
+
Parameter: ps-7_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: ps-7_b organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Establishes personnel security requirements including security roles and responsibilities
+ for third-party providers;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Requires third-party providers to comply with personnel security policies and procedures
+ established by the organization;
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Documents personnel security requirements;
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Requires third-party providers to notify ps-7_a organization-defined personnel or roles [organization-defined personnel or roles] of any personnel transfers or terminations of third-party personnel who possess organizational
+ credentials and/or badges, or who have information system privileges within ps-7_b organization-defined time period [organization-defined time period]; and
+
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Monitors provider compliance.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Third-party providers include, for example, service bureaus, contractors, and other
+ organizations providing information system development, information technology services,
+ outsourced applications, and network and security management. Organizations explicitly
+ include personnel security requirements in acquisition-related documents. Third-party
+ providers may have personnel working at organizational facilities with credentials,
+ badges, or information system privileges issued by organizations. Notifications of
+ third-party personnel changes ensure appropriate termination of privileges and credentials.
+ Organizations define the transfers and terminations deemed reportable by security-related
+ characteristics that include, for example, functions, roles, and nature of credentials/privileges
+ associated with individuals transferred or terminated.
+
establishes personnel security requirements, including security roles and responsibilities,
+ for third-party providers;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
requires third-party providers to comply with personnel security policies and procedures
+ established by the organization;
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
documents personnel security requirements;
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to be notified of any personnel transfers or terminations
+ of third-party personnel who possess organizational credentials and/or badges, or
+ who have information system privileges;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the time period within which third-party providers are required to notify
+ organization-defined personnel or roles of any personnel transfers or terminations
+ of third-party personnel who possess organizational credentials and/or badges, or
+ who have information system privileges;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
requires third-party providers to notify organization-defined personnel or roles within
+ the organization-defined time period of any personnel transfers or terminations of
+ third-party personnel who possess organizational credentials and/or badges, or who
+ have information system privileges; and
+
Organizational personnel with personnel security responsibilities
+
+
+
third-party providers
+
+
+
system/network administrators
+
+
+
organizational personnel with account management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for managing and monitoring third-party personnel security
+
+
+
automated mechanisms supporting and/or implementing monitoring of provider compliance
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-35
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW PS-7
+
+
MOD PS-7
+
+
HIGH PS-7
+
+
+
+
+
+
+
+
PS-8 PERSONNEL SANCTIONS
+
+
+
+
+
+
Parameter: ps-8_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: ps-8_b organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Employs a formal sanctions process for individuals failing to comply with established
+ information security policies and procedures; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Notifies ps-8_a organization-defined personnel or roles [organization-defined personnel or roles] within ps-8_b organization-defined time period [organization-defined time period] when a formal employee sanctions process is initiated, identifying the individual
+ sanctioned and the reason for the sanction.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Organizational sanctions processes reflect applicable federal laws, Executive Orders,
+ directives, regulations, policies, standards, and guidance. Sanctions processes are
+ described in access agreements and can be included as part of general personnel policies
+ and procedures for organizations. Organizations consult with the Office of the General
+ Counsel regarding matters of employee sanctions.
+
employs a formal sanctions process for individuals failing to comply with established
+ information security policies and procedures;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to be notified when a formal employee sanctions process
+ is initiated;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the time period within which organization-defined personnel or roles must
+ be notified when a formal employee sanctions process is initiated; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
notifies organization-defined personnel or roles within the organization-defined time
+ period when a formal employee sanctions process is initiated, identifying the individual
+ sanctioned and the reason for the sanction.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Personnel security policy
+
+
+
procedures addressing personnel sanctions
+
+
+
rules of behavior
+
+
+
records of formal sanctions
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with personnel security responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for managing personnel sanctions
+
Parameter: ra-1_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: ra-1_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: ra-1_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops, documents, and disseminates to ra-1_a organization-defined personnel or roles [organization-defined personnel or roles]:
+
+
+
+
+
+
+
1.
+
+
+
+
+
A risk assessment policy that addresses purpose, scope, roles, responsibilities, management
+ commitment, coordination among organizational entities, and compliance; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Procedures to facilitate the implementation of the risk assessment policy and associated
+ risk assessment controls; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the current:
+
+
+
+
+
+
1.
+
+
+
+
+
Risk assessment policy ra-1_b organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Risk assessment procedures ra-1_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the establishment of policy and procedures for the effective
+ implementation of selected security controls and control enhancements in the RA family.
+ Policy and procedures reflect applicable federal laws, Executive Orders, directives,
+ regulations, policies, standards, and guidance. Security program policies and procedures
+ at the organization level may make the need for system-specific policies and procedures
+ unnecessary. The policy can be included as part of the general information security
+ policy for organizations or conversely, can be represented by multiple policies reflecting
+ the complex nature of certain organizations. The procedures can be established for
+ the security program in general and for particular information systems, if needed.
+ The organizational risk management strategy is a key factor in establishing policy
+ and procedures.
+
develops and documents a risk assessment policy that addresses:
+
+
+
+
+
+
[a]
+
+
+
+
+
purpose;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
scope;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
roles;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
responsibilities;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
management commitment;
+
+
+
+
+
+
+
+
+
+
+
[f]
+
+
+
+
+
coordination among organizational entities;
+
+
+
+
+
+
+
+
+
+
+
[g]
+
+
+
+
+
compliance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the risk assessment policy is to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the risk assessment policy to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(a)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops and documents procedures to facilitate the implementation of the risk assessment
+ policy and associated risk assessment controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current risk assessment policy;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current risk assessment policy with the organization-defined
+ frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current risk assessment procedures;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current risk assessment procedures with the organization-defined
+ frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
risk assessment policy and procedures
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with risk assessment responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-12
+
+
+
+
+
+
NIST Special Publication 800-30
+
+
+
+
+
+
NIST Special Publication 800-100
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW RA-1
+
+
MOD RA-1
+
+
HIGH RA-1
+
+
+
+
+
+
+
+
RA-2 SECURITY CATEGORIZATION
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Categorizes information and the information system in accordance with applicable federal
+ laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Documents the security categorization results (including supporting rationale) in
+ the security plan for the information system; and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Ensures that the authorizing official or authorizing official designated representative
+ reviews and approves the security categorization decision.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Clearly defined authorization boundaries are a prerequisite for effective security
+ categorization decisions. Security categories describe the potential adverse impacts
+ to organizational operations, organizational assets, and individuals if organizational
+ information and information systems are comprised through a loss of confidentiality,
+ integrity, or availability. Organizations conduct the security categorization process
+ as an organization-wide activity with the involvement of chief information officers,
+ senior information security officers, information system owners, mission/business
+ owners, and information owners/stewards. Organizations also consider the potential
+ adverse impacts to other organizations and, in accordance with the USA PATRIOT Act
+ of 2001 and Homeland Security Presidential Directives, potential national-level adverse
+ impacts. Security categorization processes carried out by organizations facilitate
+ the development of inventories of information assets, and along with CM-8, mappings
+ to specific information system components where information is processed, stored,
+ or transmitted.
+
categorizes information and the information system in accordance with applicable federal
+ laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
documents the security categorization results (including supporting rationale) in
+ the security plan for the information system; and
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
ensures the authorizing official or authorizing official designated representative
+ reviews and approves the security categorization decision.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Risk assessment policy
+
+
+
security planning policy and procedures
+
+
+
procedures addressing security categorization of organizational information and information
+ systems
+
+
+
security plan
+
+
+
security categorization documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security categorization and risk assessment responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for security categorization
+
+
+
+
+
+
+
References
+
+
+
+
FIPS Publication 199
+
+
+
+
+
+
NIST Special Publication 800-30
+
+
+
+
+
+
NIST Special Publication 800-39
+
+
+
+
+
+
NIST Special Publication 800-60
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW RA-2
+
+
MOD RA-2
+
+
HIGH RA-2
+
+
+
+
+
+
+
+
RA-3 RISK ASSESSMENT
+
+
+
+
+
+
Parameter: ra-3_a organization-defined document
+
+
+
Default: organization-defined document
+
+
+
+
+
+
+
Parameter: ra-3_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: ra-3_c organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: ra-3_d organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Conducts an assessment of risk, including the likelihood and magnitude of harm, from
+ the unauthorized access, use, disclosure, disruption, modification, or destruction
+ of the information system and the information it processes, stores, or transmits;
+
Reviews risk assessment results ra-3_b organization-defined frequency [organization-defined frequency];
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Disseminates risk assessment results to ra-3_c organization-defined personnel or roles [organization-defined personnel or roles]; and
+
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Updates the risk assessment ra-3_d organization-defined frequency [organization-defined frequency] or whenever there are significant changes to the information system or environment
+ of operation (including the identification of new threats and vulnerabilities), or
+ other conditions that may impact the security state of the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Clearly defined authorization boundaries are a prerequisite for effective risk assessments.
+ Risk assessments take into account threats, vulnerabilities, likelihood, and impact
+ to organizational operations and assets, individuals, other organizations, and the
+ Nation based on the operation and use of information systems. Risk assessments also
+ take into account risk from external parties (e.g., service providers, contractors
+ operating information systems on behalf of the organization, individuals accessing
+ organizational information systems, outsourcing entities). In accordance with OMB
+ policy and related E-authentication initiatives, authentication of public users accessing
+ federal information systems may also be required to protect nonpublic or privacy-related
+ information. As such, organizational assessments of risk also address public access
+ to federal information systems.
+ Risk assessments (either formal or informal) can be conducted at all three tiers in
+ the risk management hierarchy (i.e., organization level, mission/business process
+ level, or information system level) and at any phase in the system development life
+ cycle. Risk assessments can also be conducted at various steps in the Risk Management
+ Framework, including categorization, security control selection, security control
+ implementation, security control assessment, information system authorization, and
+ security control monitoring. RA-3 is noteworthy in that the control must be partially
+ implemented prior to the implementation of other controls in order to complete the
+ first two steps in the Risk Management Framework. Risk assessments can play an important
+ role in security control selection processes, particularly during the application
+ of tailoring guidance, which includes security control supplementation.
+
conducts an assessment of risk, including the likelihood and magnitude of harm, from
+ the unauthorized access, use, disclosure, disruption, modification, or destruction
+ of:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the information system;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information the system processes, stores, or transmits;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines a document in which risk assessment results are to be documented (if not documented
+ in the security plan or risk assessment report);
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
documents risk assessment results in one of the following:
+
+
+
+
+
+
[a]
+
+
+
+
+
the security plan;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
the risk assessment report; or
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
the organization-defined document;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review risk assessment results;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews risk assessment results with the organization-defined frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to whom risk assessment results are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
disseminates risk assessment results to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to update the risk assessment;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
updates the risk assessment:
+
+
+
+
+
+
[a]
+
+
+
+
+
with the organization-defined frequency;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
whenever there are significant changes to the information system or environment of
+ operation (including the identification of new threats and vulnerabilities); and
+
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
whenever there are other conditions that may impact the security state of the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Risk assessment policy
+
+
+
security planning policy and procedures
+
+
+
procedures addressing organizational assessments of risk
+
+
+
security plan
+
+
+
risk assessment
+
+
+
risk assessment results
+
+
+
risk assessment reviews
+
+
+
risk assessment updates
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with risk assessment responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for risk assessment
+
+
+
automated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating,
+ and updating the risk assessment
+
Parameter: ra-5_a organization-defined frequency and/or randomly in accordance with organization-defined
+ process
+
+
+
Default: organization-defined frequency and/or randomly in accordance with organization-defined
+ process
+
+
+
+
+
+
+
Parameter: ra-5_b organization-defined response times
+
+
+
Default: organization-defined response times
+
+
+
+
+
+
+
Parameter: ra-5_c organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Scans for vulnerabilities in the information system and hosted applications ra-5_a organization-defined frequency and/or randomly in accordance with organization-defined
+ process [organization-defined frequency and/or randomly in accordance with organization-defined
+ process] and when new vulnerabilities potentially affecting the system/applications are identified
+ and reported;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Employs vulnerability scanning tools and techniques that facilitate interoperability
+ among tools and automate parts of the vulnerability management process by using standards
+ for:
+
+
+
+
+
+
+
1.
+
+
+
+
+
Enumerating platforms, software flaws, and improper configurations;
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Formatting checklists and test procedures; and
+
+
+
+
+
+
+
+
+
+
+
3.
+
+
+
+
+
Measuring vulnerability impact;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Analyzes vulnerability scan reports and results from security control assessments;
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Remediates legitimate vulnerabilities ra-5_b organization-defined response times [organization-defined response times] in accordance with an organizational assessment of risk; and
+
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Shares information obtained from the vulnerability scanning process and security control
+ assessments with ra-5_c organization-defined personnel or roles [organization-defined personnel or roles] to help eliminate similar vulnerabilities in other information systems (i.e., systemic
+ weaknesses or deficiencies).
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Security categorization of information systems guides the frequency and comprehensiveness
+ of vulnerability scans. Organizations determine the required vulnerability scanning
+ for all information system components, ensuring that potential sources of vulnerabilities
+ such as networked printers, scanners, and copiers are not overlooked. Vulnerability
+ analyses for custom software applications may require additional approaches such as
+ static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches.
+ Organizations can employ these analysis approaches in a variety of tools (e.g., web-based
+ application scanners, static analysis tools, binary analyzers) and in source code
+ reviews. Vulnerability scanning includes, for example: (i) scanning for patch levels;
+ (ii) scanning for functions, ports, protocols, and services that should not be accessible
+ to users or devices; and (iii) scanning for improperly configured or incorrectly operating
+ information flow control mechanisms. Organizations consider using tools that express
+ vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention
+ and that use the Open Vulnerability Assessment Language (OVAL) to determine/test for
+ the presence of vulnerabilities. Suggested sources for vulnerability information include
+ the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database
+ (NVD). In addition, security control assessments such as red team exercises provide
+ other sources of potential vulnerabilities for which to scan. Organizations also consider
+ using tools that express vulnerability impact by the Common Vulnerability Scoring
+ System (CVSS).
+
defines the frequency for conducting vulnerability scans on the information system
+ and hosted applications; and/or
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
defines the process for conducting random vulnerability scans on the information system
+ and hosted applications;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
in accordance with the organization-defined frequency and/or organization-defined
+ process for conducting random scans, scans for vulnerabilities in:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
the information system;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
hosted applications;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
when new vulnerabilities potentially affecting the system/applications are identified
+ and reported, scans for vulnerabilities in:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
the information system;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
hosted applications;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
employs vulnerability scanning tools and techniques that facilitate interoperability
+ among tools and automate parts of the vulnerability management process by using standards
+ for:
+
+
+
+
+
+
+
(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
enumerating platforms;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
enumerating software flaws;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
enumerating improper configurations;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
formatting checklists;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
formatting test procedures;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
measuring vulnerability impact;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
analyzes vulnerability scan reports;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
analyzes results from security control assessments;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines response times to remediate legitimate vulnerabilities in accordance with
+ an organizational assessment of risk;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
remediates legitimate vulnerabilities within the organization-defined response times
+ in accordance with an organizational assessment of risk;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles with whom information obtained from the vulnerability scanning
+ process and security control assessments is to be shared;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
shares information obtained from the vulnerability scanning process with organization-defined
+ personnel or roles to help eliminate similar vulnerabilities in other information
+ systems (i.e., systemic weaknesses or deficiencies); and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
shares information obtained from security control assessments with organization-defined
+ personnel or roles to help eliminate similar vulnerabilities in other information
+ systems (i.e., systemic weaknesses or deficiencies).
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Risk assessment policy
+
+
+
procedures addressing vulnerability scanning
+
+
+
risk assessment
+
+
+
security plan
+
+
+
security assessment report
+
+
+
vulnerability scanning tools and associated configuration documentation
+
+
+
vulnerability scanning results
+
+
+
patch and vulnerability management records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with risk assessment, security control assessment and vulnerability
+ scanning responsibilities
+
+
+
organizational personnel with vulnerability scan analysis responsibilities
+
+
+
organizational personnel with vulnerability remediation responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for vulnerability scanning, analysis, remediation, and information
+ sharing
+
+
+
automated mechanisms supporting and/or implementing vulnerability scanning, analysis,
+ remediation, and information sharing
+
+
+
+
+
+
+
Control enhancements
+
+
RA-5 (1) UPDATE TOOL CAPABILITY
+
+
+
+
+
+
+
Control
+
+
+
The organization employs vulnerability scanning tools that include the capability
+ to readily update the information system vulnerabilities to be scanned.
+
+
+
+
+
Supplemental guidance
+
+
+
The vulnerabilities to be scanned need to be readily updated as new vulnerabilities
+ are discovered, announced, and scanning methods developed. This updating process helps
+ to ensure that potential vulnerabilities in the information system are identified
+ and addressed as quickly as possible.
+
Determine if the organization employs vulnerability scanning tools that include the
+ capability to readily update the information system vulnerabilities to be scanned.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Procedures addressing vulnerability scanning
+
+
+
security plan
+
+
+
security assessment report
+
+
+
vulnerability scanning tools and associated configuration documentation
+
+
+
vulnerability scanning results
+
+
+
patch and vulnerability management records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with vulnerability scanning responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for vulnerability scanning
+
RA-5 (2) UPDATE BY FREQUENCY / PRIOR TO NEW SCAN / WHEN IDENTIFIED
+
+
+
+
+
+
Parameter: ra-5_d organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
Control
+
+
+
The organization updates the information system vulnerabilities scanned [Selection
+ (one or more): ra-5_d organization-defined frequency [organization-defined frequency]; prior to a new scan; when new vulnerabilities are identified and reported].
+
The organization employs vulnerability scanning procedures that can identify the breadth
+ and depth of coverage (i.e., information system components scanned and vulnerabilities
+ checked).
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization employs vulnerability scanning procedures that can identify:
+
+
+
+
+
+
[1]
+
+
+
+
+
the breadth of coverage (i.e., information system components scanned); and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the depth of coverage (i.e., vulnerabilities checked).
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Procedures addressing vulnerability scanning
+
+
+
security plan
+
+
+
security assessment report
+
+
+
vulnerability scanning tools and associated configuration documentation
+
+
+
vulnerability scanning results
+
+
+
patch and vulnerability management records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with vulnerability scanning responsibilities
+
+
+
organizational personnel with vulnerability scan analysis responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for vulnerability scanning
+
The organization determines what information about the information system is discoverable
+ by adversaries and subsequently takes ra-5_e organization-defined corrective actions [organization-defined corrective actions].
+
+
+
+
+
Supplemental guidance
+
+
+
Discoverable information includes information that adversaries could obtain without
+ directly compromising or breaching the information system, for example, by collecting
+ information the system is exposing or by conducting extensive searches of the web.
+ Corrective actions can include, for example, notifying appropriate organizational
+ personnel, removing designated information, or changing the information system to
+ make designated information less relevant or attractive to adversaries.
+
The information system implements privileged access authorization to ra-5_f organization-identified information system components [organization-identified information system components] for selected ra-5_g organization-defined vulnerability scanning activities [organization-defined vulnerability scanning activities].
+
+
+
+
+
Supplemental guidance
+
+
+
In certain situations, the nature of the vulnerability scanning may be more intrusive
+ or the information system component that is the subject of the scanning may contain
+ highly sensitive information. Privileged access authorization to selected system components
+ facilitates more thorough vulnerability scanning and also protects the sensitive nature
+ of such scanning.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines information system components to which privileged access
+ is authorized for selected vulnerability scanning activities;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines vulnerability scanning activities selected for privileged
+ access authorization to organization-defined information system components; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system implements privileged access authorization to organization-defined
+ information system components for selected organization-defined vulnerability scanning
+ activities.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Risk assessment policy
+
+
+
procedures addressing vulnerability scanning
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of information system components for vulnerability scanning
+
+
+
personnel access authorization list
+
+
+
authorization credentials
+
+
+
access authorization records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with vulnerability scanning responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel responsible for access control to the information system
+
+
+
organizational personnel responsible for configuration management of the information
+ system
+
+
+
system developers
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for vulnerability scanning
+
+
+
organizational processes for access control
+
+
+
automated mechanisms supporting and/or implementing access control
+
The organization employs automated mechanisms to compare the results of vulnerability
+ scans over time to determine trends in information system vulnerabilities.
+
Determine if the organization employs automated mechanisms to compare the results
+ of vulnerability scans over time to determine trends in information system vulnerabilities.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Risk assessment policy
+
+
+
procedures addressing vulnerability scanning
+
+
+
information system design documentation
+
+
+
vulnerability scanning tools and techniques documentation
+
+
+
vulnerability scanning results
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with vulnerability scanning responsibilities
+
+
+
organizational personnel with vulnerability scan analysis responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for vulnerability scanning
+
Determine if the organization reviews historic audit logs to determine if a vulnerability
+ identified in the information system has been previously exploited.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Risk assessment policy
+
+
+
procedures addressing vulnerability scanning
+
+
+
audit logs
+
+
+
records of audit log reviews
+
+
+
vulnerability scanning results
+
+
+
patch and vulnerability management records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with vulnerability scanning responsibilities
+
+
+
organizational personnel with vulnerability scan analysis responsibilities
+
+
+
+
+
organizational personnel with audit record review responsibilities
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for vulnerability scanning
+
+
+
organizational process for audit record review and response
+
The organization correlates the output from vulnerability scanning tools to determine
+ the presence of multi-vulnerability/multi-hop attack vectors.
+
+
+
+
+
Objective
+
+
+
Determine if the organization correlates the output from vulnerability scanning tools
+ to determine the presence of multi-vulnerability/multi-hop attack vectors.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Risk assessment policy
+
+
+
procedures addressing vulnerability scanning
+
+
+
risk assessment
+
+
+
security plan
+
+
+
vulnerability scanning tools and techniques documentation
+
+
+
vulnerability scanning results
+
+
+
vulnerability management records
+
+
+
audit records
+
+
+
event/vulnerability correlation logs
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with vulnerability scanning responsibilities
+
+
+
organizational personnel with vulnerability scan analysis responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for vulnerability scanning
+
Parameter: ra-6_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: ra-6_c organization-defined events or indicators occur
+
+
+
Default: organization-defined events or indicators occur
+
+
+
+
+
+
+
Control
+
+
+
The organization employs a technical surveillance countermeasures survey at ra-6_a organization-defined locations [organization-defined locations] [Selection (one or more): ra-6_b organization-defined frequency [organization-defined frequency]; ra-6_c organization-defined events or indicators occur [organization-defined events or indicators occur]].
+
+
+
+
+
Supplemental guidance
+
+
+
Technical surveillance countermeasures surveys are performed by qualified personnel
+ to detect the presence of technical surveillance devices/hazards and to identify technical
+ security weaknesses that could aid in the conduct of technical penetrations of surveyed
+ facilities. Such surveys provide evaluations of the technical security postures of
+ organizations and facilities and typically include thorough visual, electronic, and
+ physical examinations in and about surveyed facilities. The surveys also provide useful
+ input into risk assessments and organizational exposure to potential adversaries.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines locations to employ technical surveillance countermeasure surveys;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines a frequency to employ technical surveillance countermeasure surveys;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines events or indicators which, if they occur, trigger a technical surveillance
+ countermeasures survey;
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
employs a technical surveillance countermeasures survey at organization-defined locations
+ one or more of the following:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
with the organization-defined frequency; and/or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
when organization-defined events or indicators occur.
SA-1 SYSTEM AND SERVICES ACQUISITION POLICY AND PROCEDURES
+
+
+
+
+
+
Parameter: sa-1_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: sa-1_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: sa-1_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops, documents, and disseminates to sa-1_a organization-defined personnel or roles [organization-defined personnel or roles]:
+
+
+
+
+
+
+
1.
+
+
+
+
+
A system and services acquisition policy that addresses purpose, scope, roles, responsibilities,
+ management commitment, coordination among organizational entities, and compliance;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Procedures to facilitate the implementation of the system and services acquisition
+ policy and associated system and services acquisition controls; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the current:
+
+
+
+
+
+
1.
+
+
+
+
+
System and services acquisition policy sa-1_b organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
System and services acquisition procedures sa-1_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the establishment of policy and procedures for the effective
+ implementation of selected security controls and control enhancements in the SA family.
+ Policy and procedures reflect applicable federal laws, Executive Orders, directives,
+ regulations, policies, standards, and guidance. Security program policies and procedures
+ at the organization level may make the need for system-specific policies and procedures
+ unnecessary. The policy can be included as part of the general information security
+ policy for organizations or conversely, can be represented by multiple policies reflecting
+ the complex nature of certain organizations. The procedures can be established for
+ the security program in general and for particular information systems, if needed.
+ The organizational risk management strategy is a key factor in establishing policy
+ and procedures.
+
develops and documents a system and services acquisition policy that addresses:
+
+
+
+
+
+
[a]
+
+
+
+
+
purpose;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
scope;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
roles;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
responsibilities;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
management commitment;
+
+
+
+
+
+
+
+
+
+
+
[f]
+
+
+
+
+
coordination among organizational entities;
+
+
+
+
+
+
+
+
+
+
+
[g]
+
+
+
+
+
compliance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the system and services acquisition policy is to
+ be disseminated;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the system and services acquisition policy to organization-defined personnel
+ or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(a)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops and documents procedures to facilitate the implementation of the system
+ and services acquisition policy and associated system and services acquisition controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current system and services acquisition
+ policy;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current system and services acquisition policy with the organization-defined
+ frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current system and services acquisition
+ procedures; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current system and services acquisition procedures with the
+ organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy and procedures
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-12
+
+
+
+
+
+
NIST Special Publication 800-100
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW SA-1
+
+
MOD SA-1
+
+
HIGH SA-1
+
+
+
+
+
+
+
+
SA-2 ALLOCATION OF RESOURCES
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Determines information security requirements for the information system or information
+ system service in mission/business process planning;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Determines, documents, and allocates the resources required to protect the information
+ system or information system service as part of its capital planning and investment
+ control process; and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Establishes a discrete line item for information security in organizational programming
+ and budgeting documentation.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Resource allocation for information security includes funding for the initial information
+ system or information system service acquisition and funding for the sustainment of
+ the system/service.
+
determines information security requirements for the information system or information
+ system service in mission/business process planning;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
to protect the information system or information system service as part of its capital
+ planning and investment control process:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
determines the resources required;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
documents the resources required;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
allocates the resources required; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
establishes a discrete line item for information security in organizational programming
+ and budgeting documentation.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing the allocation of resources to information security requirements
+
+
+
procedures addressing capital planning and investment control
+
+
+
organizational programming and budgeting documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with capital planning, investment control, organizational
+ programming and budgeting responsibilities
+
+
+
organizational personnel responsible for determining information security requirements
+ for information systems/services
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for determining information security requirements
+
+
+
organizational processes for capital planning, programming, and budgeting
+
+
+
automated mechanisms supporting and/or implementing organizational capital planning,
+ programming, and budgeting
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-65
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW SA-2
+
+
MOD SA-2
+
+
HIGH SA-2
+
+
+
+
+
+
+
+
SA-3 SYSTEM DEVELOPMENT LIFE CYCLE
+
+
+
+
+
+
Parameter: sa-3_a organization-defined system development life cycle
+
+
+
Default: organization-defined system development life cycle
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Manages the information system using sa-3_a organization-defined system development life cycle [organization-defined system development life cycle] that incorporates information security considerations;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Defines and documents information security roles and responsibilities throughout the
+ system development life cycle;
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Identifies individuals having information security roles and responsibilities; and
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Integrates the organizational information security risk management process into system
+ development life cycle activities.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
A well-defined system development life cycle provides the foundation for the successful
+ development, implementation, and operation of organizational information systems.
+ To apply the required security controls within the system development life cycle requires
+ a basic understanding of information security, threats, vulnerabilities, adverse impacts,
+ and risk to critical missions/business functions. The security engineering principles
+ in SA-8 cannot be properly applied if individuals that design, code, and test information
+ systems and system components (including information technology products) do not understand
+ security. Therefore, organizations include qualified personnel, for example, chief
+ information security officers, security architects, security engineers, and information
+ system security officers in system development life cycle activities to ensure that
+ security requirements are incorporated into organizational information systems. It
+ is equally important that developers include individuals on the development team that
+ possess the requisite security expertise and skills to ensure that needed security
+ capabilities are effectively integrated into the information system. Security awareness
+ and training programs can help ensure that individuals having key security roles and
+ responsibilities have the appropriate experience, skills, and expertise to conduct
+ assigned system development life cycle activities. The effective integration of security
+ requirements into enterprise architecture also helps to ensure that important security
+ considerations are addressed early in the system development life cycle and that those
+ considerations are directly related to the organizational mission/business processes.
+ This process also facilitates the integration of the information security architecture
+ into the enterprise architecture, consistent with organizational risk management and
+ information security strategies.
+
defines a system development life cycle that incorporates information security considerations
+ to be used to manage the information system;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
manages the information system using the organization-defined system development life
+ cycle;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
defines and documents information security roles and responsibilities throughout the
+ system development life cycle;
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
identifies individuals having information security roles and responsibilities; and
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
integrates the organizational information security risk management process into system
+ development life cycle activities.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing the integration of information security into the system development
+ life cycle process
+
+
+
information system development life cycle documentation
+
+
+
information security risk management strategy/program documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security and system life cycle development
+ responsibilities
+
+
+
organizational personnel with information security risk management responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for defining and documenting the SDLC
+
+
+
organizational processes for identifying SDLC roles and responsibilities
+
+
+
organizational process for integrating information security risk management into the
+ SDLC
+
+
+
automated mechanisms supporting and/or implementing the SDLC
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-37
+
+
+
+
+
+
NIST Special Publication 800-64
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW SA-3
+
+
MOD SA-3
+
+
HIGH SA-3
+
+
+
+
+
+
+
+
SA-4 ACQUISITION PROCESS
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization includes the following requirements, descriptions, and criteria,
+ explicitly or by reference, in the acquisition contract for the information system,
+ system component, or information system service in accordance with applicable federal
+ laws, Executive Orders, directives, policies, regulations, standards, guidelines,
+ and organizational mission/business needs:
+
+
+
+
+
+
+
a.
+
+
+
+
+
Security functional requirements;
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Security strength requirements;
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Security assurance requirements;
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Security-related documentation requirements;
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Requirements for protecting security-related documentation;
+
+
+
+
+
+
+
+
+
+
+
f.
+
+
+
+
+
Description of the information system development environment and environment in which
+ the system is intended to operate; and
+
+
+
+
+
+
+
+
+
+
+
+
g.
+
+
+
+
+
Acceptance criteria.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Information system components are discrete, identifiable information technology assets
+ (e.g., hardware, software, or firmware) that represent the building blocks of an information
+ system. Information system components include commercial information technology products.
+ Security functional requirements include security capabilities, security functions,
+ and security mechanisms. Security strength requirements associated with such capabilities,
+ functions, and mechanisms include degree of correctness, completeness, resistance
+ to direct attack, and resistance to tampering or bypass. Security assurance requirements
+ include: (i) development processes, procedures, practices, and methodologies; and
+ (ii) evidence from development and assessment activities providing grounds for confidence
+ that the required security functionality has been implemented and the required security
+ strength has been achieved. Security documentation requirements address all phases
+ of the system development life cycle.
+ Security functionality, assurance, and documentation requirements are expressed in
+ terms of security controls and control enhancements that have been selected through
+ the tailoring process. The security control tailoring process includes, for example,
+ the specification of parameter values through the use of assignment and selection
+ statements and the specification of platform dependencies and implementation information.
+ Security documentation provides user and administrator guidance regarding the implementation
+ and operation of security controls. The level of detail required in security documentation
+ is based on the security category or classification level of the information system
+ and the degree to which organizations depend on the stated security capability, functions,
+ or mechanisms to meet overall risk response expectations (as defined in the organizational
+ risk management strategy). Security requirements can also include organizationally
+ mandated configuration settings specifying allowed functions, ports, protocols, and
+ services. Acceptance criteria for information systems, information system components,
+ and information system services are defined in the same manner as such criteria for
+ any organizational acquisition or procurement. The Federal Acquisition Regulation
+ (FAR) Section 7.103 contains information security requirements from FISMA.
+
Determine if the organization includes the following requirements, descriptions, and
+ criteria, explicitly or by reference, in the acquisition contracts for the information
+ system, system component, or information system service in accordance with applicable
+ federal laws, Executive Orders, directives, policies, regulations, standards, guidelines,
+ and organizational mission/business needs:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
security functional requirements;
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
security strength requirements;
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
security assurance requirements;
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
security-related documentation requirements;
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
requirements for protecting security-related documentation;
+
+
+
+
+
+
+
+
+
+
+
(f)
+
+
+
+
+
description of:
+
+
+
+
+
+
[1]
+
+
+
+
+
the information system development environment;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the environment in which the system is intended to operate; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(g)
+
+
+
+
+
acceptance criteria.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing the integration of information security requirements, descriptions,
+ and criteria into the acquisition process
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
information system design documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with acquisition/contracting responsibilities
+
+
+
organizational personnel with responsibility for determining information system security
+ functional, strength, and assurance requirements
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for determining information system security functional, strength,
+ and assurance requirements
+
+
+
organizational processes for developing acquisition contracts
+
+
+
automated mechanisms supporting and/or implementing acquisitions and inclusion of
+ security requirements in contracts
+
+
+
+
+
+
+
Control enhancements
+
+
SA-4 (1) FUNCTIONAL PROPERTIES OF SECURITY CONTROLS
+
+
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to provide a description of the functional properties
+ of the security controls to be employed.
+
+
+
+
+
Supplemental guidance
+
+
+
Functional properties of security controls describe the functionality (i.e., security
+ capability, functions, or mechanisms) visible at the interfaces of the controls and
+ specifically exclude functionality and data structures internal to the operation of
+ the controls.
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to provide a description of the functional
+ properties of the security controls to be employed.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing the integration of information security requirements, descriptions,
+ and criteria into the acquisition process
+
+
+
solicitation documents
+
+
+
acquisition documentation
+
+
+
acquisition contracts for the information system, system component, or information
+ system services
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with acquisition/contracting responsibilities
+
+
+
organizational personnel with responsibility for determining information system security
+ functional requirements
+
+
+
information system developer or service provider
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for determining information system security functional, requirements
+
+
+
organizational processes for developing acquisition contracts
+
+
+
automated mechanisms supporting and/or implementing acquisitions and inclusion of
+ security requirements in contracts
+
+
+
+
+
+
+
SA-4 (2) DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS
+
+
+
+
+
+
Parameter: sa-4_a organization-defined design/implementation information
+
+
+
Default: organization-defined design/implementation information
+
+
+
+
+
+
+
Parameter: sa-4_b organization-defined level of detail
+
+
+
Default: organization-defined level of detail
+
+
+
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to provide design and implementation information for
+ the security controls to be employed that includes: [Selection (one or more): security-relevant
+ external system interfaces; high-level design; low-level design; source code or hardware
+ schematics; sa-4_a organization-defined design/implementation information [organization-defined design/implementation information]] at sa-4_b organization-defined level of detail [organization-defined level of detail].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations may require different levels of detail in design and implementation
+ documentation for security controls employed in organizational information systems,
+ system components, or information system services based on mission/business requirements,
+ requirements for trustworthiness/resiliency, and requirements for analysis and testing.
+ Information systems can be partitioned into multiple subsystems. Each subsystem within
+ the system can contain one or more modules. The high-level design for the system is
+ expressed in terms of multiple subsystems and the interfaces between subsystems providing
+ security-relevant functionality. The low-level design for the system is expressed
+ in terms of modules with particular emphasis on software and firmware (but not excluding
+ hardware) and the interfaces between modules providing security-relevant functionality.
+ Source code and hardware schematics are typically referred to as the implementation
+ representation of the information system.
+
defines level of detail that the developer is required to provide in design and implementation
+ information for the security controls to be employed in the information system, system
+ component, or information system service;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines design/implementation information that the developer is to provide for the
+ security controls to be employed (if selected);
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to provide design and implementation information for the security controls
+ to be employed that includes, at the organization-defined level of detail, one or
+ more of the following:
+
procedures addressing the integration of information security requirements, descriptions,
+ and criteria into the acquisition process
+
+
+
solicitation documents
+
+
+
acquisition documentation
+
+
+
acquisition contracts for the information system, system components, or information
+ system services
+
+
+
design and implementation information for security controls employed in the information
+ system, system component, or information system service
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with acquisition/contracting responsibilities
+
+
+
organizational personnel with responsibility for determining information system security
+ requirements
+
+
+
information system developer or service provider
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for determining level of detail for system design and security
+ controls
+
+
+
organizational processes for developing acquisition contracts
+
+
+
automated mechanisms supporting and/or implementing development of system design details
+
+
+
+
+
+
+
SA-4 (3) DEVELOPMENT METHODS / TECHNIQUES / PRACTICES
+
+
+
+
+
+
Parameter: sa-4_c organization-defined state-of-the-practice system/security engineering methods, software
+ development methods, testing/evaluation/validation techniques, and quality control
+ processes
+
+
+
Default: organization-defined state-of-the-practice system/security engineering methods, software
+ development methods, testing/evaluation/validation techniques, and quality control
+ processes
+
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to demonstrate the use of a system development life
+ cycle that includes sa-4_c organization-defined state-of-the-practice system/security engineering methods, software
+ development methods, testing/evaluation/validation techniques, and quality control
+ processes [organization-defined state-of-the-practice system/security engineering methods, software
+ development methods, testing/evaluation/validation techniques, and quality control
+ processes].
+
+
+
+
+
Supplemental guidance
+
+
+
Following a well-defined system development life cycle that includes state-of-the-practice
+ software development methods, systems/security engineering methods, quality control
+ processes, and testing, evaluation, and validation techniques helps to reduce the
+ number and severity of latent errors within information systems, system components,
+ and information system services. Reducing the number/severity of such errors reduces
+ the number of vulnerabilities in those systems, components, and services.
+
defines state-of-the-practice system/security engineering methods to be included in
+ the system development life cycle employed by the developer of the information system,
+ system component, or information system service;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines software development methods to be included in the system development life
+ cycle employed by the developer of the information system, system component, or information
+ system service;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines testing/evaluation/validation techniques to be included in the system development
+ life cycle employed by the developer of the information system, system component,
+ or information system service;
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
defines quality control processes to be included in the system development life cycle
+ employed by the developer of the information system, system component, or information
+ system service;
+
+
+
+
+
+
+
+
+
+
+
+
[5]
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to demonstrate the use of a system development life cycle that includes:
+
The organization requires the developer of the information system, system component,
+ or information system service to:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
Deliver the system, component, or service with sa-4_d organization-defined security configurations [organization-defined security configurations] implemented; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Use the configurations as the default for any subsequent system, component, or service
+ reinstallation or upgrade.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Security configurations include, for example, the U.S. Government Configuration Baseline
+ (USGCB) and any limitations on functions, ports, protocols, and services. Security
+ characteristics include, for example, requiring that all default passwords have been
+ changed.
+
defines security configurations to be implemented by the developer of the information
+ system, system component, or information system service;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to deliver the system, component, or service with organization-defined
+ security configurations implemented; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to use the configurations as the default for any subsequent system,
+ component, or service reinstallation or upgrade.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing the integration of information security requirements, descriptions,
+ and criteria into the acquisition process
+
+
+
solicitation documents
+
+
+
acquisition documentation
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
security configurations to be implemented by developer of the information system,
+ system component, or information system service
+
+
+
service-level agreements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with acquisition/contracting responsibilities
+
+
+
organizational personnel with responsibility for determining information system security
+ requirements
+
+
+
information system developer or service provider
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms used to verify that the configuration of the information system,
+ component, or service, as delivered, is as specified
+
+
+
+
+
+
+
SA-4 (6) USE OF INFORMATION ASSURANCE PRODUCTS
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information
+ assurance (IA) and IA-enabled information technology products that compose an NSA-approved
+ solution to protect classified information when the networks used to transmit the
+ information are at a lower classification level than the information being transmitted;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Ensures that these products have been evaluated and/or validated by NSA or in accordance
+ with NSA-approved procedures.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
COTS IA or IA-enabled information technology products used to protect classified information
+ by cryptographic means may be required to use NSA-approved key management.
+
employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information
+ assurance (IA) and IA-enabled information technology products that compose an NSA-approved
+ solution to protect classified information when the networks used to transmit the
+ information are at a lower classification level than the information being transmitted;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
ensures that these products have been evaluated and/or validated by the NSA or in
+ accordance with NSA-approved procedures.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing the integration of information security requirements, descriptions,
+ and criteria into the acquisition process
+
+
+
solicitation documents
+
+
+
acquisition documentation
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
security configurations to be implemented by developer of the information system,
+ system component, or information system service
+
+
+
service-level agreements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with acquisition/contracting responsibilities
+
+
+
organizational personnel with responsibility for determining information system security
+ requirements
+
+
+
organizational personnel responsible for ensuring information assurance products are
+ NSA-approved and are evaluated and/or validated products in accordance with NSA-approved
+ procedures
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for selecting and employing evaluated and/or validated information
+ assurance products and services that compose an NSA-approved solution to protect classified
+ information
+
+
+
+
+
+
+
SA-4 (7) NIAP-APPROVED PROTECTION PROFILES
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Limits the use of commercially provided information assurance (IA) and IA-enabled
+ information technology products to those products that have been successfully evaluated
+ against a National Information Assurance partnership (NIAP)-approved Protection Profile
+ for a specific technology type, if such a profile exists; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Requires, if no NIAP-approved Protection Profile exists for a specific technology
+ type but a commercially provided information technology product relies on cryptographic
+ functionality to enforce its security policy, that the cryptographic module is FIPS-validated.
+
limits the use of commercially-provided information assurance (IA) and IA-enabled
+ information technology products to those products that have been successfully evaluated
+ against a National Information Assurance partnership (NIAP)-approved Protection Profile
+ for a specific technology type, if such a profile exists; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
requires, if no NIAP-approved Protection Profile exists for a specific technology
+ type but a commercially provided information technology product relies on cryptographic
+ functionality to enforce its security policy, that the cryptographic module is FIPS-validated.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing the integration of information security requirements, descriptions,
+ and criteria into the acquisition process
+
+
+
solicitation documents
+
+
+
acquisition documentation
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
NAIP-approved protection profiles
+
+
+
FIPS-validation information for cryptographic functionality
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with acquisition/contracting responsibilities
+
+
+
organizational personnel with responsibility for determining information system security
+ requirements
+
+
+
organizational personnel responsible for ensuring information assurance products are
+ have been evaluated against a NIAP-approved protection profile or for ensuring products
+ relying on cryptographic functionality are FIPS-validated
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for selecting and employing products/services evaluated against
+ a NIAP-approved protection profile or FIPS-validated products
+
+
+
+
+
+
+
SA-4 (8) CONTINUOUS MONITORING PLAN
+
+
+
+
+
+
Parameter: sa-4_e organization-defined level of detail
+
+
+
Default: organization-defined level of detail
+
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to produce a plan for the continuous monitoring of security
+ control effectiveness that contains sa-4_e organization-defined level of detail [organization-defined level of detail].
+
+
+
+
+
Supplemental guidance
+
+
+
The objective of continuous monitoring plans is to determine if the complete set of
+ planned, required, and deployed security controls within the information system, system
+ component, or information system service continue to be effective over time based
+ on the inevitable changes that occur. Developer continuous monitoring plans include
+ a sufficient level of detail such that the information can be incorporated into the
+ continuous monitoring strategies and programs implemented by organizations.
+
defines the level of detail the developer of the information system, system component,
+ or information system service is required to provide when producing a plan for the
+ continuous monitoring of security control effectiveness; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to produce a plan for the continuous monitoring of security control
+ effectiveness that contains the organization-defined level of detail.
+
SA-4 (9) FUNCTIONS / PORTS / PROTOCOLS / SERVICES IN USE
+
+
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to identify early in the system development life cycle,
+ the functions, ports, protocols, and services intended for organizational use.
+
+
+
+
+
Supplemental guidance
+
+
+
The identification of functions, ports, protocols, and services early in the system
+ development life cycle (e.g., during the initial requirements definition and design
+ phases) allows organizations to influence the design of the information system, information
+ system component, or information system service. This early involvement in the life
+ cycle helps organizations to avoid or minimize the use of functions, ports, protocols,
+ or services that pose unnecessarily high risks and understand the trade-offs involved
+ in blocking specific ports, protocols, or services (or when requiring information
+ system service providers to do so). Early identification of functions, ports, protocols,
+ and services avoids costly retrofitting of security controls after the information
+ system, system component, or information system service has been implemented. SA-9
+ describes requirements for external information system services with organizations
+ identifying which functions, ports, protocols, and services are provided from external
+ sources.
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to identify early in the system development
+ life cycle:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the functions intended for organizational use;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the ports intended for organizational use;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the protocols intended for organizational use; and
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
the services intended for organizational use.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing the integration of information security requirements, descriptions,
+ and criteria into the acquisition process
+
+
+
information system design documentation
+
+
+
information system documentation including functions, ports, protocols, and services
+ intended for organizational use
+
+
+
acquisition contracts for information systems or services
+
+
+
acquisition documentation
+
+
+
solicitation documentation
+
+
+
service-level agreements
+
+
+
organizational security requirements, descriptions, and criteria for developers of
+ information systems, system components, and information system services
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with acquisition/contracting responsibilities
+
+
+
organizational personnel with responsibility for determining information system security
+ requirements
+
+
+
system/network administrators
+
+
+
organizational personnel operating, using, and/or maintaining the information system
+
+
+
information system developers
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
SA-4 (10) USE OF APPROVED PIV PRODUCTS
+
+
+
+
+
+
+
+
Control
+
+
+
The organization employs only information technology products on the FIPS 201-approved
+ products list for Personal Identity Verification (PIV) capability implemented within
+ organizational information systems.
+
Determine if the organization employs only information technology products on the
+ FIPS 201-approved products list for Personal Identity Verification (PIV) capability
+ implemented within organizational information systems.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing the integration of information security requirements, descriptions,
+ and criteria into the acquisition process
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
service-level agreements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with acquisition/contracting responsibilities
+
+
+
organizational personnel with responsibility for determining information system security
+ requirements
+
+
+
organizational personnel with responsibility for ensuring only FIPS 201-approved products
+ are implemented
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for selecting and employing FIPS 201-approved products
+
+
+
+
+
+
+
+
References
+
+
+
+
HSPD-12
+
+
+
+
+
+
ISO/IEC 15408
+
+
+
+
+
+
FIPS Publication 140-2
+
+
+
+
+
+
FIPS Publication 201
+
+
+
+
+
+
NIST Special Publication 800-23
+
+
+
+
+
+
NIST Special Publication 800-35
+
+
+
+
+
+
NIST Special Publication 800-36
+
+
+
+
+
+
NIST Special Publication 800-37
+
+
+
+
+
+
NIST Special Publication 800-64
+
+
+
+
+
+
NIST Special Publication 800-70
+
+
+
+
+
+
NIST Special Publication 800-137
+
+
+
+
+
+
Federal Acquisition Regulation
+
+
+
+
+
+
http://www.niap-ccevs.org
+
+
+
+
+
+
http://fips201ep.cio.gov
+
+
+
+
+
+
http://www.acquisition.gov/far
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW SA-4 (10)
+
+
MOD SA-4 (1) (2) (9) (10)
+
+
HIGH SA-4 (1) (2) (9) (10)
+
+
+
+
+
+
+
+
SA-5 INFORMATION SYSTEM DOCUMENTATION
+
+
+
+
+
+
Parameter: sa-5_a organization-defined actions
+
+
+
Default: organization-defined actions
+
+
+
+
+
+
+
Parameter: sa-5_b organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Obtains administrator documentation for the information system, system component,
+ or information system service that describes:
+
+
+
+
+
+
+
1.
+
+
+
+
+
Secure configuration, installation, and operation of the system, component, or service;
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Effective use and maintenance of security functions/mechanisms; and
+
+
+
+
+
+
+
+
+
+
+
3.
+
+
+
+
+
Known vulnerabilities regarding configuration and use of administrative (i.e., privileged)
+ functions;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Obtains user documentation for the information system, system component, or information
+ system service that describes:
+
+
+
+
+
+
+
1.
+
+
+
+
+
User-accessible security functions/mechanisms and how to effectively use those security
+ functions/mechanisms;
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Methods for user interaction, which enables individuals to use the system, component,
+ or service in a more secure manner; and
+
+
+
+
+
+
+
+
+
+
+
+
3.
+
+
+
+
+
User responsibilities in maintaining the security of the system, component, or service;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Documents attempts to obtain information system, system component, or information
+ system service documentation when such documentation is either unavailable or nonexistent
+ and takes sa-5_a organization-defined actions [organization-defined actions] in response;
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Protects documentation as required, in accordance with the risk management strategy;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Distributes documentation to sa-5_b organization-defined personnel or roles [organization-defined personnel or roles].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control helps organizational personnel understand the implementation and operation
+ of security controls associated with information systems, system components, and information
+ system services. Organizations consider establishing specific measures to determine
+ the quality/completeness of the content provided. The inability to obtain needed documentation
+ may occur, for example, due to the age of the information system/component or lack
+ of support from developers and contractors. In those situations, organizations may
+ need to recreate selected documentation if such documentation is essential to the
+ effective implementation or operation of security controls. The level of protection
+ provided for selected information system, component, or service documentation is commensurate
+ with the security category or classification of the system. For example, documentation
+ associated with a key DoD weapons system or command and control system would typically
+ require a higher level of protection than a routine administrative system. Documentation
+ that addresses information system vulnerabilities may also require an increased level
+ of protection. Secure operation of the information system, includes, for example,
+ initially starting the system and resuming secure system operation after any lapse
+ in system operation.
+
obtains administrator documentation for the information system, system component,
+ or information system service that describes:
+
+
+
+
+
+
+
(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
secure configuration of the system, system component, or service;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
secure installation of the system, system component, or service;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
secure operation of the system, system component, or service;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
effective use of the security features/mechanisms;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
effective maintenance of the security features/mechanisms;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
known vulnerabilities regarding configuration and use of administrative (i.e., privileged)
+ functions;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
obtains user documentation for the information system, system component, or information
+ system service that describes:
+
+
+
+
+
+
+
(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
user-accessible security functions/mechanisms;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
how to effectively use those functions/mechanisms;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
methods for user interaction, which enables individuals to use the system, component,
+ or service in a more secure manner;
+
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
user responsibilities in maintaining the security of the system, component, or service;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines actions to be taken after documented attempts to obtain information system,
+ system component, or information system service documentation when such documentation
+ is either unavailable or nonexistent;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
documents attempts to obtain information system, system component, or information
+ system service documentation when such documentation is either unavailable or nonexistent;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
takes organization-defined actions in response;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
protects documentation as required, in accordance with the risk management strategy;
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to whom documentation is to be distributed; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
distributes documentation to organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing information system documentation
+
+
+
information system documentation including administrator and user guides
+
+
+
records documenting attempts to obtain unavailable or nonexistent information system
+ documentation
+
+
+
list of actions to be taken in response to documented attempts to obtain information
+ system, system component, or information system service documentation
+
+
+
risk management strategy documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with acquisition/contracting responsibilities
+
+
+
organizational personnel with responsibility for determining information system security
+ requirements
+
+
+
system administrators
+
+
+
organizational personnel operating, using, and/or maintaining the information system
+
+
+
information system developers
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for obtaining, protecting, and distributing information system
+ administrator and user documentation
+
+
+
+
+
+
Control enhancements
+
+
SA-5 (1) FUNCTIONAL PROPERTIES OF SECURITY CONTROLS
+
The organization applies information system security engineering principles in the
+ specification, design, development, implementation, and modification of the information
+ system.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations apply security engineering principles primarily to new development information
+ systems or systems undergoing major upgrades. For legacy systems, organizations apply
+ security engineering principles to system upgrades and modifications to the extent
+ feasible, given the current state of hardware, software, and firmware within those
+ systems. Security engineering principles include, for example: (i) developing layered
+ protections; (ii) establishing sound security policy, architecture, and controls as
+ the foundation for design; (iii) incorporating security requirements into the system
+ development life cycle; (iv) delineating physical and logical security boundaries;
+ (v) ensuring that system developers are trained on how to build secure software; (vi)
+ tailoring security controls to meet organizational and operational needs; (vii) performing
+ threat modeling to identify use cases, threat agents, attack vectors, and attack patterns
+ as well as compensating controls and design patterns needed to mitigate risk; and
+ (viii) reducing risk to acceptable levels, thus enabling informed risk management
+ decisions.
+
Determine if the organization applies information system security engineering principles
+ in:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the specification of the information system;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the design of the information system;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the development of the information system;
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
the implementation of the information system; and
+
+
+
+
+
+
+
+
+
+
+
[5]
+
+
+
+
+
the modification of the information system.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing security engineering principles used in the specification, design,
+ development, implementation, and modification of the information system
+
+
+
information system design documentation
+
+
+
information security requirements and specifications for the information system
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with acquisition/contracting responsibilities
+
+
+
organizational personnel with responsibility for determining information system security
+ requirements
+
+
+
organizational personnel with information system specification, design, development,
+ implementation, and modification responsibilities
+
+
+
information system developers
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for applying security engineering principles in information
+ system specification, design, development, implementation, and modification
+
+
+
automated mechanisms supporting the application of security engineering principles
+ in information system specification, design, development, implementation, and modification
+
Parameter: sa-9_b organization-defined processes, methods, and techniques
+
+
+
Default: organization-defined processes, methods, and techniques
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Requires that providers of external information system services comply with organizational
+ information security requirements and employ sa-9_a organization-defined security controls [organization-defined security controls] in accordance with applicable federal laws, Executive Orders, directives, policies,
+ regulations, standards, and guidance;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Defines and documents government oversight and user roles and responsibilities with
+ regard to external information system services; and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Employs sa-9_b organization-defined processes, methods, and techniques [organization-defined processes, methods, and techniques] to monitor security control compliance by external service providers on an ongoing
+ basis.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
External information system services are services that are implemented outside of
+ the authorization boundaries of organizational information systems. This includes
+ services that are used by, but not a part of, organizational information systems.
+ FISMA and OMB policy require that organizations using external service providers that
+ are processing, storing, or transmitting federal information or operating information
+ systems on behalf of the federal government ensure that such providers meet the same
+ security requirements that federal agencies are required to meet. Organizations establish
+ relationships with external service providers in a variety of ways including, for
+ example, through joint ventures, business partnerships, contracts, interagency agreements,
+ lines of business arrangements, licensing agreements, and supply chain exchanges.
+ The responsibility for managing risks from the use of external information system
+ services remains with authorizing officials. For services external to organizations,
+ a chain of trust requires that organizations establish and retain a level of confidence
+ that each participating provider in the potentially complex consumer-provider relationship
+ provides adequate protection for the services rendered. The extent and nature of this
+ chain of trust varies based on the relationships between organizations and the external
+ providers. Organizations document the basis for trust relationships so the relationships
+ can be monitored over time. External information system services documentation includes
+ government, service providers, end user security roles and responsibilities, and service-level
+ agreements. Service-level agreements define expectations of performance for security
+ controls, describe measurable outcomes, and identify remedies and response requirements
+ for identified instances of noncompliance.
+
defines security controls to be employed by providers of external information system
+ services;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires that providers of external information system services comply with organizational
+ information security requirements;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
requires that providers of external information system services employ organization-defined
+ security controls in accordance with applicable federal laws, Executive Orders, directives,
+ policies, regulations, standards, and guidance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines and documents government oversight with regard to external information system
+ services;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines and documents user roles and responsibilities with regard to external information
+ system services;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines processes, methods, and techniques to be employed to monitor security control
+ compliance by external service providers; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs organization-defined processes, methods, and techniques to monitor security
+ control compliance by external service providers on an ongoing basis.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing external information system services
+
+
+
procedures addressing methods and techniques for monitoring security control compliance
+ by external service providers of information system services
+
+
+
acquisition contracts, service-level agreements
+
+
+
organizational security requirements and security specifications for external provider
+ services
+
+
+
security control assessment evidence from external providers of information system
+ services
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
external providers of information system services
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for monitoring security control compliance by external service
+ providers on an ongoing basis
+
+
+
automated mechanisms for monitoring security control compliance by external service
+ providers on an ongoing basis
+
Parameter: sa-9_c organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Conducts an organizational assessment of risk prior to the acquisition or outsourcing
+ of dedicated information security services; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Ensures that the acquisition or outsourcing of dedicated information security services
+ is approved by sa-9_c organization-defined personnel or roles [organization-defined personnel or roles].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Dedicated information security services include, for example, incident monitoring,
+ analysis and response, operation of information security-related devices such as firewalls,
+ or key management services.
+
Parameter: sa-9_d organization-defined external information system services
+
+
+
Default: organization-defined external information system services
+
+
+
+
+
+
+
+
Control
+
+
+
The organization requires providers of sa-9_d organization-defined external information system services [organization-defined external information system services] to identify the functions, ports, protocols, and other services required for the
+ use of such services.
+
+
+
+
+
Supplemental guidance
+
+
+
Information from external service providers regarding the specific functions, ports,
+ protocols, and services used in the provision of such services can be particularly
+ useful when the need arises to understand the trade-offs involved in restricting certain
+ functions/services or blocking certain ports/protocols.
+
defines external information system services for which providers of such services
+ are to identify the functions, ports, protocols, and other services required for the
+ use of such services;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires providers of organization-defined external information system services to
+ identify:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
the functions required for the use of such services;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
the ports required for the use of such services;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
the protocols required for the use of such services; and
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
the other services required for the use of such services.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing external information system services
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
The organization establishes, documents, and maintains trust relationships with external
+ service providers based on sa-9_e organization-defined security requirements, properties, factors, or conditions defining
+ acceptable trust relationships [organization-defined security requirements, properties, factors, or conditions defining
+ acceptable trust relationships].
+
+
+
+
+
Supplemental guidance
+
+
+
The degree of confidence that the risk from using external services is at an acceptable
+ level depends on the trust that organizations place in the external providers, individually
+ or in combination. Trust relationships can help organization to gain increased levels
+ of confidence that participating service providers are providing adequate protection
+ for the services rendered. Such relationships can be complicated due to the number
+ of potential entities participating in the consumer-provider interactions, subordinate
+ relationships and levels of trust, and the types of interactions between the parties.
+ In some cases, the degree of trust is based on the amount of direct control organizations
+ are able to exert on external service providers with regard to employment of security
+ controls necessary for the protection of the service/information and the evidence
+ brought forth as to the effectiveness of those controls. The level of control is typically
+ established by the terms and conditions of the contracts or service-level agreements
+ and can range from extensive control (e.g., negotiating contracts or agreements that
+ specify security requirements for the providers) to very limited control (e.g., using
+ contracts or service-level agreements to obtain commodity services such as commercial
+ telecommunications services). In other cases, levels of trust are based on factors
+ that convince organizations that required security controls have been employed and
+ that determinations of control effectiveness exist. For example, separately authorized
+ external information system services provided to organizations through well-established
+ business relationships may provide degrees of trust in such services within the tolerable
+ risk range of the organizations using the services. External service providers may
+ also outsource selected services to other external entities, making the trust relationship
+ more difficult and complicated to manage. Depending on the nature of the services,
+ organizations may find it very difficult to place significant trust in external providers.
+ This is not due to any inherent untrustworthiness on the part of providers, but to
+ the intrinsic level of risk in the services.
+
Parameter: sa-9_g organization-defined external service providers
+
+
+
Default: organization-defined external service providers
+
+
+
+
+
+
Control
+
+
+
The organization employs sa-9_f organization-defined security safeguards [organization-defined security safeguards] to ensure that the interests of sa-9_g organization-defined external service providers [organization-defined external service providers] are consistent with and reflect organizational interests.
+
+
+
+
+
Supplemental guidance
+
+
+
As organizations increasingly use external service providers, the possibility exists
+ that the interests of the service providers may diverge from organizational interests.
+ In such situations, simply having the correct technical, procedural, or operational
+ safeguards in place may not be sufficient if the service providers that implement
+ and control those safeguards are not operating in a manner consistent with the interests
+ of the consuming organizations. Possible actions that organizations might take to
+ address such concerns include, for example, requiring background checks for selected
+ service provider personnel, examining ownership records, employing only trustworthy
+ service providers (i.e., providers with which organizations have had positive experiences),
+ and conducting periodic/unscheduled visits to service provider facilities.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines external service providers whose interests are to be consistent with and reflect
+ organizational interests;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines security safeguards to be employed to ensure that the interests of organization-defined
+ external service providers are consistent with and reflect organizational interests;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
employs organization-defined security safeguards to ensure that the interests of organization-defined
+ external service providers are consistent with and reflect organizational interests.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing external information system services
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
organizational security requirements/safeguards for external service providers
+
+
+
personnel security policies for external service providers
+
+
+
assessments performed on external service providers
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
external providers of information system services
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for defining and employing safeguards to ensure consistent
+ interests with external service providers
+
+
+
automated mechanisms supporting and/or implementing safeguards to ensure consistent
+ interests with external service providers
+
+
+
+
+
+
+
SA-9 (5) PROCESSING, STORAGE, AND SERVICE LOCATION
+
Parameter: sa-9_i organization-defined requirements or conditions
+
+
+
Default: organization-defined requirements or conditions
+
+
+
+
+
+
Control
+
+
+
The organization restricts the location of [Selection (one or more): information processing;
+ information/data; information system services] to sa-9_h organization-defined locations [organization-defined locations] based on sa-9_i organization-defined requirements or conditions [organization-defined requirements or conditions].
+
+
+
+
+
Supplemental guidance
+
+
+
The location of information processing, information/data storage, or information system
+ services that are critical to organizations can have a direct impact on the ability
+ of those organizations to successfully execute their missions/business functions.
+ This situation exists when external providers control the location of processing,
+ storage or services. The criteria external providers use for the selection of processing,
+ storage, or service locations may be different from organizational criteria. For example,
+ organizations may want to ensure that data/information storage locations are restricted
+ to certain locations to facilitate incident response activities (e.g., forensic analyses,
+ after-the-fact investigations) in case of information security breaches/compromises.
+ Such incident response activities may be adversely affected by the governing laws
+ or protocols in the locations where processing and storage occur and/or the locations
+ from which information system services emanate.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines locations where organization-defined information processing, information/data,
+ and/or information system services are to be restricted;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines requirements or conditions to restrict the location of information processing,
+ information/data, and/or information system services;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
restricts the location of one or more of the following to organization-defined locations
+ based on organization-defined requirements or conditions:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
information processing;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
information/data; and/or
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
information services.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing external information system services
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
restricted locations for information processing
+
+
+
information/data and/or information system services
+
+
+
information processing, information/data, and/or information system services to be
+ maintained in restricted locations
+
+
+
organizational security requirements or conditions for external providers
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
external providers of information system services
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for defining requirements to restrict locations of information
+ processing, information/data, or information services
+
+
+
organizational processes for ensuring the location is restricted in accordance with
+ requirements or conditions
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-35
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW SA-9
+
+
MOD SA-9 (2)
+
+
HIGH SA-9 (2)
+
+
+
+
+
+
+
+
SA-10 DEVELOPER CONFIGURATION MANAGEMENT
+
+
+
+
+
+
Parameter: sa-10_a organization-defined configuration items under configuration management
+
+
+
Default: organization-defined configuration items under configuration management
+
The organization requires the developer of the information system, system component,
+ or information system service to:
+
+
+
+
+
+
+
a.
+
+
+
+
+
Perform configuration management during system, component, or service [Selection (one
+ or more): design; development; implementation; operation];
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Document, manage, and control the integrity of changes to sa-10_a organization-defined configuration items under configuration management [organization-defined configuration items under configuration management];
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Implement only organization-approved changes to the system, component, or service;
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Document approved changes to the system, component, or service and the potential security
+ impacts of such changes; and
+
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Track security flaws and flaw resolution within the system, component, or service
+ and report findings to sa-10_b organization-defined personnel [organization-defined personnel].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control also applies to organizations conducting internal information systems
+ development and integration. Organizations consider the quality and completeness of
+ the configuration management activities conducted by developers as evidence of applying
+ effective security safeguards. Safeguards include, for example, protecting from unauthorized
+ modification or destruction, the master copies of all material used to generate security-relevant
+ portions of the system hardware, software, and firmware. Maintaining the integrity
+ of changes to the information system, information system component, or information
+ system service requires configuration control throughout the system development life
+ cycle to track authorized changes and prevent unauthorized changes. Configuration
+ items that are placed under configuration management (if existence/use is required
+ by other security controls) include: the formal model; the functional, high-level,
+ and low-level design specifications; other design data; implementation documentation;
+ source code and hardware schematics; the running version of the object code; tools
+ for comparing new versions of security-relevant hardware descriptions and software/firmware
+ source code with previous versions; and test fixtures and documentation. Depending
+ on the mission/business needs of organizations and the nature of the contractual relationships
+ in place, developers may provide configuration management support during the operations
+ and maintenance phases of the life cycle.
+
requires the developer of the information system, system component, or information
+ system service to perform configuration management during one or more of the following:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
system, component, or service design;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
system, component, or service development;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
system, component, or service implementation; and/or
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
system, component, or service operation;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines configuration items to be placed under configuration management;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
document the integrity of changes to organization-defined items under configuration
+ management;
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
manage the integrity of changes to organization-defined items under configuration
+ management;
+
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
control the integrity of changes to organization-defined items under configuration
+ management;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to implement only organization-approved changes to the system, component,
+ or service;
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to document:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
approved changes to the system, component, or service;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the potential security impacts of such changes;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel to whom findings, resulting from security flaws and flaw resolution
+ tracked within the system, component, or service, are to be reported;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
track security flaws within the system, component, or service;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
track security flaw resolution within the system, component, or service; and
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
report findings to organization-defined personnel.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing system developer configuration management
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
system developer configuration management plan
+
+
+
security flaw and flaw resolution tracking records
+
+
+
system change authorization records
+
+
+
change control records
+
+
+
configuration management records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with configuration management responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for monitoring developer configuration management
+
+
+
automated mechanisms supporting and/or implementing the monitoring of developer configuration
+ management
+
The organization requires the developer of the information system, system component,
+ or information system service to enable integrity verification of software and firmware
+ components.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement allows organizations to detect unauthorized changes to software
+ and firmware components through the use of tools, techniques, and/or mechanisms provided
+ by developers. Integrity checking mechanisms can also address counterfeiting of software
+ and firmware components. Organizations verify the integrity of software and firmware
+ components, for example, through secure one-way hashes provided by developers. Delivered
+ software and firmware components also include any updates to such components.
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to enable integrity verification of software
+ and firmware components.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing system developer configuration management
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system
+
+
+
system component, or information system service
+
+
+
system developer configuration management plan
+
+
+
software and firmware integrity verification records
+
+
+
system change authorization records
+
+
+
change control records
+
+
+
configuration management records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with configuration management responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for monitoring developer configuration management
+
+
+
automated mechanisms supporting and/or implementing the monitoring of developer configuration
+ management
+
+
+
+
+
+
+
SA-10 (2) ALTERNATIVE CONFIGURATION MANAGEMENT PROCESSES
+
+
+
+
+
Control
+
+
+
The organization provides an alternate configuration management process using organizational
+ personnel in the absence of a dedicated developer configuration management team.
+
+
+
+
+
Supplemental guidance
+
+
+
Alternate configuration management processes may be required, for example, when organizations
+ use commercial off-the-shelf (COTS) information technology products. Alternate configuration
+ management processes include organizational personnel that: (i) are responsible for
+ reviewing/approving proposed changes to information systems, system components, and
+ information system services; and (ii) conduct security impact analyses prior to the
+ implementation of any changes to systems, components, or services (e.g., a configuration
+ control board that considers security impacts of changes during development and includes
+ representatives of both the organization and the developer, when applicable).
+
+
+
+
+
Objective
+
+
+
Determine if the organization provides an alternative configuration management process
+ with organizational personnel in the absence of a dedicated developer configuration
+ management team.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing system developer configuration management
+
+
+
procedures addressing configuration management
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system
+
+
+
system component, or information system service
+
+
+
system developer configuration management plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with configuration management responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for monitoring developer configuration management
+
+
+
automated mechanisms supporting and/or implementing the monitoring of developer configuration
+ management
+
+
+
+
+
+
+
SA-10 (3) HARDWARE INTEGRITY VERIFICATION
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to enable integrity verification of hardware components.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement allows organizations to detect unauthorized changes to hardware
+ components through the use of tools, techniques, and/or mechanisms provided by developers.
+ Organizations verify the integrity of hardware components, for example, with hard-to-copy
+ labels and verifiable serial numbers provided by developers, and by requiring the
+ implementation of anti-tamper technologies. Delivered hardware components also include
+ updates to such components.
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to enable integrity verification of hardware
+ components.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing system developer configuration management
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
system developer configuration management plan
+
+
+
hardware integrity verification records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with configuration management responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for monitoring developer configuration management
+
+
+
automated mechanisms supporting and/or implementing the monitoring of developer configuration
+ management
+
+
+
+
+
+
+
SA-10 (4) TRUSTED GENERATION
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to employ tools for comparing newly generated versions
+ of security-relevant hardware descriptions and software/firmware source and object
+ code with previous versions.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement addresses changes to hardware, software, and firmware components
+ between versions during development. In contrast, SA-10 (1) and SA-10 (3) allow organizations
+ to detect unauthorized changes to hardware, software, and firmware components through
+ the use of tools, techniques, and/or mechanisms provided by developers.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to employ tools for comparing newly generated
+ versions of:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
security-relevant hardware descriptions with previous versions; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
software/firmware source and object code with previous versions.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing system developer configuration management
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
system developer configuration management plan
+
+
+
change control records
+
+
+
configuration management records
+
+
+
configuration control audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with configuration management responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for monitoring developer configuration management
+
+
+
automated mechanisms supporting and/or implementing the monitoring of developer configuration
+ management
+
+
+
+
+
+
+
SA-10 (5) MAPPING INTEGRITY FOR VERSION CONTROL
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to maintain the integrity of the mapping between the
+ master build data (hardware drawings and software/firmware code) describing the current
+ version of security-relevant hardware, software, and firmware and the on-site master
+ copy of the data for the current version.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement addresses changes to hardware, software, and firmware components
+ during initial development and during system life cycle updates. Maintaining the integrity
+ between the master copies of security-relevant hardware, software, and firmware (including
+ designs and source code) and the equivalent data in master copies on-site in operational
+ environments is essential to ensure the availability of organizational information
+ systems supporting critical missions and/or business functions.
+
+
+
+
+
Objective
+
+
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to maintain the integrity of the mapping
+ between the master build data (hardware drawings and software/firmware code) describing
+ the current version of security-relevant hardware, software, and firmware and the
+ on-site master copy of the data for the current version.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing system developer configuration management
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
system developer configuration management plan
+
+
+
change control records
+
+
+
configuration management records
+
+
+
version control change/update records
+
+
+
integrity verification records between master copies of security-relevant hardware,
+ software, and firmware (including designs and source code)
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with configuration management responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for monitoring developer configuration management
+
+
+
automated mechanisms supporting and/or implementing the monitoring of developer configuration
+ management
+
+
+
+
+
+
+
SA-10 (6) TRUSTED DISTRIBUTION
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to execute procedures for ensuring that security-relevant
+ hardware, software, and firmware updates distributed to the organization are exactly
+ as specified by the master copies.
+
+
+
+
+
Supplemental guidance
+
+
+
The trusted distribution of security-relevant hardware, software, and firmware updates
+ helps to ensure that such updates are faithful representations of the master copies
+ maintained by the developer and have not been tampered with during distribution.
+
+
+
+
+
Objective
+
+
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to execute procedures for ensuring that security-relevant
+ hardware, software, and firmware updates distributed to the organization are exactly
+ as specified by the master copies.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing system developer configuration management
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system
+
+
+
system component, or information system service
+
+
+
system developer configuration management plan
+
+
+
change control records
+
+
+
configuration management records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with configuration management responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for monitoring developer configuration management
+
+
+
automated mechanisms supporting and/or implementing the monitoring of developer configuration
+ management
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-128
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD SA-10
+
+
HIGH SA-10
+
+
+
+
+
+
+
+
SA-11 DEVELOPER SECURITY TESTING AND EVALUATION
+
+
+
+
+
+
Parameter: sa-11_a organization-defined depth and coverage
+
+
+
Default: organization-defined depth and coverage
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to:
+
+
+
+
+
+
+
a.
+
+
+
+
+
Create and implement a security assessment plan;
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Perform [Selection (one or more): unit; integration; system; regression] testing/evaluation
+ at sa-11_a organization-defined depth and coverage [organization-defined depth and coverage];
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Produce evidence of the execution of the security assessment plan and the results
+ of the security testing/evaluation;
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Implement a verifiable flaw remediation process; and
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Correct flaws identified during security testing/evaluation.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Developmental security testing/evaluation occurs at all post-design phases of the
+ system development life cycle. Such testing/evaluation confirms that the required
+ security controls are implemented correctly, operating as intended, enforcing the
+ desired security policy, and meeting established security requirements. Security properties
+ of information systems may be affected by the interconnection of system components
+ or changes to those components. These interconnections or changes (e.g., upgrading
+ or replacing applications and operating systems) may adversely affect previously implemented
+ security controls. This control provides additional types of security testing/evaluation
+ that developers can conduct to reduce or eliminate potential flaws. Testing custom
+ software applications may require approaches such as static analysis, dynamic analysis,
+ binary analysis, or a hybrid of the three approaches. Developers can employ these
+ analysis approaches in a variety of tools (e.g., web-based application scanners, static
+ analysis tools, binary analyzers) and in source code reviews. Security assessment
+ plans provide the specific activities that developers plan to carry out including
+ the types of analyses, testing, evaluation, and reviews of software and firmware components,
+ the degree of rigor to be applied, and the types of artifacts produced during those
+ processes. The depth of security testing/evaluation refers to the rigor and level
+ of detail associated with the assessment process (e.g., black box, gray box, or white
+ box testing). The coverage of security testing/evaluation refers to the scope (i.e.,
+ number and type) of the artifacts included in the assessment process. Contracts specify
+ the acceptance criteria for security assessment plans, flaw remediation processes,
+ and the evidence that the plans/processes have been diligently applied. Methods for
+ reviewing and protecting assessment plans, evidence, and documentation are commensurate
+ with the security category or classification level of the information system. Contracts
+ may specify documentation protection requirements.
+
requires the developer of the information system, system component, or information
+ system service to create and implement a security plan;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the depth of testing/evaluation to be performed by the developer of the information
+ system, system component, or information system service;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the coverage of testing/evaluation to be performed by the developer of the
+ information system, system component, or information system service;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to perform one or more of the following testing/evaluation at the organization-defined
+ depth and coverage:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
unit testing/evaluation;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
integration testing/evaluation;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
system testing/evaluation; and/or
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
regression testing/evaluation;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to produce evidence of:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the execution of the security assessment plan;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the results of the security testing/evaluation;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to implement a verifiable flaw remediation process; and
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to correct flaws identified during security testing/evaluation.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing system developer security testing
+
+
+
procedures addressing flaw remediation
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
system developer security test plans
+
+
+
records of developer security testing results for the information system, system component,
+ or information system service
+
+
+
security flaw and remediation tracking records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with developer security testing responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for monitoring developer security testing and evaluation
+
+
+
automated mechanisms supporting and/or implementing the monitoring of developer security
+ testing and evaluation
+
+
+
+
+
+
+
Control enhancements
+
+
SA-11 (1) STATIC CODE ANALYSIS
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to employ static code analysis tools to identify common
+ flaws and document the results of the analysis.
+
+
+
+
+
Supplemental guidance
+
+
+
Static code analysis provides a technology and methodology for security reviews. Such
+ analysis can be used to identify security vulnerabilities and enforce security coding
+ practices. Static code analysis is most effective when used early in the development
+ process, when each code change can be automatically scanned for potential weaknesses.
+ Static analysis can provide clear remediation guidance along with defects to enable
+ developers to fix such defects. Evidence of correct implementation of static analysis
+ can include, for example, aggregate defect density for critical defect types, evidence
+ that defects were inspected by developers or security professionals, and evidence
+ that defects were fixed. An excessively high density of ignored findings (commonly
+ referred to as ignored or false positives) indicates a potential problem with the
+ analysis process or tool. In such cases, organizations weigh the validity of the evidence
+ against evidence from other sources.
+
+
+
+
+
Objective
+
+
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to employ static code analysis tools to identify
+ common flaws and document the results of the analysis.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing system developer security testing
+
+
+
procedures addressing flaw remediation
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
system developer security test plans
+
+
+
system developer security testing results
+
+
+
security flaw and remediation tracking records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with developer security testing responsibilities
+
+
+
organizational personnel with configuration management responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for monitoring developer security testing and evaluation
+
+
+
automated mechanisms supporting and/or implementing the monitoring of developer security
+ testing and evaluation
+
+
+
static code analysis tools
+
+
+
+
+
+
+
SA-11 (2) THREAT AND VULNERABILITY ANALYSES
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to perform threat and vulnerability analyses and subsequent
+ testing/evaluation of the as-built system, component, or service.
+
+
+
+
+
Supplemental guidance
+
+
+
Applications may deviate significantly from the functional and design specifications
+ created during the requirements and design phases of the system development life cycle.
+ Therefore, threat and vulnerability analyses of information systems, system components,
+ and information system services prior to delivery are critical to the effective operation
+ of those systems, components, and services. Threat and vulnerability analyses at this
+ phase of the life cycle help to ensure that design or implementation changes have
+ been accounted for, and that any new vulnerabilities created as a result of those
+ changes have been reviewed and mitigated.
+
Requires an independent agent satisfying sa-11_b organization-defined independence criteria [organization-defined independence criteria] to verify the correct implementation of the developer security assessment plan and
+ the evidence produced during security testing/evaluation; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Ensures that the independent agent is either provided with sufficient information
+ to complete the verification process or granted the authority to obtain such information.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Independent agents have the necessary qualifications (i.e., expertise, skills, training,
+ and experience) to verify the correct implementation of developer security assessment
+ plans.
+
The organization requires the developer of the information system, system component,
+ or information system service to perform a manual code review of sa-11_c organization-defined specific code [organization-defined specific code] using sa-11_d organization-defined processes, procedures, and/or techniques [organization-defined processes, procedures, and/or techniques].
+
+
+
+
+
Supplemental guidance
+
+
+
Manual code reviews are usually reserved for the critical software and firmware components
+ of information systems. Such code reviews are uniquely effective at identifying weaknesses
+ that require knowledge of the application�s requirements or context which are generally
+ unavailable to more automated analytic tools and techniques such as static or dynamic
+ analysis. Components benefiting from manual review include for example, verifying
+ access control matrices against application controls and reviewing more detailed aspects
+ of cryptographic implementations and controls.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines specific code for which the developer of the information system, system component,
+ or information system service is required to perform a manual code review;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines processes, procedures, and/or techniques to be used when the developer performs
+ a manual code review of organization-defined specific code; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to perform a manual code review of organization-defined specific code
+ using organization-defined processes, procedures, and/or techniques.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing system developer security testing
+
+
+
processes, procedures, and/or techniques for performing manual code reviews
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
system developer security testing and evaluation plans
+
+
+
system developer security testing and evaluation results
+
+
+
list of code requiring manual reviews
+
+
+
records of manual code reviews
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with developer security testing responsibilities
+
+
+
system developers
+
+
+
independent verification agent
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for monitoring developer security testing and evaluation
+
+
+
automated mechanisms supporting and/or implementing the monitoring of developer security
+ testing and evaluation
+
The organization requires the developer of the information system, system component,
+ or information system service to perform penetration testing at sa-11_e organization-defined breadth/depth [organization-defined breadth/depth] and with sa-11_f organization-defined constraints [organization-defined constraints].
+
+
+
+
+
Supplemental guidance
+
+
+
Penetration testing is an assessment methodology in which assessors, using all available
+ information technology product and/or information system documentation (e.g., product/system
+ design specifications, source code, and administrator/operator manuals) and working
+ under specific constraints, attempt to circumvent implemented security features of
+ information technology products and information systems. Penetration testing can include,
+ for example, white, gray, or black box testing with analyses performed by skilled
+ security professionals simulating adversary actions. The objective of penetration
+ testing is to uncover potential vulnerabilities in information technology products
+ and information systems resulting from implementation errors, configuration faults,
+ or other operational deployment weaknesses or deficiencies. Penetration tests can
+ be performed in conjunction with automated and manual code reviews to provide greater
+ levels of analysis than would ordinarily be possible.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines for the developer of the information system, system component, or information
+ system service:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
the breadth of penetration testing to be performed by the developer;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
the depth of penetration testing to be performed by the developer;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines constraints under which the developer is to perform penetration testing; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to perform penetration testing at organization-defined breadth/depth
+ and with organization-defined constraints.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing system developer security testing
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
system developer penetration testing and evaluation plans
+
+
+
system developer penetration testing and evaluation results
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with developer security testing responsibilities
+
+
+
system developers
+
+
+
independent verification agent
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for monitoring developer security testing and evaluation
+
+
+
automated mechanisms supporting and/or implementing the monitoring of developer security
+ testing and evaluation
+
+
+
+
+
+
+
SA-11 (6) ATTACK SURFACE REVIEWS
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to perform attack surface reviews.
+
+
+
+
+
Supplemental guidance
+
+
+
Attack surfaces of information systems are exposed areas that make those systems more
+ vulnerable to cyber attacks. This includes any accessible areas where weaknesses or
+ deficiencies in information systems (including the hardware, software, and firmware
+ components) provide opportunities for adversaries to exploit vulnerabilities. Attack
+ surface reviews ensure that developers: (i) analyze both design and implementation
+ changes to information systems; and (ii) mitigate attack vectors generated as a result
+ of the changes. Correction of identified flaws includes, for example, deprecation
+ of unsafe functions.
+
+
+
+
+
Objective
+
+
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to perform attack surface reviews.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing system developer security testing
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
system developer security testing and evaluation plans
+
+
+
system developer security testing and evaluation results
+
+
+
records of attack surface reviews
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with developer security testing responsibilities
+
+
+
organizational personnel with configuration management responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for monitoring developer security testing and evaluation
+
+
+
automated mechanisms supporting and/or implementing the monitoring of developer security
+ testing and evaluation
+
+
+
+
+
+
+
SA-11 (7) VERIFY SCOPE OF TESTING / EVALUATION
+
+
+
+
+
+
Parameter: sa-11_g organization-defined depth of testing/evaluation
+
+
+
Default: organization-defined depth of testing/evaluation
+
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to verify that the scope of security testing/evaluation
+ provides complete coverage of required security controls at sa-11_g organization-defined depth of testing/evaluation [organization-defined depth of testing/evaluation].
+
+
+
+
+
Supplemental guidance
+
+
+
Verifying that security testing/evaluation provides complete coverage of required
+ security controls can be accomplished by a variety of analytic techniques ranging
+ from informal to formal. Each of these techniques provides an increasing level of
+ assurance corresponding to the degree of formality of the analysis. Rigorously demonstrating
+ security control coverage at the highest levels of assurance can be provided by the
+ use of formal modeling and analysis techniques including correlation between control
+ implementation and corresponding test cases.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the depth of testing/evaluation to ensure the scope of security/testing evaluation
+ provides complete coverage of required security controls; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to verify that the scope of security testing/evaluation provides complete
+ coverage of required security controls at the organization-defined depth of testing/evaluation.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing system developer security testing
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
system developer security testing and evaluation plans
+
+
+
system developer security testing and evaluation results
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with developer security testing responsibilities
+
+
+
system developers
+
+
+
independent verification agent
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for monitoring developer security testing and evaluation
+
+
+
automated mechanisms supporting and/or implementing the monitoring of developer security
+ testing and evaluation
+
+
+
+
+
+
+
SA-11 (8) DYNAMIC CODE ANALYSIS
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to employ dynamic code analysis tools to identify common
+ flaws and document the results of the analysis.
+
+
+
+
+
Supplemental guidance
+
+
+
Dynamic code analysis provides run-time verification of software programs, using tools
+ capable of monitoring programs for memory corruption, user privilege issues, and other
+ potential security problems. Dynamic code analysis employs run-time tools to help
+ to ensure that security functionality performs in the manner in which it was designed.
+ A specialized type of dynamic analysis, known as fuzz testing, induces program failures
+ by deliberately introducing malformed or random data into software programs. Fuzz
+ testing strategies derive from the intended use of applications and the functional
+ and design specifications for the applications. To understand the scope of dynamic
+ code analysis and hence the assurance provided, organizations may also consider conducting
+ code coverage analysis (checking the degree to which the code has been tested using
+ metrics such as percent of subroutines tested or percent of program statements called
+ during execution of the test suite) and/or concordance analysis (checking for words
+ that are out of place in software code such as non-English language words or derogatory
+ terms).
+
+
+
+
+
Objective
+
+
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to employ dynamic code analysis tools to
+ identify common flaws and document the results of the analysis.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing system developer security testing
+
+
+
procedures addressing flaw remediation
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
system developer security test and evaluation plans
+
+
+
security test and evaluation results
+
+
+
security flaw and remediation tracking reports
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with developer security testing responsibilities
+
+
+
organizational personnel with configuration management responsibilities
+
+
+
system developers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for monitoring developer security testing and evaluation
+
+
+
automated mechanisms supporting and/or implementing the monitoring of developer security
+ testing and evaluation
+
The organization protects against supply chain threats to the information system,
+ system component, or information system service by employing sa-12_a organization-defined security safeguards [organization-defined security safeguards] as part of a comprehensive, defense-in-breadth information security strategy.
+
+
+
+
+
Supplemental guidance
+
+
+
Information systems (including system components that compose those systems) need
+ to be protected throughout the system development life cycle (i.e., during design,
+ development, manufacturing, packaging, assembly, distribution, system integration,
+ operations, maintenance, and retirement). Protection of organizational information
+ systems is accomplished through threat awareness, by the identification, management,
+ and reduction of vulnerabilities at each phase of the life cycle and the use of complementary,
+ mutually reinforcing strategies to respond to risk. Organizations consider implementing
+ a standardized process to address supply chain risk with respect to information systems
+ and system components, and to educate the acquisition workforce on threats, risk,
+ and required security controls. Organizations use the acquisition/procurement processes
+ to require supply chain entities to implement necessary security safeguards to: (i)
+ reduce the likelihood of unauthorized modifications at each stage in the supply chain;
+ and (ii) protect information systems and information system components, prior to taking
+ delivery of such systems/components. This control also applies to information system
+ services. Security safeguards include, for example: (i) security controls for development
+ systems, development facilities, and external connections to development systems;
+ (ii) vetting development personnel; and (iii) use of tamper-evident packaging during
+ shipping/warehousing. Methods for reviewing and protecting development plans, evidence,
+ and documentation are commensurate with the security category or classification level
+ of the information system. Contracts may specify documentation protection requirements.
+
defines security safeguards to be employed to protect against supply chain threats
+ to the information system, system component, or information system service; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
protects against supply chain threats to the information system, system component,
+ or information system service by employing organization-defined security safeguards
+ as part of a comprehensive, defense-in-breadth information security strategy.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing supply chain protection
+
+
+
procedures addressing the integration of information security requirements into the
+ acquisition process
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
list of supply chain threats
+
+
+
list of security safeguards to be taken against supply chain threats
+
+
+
system development life cycle documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with supply chain protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for defining safeguards for and protecting against supply
+ chain threats
+
The organization employs sa-12_b organization-defined tailored acquisition strategies, contract tools, and procurement
+ methods [organization-defined tailored acquisition strategies, contract tools, and procurement
+ methods] for the purchase of the information system, system component, or information system
+ service from suppliers.
+
+
+
+
+
Supplemental guidance
+
+
+
The use of acquisition and procurement processes by organizations early in the system
+ development life cycle provides an important vehicle to protect the supply chain.
+ Organizations use available all-source intelligence analysis to inform the tailoring
+ of acquisition strategies, tools, and methods. There are a number of different tools
+ and techniques available (e.g., obscuring the end use of an information system or
+ system component, using blind or filtered buys). Organizations also consider creating
+ incentives for suppliers who: (i) implement required security safeguards; (ii) promote
+ transparency into their organizational processes and security practices; (iii) provide
+ additional vetting of the processes and security practices of subordinate suppliers,
+ critical information system components, and services; (iv) restrict purchases from
+ specific suppliers or countries; and (v) provide contract language regarding the prohibition
+ of tainted or counterfeit components. In addition, organizations consider minimizing
+ the time between purchase decisions and required delivery to limit opportunities for
+ adversaries to corrupt information system components or products. Finally, organizations
+ can use trusted/controlled distribution, delivery, and warehousing options to reduce
+ supply chain risk (e.g., requiring tamper-evident packaging of information system
+ components during shipping and warehousing).
+
defines the following to be employed for the purchase of the information system, system
+ component, or information system service from suppliers:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
tailored acquisition strategies;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
contract tools;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
procurement methods; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs organization-defined tailored acquisition strategies, contract tools, and
+ procurement methods for the purchase of the information system, system component,
+ or information system service from suppliers.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing supply chain protection
+
+
+
procedures addressing the integration of information security requirements into the
+ acquisition process
+
+
+
procedures addressing the integration of acquisition strategies, contract tools, and
+ procure methods into the acquisition process
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for information systems or services
+
+
+
purchase orders/requisitions for the information system
+
+
+
system component
+
+
+
or information system service from suppliers
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with supply chain protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for defining and employing tailored acquisition strategies,
+ contract tools, and procurement methods
+
+
+
automated mechanisms supporting and/or implementing the definition and employment
+ of tailored acquisition strategies, contract tools, and procurement methods
+
+
+
+
+
+
+
SA-12 (2) SUPPLIER REVIEWS
+
+
+
+
+
Control
+
+
+
The organization conducts a supplier review prior to entering into a contractual agreement
+ to acquire the information system, system component, or information system service.
+
+
+
+
+
Supplemental guidance
+
+
+
Supplier reviews include, for example: (i) analysis of supplier processes used to
+ design, develop, test, implement, verify, deliver, and support information systems,
+ system components, and information system services; and (ii) assessment of supplier
+ training and experience in developing systems, components, or services with the required
+ security capability. These reviews provide organizations with increased levels of
+ visibility into supplier activities during the system development life cycle to promote
+ more effective supply chain risk management. Supplier reviews can also help to determine
+ whether primary suppliers have security safeguards in place and a practice for vetting
+ subordinate suppliers, for example, second- and third-tier suppliers, and any subcontractors.
+
+
+
+
+
Objective
+
+
+
Determine if the organization conducts a supplier review prior to entering into a
+ contractual agreement to acquire the information system, system component, or information
+ system service.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing supply chain protection
+
+
+
procedures addressing the integration of information security requirements into the
+ acquisition process
+
+
+
records of supplier due diligence reviews
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with supply chain protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for conducting supplier reviews
+
The organization employs sa-12_c organization-defined security safeguards [organization-defined security safeguards] to limit harm from potential adversaries identifying and targeting the organizational
+ supply chain.
+
+
+
+
+
Supplemental guidance
+
+
+
Supply chain risk is part of the advanced persistent threat (APT). Security safeguards
+ and countermeasures to reduce the probability of adversaries successfully identifying
+ and targeting the supply chain include, for example: (i) avoiding the purchase of
+ custom configurations to reduce the risk of acquiring information systems, components,
+ or products that have been corrupted via supply chain actions targeted at specific
+ organizations; (ii) employing a diverse set of suppliers to limit the potential harm
+ from any given supplier in the supply chain; (iii) employing approved vendor lists
+ with standing reputations in industry, and (iv) using procurement carve outs (i.e.,
+ exclusions to commitments or obligations).
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines security safeguards to be employed to limit harm from potential adversaries
+ identifying and targeting the organizational supply chain; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs organization-defined security safeguards to limit harm from potential adversaries
+ identifying and targeting the organizational supply chain.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
configuration management policy
+
+
+
procedures addressing supply chain protection
+
+
+
procedures addressing the integration of information security requirements into the
+ acquisition process
+
+
+
procedures addressing the baseline configuration of the information system
+
+
+
configuration management plan
+
+
+
information system design documentation
+
+
+
information system architecture and associated configuration documentation
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
list of security safeguards to be taken to protect organizational supply chain against
+ potential supply chain threats
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with supply chain protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for defining and employing safeguards to limit harm from
+ adversaries of the organizational supply chain
+
+
+
automated mechanisms supporting and/or implementing the definition and employment
+ of safeguards to protect the organizational supply chain
+
The organization conducts an assessment of the information system, system component,
+ or information system service prior to selection, acceptance, or update.
+
+
+
+
+
Supplemental guidance
+
+
+
Assessments include, for example, testing, evaluations, reviews, and analyses. Independent,
+ third-party entities or organizational personnel conduct assessments of systems, components,
+ products, tools, and services. Organizations conduct assessments to uncover unintentional
+ vulnerabilities and intentional vulnerabilities including, for example, malicious
+ code, malicious processes, defective software, and counterfeits. Assessments can include,
+ for example, static analyses, dynamic analyses, simulations, white, gray, and black
+ box testing, fuzz testing, penetration testing, and ensuring that components or services
+ are genuine (e.g., using tags, cryptographic hash verifications, or digital signatures).
+ Evidence generated during security assessments is documented for follow-on actions
+ carried out by organizations.
+
Determine if the organization conducts an assessment of the information system, system
+ component, or information system service prior to:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
selection;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
acceptance; or
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
update.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing supply chain protection
+
+
+
procedures addressing the integration of information security requirements into the
+ acquisition process
+
+
+
security test and evaluation results
+
+
+
vulnerability assessment results
+
+
+
penetration testing results
+
+
+
organizational risk assessment results
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with supply chain protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for conducting assessments prior to selection, acceptance,
+ or update
+
+
+
automated mechanisms supporting and/or implementing the conducting of assessments
+ prior to selection, acceptance, or update
+
+
+
+
+
+
+
SA-12 (8) USE OF ALL-SOURCE INTELLIGENCE
+
+
+
+
+
Control
+
+
+
The organization uses all-source intelligence analysis of suppliers and potential
+ suppliers of the information system, system component, or information system service.
+
+
+
+
+
Supplemental guidance
+
+
+
All-source intelligence analysis is employed by organizations to inform engineering,
+ acquisition, and risk management decisions. All-source intelligence consists of intelligence
+ products and/or organizations and activities that incorporate all sources of information,
+ most frequently including human intelligence, imagery intelligence, measurement and
+ signature intelligence, signals intelligence, and open source data in the production
+ of finished intelligence. Where available, such information is used to analyze the
+ risk of both intentional and unintentional vulnerabilities from development, manufacturing,
+ and delivery processes, people, and the environment. This review is performed on suppliers
+ at multiple tiers in the supply chain sufficient to manage risks.
+
The organization employs sa-12_d organization-defined Operations Security (OPSEC) safeguards [organization-defined Operations Security (OPSEC) safeguards] in accordance with classification guides to protect supply chain-related information
+ for the information system, system component, or information system service.
+
+
+
+
+
Supplemental guidance
+
+
+
Supply chain information includes, for example: user identities; uses for information
+ systems, information system components, and information system services; supplier
+ identities; supplier processes; security requirements; design specifications; testing
+ and evaluation results; and system/component configurations. This control enhancement
+ expands the scope of OPSEC to include suppliers and potential suppliers. OPSEC is
+ a process of identifying critical information and subsequently analyzing friendly
+ actions attendant to operations and other activities to: (i) identify those actions
+ that can be observed by potential adversaries; (ii) determine indicators that adversaries
+ might obtain that could be interpreted or pieced together to derive critical information
+ in sufficient time to cause harm to organizations; (iii) implement safeguards or countermeasures
+ to eliminate or reduce to an acceptable level, exploitable vulnerabilities; and (iv)
+ consider how aggregated information may compromise the confidentiality of users or
+ uses of the supply chain. OPSEC may require organizations to withhold critical mission/business
+ information from suppliers and may include the use of intermediaries to hide the end
+ use, or users, of information systems, system components, or information system services.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines Operations Security (OPSEC) safeguards to be employed in accordance with classification
+ guides to protect supply chain-related information for the information system, system
+ component, or information system service; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs organization-defined OPSEC safeguards in accordance with classification guides
+ to protect supply chain-related information for the information system, system component,
+ or information system service.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing supply chain protection
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
records of all-source intelligence analyses
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with supply chain protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for defining and employing OPSEC safeguards
+
+
+
automated mechanisms supporting and/or implementing the definition and employment
+ of OPSEC safeguards
+
The organization employs sa-12_e organization-defined security safeguards [organization-defined security safeguards] to validate that the information system or system component received is genuine and
+ has not been altered.
+
+
+
+
+
Supplemental guidance
+
+
+
For some information system components, especially hardware, there are technical means
+ to help determine if the components are genuine or have been altered. Security safeguards
+ used to validate the authenticity of information systems and information system components
+ include, for example, optical/nanotechnology tagging and side-channel analysis. For
+ hardware, detailed bill of material information can highlight the elements with embedded
+ logic complete with component and production location.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines security safeguards to be employed to validate that the information system
+ or system component received is genuine and has not been altered; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs organization-defined security safeguards to validate that the information
+ system or system components received is genuine and has not been altered.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing supply chain protection
+
+
+
procedures address the integration of information security requirements into the acquisition
+ process
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
evidentiary documentation (including applicable configurations) indicating the information
+ system, system component, or information system service are genuine and have not been
+ altered
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with supply chain protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for defining and employing validation safeguards
+
+
+
automated mechanisms supporting and/or implementing the definition and employment
+ of validation safeguards
+
+
+
+
+
+
+
SA-12 (11) PENETRATION TESTING / ANALYSIS OF ELEMENTS, PROCESSES, AND ACTORS
+
+
+
+
+
+
Parameter: sa-12_f organization-defined supply chain elements, processes, and actors
+
+
+
Default: organization-defined supply chain elements, processes, and actors
+
+
+
+
+
+
Control
+
+
+
The organization employs [Selection (one or more): organizational analysis, independent
+ third-party analysis, organizational penetration testing, independent third-party
+ penetration testing] of sa-12_f organization-defined supply chain elements, processes, and actors [organization-defined supply chain elements, processes, and actors] associated with the information system, system component, or information system service.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement addresses analysis and/or testing of the supply chain, not
+ just delivered items. Supply chain elements are information technology products or
+ product components that contain programmable logic and that are critically important
+ to information system functions. Supply chain processes include, for example: (i)
+ hardware, software, and firmware development processes; (ii) shipping/handling procedures;
+ (iii) personnel and physical security programs; (iv) configuration management tools/measures
+ to maintain provenance; or (v) any other programs, processes, or procedures associated
+ with the production/distribution of supply chain elements. Supply chain actors are
+ individuals with specific roles and responsibilities in the supply chain. The evidence
+ generated during analyses and testing of supply chain elements, processes, and actors
+ is documented and used to inform organizational risk management activities and decisions.
+
employs one or more of the following to analyze and/or test organization-defined supply
+ chain elements, processes, and actors associated with the information system, system
+ component, or information system service:
+
list of supply chain elements, processes, and actors (associated with the information
+ system, system component, or information system service) subject to analysis and/or
+ testing
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with supply chain protection responsibilities
+
+
+
organizational personnel with responsibilities for analyzing and/or testing supply
+ chain elements, processes, and actors
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for defining and employing methods of analysis/testing of
+ supply chain elements, processes, and actors
+
+
+
automated mechanisms supporting and/or implementing the analysis/testing of supply
+ chain elements, processes, and actors
+
+
+
+
+
+
+
SA-12 (12) INTER-ORGANIZATIONAL AGREEMENTS
+
+
+
+
+
Control
+
+
+
The organization establishes inter-organizational agreements and procedures with entities
+ involved in the supply chain for the information system, system component, or information
+ system service.
+
+
+
+
+
Supplemental guidance
+
+
+
The establishment of inter-organizational agreements and procedures provides for notification
+ of supply chain compromises. Early notification of supply chain compromises that can
+ potentially adversely affect or have adversely affected organizational information
+ systems, including critical system components, is essential for organizations to provide
+ appropriate responses to such incidents.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization establishes, with entities involved in the supply chain
+ for the information system, system component, or information system service,:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
inter-organizational agreements; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
inter-organizational procedures.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing supply chain protection
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
inter-organizational agreements and procedures
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with supply chain protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for establishing inter-organizational agreements and procedures
+ with supply chain entities
+
+
+
+
+
+
+
SA-12 (13) CRITICAL INFORMATION SYSTEM COMPONENTS
+
Parameter: sa-12_h organization-defined critical information system components
+
+
+
Default: organization-defined critical information system components
+
+
+
+
+
+
Control
+
+
+
The organization employs sa-12_g organization-defined security safeguards [organization-defined security safeguards] to ensure an adequate supply of sa-12_h organization-defined critical information system components [organization-defined critical information system components].
+
+
+
+
+
Supplemental guidance
+
+
+
Adversaries can attempt to impede organizational operations by disrupting the supply
+ of critical information system components or corrupting supplier operations. Safeguards
+ to ensure adequate supplies of critical information system components include, for
+ example: (i) the use of multiple suppliers throughout the supply chain for the identified
+ critical components; and (ii) stockpiling of spare components to ensure operation
+ during mission-critical times.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines critical information system components for which security safeguards are to
+ be employed to ensure an adequate supply of such components;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines security safeguards to be employed to ensure an adequate supply of organization-defined
+ critical information components; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
employs organization-defined security safeguards to ensure an adequate supply of organization-defined
+ critical information system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing supply chain protection
+
+
+
physical inventory of critical information system components
+
+
+
inventory records of critical information system components
+
+
+
list of security safeguards ensuring adequate supply of critical information system
+ components
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with supply chain protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for defining and employing security safeguards to ensure
+ an adequate supply of critical information system components
+
+
+
automated mechanisms supporting and/or implementing the security safeguards that ensure
+ an adequate supply of critical information system components
+
+
+
+
+
+
+
SA-12 (14) IDENTITY AND TRACEABILITY
+
+
+
+
+
+
Parameter: sa-12_i organization-defined supply chain elements, processes, and actors
+
+
+
Default: organization-defined supply chain elements, processes, and actors
+
+
+
+
+
+
Control
+
+
+
The organization establishes and retains unique identification of sa-12_i organization-defined supply chain elements, processes, and actors [organization-defined supply chain elements, processes, and actors] for the information system, system component, or information system service.
+
+
+
+
+
Supplemental guidance
+
+
+
Knowing who and what is in the supply chains of organizations is critical to gaining
+ visibility into what is happening within such supply chains, as well as monitoring
+ and identifying high-risk events and activities. Without reasonable visibility and
+ traceability into supply chains (i.e., elements, processes, and actors), it is very
+ difficult for organizations to understand and therefore manage risk, and to reduce
+ the likelihood of adverse events. Uniquely identifying acquirer and integrator roles,
+ organizations, personnel, mission and element processes, testing and evaluation procedures,
+ delivery mechanisms, support mechanisms, communications/delivery paths, and disposal/final
+ disposition activities as well as the components and tools used, establishes a foundational
+ identity structure for assessment of supply chain activities. For example, labeling
+ (using serial numbers) and tagging (using radio-frequency identification [RFID] tags)
+ individual supply chain elements including software packages, modules, and hardware
+ devices, and processes associated with those elements can be used for this purpose.
+ Identification methods are sufficient to support the provenance in the event of a
+ supply chain issue or adverse supply chain event.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the following for the establishment and retention of unique identification:
+
+
+
+
+
+
[a]
+
+
+
+
+
supply chain elements;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
supply chain processes;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
supply chain actors; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
establishes and retains unique identification of organization-defined supply chain
+ elements, processes, and actors for the information system, system component, or information
+ system service.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing supply chain protection
+
+
+
procedures addressing the integration of information security requirements into the
+ acquisition process
+
+
+
list of supply chain elements, processes, and actors (associated with the information
+ system, system component, or information system service) requiring implementation
+ of unique identification processes, procedures, tools, mechanisms, equipment, techniques
+ and/or configurations
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with supply chain protection responsibilities
+
+
+
organizational personnel with responsibilities for establishing and retaining unique
+ identification of supply chain elements, processes, and actors
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for defining, establishing, and retaining unique identification
+ for supply chain elements, processes, and actors
+
+
+
automated mechanisms supporting and/or implementing the definition, establishment,
+ and retention of unique identification for supply chain elements, processes, and actors
+
+
+
+
+
+
+
SA-12 (15) PROCESSES TO ADDRESS WEAKNESSES OR DEFICIENCIES
+
+
+
+
+
Control
+
+
+
The organization establishes a process to address weaknesses or deficiencies in supply
+ chain elements identified during independent or organizational assessments of such
+ elements.
+
+
+
+
+
Supplemental guidance
+
+
+
Evidence generated during independent or organizational assessments of supply chain
+ elements (e.g., penetration testing, audits, verification/validation activities) is
+ documented and used in follow-on processes implemented by organizations to respond
+ to the risks related to the identified weaknesses and deficiencies. Supply chain elements
+ include, for example, supplier development processes and supplier distribution systems.
+
+
+
+
+
Objective
+
+
+
Determine if the organization establishes a process to address weaknesses or deficiencies
+ in supply chain elements identified during independent or organizational assessments
+ of such elements.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing supply chain protection
+
+
+
procedures addressing weaknesses or deficiencies in supply chain elements
+
+
+
results of independent or organizational assessments of supply chain controls and
+ processes
+
+
+
acquisition contracts, service-level agreements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with supply chain protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for addressing weaknesses or deficiencies in supply chain
+ elements
+
+
+
automated mechanisms supporting and/or implementing the addressing of weaknesses or
+ deficiencies in supply chain elements
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-161
+
+
+
+
+
+
NIST Interagency Report 7622
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH SA-12
+
+
+
+
+
+
+
+
SA-13 TRUSTWORTHINESS
+
+
+
+
+
+
Parameter: sa-13_a organization-defined information system, information system component, or information
+ system service
+
+
+
Default: organization-defined information system, information system component, or information
+ system service
+
Describes the trustworthiness required in the sa-13_a organization-defined information system, information system component, or information
+ system service [organization-defined information system, information system component, or information
+ system service] supporting its critical missions/business functions; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Implements sa-13_b organization-defined assurance overlay [organization-defined assurance overlay] to achieve such trustworthiness.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control helps organizations to make explicit trustworthiness decisions when designing,
+ developing, and implementing information systems that are needed to conduct critical
+ organizational missions/business functions. Trustworthiness is a characteristic/property
+ of an information system that expresses the degree to which the system can be expected
+ to preserve the confidentiality, integrity, and availability of the information it
+ processes, stores, or transmits. Trustworthy information systems are systems that
+ are capable of being trusted to operate within defined levels of risk despite the
+ environmental disruptions, human errors, and purposeful attacks that are expected
+ to occur in the specified environments of operation. Trustworthy systems are important
+ to mission/business success. Two factors affecting the trustworthiness of information
+ systems include: (i) security functionality (i.e., the security features, functions,
+ and/or mechanisms employed within the system and its environment of operation); and
+ (ii) security assurance (i.e., the grounds for confidence that the security functionality
+ is effective in its application). Developers, implementers, operators, and maintainers
+ of organizational information systems can increase the level of assurance (and trustworthiness),
+ for example, by employing well-defined security policy models, structured and rigorous
+ hardware, software, and firmware development techniques, sound system/security engineering
+ principles, and secure configuration settings (defined by a set of assurance-related
+ security controls in Appendix E).
+ Assurance is also based on the assessment of evidence produced during the system development
+ life cycle. Critical missions/business functions are supported by high-impact systems
+ and the associated assurance requirements for such systems. The additional assurance
+ controls in Table E-4 in Appendix E (designated as optional) can be used to develop
+ and implement high-assurance solutions for specific information systems and system
+ components using the concept of overlays described in Appendix I. Organizations select
+ assurance overlays that have been developed, validated, and approved for community
+ adoption (e.g., cross-organization, governmentwide), limiting the development of such
+ overlays on an organization-by-organization basis. Organizations can conduct criticality
+ analyses as described in SA-14, to determine the information systems, system components,
+ or information system services that require high-assurance solutions. Trustworthiness
+ requirements and assurance overlays can be described in the security plans for organizational
+ information systems.
+
defines information system, system component, or information system service for which
+ the trustworthiness required is to be described;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
describes the trustworthiness required in organization-defined information system,
+ information system component, or information system service supporting its critical
+ mission/business functions;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines an assurance overlay to be implemented to achieve such trustworthiness; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
organization implements the organization-defined assurance overlay to achieve such
+ trustworthiness.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing trustworthiness requirements for the information system, system
+ component, or information system service
+
+
+
security plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
security categorization documentation/results
+
+
+
security authorization package for the information system, system component, or information
+ system service
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
authorizing official
+
+
+
+
+
+
+
References
+
+
+
+
FIPS Publication 199
+
+
+
+
+
+
FIPS Publication 200
+
+
+
+
+
+
NIST Special Publication 800-53
+
+
+
+
+
+
NIST Special Publication 800-53A
+
+
+
+
+
+
NIST Special Publication 800-60
+
+
+
+
+
+
NIST Special Publication 800-64
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
SA-14 CRITICALITY ANALYSIS
+
+
+
+
+
+
Parameter: sa-14_a organization-defined information systems, information system components, or information
+ system services
+
+
+
Default: organization-defined information systems, information system components, or information
+ system services
+
+
+
+
+
+
+
Parameter: sa-14_b organization-defined decision points in the system development life cycle
+
+
+
Default: organization-defined decision points in the system development life cycle
+
+
+
+
+
+
+
Control
+
+
+
The organization identifies critical information system components and functions by
+ performing a criticality analysis for sa-14_a organization-defined information systems, information system components, or information
+ system services [organization-defined information systems, information system components, or information
+ system services] at sa-14_b organization-defined decision points in the system development life cycle [organization-defined decision points in the system development life cycle].
+
+
+
+
+
Supplemental guidance
+
+
+
Criticality analysis is a key tenet of supply chain risk management and informs the
+ prioritization of supply chain protection activities such as attack surface reduction,
+ use of all-source intelligence, and tailored acquisition strategies. Information system
+ engineers can conduct an end-to-end functional decomposition of an information system
+ to identify mission-critical functions and components. The functional decomposition
+ includes the identification of core organizational missions supported by the system,
+ decomposition into the specific functions to perform those missions, and traceability
+ to the hardware, software, and firmware components that implement those functions,
+ including when the functions are shared by many components within and beyond the information
+ system boundary. Information system components that allow for unmediated access to
+ critical components or functions are considered critical due to the inherent vulnerabilities
+ such components create. Criticality is assessed in terms of the impact of the function
+ or component failure on the ability of the component to complete the organizational
+ missions supported by the information system. A criticality analysis is performed
+ whenever an architecture or design is being developed or modified, including upgrades.
+
defines information systems, information system components, or information system
+ services requiring a criticality analysis to identify critical information system
+ components and functions;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines decision points in the system development life cycle when a criticality analysis
+ is to be performed for organization-defined information systems, information system
+ components, or information system services; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
identifies critical information system components and functions by performing a criticality
+ analysis for organization-defined information systems, information system components,
+ or information system services at organization-defined decisions points in the system
+ development life cycle.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing criticality analysis requirements for information systems, security
+ plan
+
+
+
contingency plan
+
+
+
list of information systems, information system components, or information system
+ services requiring criticality analyses
+
+
+
list of critical information system components and functions identified by criticality
+ analyses
+
+
+
criticality analysis documentation
+
+
+
business impact analysis documentation
+
+
+
system development life cycle documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibilities for performing criticality analysis
+ for the information system
+
+
+
+
+
+
Control enhancements
+
+
SA-14 (1) CRITICAL COMPONENTS WITH NO VIABLE ALTERNATIVE SOURCING
+
Requires the developer of the information system, system component, or information
+ system service to follow a documented development process that:
+
+
+
+
+
+
+
1.
+
+
+
+
+
Explicitly addresses security requirements;
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Identifies the standards and tools used in the development process;
+
+
+
+
+
+
+
+
+
+
+
3.
+
+
+
+
+
Documents the specific tool options and tool configurations used in the development
+ process; and
+
+
+
+
+
+
+
+
+
+
+
+
4.
+
+
+
+
+
Documents, manages, and ensures the integrity of changes to the process and/or tools
+ used in development; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews the development process, standards, tools, and tool options/configurations
+ sa-15_a organization-defined frequency [organization-defined frequency] to determine if the process, standards, tools, and tool options/configurations selected
+ and employed can satisfy sa-15_b organization-defined security requirements [organization-defined security requirements].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Development tools include, for example, programming languages and computer-aided design
+ (CAD) systems. Reviews of development processes can include, for example, the use
+ of maturity models to determine the potential effectiveness of such processes. Maintaining
+ the integrity of changes to tools and processes enables accurate supply chain risk
+ assessment and mitigation, and requires robust configuration control throughout the
+ life cycle (including design, development, transport, delivery, integration, and maintenance)
+ to track authorized changes and prevent unauthorized changes.
+
requires the developer of the information system, system component, or information
+ system service to follow a documented development process that:
+
+
+
+
+
+
+
(1)
+
+
+
+
+
explicitly addresses security requirements;
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
identifies the standards and tools used in the development process;
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
documents the specific tool options used in the development process;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
documents the specific tool configurations used in the development process;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(4)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
documents changes to the process and/or tools used in the development;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
manages changes to the process and/or tools used in the development;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
ensures the integrity of changes to the process and/or tools used in the development;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines a frequency to review the development process, standards, tools, and tool
+ options/configurations;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines security requirements to be satisfied by the process, standards, tools, and
+ tool option/configurations selected and employed; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
+
+
+
+
[a]
+
+
+
+
+
reviews the development process with the organization-defined frequency to determine
+ if the process selected and employed can satisfy organization-defined security requirements;
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
reviews the development standards with the organization-defined frequency to determine
+ if the standards selected and employed can satisfy organization-defined security requirements;
+
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
reviews the development tools with the organization-defined frequency to determine
+ if the tools selected and employed can satisfy organization-defined security requirements;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
reviews the development tool options/configurations with the organization-defined
+ frequency to determine if the tool options/configurations selected and employed can
+ satisfy organization-defined security requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing development process, standards, and tools
+
+
+
procedures addressing the integration of security requirements during the development
+ process
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
system developer documentation listing tool options/configuration guides, configuration
+ management records
+
+
+
change control records
+
+
+
configuration control records
+
+
+
documented reviews of development process, standards, tools, and tool options/configurations
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
+
+
+
Control enhancements
+
+
SA-15 (1) QUALITY METRICS
+
+
+
+
+
+
Parameter: sa-15_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: sa-15_d organization-defined program review milestones
+
+
+
Default: organization-defined program review milestones
+
+
+
+
+
+
+
+
+
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
Define quality metrics at the beginning of the development process; and
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Provide evidence of meeting the quality metrics [Selection (one or more): sa-15_c organization-defined frequency [organization-defined frequency]; sa-15_d organization-defined program review milestones [organization-defined program review milestones]; upon delivery].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations use quality metrics to establish minimum acceptable levels of information
+ system quality. Metrics may include quality gates which are collections of completion
+ criteria or sufficiency standards representing the satisfactory execution of particular
+ phases of the system development project. A quality gate, for example, may require
+ the elimination of all compiler warnings or an explicit determination that the warnings
+ have no impact on the effectiveness of required security capabilities. During the
+ execution phases of development projects, quality gates provide clear, unambiguous
+ indications of progress. Other metrics apply to the entire development project. These
+ metrics can include defining the severity thresholds of vulnerabilities, for example,
+ requiring no known vulnerabilities in the delivered information system with a Common
+ Vulnerability Scoring System (CVSS) severity of Medium or High.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to define quality metrics at the beginning of the development process;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines a frequency to provide evidence of meeting the quality metrics;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines program review milestones to provide evidence of meeting the quality metrics;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to provide evidence of meeting the quality metrics one or more of the
+ following:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
with the organization-defined frequency;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
in accordance with the organization-defined program review milestones; and/or
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
upon delivery of the information system, system component, or information system service.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing development process, standards, and tools
+
+
+
procedures addressing the integration of security requirements into the acquisition
+ process
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
list of quality metrics
+
+
+
documentation evidence of meeting quality metrics
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
+
+
+
+
SA-15 (2) SECURITY TRACKING TOOLS
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to select and employ a security tracking tool for use
+ during the development process.
+
+
+
+
+
Supplemental guidance
+
+
+
Information system development teams select and deploy security tracking tools, including,
+ for example, vulnerability/work item tracking systems that facilitate assignment,
+ sorting, filtering, and tracking of completed work items or tasks associated with
+ system development processes.
+
+
+
+
+
Objective
+
+
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to select and employ a security tracking
+ tool for use during the development process.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing development process, standards, and tools
+
+
+
procedures addressing the integration of security requirements into the acquisition
+ process
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
list of quality metrics
+
+
+
documentation evidence of meeting quality metrics
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
Parameter: sa-15_f organization-defined decision points in the system development life cycle
+
+
+
Default: organization-defined decision points in the system development life cycle
+
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to perform a criticality analysis at sa-15_e organization-defined breadth/depth [organization-defined breadth/depth] and at sa-15_f organization-defined decision points in the system development life cycle [organization-defined decision points in the system development life cycle].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement provides developer input to the criticality analysis performed
+ by organizations in SA-14. Developer input is essential to such analysis because organizations
+ may not have access to detailed design documentation for information system components
+ that are developed as commercial off-the-shelf (COTS) information technology products
+ (e.g., functional specifications, high-level designs, low-level designs, and source
+ code/hardware schematics).
+
defines the breadth of criticality analysis to be performed by the developer of the
+ information system, system component, or information system service;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the depth of criticality analysis to be performed by the developer of the
+ information system, system component, or information system service;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines decision points in the system development life cycle when a criticality analysis
+ is to be performed for the information system, system component, or information system
+ service; and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to perform a criticality analysis at the organization-defined breadth/depth
+ and at organization-defined decision points in the system development life cycle.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing development process, standards, and tools
+
+
+
procedures addressing criticality analysis requirements for the information system,
+ system component, or information system service
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
criticality analysis documentation
+
+
+
business impact analysis documentation
+
+
+
software development life cycle documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel responsibility for performing criticality analysis
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for performing criticality analysis
+
Parameter: sa-15_h organization-defined information concerning impact, environment of operations, known
+ or assumed threats, and acceptable risk levels
+
+
+
Default: organization-defined information concerning impact, environment of operations, known
+ or assumed threats, and acceptable risk levels
+
+
+
+
+
+
+
Parameter: sa-15_i organization-defined tools and methods
+
The organization requires that developers perform threat modeling and a vulnerability
+ analysis for the information system at sa-15_g organization-defined breadth/depth [organization-defined breadth/depth] that:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
Uses sa-15_h organization-defined information concerning impact, environment of operations, known
+ or assumed threats, and acceptable risk levels [organization-defined information concerning impact, environment of operations, known
+ or assumed threats, and acceptable risk levels];
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Employs sa-15_i organization-defined tools and methods [organization-defined tools and methods]; and
+
defines the breadth of threat modeling and vulnerability analysis to be performed
+ by developers for the information system;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the depth of threat modeling and vulnerability analysis to be performed by
+ developers for the information system;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines information concerning impact, environment of operations, known or assumed
+ threats, and acceptable risk levels to be used in threat modeling and vulnerability
+ analysis;
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
defines tools and methods to be employed in threat modeling and vulnerability analysis;
+
+
+
+
+
+
+
+
+
+
+
[5]
+
+
+
+
+
defines acceptance criteria for evidence produced from threat modeling and vulnerability
+ analysis;
+
+
+
+
+
+
+
+
+
+
+
+
[6]
+
+
+
+
+
requires that developers perform threat modeling and a vulnerability analysis for
+ the information system at the organization-defined breadth/depth that:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
uses organization-defined information concerning impact, environment of operations,
+ known or assumed threats, and acceptable risk levels;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
employs organization-defined tools and methods; and
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
produces evidence that meets organization-defined acceptance criteria.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing development process, standards, and tools
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
threat modeling documentation
+
+
+
vulnerability analysis results
+
+
+
organizational risk assessments
+
+
+
acceptance criteria for evidence produced from threat modeling and vulnerability analysis
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for performing development threat modeling and vulnerability
+ analysis
+
+
+
automated mechanisms supporting and/or implementing development threat modeling and
+ vulnerability analysis
+
The organization requires the developer of the information system, system component,
+ or information system service to reduce attack surfaces to sa-15_k organization-defined thresholds [organization-defined thresholds].
+
+
+
+
+
Supplemental guidance
+
+
+
Attack surface reduction is closely aligned with developer threat and vulnerability
+ analyses and information system architecture and design. Attack surface reduction
+ is a means of reducing risk to organizations by giving attackers less opportunity
+ to exploit weaknesses or deficiencies (i.e., potential vulnerabilities) within information
+ systems, information system components, and information system services. Attack surface
+ reduction includes, for example, applying the principle of least privilege, employing
+ layered defenses, applying the principle of least functionality (i.e., restricting
+ ports, protocols, functions, and services), deprecating unsafe functions, and eliminating
+ application programming interfaces (APIs) that are vulnerable to cyber attacks.
+
defines thresholds to which attack surfaces are to be reduced; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to reduce attack surfaces to organization-defined thresholds.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing development process, standards, and tools
+
+
+
procedures addressing attack surface reduction
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, or information system service
+
+
+
information system design documentation
+
+
+
network diagram
+
+
+
information system configuration settings and associated documentation establishing/enforcing
+ organization-defined thresholds for reducing attack surfaces
+
+
+
list of restricted ports, protocols, functions and services
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel responsibility for attack surface reduction thresholds
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for defining attack surface reduction thresholds
+
+
+
+
+
+
+
SA-15 (6) CONTINUOUS IMPROVEMENT
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to implement an explicit process to continuously improve
+ the development process.
+
+
+
+
+
Supplemental guidance
+
+
+
Developers of information systems, information system components, and information
+ system services consider the effectiveness/efficiency of current development processes
+ for meeting quality objectives and addressing security capabilities in current threat
+ environments.
+
+
+
+
+
Objective
+
+
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to implement an explicit process to continuously
+ improve the development process.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing development process, standards, and tools
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
quality goals and metrics for improving system development process
+
+
+
security assessments and/or quality control reviews of system development process
+
+
+
plans of action and milestones for improving system development process
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
+
+
+
+
SA-15 (7) AUTOMATED VULNERABILITY ANALYSIS
+
+
+
+
+
+
Parameter: sa-15_l organization-defined tools
+
+
+
Default: organization-defined tools
+
+
+
+
+
+
+
Parameter: sa-15_m organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
+
+
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
Perform an automated vulnerability analysis using sa-15_l organization-defined tools [organization-defined tools];
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Determine the exploitation potential for discovered vulnerabilities;
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
Determine potential risk mitigations for delivered vulnerabilities; and
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
Deliver the outputs of the tools and results of the analysis to sa-15_m organization-defined personnel or roles [organization-defined personnel or roles].
+
defines tools to be used to perform automated vulnerability analysis of the information
+ system, system component, or information system service;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to perform an automated vulnerability analysis using organization-defined
+ tools;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to determine the exploitation potential for discovered vulnerabilities;
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to determine potential risk mitigations for delivered vulnerabilities;
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to whom the output of the tools and results of the analysis
+ are to be delivered; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to deliver the outputs of the tools and results of the analysis to
+ organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing development process, standards, and tools
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
vulnerability analysis tools and associated documentation
+
+
+
risk assessment reports
+
+
+
vulnerability analysis results
+
+
+
vulnerability mitigation reports
+
+
+
risk mitigation strategy documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel performing automated vulnerability analysis on the information
+ system
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for vulnerability analysis of information systems, system
+ components, or information system services under development
+
+
+
automated mechanisms supporting and/or implementing vulnerability analysis of information
+ systems, system components, or information system services under development
+
+
+
+
+
+
+
SA-15 (8) REUSE OF THREAT / VULNERABILITY INFORMATION
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to use threat modeling and vulnerability analyses from
+ similar systems, components, or services to inform the current development process.
+
+
+
+
+
Supplemental guidance
+
+
+
Analysis of vulnerabilities found in similar software applications can inform potential
+ design or implementation issues for information systems under development. Similar
+ information systems or system components may exist within developer organizations.
+ Authoritative vulnerability information is available from a variety of public and
+ private sector sources including, for example, the National Vulnerability Database.
+
+
+
+
+
Objective
+
+
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to use threat modeling and vulnerability
+ analyses from similar systems, components, or services to inform the current development
+ process.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing development process, standards, and tools
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
threat modeling and vulnerability analyses from similar information systems, system
+ components, or information system service
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
+
+
+
+
SA-15 (9) USE OF LIVE DATA
+
+
+
+
+
Control
+
+
+
The organization approves, documents, and controls the use of live data in development
+ and test environments for the information system, system component, or information
+ system service.
+
+
+
+
+
Supplemental guidance
+
+
+
The use of live data in preproduction environments can result in significant risk
+ to organizations. Organizations can minimize such risk by using test or dummy data
+ during the development and testing of information systems, information system components,
+ and information system services.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization, for the information system, system component, or information
+ system service:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
approves the use of live data in development and test environments;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
documents the use of live data in development and test environments; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
controls the use of live data in development and test environments.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing development process, standards, and tools
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
documentation authorizing use of live data in development and test environments
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for approving, documenting, and controlling the use of live
+ data in development and test environments
+
+
+
automated mechanisms supporting and/or implementing the approval, documentation, and
+ control of the use of live data in development and test environments
+
+
+
+
+
+
+
SA-15 (10) INCIDENT RESPONSE PLAN
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to provide an incident response plan.
+
+
+
+
+
Supplemental guidance
+
+
+
The incident response plan for developers of information systems, system components,
+ and information system services is incorporated into organizational incident response
+ plans to provide the type of incident response information not readily available to
+ organizations. Such information may be extremely helpful, for example, when organizations
+ respond to vulnerabilities in commercial off-the-shelf (COTS) information technology
+ products.
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to provide an incident response plan.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing development process, standards, and tools
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, or services
+
+
+
acquisition documentation
+
+
+
solicitation documentation
+
+
+
service-level agreements
+
+
+
developer incident response plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
+
+
+
+
SA-15 (11) ARCHIVE INFORMATION SYSTEM / COMPONENT
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system or system component
+ to archive the system or component to be released or delivered together with the corresponding
+ evidence supporting the final security review.
+
+
+
+
+
Supplemental guidance
+
+
+
Archiving relevant documentation from the development process can provide a readily
+ available baseline of information that can be helpful during information system/component
+ upgrades or modifications.
+
+
+
+
+
Objective
+
+
+
Determine if the organization requires the developer of the information system or
+ system component to archive the system or component to be released or delivered together
+ with the corresponding evidence supporting the final security review.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing development process, standards, and tools
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, or services
+
+
+
acquisition documentation
+
+
+
solicitation documentation
+
+
+
service-level agreements
+
+
+
developer incident response plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH SA-15
+
+
+
+
+
+
+
+
SA-16 DEVELOPER-PROVIDED TRAINING
+
+
+
+
+
+
Parameter: sa-16_a organization-defined training
+
+
+
Default: organization-defined training
+
+
+
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to provide sa-16_a organization-defined training [organization-defined training] on the correct use and operation of the implemented security functions, controls,
+ and/or mechanisms.
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies to external and internal (in-house) developers. Training of personnel
+ is an essential element to ensure the effectiveness of security controls implemented
+ within organizational information systems. Training options include, for example,
+ classroom-style training, web-based/computer-based training, and hands-on training.
+ Organizations can also request sufficient training materials from developers to conduct
+ in-house training or offer self-training to organizational personnel. Organizations
+ determine the type of training necessary and may require different types of training
+ for different security functions, controls, or mechanisms.
+
defines training to be provided by the developer of the information system, system
+ component, or information system service; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to provide organization-defined training on the correct use and operation
+ of the implemented security functions, controls, and/or mechanisms.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing developer-provided training
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
developer-provided training materials
+
+
+
training records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information system security responsibilities
+
+
+
system developer
+
+
+
organizational or third-party developers with training responsibilities for the information
+ system, system component, or information system service
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH SA-16
+
+
+
+
+
+
+
+
SA-17 DEVELOPER SECURITY ARCHITECTURE AND DESIGN
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to produce a design specification and security architecture
+ that:
+
+
+
+
+
+
+
a.
+
+
+
+
+
Is consistent with and supportive of the organization�s security architecture which
+ is established within and is an integrated part of the organization�s enterprise architecture;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Accurately and completely describes the required security functionality, and the allocation
+ of security controls among physical and logical components; and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Expresses how individual security functions, mechanisms, and services work together
+ to provide required security capabilities and a unified approach to protection.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control is primarily directed at external developers, although it could also
+ be used for internal (in-house) development. In contrast, PL-8 is primarily directed
+ at internal developers to help ensure that organizations develop an information security
+ architecture and such security architecture is integrated or tightly coupled to the
+ enterprise architecture. This distinction is important if/when organizations outsource
+ the development of information systems, information system components, or information
+ system services to external entities, and there is a requirement to demonstrate consistency
+ with the organization�s enterprise architecture and information security architecture.
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to produce a design specification and security
+ architecture that:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
is consistent with and supportive of the organization’s security architecture which
+ is established within and is an integrated part of the organization’s enterprise architecture;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
accurately and completely describes:
+
+
+
+
+
+
[1]
+
+
+
+
+
the required security functionality;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the allocation of security controls among physical and logical components; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
expresses how individual security functions, mechanisms, and services work together
+ to provide required security capabilities and a unified approach to protection.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
enterprise architecture policy
+
+
+
procedures addressing developer security architecture and design specification for
+ the information system
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
design specification and security architecture documentation for the system
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with security architecture and design responsibilities
+
+
+
+
+
+
Control enhancements
+
+
SA-17 (1) FORMAL POLICY MODEL
+
+
+
+
+
+
Parameter: sa-17_a organization-defined elements of organizational security policy
+
+
+
Default: organization-defined elements of organizational security policy
+
+
+
+
+
+
+
+
+
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
Produce, as an integral part of the development process, a formal policy model describing
+ the sa-17_a organization-defined elements of organizational security policy [organization-defined elements of organizational security policy] to be enforced; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Prove that the formal policy model is internally consistent and sufficient to enforce
+ the defined elements of the organizational security policy when implemented.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Formal models describe specific behaviors or security policies using formal languages,
+ thus enabling the correctness of those behaviors/policies to be formally proven. Not
+ all components of information systems can be modeled, and generally, formal specifications
+ are scoped to specific behaviors or policies of interest (e.g., nondiscretionary access
+ control policies). Organizations choose the particular formal modeling language and
+ approach based on the nature of the behaviors/policies to be described and the available
+ tools. Formal modeling tools include, for example, Gypsy and Zed.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines elements of the organizational security policy to be enforced under a formal
+ policy model produced by the developer as an integral part of the development process
+ for the information system, system component, or information system service;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to produce, as an integral part of the development process, a formal
+ policy model describing the organization-defined elements of organizational security
+ policy to be enforced; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service to prove that the formal policy model is internally consistent and
+ sufficient to enforce the defined elements of the organizational security policy when
+ implemented.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
enterprise architecture policy
+
+
+
procedures addressing developer security architecture and design specification for
+ the information system
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
design specification and security architecture documentation for the system
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with security architecture and design responsibilities
+
+
+
+
+
+
+
SA-17 (2) SECURITY-RELEVANT COMPONENTS
+
+
+
+
+
+
+
+
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
Define security-relevant hardware, software, and firmware; and
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Provide a rationale that the definition for security-relevant hardware, software,
+ and firmware is complete.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Security-relevant hardware, software, and firmware represent the portion of the information
+ system, component, or service that must be trusted to perform correctly in order to
+ maintain required security properties.
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
define security-relevant hardware;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
define security-relevant software;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
define security-relevant firmware; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
provide a rationale that the definition for security-relevant hardware, software,
+ and firmware components is complete.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
enterprise architecture policy
+
+
+
procedures addressing developer security architecture and design specification for
+ the information system
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
list of security-relevant hardware, software, and firmware components
+
+
+
documented rationale of completeness regarding definitions provided for security-relevant
+ hardware, software, and firmware
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
organizational personnel with security architecture and design responsibilities
+
+
+
+
+
+
+
SA-17 (3) FORMAL CORRESPONDENCE
+
+
+
+
+
+
+
+
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
Produce, as an integral part of the development process, a formal top-level specification
+ that specifies the interfaces to security-relevant hardware, software, and firmware
+ in terms of exceptions, error messages, and effects;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Show via proof to the extent feasible with additional informal demonstration as necessary,
+ that the formal top-level specification is consistent with the formal policy model;
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
Show via informal demonstration, that the formal top-level specification completely
+ covers the interfaces to security-relevant hardware, software, and firmware;
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
Show that the formal top-level specification is an accurate description of the implemented
+ security-relevant hardware, software, and firmware; and
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
Describe the security-relevant hardware, software, and firmware mechanisms not addressed
+ in the formal top-level specification but strictly internal to the security-relevant
+ hardware, software, and firmware.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Correspondence is an important part of the assurance gained through modeling. It demonstrates
+ that the implementation is an accurate transformation of the model, and that any additional
+ code or implementation details present have no impact on the behaviors or policies
+ being modeled. Formal methods can be used to show that the high-level security properties
+ are satisfied by the formal information system description, and that the formal system
+ description is correctly implemented by a description of some lower level, for example
+ a hardware description. Consistency between the formal top-level specification and
+ the formal policy models is generally not amenable to being fully proven. Therefore,
+ a combination of formal/informal methods may be needed to show such consistency. Consistency
+ between the formal top-level specification and the implementation may require the
+ use of an informal demonstration due to limitations in the applicability of formal
+ methods to prove that the specification accurately reflects the implementation. Hardware,
+ software, and firmware mechanisms strictly internal to security-relevant hardware,
+ software, and firmware include, for example, mapping registers and direct memory input/output.
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
produce, as an integral part of the development process, a formal top-level specification
+ that specifies the interfaces to security-relevant hardware, software, and firmware
+ in terms of:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
exceptions;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
error messages;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
effects;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
show via proof to the extent feasible with additional informal demonstration as necessary,
+ that the formal top-level specification is consistent with the formal policy model;
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
show via informal demonstration, that the formal top-level specification completely
+ covers the interfaces to security-relevant hardware, software, and firmware;
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
show that the formal top-level specification is an accurate description of the implemented
+ security-relevant hardware, software, and firmware; and
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
describe the security-relevant hardware, software, and firmware mechanisms not addressed
+ in the formal top-level specification but strictly internal to the security-relevant
+ hardware, software, and firmware.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
enterprise architecture policy
+
+
+
formal policy model
+
+
+
procedures addressing developer security architecture and design specification for
+ the information system
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
formal top-level specification documentation
+
+
+
information system security architecture and design documentation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
documentation describing security-relevant hardware, software and firmware mechanisms
+ not addressed in the formal top-level specification documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with security architecture and design responsibilities
+
+
+
+
+
+
+
SA-17 (4) INFORMAL CORRESPONDENCE
+
+
+
+
+
+
+
+
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
Produce, as an integral part of the development process, an informal descriptive top-level
+ specification that specifies the interfaces to security-relevant hardware, software,
+ and firmware in terms of exceptions, error messages, and effects;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Show via [Selection: informal demonstration, convincing argument with formal methods
+ as feasible] that the descriptive top-level specification is consistent with the formal
+ policy model;
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
Show via informal demonstration, that the descriptive top-level specification completely
+ covers the interfaces to security-relevant hardware, software, and firmware;
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
Show that the descriptive top-level specification is an accurate description of the
+ interfaces to security-relevant hardware, software, and firmware; and
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
Describe the security-relevant hardware, software, and firmware mechanisms not addressed
+ in the descriptive top-level specification but strictly internal to the security-relevant
+ hardware, software, and firmware.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Correspondence is an important part of the assurance gained through modeling. It demonstrates
+ that the implementation is an accurate transformation of the model, and that any additional
+ code or implementation details present has no impact on the behaviors or policies
+ being modeled. Consistency between the descriptive top-level specification (i.e.,
+ high-level/low-level design) and the formal policy model is generally not amenable
+ to being fully proven. Therefore, a combination of formal/informal methods may be
+ needed to show such consistency. Hardware, software, and firmware mechanisms strictly
+ internal to security-relevant hardware, software, and firmware include, for example,
+ mapping registers and direct memory input/output.
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
produce, as an integral part of the development process, an informal descriptive top-level
+ specification that specifies the interfaces to security-relevant hardware, software,
+ and firmware in terms of:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
exceptions;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
error messages;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
effects;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
show via informal demonstration and/or convincing argument with formal methods as
+ feasible that the descriptive top-level specification is consistent with the formal
+ policy model;
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
show via informal demonstration, that the descriptive top-level specification completely
+ covers the interfaces to security-relevant hardware, software, and firmware;
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
show that the descriptive top-level specification is an accurate description of the
+ interfaces to the security-relevant hardware, software, and firmware; and
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
describe the security-relevant hardware, software, and firmware mechanisms not addressed
+ in the descriptive top-level specification but strictly internal to the security-relevant
+ hardware, software, and firmware.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
enterprise architecture policy
+
+
+
formal policy model
+
+
+
procedures addressing developer security architecture and design specification for
+ the information system
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
information system security architecture and design documentation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
documentation describing security-relevant hardware, software and firmware mechanisms
+ not addressed in the informal descriptive top-level specification documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with security architecture and design responsibilities
+
+
+
+
+
+
+
SA-17 (5) CONCEPTUALLY SIMPLE DESIGN
+
+
+
+
+
+
+
+
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
Design and structure the security-relevant hardware, software, and firmware to use
+ a complete, conceptually simple protection mechanism with precisely defined semantics;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Internally structure the security-relevant hardware, software, and firmware with specific
+ regard for this mechanism.
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
design and structure the security-relevant hardware, software, and firmware to use
+ a complete, conceptually simple protection mechanism with precisely defined semantics;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
internally structure the security-relevant hardware, software, and firmware with specific
+ regard for this mechanism.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
enterprise architecture policy
+
+
+
procedures addressing developer security architecture and design specification for
+ the information system
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
information system design documentation
+
+
+
information system security architecture documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
developer documentation describing design and structure of security-relevant hardware,
+ software, and firmware components
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with security architecture and design responsibilities
+
+
+
+
+
+
+
SA-17 (6) STRUCTURE FOR TESTING
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to structure security-relevant hardware, software, and
+ firmware to facilitate testing.
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to structure security-relevant hardware,
+ software, and firmware to facilitate testing.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
enterprise architecture policy
+
+
+
procedures addressing developer security architecture and design specification for
+ the information system
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
information system design documentation
+
+
+
information system security architecture documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
developer documentation describing design and structure of security-relevant hardware,
+ software, and firmware components to facilitate testing
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with security architecture and design responsibilities
+
+
+
+
+
+
+
SA-17 (7) STRUCTURE FOR LEAST PRIVILEGE
+
+
+
+
+
Control
+
+
+
The organization requires the developer of the information system, system component,
+ or information system service to structure security-relevant hardware, software, and
+ firmware to facilitate controlling access with least privilege.
+
Determine if the organization requires the developer of the information system, system
+ component, or information system service to structure security-relevant hardware,
+ software, and firmware to facilitate controlling access with least privilege.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
enterprise architecture policy
+
+
+
procedures addressing developer security architecture and design specification for
+ the information system
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
service-level agreements
+
+
+
acquisition contracts for the information system, system component, or information
+ system service
+
+
+
information system design documentation
+
+
+
information system security architecture documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
developer documentation describing design and structure of security-relevant hardware,
+ software, and firmware components to facilitate controlling access with least privilege
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with security architecture and design responsibilities
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH SA-17
+
+
+
+
+
+
+
+
SA-18 TAMPER RESISTANCE AND DETECTION
+
+
+
+
+
+
Control
+
+
+
The organization implements a tamper protection program for the information system,
+ system component, or information system service.
+
+
+
+
+
Supplemental guidance
+
+
+
Anti-tamper technologies and techniques provide a level of protection for critical
+ information systems, system components, and information technology products against
+ a number of related threats including modification, reverse engineering, and substitution.
+ Strong identification combined with tamper resistance and/or tamper detection is essential
+ to protecting information systems, components, and products during distribution and
+ when in use.
+
Determine if the organization implements a tamper protection program for the information
+ system, system component, or information system service.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing tamper resistance and detection
+
+
+
tamper protection program documentation
+
+
+
tamper protection tools and techniques documentation
+
+
+
tamper resistance and detection tools and techniques documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility for the tamper protection program
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for implementation of the tamper protection program
+
+
+
automated mechanisms supporting and/or implementing the tamper protection program
+
+
+
+
+
+
Control enhancements
+
+
SA-18 (1) MULTIPLE PHASES OF SDLC
+
+
+
+
+
Control
+
+
+
The organization employs anti-tamper technologies and techniques during multiple phases
+ in the system development life cycle including design, development, integration, operations,
+ and maintenance.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations use a combination of hardware and software techniques for tamper resistance
+ and detection. Organizations employ obfuscation and self-checking, for example, to
+ make reverse engineering and modifications more difficult, time-consuming, and expensive
+ for adversaries. Customization of information systems and system components can make
+ substitutions easier to detect and therefore limit damage.
+
Determine if the organization employs anti-tamper technologies and techniques during
+ multiple phases in the system development life cycle including:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
design;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
development;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
integration;
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
operations; and
+
+
+
+
+
+
+
+
+
+
+
[5]
+
+
+
+
+
maintenance.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing tamper resistance and detection
+
+
+
tamper protection program documentation
+
+
+
tamper protection tools and techniques documentation
+
+
+
tamper resistance and detection tools (technologies) and techniques documentation
+
+
+
system development life cycle documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility for the tamper protection program
+
+
+
organizational personnel with SDLC responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for employing anti-tamper technologies
+
SA-18 (2) INSPECTION OF INFORMATION SYSTEMS, COMPONENTS, OR DEVICES
+
+
+
+
+
+
Parameter: sa-18_a organization-defined information systems, system components, or devices
+
+
+
Default: organization-defined information systems, system components, or devices
+
+
+
+
+
+
+
Parameter: sa-18_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: sa-18_c organization-defined indications of need for inspection
+
+
+
Default: organization-defined indications of need for inspection
+
+
+
+
+
+
Control
+
+
+
The organization inspects sa-18_a organization-defined information systems, system components, or devices [organization-defined information systems, system components, or devices] [Selection (one or more): at random; at sa-18_b organization-defined frequency [organization-defined frequency], upon sa-18_c organization-defined indications of need for inspection [organization-defined indications of need for inspection]] to detect tampering.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement addresses both physical and logical tampering and is typically
+ applied to mobile devices, notebook computers, or other system components taken out
+ of organization-controlled areas. Indications of need for inspection include, for
+ example, when individuals return from travel to high-risk locations.
+
Parameter: sa-19_b organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops and implements anti-counterfeit policy and procedures that include the means
+ to detect and prevent counterfeit components from entering the information system;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reports counterfeit information system components to [Selection (one or more): source
+ of counterfeit component; sa-19_a organization-defined external reporting organizations [organization-defined external reporting organizations]; sa-19_b organization-defined personnel or roles [organization-defined personnel or roles]].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Sources of counterfeit components include, for example, manufacturers, developers,
+ vendors, and contractors. Anti-counterfeiting policy and procedures support tamper
+ resistance and provide a level of protection against the introduction of malicious
+ code. External reporting organizations include, for example, US-CERT.
+
develops and implements anti-counterfeit policy and procedures that include the means
+ to detect and prevent counterfeit components from entering the information system;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines external reporting organizations to whom counterfeit information system components
+ are to be reported;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom counterfeit information system components are to
+ be reported;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
reports counterfeit information system components to one or more of the following:
+
+
+
+
+
+
[a]
+
+
+
+
+
the source of counterfeit component;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
the organization-defined external reporting organizations; and/or
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
the organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
anti-counterfeit policy and procedures
+
+
+
media disposal policy
+
+
+
media protection policy
+
+
+
incident response policy
+
+
+
training materials addressing counterfeit information system components
+
+
+
training records on detection and prevention of counterfeit components from entering
+ the information system
+
+
+
reports notifying developers/manufacturers/vendors/ contractors and/or external reporting
+ organizations of counterfeit information system components
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility for anti-counterfeit policy, procedures,
+ and reporting
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for anti-counterfeit detection, prevention, and reporting
+
Parameter: sa-19_c organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
Control
+
+
+
The organization trains sa-19_c organization-defined personnel or roles [organization-defined personnel or roles] to detect counterfeit information system components (including hardware, software,
+ and firmware).
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to be trained to detect counterfeit information system
+ components (including hardware, software, and firmware); and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
trains organization-defined personnel or roles to detect counterfeit information system
+ components (including hardware, software, and firmware).
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
anti-counterfeit policy and procedures
+
+
+
media disposal policy
+
+
+
media protection policy
+
+
+
incident response policy
+
+
+
training materials addressing counterfeit information system components
+
+
+
training records on detection of counterfeit information system components
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility for anti-counterfeit policy, procedures,
+ and training
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for anti-counterfeit training
+
+
+
+
+
+
+
SA-19 (2) CONFIGURATION CONTROL FOR COMPONENT SERVICE / REPAIR
+
+
+
+
+
+
Parameter: sa-19_d organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
Control
+
+
+
The organization maintains configuration control over sa-19_d organization-defined information system components [organization-defined information system components] awaiting service/repair and serviced/repaired components awaiting return to service.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines information system components requiring configuration control to be maintained
+ when awaiting service/repair;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines information system components requiring configuration control to be maintained
+ when awaiting return to service; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
maintains configuration control over organization-defined information system components
+ awaiting service/repairs and serviced/repaired components awaiting return to service.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
anti-counterfeit policy and procedures
+
+
+
media protection policy
+
+
+
configuration management plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
configuration control records for components awaiting service/repair
+
+
+
configuration control records for serviced/repaired components awaiting return to
+ service
+
+
+
information system maintenance records
+
+
+
information system audit records
+
+
+
inventory management records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility for anti-counterfeit policy and procedures
+
+
+
organizational personnel with responsibility for configuration management
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for configuration management
+
Parameter: sa-19_e organization-defined techniques and methods
+
+
+
Default: organization-defined techniques and methods
+
+
+
+
+
+
Control
+
+
+
The organization disposes of information system components using sa-19_e organization-defined techniques and methods [organization-defined techniques and methods].
+
+
+
+
+
Supplemental guidance
+
+
+
Proper disposal of information system components helps to prevent such components
+ from entering the gray market.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines techniques and methods to dispose of information system components; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
disposes of information system components using organization-defined techniques and
+ methods.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
anti-counterfeit policy and procedures
+
+
+
media disposal policy
+
+
+
media protection policy
+
+
+
disposal records for information system components
+
+
+
documentation of disposal techniques and methods employed for information system components
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility for anti-counterfeit policy and procedures
+
+
+
organizational personnel with responsibility for disposal of information system components
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational techniques and methods for information system component disposal
+
+
+
automated mechanisms supporting and/or implementing system component disposal
+
+
+
+
+
+
+
SA-19 (4) ANTI-COUNTERFEIT SCANNING
+
+
+
+
+
+
Parameter: sa-19_f organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
Control
+
+
+
The organization scans for counterfeit information system components sa-19_f organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines a frequency to scan for counterfeit information system components; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
scans for counterfeit information system components with the organization-defined
+ frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
anti-counterfeit policy and procedures
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
scanning tools and associated documentation
+
+
+
scanning results
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility for anti-counterfeit policy and procedures
+
+
+
organizational personnel with responsibility for anti-counterfeit scanning
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for anti-counterfeit scanning
+
SA-20 CUSTOMIZED DEVELOPMENT OF CRITICAL COMPONENTS
+
+
+
+
+
+
Parameter: sa-20_a organization-defined critical information system components
+
+
+
Default: organization-defined critical information system components
+
+
+
+
+
+
+
Control
+
+
+
The organization re-implements or custom develops sa-20_a organization-defined critical information system components [organization-defined critical information system components].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations determine that certain information system components likely cannot be
+ trusted due to specific threats to and vulnerabilities in those components, and for
+ which there are no viable security controls to adequately mitigate the resulting risk.
+ Re-implementation or custom development of such components helps to satisfy requirements
+ for higher assurance. This is accomplished by initiating changes to system components
+ (including hardware, software, and firmware) such that the standard attacks by adversaries
+ are less likely to succeed. In situations where no alternative sourcing is available
+ and organizations choose not to re-implement or custom develop critical information
+ system components, additional safeguards can be employed (e.g., enhanced auditing,
+ restrictions on source code and system utility access, and protection from deletion
+ of system and application files.
+
The organization requires that the developer of sa-21_a organization-defined information system, system component, or information system service [organization-defined information system, system component, or information system service]:
+
+
+
+
+
+
+
a.
+
+
+
+
+
Have appropriate access authorizations as determined by assigned sa-21_b organization-defined official government duties [organization-defined official government duties]; and
+
Because the information system, system component, or information system service may
+ be employed in critical activities essential to the national and/or economic security
+ interests of the United States, organizations have a strong interest in ensuring that
+ the developer is trustworthy. The degree of trust required of the developer may need
+ to be consistent with that of the individuals accessing the information system/component/service
+ once deployed. Examples of authorization and personnel screening criteria include
+ clearance, satisfactory background checks, citizenship, and nationality. Trustworthiness
+ of developers may also include a review and analysis of company ownership and any
+ relationships the company has with entities potentially affecting the quality/reliability
+ of the systems, components, or services being developed.
+
defines the information system, system component, or information system service for
+ which the developer is to be screened;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines official government duties to be used to determine appropriate access authorizations
+ for the developer;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines additional personnel screening criteria to be satisfied by the developer;
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
+
+
+
+
[a]
+
+
+
+
+
requires that the developer of organization-defined information system, system component,
+ or information system service have appropriate access authorizations as determined
+ by assigned organization-defined official government duties; and
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
requires that the developer of organization-defined information system, system component,
+ or information system service satisfy organization-defined additional personnel screening
+ criteria.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
personnel security policy and procedures
+
+
+
procedures addressing personnel screening
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of appropriate access authorizations required by developers of the information
+ system
+
+
+
personnel screening criteria and associated documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility for developer screening
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for developer screening
+
The organization requires the developer of the information system, system component,
+ or information system service take sa-21_d organization-defined actions [organization-defined actions] to ensure that the required access authorizations and screening criteria are satisfied.
+
+
+
+
+
Supplemental guidance
+
+
+
Satisfying required access authorizations and personnel screening criteria includes,
+ for example, providing a listing of all the individuals authorized to perform development
+ activities on the selected information system, system component, or information system
+ service so that organizations can validate that the developer has satisfied the necessary
+ authorization and screening requirements.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines actions to be taken by the developer of the information system, system component,
+ or information system service to ensure that the required access authorizations and
+ screening criteria are satisfied; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires the developer of the information system, system component, or information
+ system service take organization-defined actions to ensure that the required access
+ authorizations and screening criteria are satisfied.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
personnel security policy and procedures
+
+
+
procedures addressing personnel screening
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of appropriate access authorizations required by developers of the information
+ system
+
+
+
personnel screening criteria and associated documentation
+
+
+
list of actions ensuring required access authorizations and screening criteria are
+ satisfied
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility for developer screening
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for developer screening
+
Replaces information system components when support for the components is no longer
+ available from the developer, vendor, or manufacturer; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Provides justification and documents approval for the continued use of unsupported
+ system components required to satisfy mission/business needs.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Support for information system components includes, for example, software patches,
+ firmware updates, replacement parts, and maintenance contracts. Unsupported components
+ (e.g., when vendors are no longer providing critical software patches), provide a
+ substantial opportunity for adversaries to exploit new weaknesses discovered in the
+ currently installed components. Exceptions to replacing unsupported system components
+ may include, for example, systems that provide critical mission/business capability
+ where newer technologies are not available or where the systems are so isolated that
+ installing replacement components is not an option.
+
replaces information system components when support for the components is no longer
+ available from the developer, vendor, or manufacturer;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
provides justification for the continued use of unsupported system components required
+ to satisfy mission/business needs; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
documents approval for the continued use of unsupported system components required
+ to satisfy mission/business needs.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing replacement or continued use of unsupported information system
+ components
+
+
+
documented evidence of replacing unsupported information system components
+
+
+
documented approvals (including justification) for continued use of unsupported information
+ system components
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility system development life cycle
+
+
+
organizational personnel responsible for configuration management
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for replacing unsupported system components
+
+
+
automated mechanisms supporting and/or implementing replacement of unsupported system
+ components
+
+
+
+
+
+
Control enhancements
+
+
SA-22 (1) ALTERNATIVE SOURCES FOR CONTINUED SUPPORT
+
+
+
+
+
+
Parameter: sa-22_a organization-defined support from external providers
+
+
+
Default: organization-defined support from external providers
+
+
+
+
+
+
Control
+
+
+
The organization provides [Selection (one or more): in-house support; sa-22_a organization-defined support from external providers [organization-defined support from external providers]] for unsupported information system components.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement addresses the need to provide continued support for selected
+ information system components that are no longer supported by the original developers,
+ vendors, or manufacturers when such components remain essential to mission/business
+ operations. Organizations can establish in-house support, for example, by developing
+ customized patches for critical software components or secure the services of external
+ providers who through contractual relationships, provide ongoing support for the designated
+ unsupported components. Such contractual relationships can include, for example, Open
+ Source Software value-added vendors.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines support from external providers to be provided for unsupported information
+ system components;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
provides and/or obtains support for unsupported information system components from
+ one or more of the following:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
in-house support; and/or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
organization-defined support from external providers.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and services acquisition policy
+
+
+
procedures addressing support for unsupported information system components
+
+
+
solicitation documentation
+
+
+
acquisition documentation
+
+
+
acquisition contracts
+
+
+
service-level agreements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and services acquisition responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility system development life cycle
+
+
+
organizational personnel or third-party external providers supporting information
+ system components no longer supported by original developers, vendors, or manufacturers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for supporting system components no longer supported by original
+ developers, vendors, or manufacturers
+
+
+
automated mechanisms providing support for system components no longer supported by
+ original developers, vendors, or manufacturers
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
+
+
+
SYSTEM AND COMMUNICATIONS PROTECTION
+
+
+
SC-1 SYSTEM AND COMMUNICATIONS PROTECTION POLICY AND PROCEDURES
+
+
+
+
+
+
Parameter: sc-1_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: sc-1_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: sc-1_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops, documents, and disseminates to sc-1_a organization-defined personnel or roles [organization-defined personnel or roles]:
+
+
+
+
+
+
+
1.
+
+
+
+
+
A system and communications protection policy that addresses purpose, scope, roles,
+ responsibilities, management commitment, coordination among organizational entities,
+ and compliance; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Procedures to facilitate the implementation of the system and communications protection
+ policy and associated system and communications protection controls; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the current:
+
+
+
+
+
+
1.
+
+
+
+
+
System and communications protection policy sc-1_b organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
System and communications protection procedures sc-1_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the establishment of policy and procedures for the effective
+ implementation of selected security controls and control enhancements in the SC family.
+ Policy and procedures reflect applicable federal laws, Executive Orders, directives,
+ regulations, policies, standards, and guidance. Security program policies and procedures
+ at the organization level may make the need for system-specific policies and procedures
+ unnecessary. The policy can be included as part of the general information security
+ policy for organizations or conversely, can be represented by multiple policies reflecting
+ the complex nature of certain organizations. The procedures can be established for
+ the security program in general and for particular information systems, if needed.
+ The organizational risk management strategy is a key factor in establishing policy
+ and procedures.
+
develops and documents a system and communications protection policy that addresses:
+
+
+
+
+
+
[a]
+
+
+
+
+
purpose;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
scope;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
roles;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
responsibilities;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
management commitment;
+
+
+
+
+
+
+
+
+
+
+
[f]
+
+
+
+
+
coordination among organizational entities;
+
+
+
+
+
+
+
+
+
+
+
[g]
+
+
+
+
+
compliance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the system and communications protection policy
+ is to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the system and communications protection policy to organization-defined
+ personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(a)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops and documents procedures to facilitate the implementation of the system and
+ communications protection policy and associated system and communications protection
+ controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current system and communications protection
+ policy;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current system and communications protection policy with the
+ organization-defined frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current system and communications protection
+ procedures; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current system and communications protection procedures with
+ the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy and procedures
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and communications protection responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-12
+
+
+
+
+
+
NIST Special Publication 800-100
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW SC-1
+
+
MOD SC-1
+
+
HIGH SC-1
+
+
+
+
+
+
+
+
SC-2 APPLICATION PARTITIONING
+
+
+
+
+
+
+
+
Control
+
+
+
The information system separates user functionality (including user interface services)
+ from information system management functionality.
+
+
+
+
+
Supplemental guidance
+
+
+
Information system management functionality includes, for example, functions necessary
+ to administer databases, network components, workstations, or servers, and typically
+ requires privileged user access. The separation of user functionality from information
+ system management functionality is either physical or logical. Organizations implement
+ separation of system management-related functionality from user functionality by using
+ different computers, different central processing units, different instances of operating
+ systems, different network addresses, virtualization techniques, or combinations of
+ these or other methods, as appropriate. This type of separation includes, for example,
+ web administrative interfaces that use separate authentication methods for users of
+ any other information system resources. Separation of system and user functionality
+ may include isolating administrative interfaces on different domains and with additional
+ access controls.
+
Determine if the information system separates user functionality (including user interface
+ services) from information system management functionality.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing application partitioning
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Separation of user functionality from information system management functionality
+
+
+
+
+
+
Control enhancements
+
+
SC-2 (1) INTERFACES FOR NON-PRIVILEGED USERS
+
+
+
+
+
Control
+
+
+
The information system prevents the presentation of information system management-related
+ functionality at an interface for non-privileged users.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement ensures that administration options (e.g., administrator
+ privileges) are not available to general users (including prohibiting the use of the
+ grey-out option commonly used to eliminate accessibility to such information). Such
+ restrictions include, for example, not presenting administration options until users
+ establish sessions with administrator privileges.
+
Determine if the information system prevents the presentation of information system
+ management-related functionality at an interface for non-privileged users.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing application partitioning
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
non-privileged users of the information system
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Separation of user functionality from information system management functionality
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD SC-2
+
+
HIGH SC-2
+
+
+
+
+
+
+
+
SC-3 SECURITY FUNCTION ISOLATION
+
+
+
+
+
+
+
Control
+
+
+
The information system isolates security functions from nonsecurity functions.
+
+
+
+
Supplemental guidance
+
+
+
The information system isolates security functions from nonsecurity functions by means
+ of an isolation boundary (implemented via partitions and domains). Such isolation
+ controls access to and protects the integrity of the hardware, software, and firmware
+ that perform those security functions. Information systems implement code separation
+ (i.e., separation of security functions from nonsecurity functions) in a number of
+ ways, including, for example, through the provision of security kernels via processor
+ rings or processor modes. For non-kernel code, security function isolation is often
+ achieved through file system protections that serve to protect the code on disk, and
+ address space protections that protect executing code. Information systems restrict
+ access to security functions through the use of access control mechanisms and by implementing
+ least privilege capabilities. While the ideal is for all of the code within the security
+ function isolation boundary to only contain security-relevant code, it is sometimes
+ necessary to include nonsecurity functions within the isolation boundary as an exception.
+
Determine if the information system isolates security functions from nonsecurity functions.
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing security function isolation
+
+
+
list of security functions to be isolated from nonsecurity functions
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Separation of security functions from nonsecurity functions within the information
+ system
+
+
+
+
+
+
Control enhancements
+
+
SC-3 (1) HARDWARE SEPARATION
+
+
+
+
+
Control
+
+
+
The information system utilizes underlying hardware separation mechanisms to implement
+ security function isolation.
+
+
+
+
+
Supplemental guidance
+
+
+
Underlying hardware separation mechanisms include, for example, hardware ring architectures,
+ commonly implemented within microprocessors, and hardware-enforced address segmentation
+ used to support logically distinct storage objects with separate attributes (i.e.,
+ readable, writeable).
+
+
+
+
+
Objective
+
+
+
Determine if the information system utilizes underlying hardware separation mechanisms
+ to implement security function isolation.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing security function isolation
+
+
+
information system design documentation
+
+
+
hardware separation mechanisms
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Separation of security functions from nonsecurity functions within the information
+ system
+
+
+
+
+
+
+
SC-3 (2) ACCESS / FLOW CONTROL FUNCTIONS
+
+
+
+
+
Control
+
+
+
The information system isolates security functions enforcing access and information
+ flow control from nonsecurity functions and from other security functions.
+
+
+
+
+
Supplemental guidance
+
+
+
Security function isolation occurs as a result of implementation; the functions can
+ still be scanned and monitored. Security functions that are potentially isolated from
+ access and flow control enforcement functions include, for example, auditing, intrusion
+ detection, and anti-virus functions.
+
+
+
+
+
+
+
+
+
+
+
Determine if the information system isolates security functions enforcing:
+
+
+
+
+
+
[1]
+
+
+
+
+
access control from nonsecurity functions;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
information flow control from nonsecurity functions;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
access control from other security functions; and
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
information flow control from other security functions.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing security function isolation
+
+
+
list of critical security functions
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Isolation of security functions enforcing access and information flow control
+
+
+
+
+
+
+
SC-3 (3) MINIMIZE NONSECURITY FUNCTIONALITY
+
+
+
+
+
Control
+
+
+
The organization minimizes the number of nonsecurity functions included within the
+ isolation boundary containing security functions.
+
+
+
+
+
Supplemental guidance
+
+
+
In those instances where it is not feasible to achieve strict isolation of nonsecurity
+ functions from security functions, it is necessary to take actions to minimize the
+ nonsecurity-relevant functions within the security function boundary. Nonsecurity
+ functions contained within the isolation boundary are considered security-relevant
+ because errors or maliciousness in such software, by virtue of being within the boundary,
+ can impact the security functions of organizational information systems. The design
+ objective is that the specific portions of information systems providing information
+ security are of minimal size/complexity. Minimizing the number of nonsecurity functions
+ in the security-relevant components of information systems allows designers and implementers
+ to focus only on those functions which are necessary to provide the desired security
+ capability (typically access enforcement). By minimizing nonsecurity functions within
+ the isolation boundaries, the amount of code that must be trusted to enforce security
+ policies is reduced, thus contributing to understandability.
+
+
+
+
+
Objective
+
+
+
Determine if the organization implements an information system isolation boundary
+ to minimize the number of nonsecurity functions included within the boundary containing
+ security functions.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing security function isolation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing an isolation boundary
+
+
+
+
+
+
+
SC-3 (4) MODULE COUPLING AND COHESIVENESS
+
+
+
+
+
Control
+
+
+
The organization implements security functions as largely independent modules that
+ maximize internal cohesiveness within modules and minimize coupling between modules.
+
+
+
+
+
Supplemental guidance
+
+
+
The reduction in inter-module interactions helps to constrain security functions and
+ to manage complexity. The concepts of coupling and cohesion are important with respect
+ to modularity in software design. Coupling refers to the dependencies that one module
+ has on other modules. Cohesion refers to the relationship between the different functions
+ within a particular module. Good software engineering practices rely on modular decomposition,
+ layering, and minimization to reduce and manage complexity, thus producing software
+ modules that are highly cohesive and loosely coupled.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization implements security functions as largely independent
+ modules that:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
maximize internal cohesiveness within modules; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
minimize coupling between modules.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing security function isolation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for maximizing internal cohesiveness within modules and minimizing
+ coupling between modules
+
The organization implements security functions as a layered structure minimizing interactions
+ between layers of the design and avoiding any dependence by lower layers on the functionality
+ or correctness of higher layers.
+
+
+
+
+
Supplemental guidance
+
+
+
The implementation of layered structures with minimized interactions among security
+ functions and non-looping layers (i.e., lower-layer functions do not depend on higher-layer
+ functions) further enables the isolation of security functions and management of complexity.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization implements security functions as a layered structure:
+
+
+
+
+
+
[1]
+
+
+
+
+
minimizing interactions between layers of the design; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
avoiding any dependence by lower layers on the functionality or correctness of higher
+ layers.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing security function isolation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for implementing security functions as a layered structure
+ that minimizes interactions between layers and avoids dependence by lower layers on
+ functionality/correctness of higher layers
+
+
+
automated mechanisms supporting and/or implementing security functions as a layered
+ structure
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH SC-3
+
+
+
+
+
+
+
+
SC-4 INFORMATION IN SHARED RESOURCES
+
+
+
+
+
+
+
+
Control
+
+
+
The information system prevents unauthorized and unintended information transfer via
+ shared system resources.
+
+
+
+
+
Supplemental guidance
+
+
+
This control prevents information, including encrypted representations of information,
+ produced by the actions of prior users/roles (or the actions of processes acting on
+ behalf of prior users/roles) from being available to any current users/roles (or current
+ processes) that obtain access to shared system resources (e.g., registers, main memory,
+ hard disks) after those resources have been released back to information systems.
+ The control of information in shared resources is also commonly referred to as object
+ reuse and residual information protection. This control does not address: (i) information
+ remanence which refers to residual representation of data that has been nominally
+ erased or removed; (ii) covert channels (including storage and/or timing channels)
+ where shared resources are manipulated to violate information flow restrictions; or
+ (iii) components within information systems for which there are only single users/roles.
+
The information system prevents unauthorized information transfer via shared resources
+ in accordance with sc-4_a organization-defined procedures [organization-defined procedures] when system processing explicitly switches between different information classification
+ levels or security categories.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement applies when there are explicit changes in information processing
+ levels during information system operations, for example, during multilevel processing
+ and periods processing with information at different classification levels or security
+ categories. Organization-defined procedures may include, for example, approved sanitization
+ processes for electronically stored information.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines procedures to be employed to ensure unauthorized information
+ transfer via shared resources is prevented when system processing explicitly switches
+ between different information classification levels or security categories; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system prevents unauthorized information transfer via shared resources
+ in accordance with organization-defined procedures when system processing explicitly
+ switches between different information classification levels or security categories.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing information protection in shared system resources
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms preventing unauthorized transfer of information via shared system
+ resources
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD SC-4
+
+
HIGH SC-4
+
+
+
+
+
+
+
+
SC-5 DENIAL OF SERVICE PROTECTION
+
+
+
+
+
+
Parameter: sc-5_a organization-defined types of denial of service attacks or references to sources for
+ such information
+
+
+
Default: organization-defined types of denial of service attacks or references to sources for
+ such information
+
The information system protects against or limits the effects of the following types
+ of denial of service attacks: sc-5_a organization-defined types of denial of service attacks or references to sources for
+ such information [organization-defined types of denial of service attacks or references to sources for
+ such information] by employing sc-5_b organization-defined security safeguards [organization-defined security safeguards].
+
+
+
+
+
Supplemental guidance
+
+
+
A variety of technologies exist to limit, or in some cases, eliminate the effects
+ of denial of service attacks. For example, boundary protection devices can filter
+ certain types of packets to protect information system components on internal organizational
+ networks from being directly affected by denial of service attacks. Employing increased
+ capacity and bandwidth combined with service redundancy may also reduce the susceptibility
+ to denial of service attacks.
+
the organization defines types of denial of service attacks or reference to source
+ of such information for the information system to protect against or limit the effects;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines security safeguards to be employed by the information system
+ to protect against or limit the effects of organization-defined types of denial of
+ service attacks; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system protects against or limits the effects of the organization-defined
+ denial or service attacks (or reference to source for such information) by employing
+ organization-defined security safeguards.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing denial of service protection
+
+
+
information system design documentation
+
+
+
security plan
+
+
+
list of denial of services attacks requiring employment of security safeguards to
+ protect against or limit effects of such attacks
+
+
+
list of security safeguards protecting against or limiting the effects of denial of
+ service attacks
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with incident response responsibilities
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms protecting against or limiting the effects of denial of service
+ attacks
+
+
+
+
+
+
Control enhancements
+
+
SC-5 (1) RESTRICT INTERNAL USERS
+
+
+
+
+
+
Parameter: sc-5_c organization-defined denial of service attacks
+
+
+
Default: organization-defined denial of service attacks
+
+
+
+
+
+
Control
+
+
+
The information system restricts the ability of individuals to launch sc-5_c organization-defined denial of service attacks [organization-defined denial of service attacks] against other information systems.
+
+
+
+
+
Supplemental guidance
+
+
+
Restricting the ability of individuals to launch denial of service attacks requires
+ that the mechanisms used for such attacks are unavailable. Individuals of concern
+ can include, for example, hostile insiders or external adversaries that have successfully
+ breached the information system and are using the system as a platform to launch cyber
+ attacks on third parties. Organizations can restrict the ability of individuals to
+ connect and transmit arbitrary information on the transport medium (i.e., network,
+ wireless spectrum). Organizations can also limit the ability of individuals to use
+ excessive information system resources. Protection against individuals having the
+ ability to launch denial of service attacks may be implemented on specific information
+ systems or on boundary devices prohibiting egress to potential target systems.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines denial of service attacks for which the information system
+ is required to restrict the ability of individuals to launch such attacks against
+ other information systems; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system restricts the ability of individuals to launch organization-defined
+ denial of service attacks against other information systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing denial of service protection
+
+
+
information system design documentation
+
+
+
security plan
+
+
+
list of denial of service attacks launched by individuals against information systems
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with incident response responsibilities
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms restricting the ability to launch denial of service attacks against
+ other information systems
+
The information system manages excess capacity, bandwidth, or other redundancy to
+ limit the effects of information flooding denial of service attacks.
+
+
+
+
+
Supplemental guidance
+
+
+
Managing excess capacity ensures that sufficient capacity is available to counter
+ flooding attacks. Managing excess capacity may include, for example, establishing
+ selected usage priorities, quotas, or partitioning.
+
+
+
+
+
+
+
+
+
+
+
Determine if the information system, to limit the effects of information flooding
+ denial of service attacks, manages:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
excess capacity;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
bandwidth; or
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
other redundancy.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing denial of service protection
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with incident response responsibilities
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing management of information system bandwidth, capacity,
+ and redundancy to limit the effects of information flooding denial of service attacks
+
Parameter: sc-5_e organization-defined information system resources
+
+
+
Default: organization-defined information system resources
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Employs sc-5_d organization-defined monitoring tools [organization-defined monitoring tools] to detect indicators of denial of service attacks against the information system;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Monitors sc-5_e organization-defined information system resources [organization-defined information system resources] to determine if sufficient resources exist to prevent effective denial of service
+ attacks.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations consider utilization and capacity of information system resources when
+ managing risk from denial of service due to malicious attacks. Denial of service attacks
+ can originate from external or internal sources. Information system resources sensitive
+ to denial of service include, for example, physical disk storage, memory, and CPU
+ cycles. Common safeguards to prevent denial of service attacks related to storage
+ utilization and capacity include, for example, instituting disk quotas, configuring
+ information systems to automatically alert administrators when specific storage capacity
+ thresholds are reached, using file compression technologies to maximize available
+ storage space, and imposing separate partitions for system and user data.
+
defines monitoring tools to be employed to detect indicators of denial of service
+ attacks against the information system;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs organization-defined monitoring tools to detect indicators of denial of service
+ attacks against the information system;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines information system resources to be monitored to determine if sufficient resources
+ exist to prevent effective denial of service attacks; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
monitors organization-defined information system resources to determine if sufficient
+ resources exist to prevent effective denial of service attacks.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing denial of service protection
+
+
+
information system design documentation
+
+
+
information system monitoring tools and techniques documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with detection and monitoring responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms/tools implementing information system monitoring for denial of
+ service attacks
+
The information system protects the availability of resources by allocating sc-6_a organization-defined resources [organization-defined resources] by [Selection (one or more); priority; quota; sc-6_b organization-defined security safeguards [organization-defined security safeguards]].
+
+
+
+
+
Supplemental guidance
+
+
+
Priority protection helps prevent lower-priority processes from delaying or interfering
+ with the information system servicing any higher-priority processes. Quotas prevent
+ users or processes from obtaining more than predetermined amounts of resources. This
+ control does not apply to information system components for which there are only single
+ users/roles.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines resources to be allocated to protect the availability of
+ resources;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines security safeguards to be employed to protect the availability
+ of resources;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system protects the availability of resources by allocating organization-defined
+ resources by one or more of the following:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
priority;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
quota; and/or
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
organization-defined safeguards.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing prioritization of information system resources
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
safeguards employed to protect availability of resources
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
SC-7 BOUNDARY PROTECTION
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The information system:
+
+
+
+
+
+
a.
+
+
+
+
+
Monitors and controls communications at the external boundary of the system and at
+ key internal boundaries within the system;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Implements subnetworks for publicly accessible system components that are [Selection:
+ physically; logically] separated from internal organizational networks; and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Connects to external networks or information systems only through managed interfaces
+ consisting of boundary protection devices arranged in accordance with an organizational
+ security architecture.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Managed interfaces include, for example, gateways, routers, firewalls, guards, network-based
+ malicious code analysis and virtualization systems, or encrypted tunnels implemented
+ within a security architecture (e.g., routers protecting firewalls or application
+ gateways residing on protected subnetworks). Subnetworks that are physically or logically
+ separated from internal networks are referred to as demilitarized zones or DMZs. Restricting
+ or prohibiting interfaces within organizational information systems includes, for
+ example, restricting external web traffic to designated web servers within managed
+ interfaces and prohibiting external traffic that appears to be spoofing internal addresses.
+ Organizations consider the shared nature of commercial telecommunications services
+ in the implementation of security controls associated with the use of such services.
+ Commercial telecommunications services are commonly based on network components and
+ consolidated management systems shared by all attached commercial customers, and may
+ also include third party-provided access lines and other service elements. Such transmission
+ services may represent sources of increased risk despite contract security provisions.
+
monitors communications at the external boundary of the information system;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
monitors communications at key internal boundaries within the system;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
controls communications at the external boundary of the information system;
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
controls communications at key internal boundaries within the system;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
implements subnetworks for publicly accessible system components that are either:
+
+
+
+
+
+
[1]
+
+
+
+
+
physically separated from internal organizational networks; and/or
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
logically separated from internal organizational networks; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
connects to external networks or information systems only through managed interfaces
+ consisting of boundary protection devices arranged in accordance with an organizational
+ security architecture.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing boundary protection
+
+
+
list of key internal boundaries of the information system
+
+
+
information system design documentation
+
+
+
boundary protection hardware and software
+
+
+
information system configuration settings and associated documentation
+
+
+
enterprise security architecture documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with boundary protection responsibilities
+
The organization limits the number of external network connections to the information
+ system.
+
+
+
+
+
Supplemental guidance
+
+
+
Limiting the number of external network connections facilitates more comprehensive
+ monitoring of inbound and outbound communications traffic. The Trusted Internet Connection
+ (TIC) initiative is an example of limiting the number of external network connections.
+
+
+
+
+
Objective
+
+
+
Determine if the organization limits the number of external network connections to
+ the information system.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing boundary protection
+
+
+
information system design documentation
+
+
+
boundary protection hardware and software
+
+
+
information system architecture and configuration documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
communications and network traffic monitoring logs
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with boundary protection responsibilities
+
automated mechanisms limiting the number of external network connections to the information
+ system
+
+
+
+
+
+
+
SC-7 (4) EXTERNAL TELECOMMUNICATIONS SERVICES
+
+
+
+
+
+
Parameter: sc-7_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Implements a managed interface for each external telecommunication service;
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Establishes a traffic flow policy for each managed interface;
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
Protects the confidentiality and integrity of the information being transmitted across
+ each interface;
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
Documents each exception to the traffic flow policy with a supporting mission/business
+ need and duration of that need; and
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
Reviews exceptions to the traffic flow policy sc-7_a organization-defined frequency [organization-defined frequency] and removes exceptions that are no longer supported by an explicit mission/business
+ need.
+
The information system at managed interfaces denies network communications traffic
+ by default and allows network communications traffic by exception (i.e., deny all,
+ permit by exception).
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement applies to both inbound and outbound network communications
+ traffic. A deny-all, permit-by-exception network communications traffic policy ensures
+ that only those connections which are essential and approved are allowed.
+
+
+
+
+
+
+
+
+
+
+
Determine if the information system, at managed interfaces:
+
+
+
+
+
+
[1]
+
+
+
+
+
denies network traffic by default; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
allows network traffic by exception.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing boundary protection
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with boundary protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing traffic management at managed interfaces
+
SC-7 (7) PREVENT SPLIT TUNNELING FOR REMOTE DEVICES
+
+
+
+
+
+
+
Control
+
+
+
The information system, in conjunction with a remote device, prevents the device from
+ simultaneously establishing non-remote connections with the system and communicating
+ via some other connection to resources in external networks.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement is implemented within remote devices (e.g., notebook computers)
+ through configuration settings to disable split tunneling in those devices, and by
+ preventing those configuration settings from being readily configurable by users.
+ This control enhancement is implemented within the information system by the detection
+ of split tunneling (or of configuration settings that allow split tunneling) in the
+ remote device, and by prohibiting the connection if the remote device is using split
+ tunneling. Split tunneling might be desirable by remote users to communicate with
+ local information system resources such as printers/file servers. However, split tunneling
+ would in effect allow unauthorized external connections, making the system more vulnerable
+ to attack and to exfiltration of organizational information. The use of VPNs for remote
+ connections, when adequately provisioned with appropriate security controls, may provide
+ the organization with sufficient assurance that it can effectively treat such connections
+ as non-remote connections from the confidentiality and integrity perspective. VPNs
+ thus provide a means for allowing non-remote communications paths from remote devices.
+ The use of an adequately provisioned VPN does not eliminate the need for preventing
+ split tunneling.
+
+
+
+
+
Objective
+
+
+
Determine if the information system, in conjunction with a remote device, prevents
+ the device from simultaneously establishing non-remote connections with the system
+ and communicating via some other connection to resources in external networks.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing boundary protection
+
+
+
information system design documentation
+
+
+
information system hardware and software
+
+
+
information system architecture
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with boundary protection responsibilities
+
The information system routes sc-7_b organization-defined internal communications traffic [organization-defined internal communications traffic] to sc-7_c organization-defined external networks [organization-defined external networks] through authenticated proxy servers at managed interfaces.
+
+
+
+
+
Supplemental guidance
+
+
+
External networks are networks outside of organizational control. A proxy server is
+ a server (i.e., information system or application) that acts as an intermediary for
+ clients requesting information system resources (e.g., files, connections, web pages,
+ or services) from other organizational servers. Client requests established through
+ an initial connection to the proxy server are evaluated to manage complexity and to
+ provide additional protection by limiting direct connectivity. Web content filtering
+ devices are one of the most common proxy servers providing access to the Internet.
+ Proxy servers support logging individual Transmission Control Protocol (TCP) sessions
+ and blocking specific Uniform Resource Locators (URLs), domain names, and Internet
+ Protocol (IP) addresses. Web proxies can be configured with organization-defined lists
+ of authorized and unauthorized websites.
+
the organization defines internal communications traffic to be routed to external
+ networks;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines external networks to which organization-defined internal
+ communications traffic is to be routed; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system routes organization-defined internal communications traffic
+ to organization-defined external networks through authenticated proxy servers at managed
+ interfaces.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing boundary protection
+
+
+
information system design documentation
+
+
+
information system hardware and software
+
+
+
information system architecture
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with boundary protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing traffic management through authenticated proxy servers
+ at managed interfaces
+
Detects and denies outgoing communications traffic posing a threat to external information
+ systems; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Audits the identity of internal users associated with denied communications.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Detecting outgoing communications traffic from internal actions that may pose threats
+ to external information systems is sometimes termed extrusion detection. Extrusion
+ detection at information system boundaries as part of managed interfaces includes
+ the analysis of incoming and outgoing communications traffic searching for indications
+ of internal threats to the security of external systems. Such threats include, for
+ example, traffic indicative of denial of service attacks and traffic containing malicious
+ code.
+
automated mechanisms implementing detection and denial of threatening outgoing communications
+ traffic
+
+
+
automated mechanisms implementing auditing of outgoing communications traffic
+
+
+
+
+
+
+
SC-7 (10) PREVENT UNAUTHORIZED EXFILTRATION
+
+
+
+
+
Control
+
+
+
The organization prevents the unauthorized exfiltration of information across managed
+ interfaces.
+
+
+
+
+
Supplemental guidance
+
+
+
Safeguards implemented by organizations to prevent unauthorized exfiltration of information
+ from information systems include, for example: (i) strict adherence to protocol formats;
+ (ii) monitoring for beaconing from information systems; (iii) monitoring for steganography;
+ (iv) disconnecting external network interfaces except when explicitly needed; (v)
+ disassembling and reassembling packet headers; and (vi) employing traffic profile
+ analysis to detect deviations from the volume/types of traffic expected within organizations
+ or call backs to command and control centers. Devices enforcing strict adherence to
+ protocol formats include, for example, deep packet inspection firewalls and XML gateways.
+ These devices verify adherence to protocol formats and specification at the application
+ layer and serve to identify vulnerabilities that cannot be detected by devices operating
+ at the network or transport layers. This control enhancement is closely associated
+ with cross-domain solutions and system guards enforcing information flow requirements.
+
The information system only allows incoming communications from sc-7_d organization-defined authorized sources [organization-defined authorized sources] to be routed to sc-7_e organization-defined authorized destinations [organization-defined authorized destinations].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement provides determinations that source and destination address
+ pairs represent authorized/allowed communications. Such determinations can be based
+ on several factors including, for example, the presence of source/destination address
+ pairs in lists of authorized/allowed communications, the absence of address pairs
+ in lists of unauthorized/disallowed pairs, or meeting more general rules for authorized/allowed
+ source/destination pairs.
+
the organization defines internal communications traffic to be routed to external
+ networks;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines authorized destinations only to which that incoming communications
+ from organization-defined authorized sources may be routed; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system only allows incoming communications from organization-defined
+ authorized sources to be routed to organization-defined authorized destinations.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing boundary protection
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with boundary protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing boundary protection capabilities with respect to
+ source/destination address pairs
+
Parameter: sc-7_g organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
Control
+
+
+
The organization implements sc-7_f organization-defined host-based boundary protection mechanisms [organization-defined host-based boundary protection mechanisms] at sc-7_g organization-defined information system components [organization-defined information system components].
+
+
+
+
+
Supplemental guidance
+
+
+
Host-based boundary protection mechanisms include, for example, host-based firewalls.
+ Information system components employing host-based boundary protection mechanisms
+ include, for example, servers, workstations, and mobile devices.
+
SC-7 (13) ISOLATION OF SECURITY TOOLS / MECHANISMS / SUPPORT COMPONENTS
+
+
+
+
+
+
Parameter: sc-7_h organization-defined information security tools, mechanisms, and support components
+
+
+
Default: organization-defined information security tools, mechanisms, and support components
+
+
+
+
+
+
Control
+
+
+
The organization isolates sc-7_h organization-defined information security tools, mechanisms, and support components [organization-defined information security tools, mechanisms, and support components] from other internal information system components by implementing physically separate
+ subnetworks with managed interfaces to other components of the system.
+
+
+
+
+
Supplemental guidance
+
+
+
Physically separate subnetworks with managed interfaces are useful, for example, in
+ isolating computer network defenses from critical operational processing networks
+ to prevent adversaries from discovering the analysis and forensics techniques of organizations.
+
defines information security tools, mechanisms, and support components to be isolated
+ from other internal information system components; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
isolates organization-defined information security tools, mechanisms, and support
+ components from other internal information system components by implementing physically
+ separate subnetworks with managed interfaces to other components of the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing boundary protection
+
+
+
information system design documentation
+
+
+
information system hardware and software
+
+
+
information system architecture
+
+
+
information system configuration settings and associated documentation
+
+
+
list of security tools and support components to be isolated from other internal information
+ system components
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with boundary protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing isolation of information security
+ tools, mechanisms, and support components
+
+
+
+
+
+
+
SC-7 (14) PROTECTS AGAINST UNAUTHORIZED PHYSICAL CONNECTIONS
+
The organization protects against unauthorized physical connections at sc-7_i organization-defined managed interfaces [organization-defined managed interfaces].
+
+
+
+
+
Supplemental guidance
+
+
+
Information systems operating at different security categories or classification levels
+ may share common physical and environmental controls, since the systems may share
+ space within organizational facilities. In practice, it is possible that these separate
+ information systems may share common equipment rooms, wiring closets, and cable distribution
+ paths. Protection against unauthorized physical connections can be achieved, for example,
+ by employing clearly identified and physically separated cable trays, connection frames,
+ and patch panels for each side of managed interfaces with physical access controls
+ enforcing limited authorized access to these items.
+
The information system routes all networked, privileged accesses through a dedicated,
+ managed interface for purposes of access control and auditing.
+
Determine if the information system routes all networked, privileged accesses through
+ a dedicated, managed interface for the purposes of:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
access control; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
auditing.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing boundary protection
+
+
+
information system design documentation
+
+
+
information system hardware and software
+
+
+
information system architecture
+
+
+
information system configuration settings and associated documentation
+
+
+
audit logs
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with boundary protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing the routing of networked, privileged
+ access through dedicated managed interfaces
+
+
+
+
+
+
+
SC-7 (16) PREVENT DISCOVERY OF COMPONENTS / DEVICES
+
+
+
+
+
Control
+
+
+
The information system prevents discovery of specific system components composing
+ a managed interface.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement protects network addresses of information system components
+ that are part of managed interfaces from discovery through common tools and techniques
+ used to identify devices on networks. Network addresses are not available for discovery
+ (e.g., network address not published or entered in domain name systems), requiring
+ prior knowledge for access. Another obfuscation technique is to periodically change
+ network addresses.
+
+
+
+
+
Objective
+
+
+
Determine if the information system prevents discovery of specific system components
+ composing a managed interface.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing boundary protection
+
+
+
information system design documentation
+
+
+
information system hardware and software
+
+
+
information system architecture
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with boundary protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing the prevention of discovery of
+ system components at managed interfaces
+
+
+
+
+
+
+
SC-7 (17) AUTOMATED ENFORCEMENT OF PROTOCOL FORMATS
+
+
+
+
+
Control
+
+
+
The information system enforces adherence to protocol formats.
+
+
+
+
Supplemental guidance
+
+
+
Information system components that enforce protocol formats include, for example,
+ deep packet inspection firewalls and XML gateways. Such system components verify adherence
+ to protocol formats/specifications (e.g., IEEE) at the application layer and identify
+ significant vulnerabilities that cannot be detected by devices operating at the network
+ or transport layers.
+
Determine if the information system enforces adherence to protocol formats.
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing boundary protection
+
+
+
information system design documentation
+
+
+
information system architecture
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with boundary protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing enforcement of adherence to protocol
+ formats
+
+
+
+
+
+
+
SC-7 (18) FAIL SECURE
+
+
+
+
+
+
Control
+
+
+
The information system fails securely in the event of an operational failure of a
+ boundary protection device.
+
+
+
+
+
Supplemental guidance
+
+
+
Fail secure is a condition achieved by employing information system mechanisms to
+ ensure that in the event of operational failures of boundary protection devices at
+ managed interfaces (e.g., routers, firewalls, guards, and application gateways residing
+ on protected subnetworks commonly referred to as demilitarized zones), information
+ systems do not enter into unsecure states where intended security properties no longer
+ hold. Failures of boundary protection devices cannot lead to, or cause information
+ external to the devices to enter the devices, nor can failures permit unauthorized
+ information releases.
+
SC-7 (19) BLOCKS COMMUNICATION FROM NON-ORGANIZATIONALLY CONFIGURED HOSTS
+
+
+
+
+
+
Parameter: sc-7_j organization-defined communication clients
+
+
+
Default: organization-defined communication clients
+
+
+
+
+
+
Control
+
+
+
The information system blocks both inbound and outbound communications traffic between
+ sc-7_j organization-defined communication clients [organization-defined communication clients] that are independently configured by end users and external service providers.
+
+
+
+
+
Supplemental guidance
+
+
+
Communication clients independently configured by end users and external service providers
+ include, for example, instant messaging clients. Traffic blocking does not apply to
+ communication clients that are configured by organizations to perform authorized functions.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines communication clients that are independently configured by end users and external
+ service providers; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
blocks, between organization-defined communication clients that are independently
+ configured by end users and external service providers,:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
inbound communications traffic; and
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
outbound communications traffic.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing boundary protection
+
+
+
information system design documentation
+
+
+
information system hardware and software
+
+
+
information system architecture
+
+
+
information system configuration settings and associated documentation
+
+
+
list of communication clients independently configured by end users and external service
+ providers
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with boundary protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing the blocking of inbound and outbound
+ communications traffic between communication clients independently configured by end
+ users and external service providers
+
+
+
+
+
+
+
SC-7 (20) DYNAMIC ISOLATION / SEGREGATION
+
+
+
+
+
+
Parameter: sc-7_k organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
Control
+
+
+
The information system provides the capability to dynamically isolate/segregate sc-7_k organization-defined information system components [organization-defined information system components] from other components of the system.
+
+
+
+
+
Supplemental guidance
+
+
+
The capability to dynamically isolate or segregate certain internal components of
+ organizational information systems is useful when it is necessary to partition or
+ separate certain components of dubious origin from those components possessing greater
+ trustworthiness. Component isolation reduces the attack surface of organizational
+ information systems. Isolation of selected information system components is also a
+ means of limiting the damage from successful cyber attacks when those attacks occur.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines information system components to be dynamically isolated/segregated
+ from other components of the system; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system provides the capability to dynamically isolate/segregate organization-defined
+ information system components from other components of the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing boundary protection
+
+
+
information system design documentation
+
+
+
information system hardware and software
+
+
+
information system architecture
+
+
+
information system configuration settings and associated documentation
+
+
+
list of information system components to be dynamically isolated/segregated from other
+ components of the system
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with boundary protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing the capability to dynamically
+ isolate/segregate information system components
+
+
+
+
+
+
+
SC-7 (21) ISOLATION OF INFORMATION SYSTEM COMPONENTS
+
+
+
+
+
+
Parameter: sc-7_l organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
+
Parameter: sc-7_m organization-defined missions and/or business functions
+
+
+
Default: organization-defined missions and/or business functions
+
+
+
+
+
+
+
Control
+
+
+
The organization employs boundary protection mechanisms to separate sc-7_l organization-defined information system components [organization-defined information system components] supporting sc-7_m organization-defined missions and/or business functions [organization-defined missions and/or business functions].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations can isolate information system components performing different missions
+ and/or business functions. Such isolation limits unauthorized information flows among
+ system components and also provides the opportunity to deploy greater levels of protection
+ for selected components. Separating system components with boundary protection mechanisms
+ provides the capability for increased protection of individual components and to more
+ effectively control information flows between those components. This type of enhanced
+ protection limits the potential harm from cyber attacks and errors. The degree of
+ separation provided varies depending upon the mechanisms chosen. Boundary protection
+ mechanisms include, for example, routers, gateways, and firewalls separating system
+ components into physically separate networks or subnetworks, cross-domain devices
+ separating subnetworks, virtualization techniques, and encrypting information flows
+ among system components using distinct encryption keys.
+
defines information system components to be separated by boundary protection mechanisms;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines missions and/or business functions to be supported by organization-defined
+ information system components separated by boundary protection mechanisms; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
employs boundary protection mechanisms to separate organization-defined information
+ system components supporting organization-defined missions and/or business functions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing boundary protection
+
+
+
information system design documentation
+
+
+
information system hardware and software
+
+
+
enterprise architecture documentation
+
+
+
information system architecture
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with boundary protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing the capability to separate information
+ system components supporting organizational missions and/or business functions
+
+
+
+
+
+
+
SC-7 (22) SEPARATE SUBNETS FOR CONNECTING TO DIFFERENT SECURITY DOMAINS
+
+
+
+
+
Control
+
+
+
The information system implements separate network addresses (i.e., different subnets)
+ to connect to systems in different security domains.
+
+
+
+
+
Supplemental guidance
+
+
+
Decomposition of information systems into subnets helps to provide the appropriate
+ level of protection for network connections to different security domains containing
+ information with different security categories or classification levels.
+
+
+
+
+
Objective
+
+
+
Determine if the information system implements separate network addresses (i.e., different
+ subnets) to connect to systems in different security domains.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing boundary protection
+
+
+
information system design documentation
+
+
+
information system hardware and software
+
+
+
information system architecture
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with boundary protection responsibilities
+
SC-7 (23) DISABLE SENDER FEEDBACK ON PROTOCOL VALIDATION FAILURE
+
+
+
+
+
Control
+
+
+
The information system disables feedback to senders on protocol format validation
+ failure.
+
+
+
+
+
Supplemental guidance
+
+
+
Disabling feedback to senders when there is a failure in protocol validation format
+ prevents adversaries from obtaining information which would otherwise be unavailable.
+
+
+
+
+
Objective
+
+
+
Determine if the information system disables feedback to senders on protocol format
+ validation failure.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing boundary protection
+
+
+
information system design documentation
+
+
+
information system hardware and software
+
+
+
information system architecture
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with boundary protection responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing the disabling of feedback to senders
+ on protocol format validation failure
+
+
+
+
+
+
+
+
References
+
+
+
+
FIPS Publication 199
+
+
+
+
+
+
NIST Special Publication 800-41
+
+
+
+
+
+
NIST Special Publication 800-77
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW SC-7
+
+
MOD SC-7 (3) (4) (5) (7)
+
+
HIGH SC-7 (3) (4) (5) (7) (8) (18) (21)
+
+
+
+
+
+
+
+
SC-8 TRANSMISSION CONFIDENTIALITY AND INTEGRITY
+
+
+
+
+
+
+
+
Control
+
+
+
The information system protects the [Selection (one or more): confidentiality; integrity]
+ of transmitted information.
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies to both internal and external networks and all types of information
+ system components from which information can be transmitted (e.g., servers, mobile
+ devices, notebook computers, printers, copiers, scanners, facsimile machines). Communication
+ paths outside the physical protection of a controlled boundary are exposed to the
+ possibility of interception and modification. Protecting the confidentiality and/or
+ integrity of organizational information can be accomplished by physical means (e.g.,
+ by employing protected distribution systems) or by logical means (e.g., employing
+ encryption techniques). Organizations relying on commercial providers offering transmission
+ services as commodity services rather than as fully dedicated services (i.e., services
+ which can be highly specialized to individual customer needs), may find it difficult
+ to obtain the necessary assurances regarding the implementation of needed security
+ controls for transmission confidentiality/integrity. In such situations, organizations
+ determine what types of confidentiality/integrity services are available in standard,
+ commercial telecommunication service packages. If it is infeasible or impractical
+ to obtain the necessary security controls and assurances of control effectiveness
+ through appropriate contracting vehicles, organizations implement appropriate compensating
+ security controls or explicitly accept the additional risk.
+
SC-8 (1) CRYPTOGRAPHIC OR ALTERNATE PHYSICAL PROTECTION
+
+
+
+
+
+
Parameter: sc-8_a organization-defined alternative physical safeguards
+
+
+
Default: organization-defined alternative physical safeguards
+
+
+
+
+
+
+
+
Control
+
+
+
The information system implements cryptographic mechanisms to [Selection (one or more):
+ prevent unauthorized disclosure of information; detect changes to information] during
+ transmission unless otherwise protected by sc-8_a organization-defined alternative physical safeguards [organization-defined alternative physical safeguards].
+
+
+
+
+
Supplemental guidance
+
+
+
Encrypting information for transmission protects information from unauthorized disclosure
+ and modification. Cryptographic mechanisms implemented to protect information integrity
+ include, for example, cryptographic hash functions which have common application in
+ digital signatures, checksums, and message authentication codes. Alternative physical
+ security safeguards include, for example, protected distribution systems.
+
the organization defines physical safeguards to be implemented to protect information
+ during transmission when cryptographic mechanisms are not implemented; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system implements cryptographic mechanisms to do one or more of the
+ following during transmission unless otherwise protected by organization-defined alternative
+ physical safeguards:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
prevent unauthorized disclosure of information; and/or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
detect changes to information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing transmission confidentiality and integrity
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
automated mechanisms supporting and/or implementing alternative physical safeguards
+
+
+
organizational processes for defining and implementing alternative physical safeguards
+
+
+
+
+
+
+
SC-8 (2) PRE / POST TRANSMISSION HANDLING
+
+
+
+
+
Control
+
+
+
The information system maintains the [Selection (one or more): confidentiality; integrity]
+ of information during preparation for transmission and during reception.
+
+
+
+
+
Supplemental guidance
+
+
+
Information can be either unintentionally or maliciously disclosed or modified during
+ preparation for transmission or during reception including, for example, during aggregation,
+ at protocol transformation points, and during packing/unpacking. These unauthorized
+ disclosures or modifications compromise the confidentiality or integrity of the information.
+
SC-8 (3) CRYPTOGRAPHIC PROTECTION FOR MESSAGE EXTERNALS
+
+
+
+
+
+
Parameter: sc-8_b organization-defined alternative physical safeguards
+
+
+
Default: organization-defined alternative physical safeguards
+
+
+
+
+
+
Control
+
+
+
The information system implements cryptographic mechanisms to protect message externals
+ unless otherwise protected by sc-8_b organization-defined alternative physical safeguards [organization-defined alternative physical safeguards].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement addresses protection against unauthorized disclosure of information.
+ Message externals include, for example, message headers/routing information. This
+ control enhancement prevents the exploitation of message externals and applies to
+ both internal and external networks or links that may be visible to individuals who
+ are not authorized users. Header/routing information is sometimes transmitted unencrypted
+ because the information is not properly identified by organizations as having significant
+ value or because encrypting the information can result in lower network performance
+ and/or higher costs. Alternative physical safeguards include, for example, protected
+ distribution systems.
+
the organization defines alternative physical safeguards to be implemented to protect
+ message externals; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system implements cryptographic mechanisms to protect message externals
+ unless otherwise protected by organization-defined alternative physical safeguards.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing transmission confidentiality and integrity
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
automated mechanisms supporting and/or implementing alternative physical safeguards
+
+
+
organizational processes for defining and implementing alternative physical safeguards
+
+
+
+
+
+
+
SC-8 (4) CONCEAL / RANDOMIZE COMMUNICATIONS
+
+
+
+
+
+
Parameter: sc-8_c organization-defined alternative physical safeguards
+
+
+
Default: organization-defined alternative physical safeguards
+
+
+
+
+
+
Control
+
+
+
The information system implements cryptographic mechanisms to conceal or randomize
+ communication patterns unless otherwise protected by sc-8_c organization-defined alternative physical safeguards [organization-defined alternative physical safeguards].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement addresses protection against unauthorized disclosure of information.
+ Communication patterns include, for example, frequency, periods, amount, and predictability.
+ Changes to communications patterns can reveal information having intelligence value
+ especially when combined with other available information related to missions/business
+ functions supported by organizational information systems. This control enhancement
+ prevents the derivation of intelligence based on communications patterns and applies
+ to both internal and external networks or links that may be visible to individuals
+ who are not authorized users. Encrypting the links and transmitting in continuous,
+ fixed/random patterns prevents the derivation of intelligence from the system communications
+ patterns. Alternative physical safeguards include, for example, protected distribution
+ systems.
+
the organization defines alternative physical safeguards to be implemented to protect
+ against unauthorized disclosure of communication patterns;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system, unless otherwise protected by organization-defined alternative
+ physical safeguards, implements cryptographic mechanisms to:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
conceal communication patterns; or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
randomize communication patterns.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing transmission confidentiality and integrity
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Cryptographic mechanisms supporting and/or implementing concealment or randomization
+ of communications patterns
+
+
+
automated mechanisms supporting and/or implementing alternative physical safeguards
+
+
+
organizational processes for defining and implementing alternative physical safeguards
+
Parameter: sc-10_a organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
+
+
Control
+
+
+
The information system terminates the network connection associated with a communications
+ session at the end of the session or after sc-10_a organization-defined time period [organization-defined time period] of inactivity.
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies to both internal and external networks. Terminating network connections
+ associated with communications sessions include, for example, de-allocating associated
+ TCP/IP address/port pairs at the operating system level, or de-allocating networking
+ assignments at the application level if multiple application sessions are using a
+ single, operating system-level network connection. Time periods of inactivity may
+ be established by organizations and include, for example, time periods by type of
+ network access or for specific network accesses.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines a time period of inactivity after which the information system
+ terminates a network connection associated with a communications session; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system terminates the network connection associated with a communication
+ session at the end of the session or after the organization-defined time period of
+ inactivity.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing network disconnect
+
+
+
information system design documentation
+
+
+
security plan
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
Parameter: sc-11_a organization-defined security functions to include at a minimum, information system
+ authentication and re-authentication
+
+
+
Default: organization-defined security functions to include at a minimum, information system
+ authentication and re-authentication
+
+
+
+
+
+
+
Control
+
+
+
The information system establishes a trusted communications path between the user
+ and the following security functions of the system: sc-11_a organization-defined security functions to include at a minimum, information system
+ authentication and re-authentication [organization-defined security functions to include at a minimum, information system
+ authentication and re-authentication].
+
+
+
+
+
Supplemental guidance
+
+
+
Trusted paths are mechanisms by which users (through input devices) can communicate
+ directly with security functions of information systems with the requisite assurance
+ to support information security policies. The mechanisms can be activated only by
+ users or the security functions of organizational information systems. User responses
+ via trusted paths are protected from modifications by or disclosure to untrusted applications.
+ Organizations employ trusted paths for high-assurance connections between security
+ functions of information systems and users (e.g., during system logons). Enforcement
+ of trusted communications paths is typically provided via an implementation that meets
+ the reference monitor concept.
+
SC-12 CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT
+
+
+
+
+
+
Parameter: sc-12_a organization-defined requirements for key generation, distribution, storage, access,
+ and destruction
+
+
+
Default: organization-defined requirements for key generation, distribution, storage, access,
+ and destruction
+
+
+
+
+
+
+
+
+
+
Control
+
+
+
The organization establishes and manages cryptographic keys for required cryptography
+ employed within the information system in accordance with sc-12_a organization-defined requirements for key generation, distribution, storage, access,
+ and destruction [organization-defined requirements for key generation, distribution, storage, access,
+ and destruction].
+
+
+
+
+
Supplemental guidance
+
+
+
Cryptographic key management and establishment can be performed using manual procedures
+ or automated mechanisms with supporting manual procedures. Organizations define key
+ management requirements in accordance with applicable federal laws, Executive Orders,
+ directives, regulations, policies, standards, and guidance, specifying appropriate
+ options, levels, and parameters. Organizations manage trust stores to ensure that
+ only approved trust anchors are in such trust stores. This includes certificates with
+ visibility external to organizational information systems and certificates related
+ to the internal operations of systems.
+
establishes and manages cryptographic keys for required cryptography employed within
+ the information system in accordance with organization-defined requirements for key
+ generation, distribution, storage, access, and destruction.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing cryptographic key establishment and management
+
+
+
information system design documentation
+
+
+
cryptographic mechanisms
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibilities for cryptographic key establishment
+ and/or management
+
The organization produces, controls, and distributes asymmetric cryptographic keys
+ using [Selection: NSA-approved key management technology and processes; approved PKI
+ Class 3 certificates or prepositioned keying material; approved PKI Class 3 or Class
+ 4 certificates and hardware security tokens that protect the user�s private key].
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization produces, controls, and distributes asymmetric cryptographic
+ keys using one of the following:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
NSA-approved key management technology and processes;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
approved PKI Class 3 certificates or prepositioned keying material; or
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect
+ the user’s private key.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing cryptographic key establishment and management
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
list of NSA-approved cryptographic products
+
+
+
list of approved PKI Class 3 and Class 4 certificates
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with responsibilities for cryptographic key establishment
+ or management
+
+
+
organizational personnel with responsibilities for PKI certificates
+
Parameter: sc-13_a organization-defined cryptographic uses and type of cryptography required for each
+ use
+
+
+
Default: organization-defined cryptographic uses and type of cryptography required for each
+ use
+
+
+
+
+
+
+
+
+
+
Control
+
+
+
The information system implements sc-13_a organization-defined cryptographic uses and type of cryptography required for each
+ use [organization-defined cryptographic uses and type of cryptography required for each
+ use] in accordance with applicable federal laws, Executive Orders, directives, policies,
+ regulations, and standards.
+
+
+
+
+
Supplemental guidance
+
+
+
Cryptography can be employed to support a variety of security solutions including,
+ for example, the protection of classified and Controlled Unclassified Information,
+ the provision of digital signatures, and the enforcement of information separation
+ when authorized individuals have the necessary clearances for such information but
+ lack the necessary formal access approvals. Cryptography can also be used to support
+ random number generation and hash generation. Generally applicable cryptographic standards
+ include FIPS-validated cryptography and NSA-approved cryptography. This control does
+ not impose any requirements on organizations to use cryptography. However, if cryptography
+ is required based on the selection of other security controls, organizations define
+ each type of cryptographic use and the type of cryptography required (e.g., protection
+ of classified information: NSA-approved cryptography; provision of digital signatures:
+ FIPS-validated cryptography).
+
the organization defines the type of cryptography required for each use; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system implements the organization-defined cryptographic uses and
+ type of cryptography required for each use in accordance with applicable federal laws,
+ Executive Orders, directives, policies, regulations, and standards.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing cryptographic protection
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
cryptographic module validation certificates
+
+
+
list of FIPS validated cryptographic modules
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with responsibilities for cryptographic protection
+
Parameter: sc-15_a organization-defined exceptions where remote activation is to be allowed
+
+
+
Default: organization-defined exceptions where remote activation is to be allowed
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The information system:
+
+
+
+
+
+
a.
+
+
+
+
+
Prohibits remote activation of collaborative computing devices with the following
+ exceptions: sc-15_a organization-defined exceptions where remote activation is to be allowed [organization-defined exceptions where remote activation is to be allowed]; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Provides an explicit indication of use to users physically present at the devices.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Collaborative computing devices include, for example, networked white boards, cameras,
+ and microphones. Explicit indication of use includes, for example, signals to users
+ when collaborative computing devices are activated.
+
the organization defines exceptions where remote activation of collaborative computing
+ devices is to be allowed;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system prohibits remote activation of collaborative computing devices,
+ except for organization-defined exceptions where remote activation is to be allowed;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
the information system provides an explicit indication of use to users physically
+ present at the devices.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing collaborative computing
+
+
+
access control policy and procedures
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with responsibilities for managing collaborative computing
+ devices
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing management of remote activation
+ of collaborative computing devices
+
+
+
automated mechanisms providing an indication of use of collaborative computing devices
+
+
+
+
+
+
Control enhancements
+
+
SC-15 (1) PHYSICAL DISCONNECT
+
+
+
+
+
Control
+
+
+
The information system provides physical disconnect of collaborative computing devices
+ in a manner that supports ease of use.
+
+
+
+
+
Supplemental guidance
+
+
+
Failing to physically disconnect from collaborative computing devices can result in
+ subsequent compromises of organizational information. Providing easy methods to physically
+ disconnect from such devices after a collaborative computing session helps to ensure
+ that participants actually carry out the disconnect activity without having to go
+ through complex and tedious procedures.
+
+
+
+
+
Objective
+
+
+
Determine if the information system provides physical disconnect of collaborative
+ computing devices in a manner that supports ease of use.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing collaborative computing
+
+
+
access control policy and procedures
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with responsibilities for managing collaborative computing
+ devices
+
SC-15 (3) DISABLING / REMOVAL IN SECURE WORK AREAS
+
+
+
+
+
+
Parameter: sc-15_b organization-defined information systems or information system components
+
+
+
Default: organization-defined information systems or information system components
+
+
+
+
+
+
+
Parameter: sc-15_c organization-defined secure work areas
+
+
+
Default: organization-defined secure work areas
+
+
+
+
+
+
Control
+
+
+
The organization disables or removes collaborative computing devices from sc-15_b organization-defined information systems or information system components [organization-defined information systems or information system components] in sc-15_c organization-defined secure work areas [organization-defined secure work areas].
+
+
+
+
+
Supplemental guidance
+
+
+
Failing to disable or remove collaborative computing devices from information systems
+ or information system components can result in subsequent compromises of organizational
+ information including, for example, eavesdropping on conversations.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines information systems or information system components from which collaborative
+ computing devices are to be disabled or removed;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines secure work areas where collaborative computing devices are to be disabled
+ or removed from information systems or information system components placed in such
+ work areas; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disables or removes collaborative computing devices from organization-defined information
+ systems or information system components in organization-defined secure work areas.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing collaborative computing
+
+
+
access control policy and procedures
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
list of secure work areas
+
+
+
information systems or information system components in secured work areas where collaborative
+ computing devices are to be disabled or removed
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibilities for managing collaborative computing
+ devices
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing the capability to disable collaborative
+ computing devices
+
+
+
+
+
+
+
SC-15 (4) EXPLICITLY INDICATE CURRENT PARTICIPANTS
+
+
+
+
+
+
Parameter: sc-15_d organization-defined online meetings and teleconferences
+
+
+
Default: organization-defined online meetings and teleconferences
+
+
+
+
+
+
Control
+
+
+
The information system provides an explicit indication of current participants in
+ sc-15_d organization-defined online meetings and teleconferences [organization-defined online meetings and teleconferences].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement helps to prevent unauthorized individuals from participating
+ in collaborative computing sessions without the explicit knowledge of other participants.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines online meetings and teleconferences for which an explicit
+ indication of current participants is to be provided; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system provides an explicit indication of current participants in
+ organization-defined meetings and teleconferences.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing collaborative computing
+
+
+
access control policy and procedures
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
list of types of meetings and teleconferences requiring explicit indication of current
+ participants
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibilities for managing collaborative computing
+ devices
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing the capability to indicate participants
+ on collaborative computing devices
+
The information system associates sc-16_a organization-defined security attributes [organization-defined security attributes] with information exchanged between information systems and between system components.
+
+
+
+
+
Supplemental guidance
+
+
+
Security attributes can be explicitly or implicitly associated with the information
+ contained in organizational information systems or system components.
+
The organization issues public key certificates under an sc-17_a organization-defined certificate policy [organization-defined certificate policy] or obtains public key certificates from an approved service provider.
+
+
+
+
+
Supplemental guidance
+
+
+
For all certificates, organizations manage information system trust stores to ensure
+ only approved trust anchors are in the trust stores. This control addresses both certificates
+ with visibility external to organizational information systems and certificates related
+ to the internal operations of systems, for example, application-specific time services.
+
defines a certificate policy for issuing public key certificates;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
issues public key certificates:
+
+
+
+
+
+
[a]
+
+
+
+
+
under an organization-defined certificate policy: or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
obtains public key certificates from an approved service provider.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing public key infrastructure certificates
+
+
+
public key certificate policy or policies
+
+
+
public key issuing process
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibilities for issuing public key certificates
+
+
+
service providers
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing the management of public key infrastructure
+ certificates
+
+
+
+
+
+
+
References
+
+
+
+
OMB Memorandum 05-24
+
+
+
+
+
+
NIST Special Publication 800-32
+
+
+
+
+
+
NIST Special Publication 800-63
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD SC-17
+
+
HIGH SC-17
+
+
+
+
+
+
+
+
SC-18 MOBILE CODE
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Defines acceptable and unacceptable mobile code and mobile code technologies;
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Establishes usage restrictions and implementation guidance for acceptable mobile code
+ and mobile code technologies; and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Authorizes, monitors, and controls the use of mobile code within the information system.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Decisions regarding the employment of mobile code within organizational information
+ systems are based on the potential for the code to cause damage to the systems if
+ used maliciously. Mobile code technologies include, for example, Java, JavaScript,
+ ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage
+ restrictions and implementation guidance apply to both the selection and use of mobile
+ code installed on servers and mobile code downloaded and executed on individual workstations
+ and devices (e.g., smart phones). Mobile code policy and procedures address preventing
+ the development, acquisition, or introduction of unacceptable mobile code within organizational
+ information systems.
+
The information system identifies sc-18_a organization-defined unacceptable mobile code [organization-defined unacceptable mobile code] and takes sc-18_b organization-defined corrective actions [organization-defined corrective actions].
+
+
+
+
+
Supplemental guidance
+
+
+
Corrective actions when unacceptable mobile code is detected include, for example,
+ blocking, quarantine, or alerting administrators. Blocking includes, for example,
+ preventing transmission of word processing files with embedded macros when such macros
+ have been defined to be unacceptable mobile code.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines unacceptable mobile code to be identified by the information
+ system;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines correctives actions to be taken when the information system
+ identifies organization-defined unacceptable mobile code;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system:
+
+
+
+
+
+
[a]
+
+
+
+
+
identifies organization-defined unacceptable mobile code; and
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
takes organization-defined corrective actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing mobile code
+
+
+
mobile code usage restrictions, mobile code implementation policy and procedures
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of unacceptable mobile code
+
+
+
list of corrective actions to be taken when unacceptable mobile code is identified
+
+
+
information system monitoring records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with responsibilities for managing mobile code
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing mobile code detection, inspection,
+ and corrective capability
+
+
+
+
+
+
+
SC-18 (2) ACQUISITION / DEVELOPMENT / USE
+
+
+
+
+
+
Parameter: sc-18_c organization-defined mobile code requirements
+
+
+
Default: organization-defined mobile code requirements
+
+
+
+
+
+
Control
+
+
+
The organization ensures that the acquisition, development, and use of mobile code
+ to be deployed in the information system meets sc-18_c organization-defined mobile code requirements [organization-defined mobile code requirements].
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines requirements for:
+
+
+
+
+
+
[a]
+
+
+
+
+
the acquisition of mobile code;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
the development of mobile code;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
the use of mobile code; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
ensures that the acquisition, development, and use of mobile code to be deployed in
+ the information system meets organization-defined mobile code requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing mobile code
+
+
+
mobile code requirements
+
+
+
mobile code usage restrictions, mobile code implementation policy and procedures
+
+
+
acquisition documentation
+
+
+
acquisition contracts for information system, system component, or information system
+ service
+
+
+
system development life cycle documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibilities for managing mobile code
+
+
+
organizational personnel with acquisition and contracting responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for the acquisition, development, and use of mobile code
+
+
+
+
+
+
+
SC-18 (3) PREVENT DOWNLOADING / EXECUTION
+
+
+
+
+
+
Parameter: sc-18_d organization-defined unacceptable mobile code
+
+
+
Default: organization-defined unacceptable mobile code
+
+
+
+
+
+
Control
+
+
+
The information system prevents the download and execution of sc-18_d organization-defined unacceptable mobile code [organization-defined unacceptable mobile code].
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines unacceptable mobile code to be prevented from downloading
+ and execution;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system prevents the:
+
+
+
+
+
+
[a]
+
+
+
+
+
download of organization-defined unacceptable mobile code; and
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
execution of organization-defined unacceptable mobile code.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing mobile code
+
+
+
mobile code usage restrictions, mobile code implementation policy and procedures
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with responsibilities for managing mobile code
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms preventing download and execution of unacceptable mobile code
+
The information system prevents the automatic execution of mobile code in sc-18_e organization-defined software applications [organization-defined software applications] and enforces sc-18_f organization-defined actions [organization-defined actions] prior to executing the code.
+
+
+
+
+
Supplemental guidance
+
+
+
Actions enforced before executing mobile code, include, for example, prompting users
+ prior to opening electronic mail attachments. Preventing automatic execution of mobile
+ code includes, for example, disabling auto execute features on information system
+ components employing portable storage devices such as Compact Disks (CDs), Digital
+ Video Disks (DVDs), and Universal Serial Bus (USB) devices.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines software applications in which the automatic execution of
+ mobile code is to be prohibited;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines actions to be enforced by the information system prior to
+ executing mobile code;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system prevents the automatic execution of mobile code in the organization-defined
+ software applications; and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
the information system enforces organization-defined actions prior to executing the
+ code.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing mobile code
+
+
+
mobile code usage restrictions
+
+
+
mobile code implementation policy and procedures
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of software applications for which automatic execution of mobile code must be
+ prohibited
+
+
+
list of actions required before execution of mobile code
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with responsibilities for managing mobile code
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms preventing automatic execution of unacceptable mobile code
+
+
+
automated mechanisms enforcing actions to be taken prior to the execution of the mobile
+ code
+
+
+
+
+
+
+
SC-18 (5) ALLOW EXECUTION ONLY IN CONFINED ENVIRONMENTS
+
+
+
+
+
Control
+
+
+
The organization allows execution of permitted mobile code only in confined virtual
+ machine environments.
+
+
+
+
+
Objective
+
+
+
Determine if the organization allows execution of permitted mobile code only in confined
+ virtual machine environments.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing mobile code
+
+
+
mobile code usage allowances
+
+
+
mobile code usage restrictions
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of confined virtual machine environments for which execution of organizationally-acceptable
+ mobile code is allowed
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel with responsibilities for managing mobile code
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms allowing execution of permitted mobile code in confined virtual
+ machine environments
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-28
+
+
+
+
+
+
DoD Instruction 8552.01
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW Not selected
+
+
MOD SC-18
+
+
HIGH SC-18
+
+
+
+
+
+
+
+
SC-19 VOICE OVER INTERNET PROTOCOL
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Establishes usage restrictions and implementation guidance for Voice over Internet
+ Protocol (VoIP) technologies based on the potential to cause damage to the information
+ system if used maliciously; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Authorizes, monitors, and controls the use of VoIP within the information system.
establishes usage restrictions for Voice over Internet Protocol (VoIP) technologies
+ based on the potential to cause damage to the information system if used maliciously;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
establishes implementation guidance for Voice over Internet Protocol (VoIP) technologies
+ based on the potential to cause damage to the information system if used maliciously;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
authorizes the use of VoIP within the information system;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
monitors the use of VoIP within the information system; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
controls the use of VoIP within the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing VoIP
+
+
+
VoIP usage restrictions
+
+
+
VoIP implementation guidance
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system monitoring records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibilities for managing VoIP
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational process for authorizing, monitoring, and controlling VoIP
+
+
+
automated mechanisms supporting and/or implementing authorizing, monitoring, and controlling
+ VoIP
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-58
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD SC-19
+
+
HIGH SC-19
+
+
+
+
+
+
+
+
SC-20 SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The information system:
+
+
+
+
+
+
a.
+
+
+
+
+
Provides additional data origin authentication and integrity verification artifacts
+ along with the authoritative name resolution data the system returns in response to
+ external name/address resolution queries; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Provides the means to indicate the security status of child zones and (if the child
+ supports secure resolution services) to enable verification of a chain of trust among
+ parent and child domains, when operating as part of a distributed, hierarchical namespace.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control enables external clients including, for example, remote Internet clients,
+ to obtain origin authentication and integrity verification assurances for the host/service
+ name to network address resolution information obtained through the service. Information
+ systems that provide name and address resolution services include, for example, domain
+ name system (DNS) servers. Additional artifacts include, for example, DNS Security
+ (DNSSEC) digital signatures and cryptographic keys. DNS resource records are examples
+ of authoritative data. The means to indicate the security status of child zones includes,
+ for example, the use of delegation signer resource records in the DNS. The DNS security
+ controls reflect (and are referenced from) OMB Memorandum 08-23. Information systems
+ that use technologies other than the DNS to map between host/service names and network
+ addresses provide other means to assure the authenticity and integrity of response
+ data.
+
provides additional data origin and integrity verification artifacts along with the
+ authoritative name resolution data the system returns in response to external name/address
+ resolution queries;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
provides the means to, when operating as part of a distributed, hierarchical namespace:
+
+
+
+
+
+
[1]
+
+
+
+
+
indicate the security status of child zones; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
enable verification of a chain of trust among parent and child domains (if the child
+ supports secure resolution services).
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing secure name/address resolution service (authoritative source)
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibilities for managing DNS
+
The information system provides data origin and integrity protection artifacts for
+ internal name/address resolution queries.
+
+
+
+
+
Objective
+
+
+
Determine if the information system provides data origin and integrity protection
+ artifacts for internal name/address resolution queries.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing secure name/address resolution service (authoritative source)
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibilities for managing DNS
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing data origin and integrity protection
+ for internal name/address resolution service queries
+
+
+
+
+
+
+
+
References
+
+
+
+
OMB Memorandum 08-23
+
+
+
+
+
+
NIST Special Publication 800-81
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW SC-20
+
+
MOD SC-20
+
+
HIGH SC-20
+
+
+
+
+
+
+
+
SC-21 SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)
+
+
+
+
+
+
+
+
+
Control
+
+
+
The information system requests and performs data origin authentication and data integrity
+ verification on the name/address resolution responses the system receives from authoritative
+ sources.
+
+
+
+
+
Supplemental guidance
+
+
+
Each client of name resolution services either performs this validation on its own,
+ or has authenticated channels to trusted validation providers. Information systems
+ that provide name and address resolution services for local clients include, for example,
+ recursive resolving or caching domain name system (DNS) servers. DNS client resolvers
+ either perform validation of DNSSEC signatures, or clients use authenticated channels
+ to recursive resolvers that perform such validations. Information systems that use
+ technologies other than the DNS to map between host/service names and network addresses
+ provide other means to enable clients to verify the authenticity and integrity of
+ response data.
+
requests data origin authentication on the name/address resolution responses the system
+ receives from authoritative sources;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requests data integrity verification on the name/address resolution responses the
+ system receives from authoritative sources;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
performs data origin authentication on the name/address resolution responses the system
+ receives from authoritative sources; and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
performs data integrity verification on the name/address resolution responses the
+ system receives from authoritative sources.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing secure name/address resolution service (recursive or caching
+ resolver)
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibilities for managing DNS
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing data origin authentication and
+ data integrity verification for name/address resolution services
+
SC-22 ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE
+
+
+
+
+
+
+
+
+
Control
+
+
+
The information systems that collectively provide name/address resolution service
+ for an organization are fault-tolerant and implement internal/external role separation.
+
+
+
+
+
Supplemental guidance
+
+
+
Information systems that provide name and address resolution services include, for
+ example, domain name system (DNS) servers. To eliminate single points of failure and
+ to enhance redundancy, organizations employ at least two authoritative domain name
+ system servers, one configured as the primary server and the other configured as the
+ secondary server. Additionally, organizations typically deploy the servers in two
+ geographically separated network subnetworks (i.e., not located in the same physical
+ facility). For role separation, DNS servers with internal roles only process name
+ and address resolution requests from within organizations (i.e., from internal clients).
+ DNS servers with external roles only process name and address resolution information
+ requests from clients external to organizations (i.e., on external networks including
+ the Internet). Organizations specify clients that can access authoritative DNS servers
+ in particular roles (e.g., by address ranges, explicit lists).
+
Determine if the information systems that collectively provide name/address resolution
+ service for an organization:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
are fault tolerant; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
implement internal/external role separation.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing architecture and provisioning for name/address resolution service
+
+
+
access control policy and procedures
+
+
+
information system design documentation
+
+
+
assessment results from independent, testing organizations
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibilities for managing DNS
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing name/address resolution service
+ for fault tolerance and role separation
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-81
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW SC-22
+
+
MOD SC-22
+
+
HIGH SC-22
+
+
+
+
+
+
+
+
SC-23 SESSION AUTHENTICITY
+
+
+
+
+
+
+
+
Control
+
+
+
The information system protects the authenticity of communications sessions.
+
+
+
+
Supplemental guidance
+
+
+
This control addresses communications protection at the session, versus packet level
+ (e.g., sessions in service-oriented architectures providing web-based services) and
+ establishes grounds for confidence at both ends of communications sessions in ongoing
+ identities of other parties and in the validity of information transmitted. Authenticity
+ protection includes, for example, protecting against man-in-the-middle attacks/session
+ hijacking and the insertion of false information into sessions.
+
The information system generates a unique session identifier for each session with
+ sc-23_a organization-defined randomness requirements [organization-defined randomness requirements] and recognizes only session identifiers that are system-generated.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement curtails the ability of adversaries from reusing previously
+ valid session IDs. Employing the concept of randomness in the generation of unique
+ session identifiers helps to protect against brute-force attacks to determine future
+ session identifiers.
+
The information system only allows the use of sc-23_b organization-defined certificate authorities [organization-defined certificate authorities] for verification of the establishment of protected sessions.
+
+
+
+
+
Supplemental guidance
+
+
+
Reliance on certificate authorities (CAs) for the establishment of secure sessions
+ includes, for example, the use of Secure Socket Layer (SSL) and/or Transport Layer
+ Security (TLS) certificates. These certificates, after verification by the respective
+ certificate authorities, facilitate the establishment of protected sessions between
+ web clients and web servers.
+
the organization defines certificate authorities to be allowed for verification of
+ the establishment of protected sessions; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system only allows the use of organization-defined certificate authorities
+ for verification of the establishment of protected sessions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing session authenticity
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of certificate authorities allowed for verification of the establishment of protected
+ sessions
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing management of certificate authorities
+
Parameter: sc-24_b organization-defined types of failures
+
+
+
Default: organization-defined types of failures
+
+
+
+
+
+
+
Parameter: sc-24_c organization-defined system state information
+
+
+
Default: organization-defined system state information
+
+
+
+
+
+
+
+
Control
+
+
+
The information system fails to a sc-24_a organization-defined known-state [organization-defined known-state] for sc-24_b organization-defined types of failures [organization-defined types of failures] preserving sc-24_c organization-defined system state information [organization-defined system state information] in failure.
+
+
+
+
+
Supplemental guidance
+
+
+
Failure in a known state addresses security concerns in accordance with the mission/business
+ needs of organizations. Failure in a known secure state helps to prevent the loss
+ of confidentiality, integrity, or availability of information in the event of failures
+ of organizational information systems or system components. Failure in a known safe
+ state helps to prevent systems from failing to a state that may cause injury to individuals
+ or destruction to property. Preserving information system state information facilitates
+ system restart and return to the operational mode of organizations with less disruption
+ of mission/business processes.
+
the organization defines a known-state to which the information system is to fail
+ in the event of a system failure;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines types of failures for which the information system is to
+ fail to an organization-defined known-state;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the organization defines system state information to be preserved in the event of
+ a system failure;
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
the information system fails to the organization-defined known-state for organization-defined
+ types of failures; and
+
+
+
+
+
+
+
+
+
+
+
+
[5]
+
+
+
+
+
the information system preserves the organization-defined system state information
+ in the event of a system failure.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing information system failure to known state
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of failures requiring information system to fail in a known state
+
+
+
state information to be preserved in system failure
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing fail-in-known state capability
+
+
+
automated mechanisms preserving system state information in the event of a system
+ failure
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH SC-24
+
+
+
+
+
+
+
+
SC-25 THIN NODES
+
+
+
+
+
+
Parameter: sc-25_a organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
+
Control
+
+
+
The organization employs sc-25_a organization-defined information system components [organization-defined information system components] with minimal functionality and information storage.
+
+
+
+
+
Supplemental guidance
+
+
+
The deployment of information system components with reduced/minimal functionality
+ (e.g., diskless nodes and thin client technologies) reduces the need to secure every
+ user endpoint, and may reduce the exposure of information, information systems, and
+ services to cyber attacks.
+
The information system includes components specifically designed to be the target
+ of malicious attacks for the purpose of detecting, deflecting, and analyzing such
+ attacks.
+
+
+
+
+
Supplemental guidance
+
+
+
A honeypot is set up as a decoy to attract adversaries and to deflect their attacks
+ away from the operational systems supporting organizational missions/business function.
+ Depending upon the specific usage of the honeypot, consultation with the Office of
+ the General Counsel before deployment may be needed.
+
Determine if the information system includes components specifically designed to be
+ the target of malicious attacks for the purpose of detecting, deflecting, and analyzing
+ such attacks.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing use of honeypots
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
The information system includes: sc-27_a organization-defined platform-independent applications [organization-defined platform-independent applications].
+
+
+
+
+
Supplemental guidance
+
+
+
Platforms are combinations of hardware and software used to run software applications.
+ Platforms include: (i) operating systems; (ii) the underlying computer architectures,
+ or (iii) both. Platform-independent applications are applications that run on multiple
+ platforms. Such applications promote portability and reconstitution on different platforms,
+ increasing the availability of critical functions within organizations while information
+ systems with specific operating systems are under attack.
+
Parameter: sc-28_a organization-defined information at rest
+
+
+
Default: organization-defined information at rest
+
+
+
+
+
+
+
+
+
Control
+
+
+
The information system protects the [Selection (one or more): confidentiality; integrity]
+ of sc-28_a organization-defined information at rest [organization-defined information at rest].
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the confidentiality and integrity of information at rest and
+ covers user information and system information. Information at rest refers to the
+ state of information when it is located on storage devices as specific components
+ of information systems. System-related information requiring protection includes,
+ for example, configurations or rule sets for firewalls, gateways, intrusion detection/prevention
+ systems, filtering routers, and authenticator content. Organizations may employ different
+ mechanisms to achieve confidentiality and integrity protections, including the use
+ of cryptographic mechanisms and file share scanning. Integrity protection can be achieved,
+ for example, by implementing Write-Once-Read-Many (WORM) technologies. Organizations
+ may also employ other security controls including, for example, secure off-line storage
+ in lieu of online storage when adequate protection of information at rest cannot otherwise
+ be achieved and/or continuous monitoring to identify malicious code at rest.
+
the organization defines information at rest requiring one or more of the following:
+
+
+
+
+
+
[a]
+
+
+
+
+
confidentiality protection; and/or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
integrity protection;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system protects:
+
+
+
+
+
+
[a]
+
+
+
+
+
the confidentiality of organization-defined information at rest; and/or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
the integrity of organization-defined information at rest.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing protection of information at rest
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
cryptographic mechanisms and associated configuration documentation
+
+
+
list of information at rest requiring confidentiality and integrity protections
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing confidentiality and integrity
+ protections for information at rest
+
+
+
+
+
+
+
Control enhancements
+
+
SC-28 (1) CRYPTOGRAPHIC PROTECTION
+
+
+
+
+
+
Parameter: sc-28_b organization-defined information
+
+
+
Default: organization-defined information
+
+
+
+
+
+
+
Parameter: sc-28_c organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
Control
+
+
+
The information system implements cryptographic mechanisms to prevent unauthorized
+ disclosure and modification of sc-28_b organization-defined information [organization-defined information] on sc-28_c organization-defined information system components [organization-defined information system components].
+
+
+
+
+
Supplemental guidance
+
+
+
Selection of cryptographic mechanisms is based on the need to protect the confidentiality
+ and integrity of organizational information. The strength of mechanism is commensurate
+ with the security category and/or classification of the information. This control
+ enhancement applies to significant concentrations of digital media in organizational
+ areas designated for media storage and also to limited quantities of media generally
+ associated with information system components in operational environments (e.g., portable
+ storage devices, mobile devices). Organizations have the flexibility to either encrypt
+ all information on storage devices (i.e., full disk encryption) or encrypt specific
+ data structures (e.g., files, records, or fields). Organizations employing cryptographic
+ mechanisms to protect information at rest also consider cryptographic key management
+ solutions.
+
the organization defines information requiring cryptographic protection;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines information system components with organization-defined information
+ requiring cryptographic protection; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system employs cryptographic mechanisms to prevent unauthorized disclosure
+ and modification of organization-defined information on organization-defined information
+ system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing protection of information at rest
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
cryptographic mechanisms and associated configuration documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Cryptographic mechanisms implementing confidentiality and integrity protections for
+ information at rest
+
+
+
+
+
+
+
SC-28 (2) OFF-LINE STORAGE
+
+
+
+
+
+
Parameter: sc-28_d organization-defined information
+
+
+
Default: organization-defined information
+
+
+
+
+
+
Control
+
+
+
The organization removes from online storage and stores off-line in a secure location
+ sc-28_d organization-defined information [organization-defined information].
+
+
+
+
+
Supplemental guidance
+
+
+
Removing organizational information from online information system storage to off-line
+ storage eliminates the possibility of individuals gaining unauthorized access to the
+ information through a network. Therefore, organizations may choose to move information
+ to off-line storage in lieu of protecting such information in online storage.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines information to be removed from online storage and stored off-line in a secure
+ location; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
removes organization-defined information from online storage; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
stores such information off-line in a secure location.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing protection of information at rest
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
cryptographic mechanisms and associated configuration documentation
+
+
+
off-line storage locations for information at rest
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing removal of information from online
+ storage
+
+
+
automated mechanisms supporting and/or implementing storage of information off-line
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-56
+
+
+
+
+
+
NIST Special Publication 800-57
+
+
+
+
+
+
NIST Special Publication 800-111
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD SC-28
+
+
HIGH SC-28
+
+
+
+
+
+
+
+
SC-29 HETEROGENEITY
+
+
+
+
+
+
Parameter: sc-29_a organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
+
Control
+
+
+
The organization employs a diverse set of information technologies for sc-29_a organization-defined information system components [organization-defined information system components] in the implementation of the information system.
+
+
+
+
+
Supplemental guidance
+
+
+
Increasing the diversity of information technologies within organizational information
+ systems reduces the impact of potential exploitations of specific technologies and
+ also defends against common mode failures, including those failures induced by supply
+ chain attacks. Diversity in information technologies also reduces the likelihood that
+ the means adversaries use to compromise one information system component will be equally
+ effective against other system components, thus further increasing the adversary work
+ factor to successfully complete planned cyber attacks. An increase in diversity may
+ add complexity and management overhead which could ultimately lead to mistakes and
+ unauthorized configurations.
+
defines information system components requiring a diverse set of information technologies
+ to be employed in the implementation of the information system; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs a diverse set of information technologies for organization-defined information
+ system components in the implementation of the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of technologies deployed in the information system
+
+
+
acquisition documentation
+
+
+
acquisition contracts for information system components or services
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with information system acquisition, development, and implementation
+ responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing employment of a diverse set of
+ information technologies
+
+
+
+
+
+
Control enhancements
+
+
SC-29 (1) VIRTUALIZATION TECHNIQUES
+
+
+
+
+
+
Parameter: sc-29_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
Control
+
+
+
The organization employs virtualization techniques to support the deployment of a
+ diversity of operating systems and applications that are changed sc-29_b organization-defined frequency [organization-defined frequency].
+
+
+
+
+
Supplemental guidance
+
+
+
While frequent changes to operating systems and applications pose configuration management
+ challenges, the changes can result in an increased work factor for adversaries in
+ order to carry out successful cyber attacks. Changing virtual operating systems or
+ applications, as opposed to changing actual operating systems/applications, provide
+ virtual changes that impede attacker success while reducing configuration management
+ efforts. In addition, virtualization techniques can assist organizations in isolating
+ untrustworthy software and/or software of dubious provenance into confined execution
+ environments.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines a frequency to change the diversity of operating systems and applications
+ deployed using virtualization techniques; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs virtualization techniques to support the deployment of a diversity of operating
+ systems and applications that are changed with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
configuration management policy and procedures
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
list of operating systems and applications deployed using virtualization techniques
+
+
+
change control records
+
+
+
configuration management records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibilities for implementing approved virtualization
+ techniques to the information system
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing employment of a diverse set of
+ information technologies
+
Parameter: sc-30_a organization-defined concealment and misdirection techniques
+
+
+
Default: organization-defined concealment and misdirection techniques
+
+
+
+
+
+
+
Parameter: sc-30_b organization-defined information systems
+
+
+
Default: organization-defined information systems
+
+
+
+
+
+
+
Parameter: sc-30_c organization-defined time periods
+
+
+
Default: organization-defined time periods
+
+
+
+
+
+
+
Control
+
+
+
The organization employs sc-30_a organization-defined concealment and misdirection techniques [organization-defined concealment and misdirection techniques] for sc-30_b organization-defined information systems [organization-defined information systems] at sc-30_c organization-defined time periods [organization-defined time periods] to confuse and mislead adversaries.
+
+
+
+
+
Supplemental guidance
+
+
+
Concealment and misdirection techniques can significantly reduce the targeting capability
+ of adversaries (i.e., window of opportunity and available attack surface) to initiate
+ and complete cyber attacks. For example, virtualization techniques provide organizations
+ with the ability to disguise information systems, potentially reducing the likelihood
+ of successful attacks without the cost of having multiple platforms. Increased use
+ of concealment/misdirection techniques including, for example, randomness, uncertainty,
+ and virtualization, may sufficiently confuse and mislead adversaries and subsequently
+ increase the risk of discovery and/or exposing tradecraft. Concealment/misdirection
+ techniques may also provide organizations additional time to successfully perform
+ core missions and business functions. Because of the time and effort required to support
+ concealment/misdirection techniques, it is anticipated that such techniques would
+ be used by organizations on a very limited basis.
+
defines concealment and misdirection techniques to be employed to confuse and mislead
+ adversaries potentially targeting organizational information systems;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines information systems for which organization-defined concealment and misdirection
+ techniques are to be employed;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines time periods to employ organization-defined concealment and misdirection techniques
+ for organization-defined information systems; and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
employs organization-defined concealment and misdirection techniques for organization-defined
+ information systems at organization-defined time periods to confuse and mislead adversaries.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing concealment and misdirection techniques for the information
+ system
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
list of concealment and misdirection techniques to be employed for organizational
+ information systems
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility for implementing concealment and misdirection
+ techniques for information systems
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing concealment and misdirection techniques
+
The organization employs sc-30_d organization-defined techniques [organization-defined techniques] to introduce randomness into organizational operations and assets.
+
+
+
+
+
Supplemental guidance
+
+
+
Randomness introduces increased levels of uncertainty for adversaries regarding the
+ actions organizations take in defending against cyber attacks. Such actions may impede
+ the ability of adversaries to correctly target information resources of organizations
+ supporting critical missions/business functions. Uncertainty may also cause adversaries
+ to hesitate before initiating or continuing attacks. Misdirection techniques involving
+ randomness include, for example, performing certain routine actions at different times
+ of day, employing different information technologies (e.g., browsers, search engines),
+ using different suppliers, and rotating roles and responsibilities of organizational
+ personnel.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines techniques to be employed to introduce randomness into organizational operations
+ and assets; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs organization-defined techniques to introduce randomness into organizational
+ operations and assets.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing concealment and misdirection techniques for the information
+ system
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
list of techniques to be employed to introduce randomness into organizational operations
+ and assets
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility for implementing concealment and misdirection
+ techniques for information systems
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing randomness as a concealment and
+ misdirection technique
+
Parameter: sc-30_f organization-defined time frequency
+
+
+
Default: organization-defined time frequency
+
+
+
+
+
+
Control
+
+
+
The organization changes the location of sc-30_e organization-defined processing and/or storage [organization-defined processing and/or storage] [Selection: sc-30_f organization-defined time frequency [organization-defined time frequency]; at random time intervals]].
+
+
+
+
+
Supplemental guidance
+
+
+
Adversaries target critical organizational missions/business functions and the information
+ resources supporting those missions and functions while at the same time, trying to
+ minimize exposure of their existence and tradecraft. The static, homogeneous, and
+ deterministic nature of organizational information systems targeted by adversaries,
+ make such systems more susceptible to cyber attacks with less adversary cost and effort
+ to be successful. Changing organizational processing and storage locations (sometimes
+ referred to as moving target defense) addresses the advanced persistent threat (APT)
+ using techniques such as virtualization, distributed processing, and replication.
+ This enables organizations to relocate the information resources (i.e., processing
+ and/or storage) supporting critical missions and business functions. Changing locations
+ of processing activities and/or storage sites introduces uncertainty into the targeting
+ activities by adversaries. This uncertainty increases the work factor of adversaries
+ making compromises or breaches to organizational information systems much more difficult
+ and time-consuming, and increases the chances that adversaries may inadvertently disclose
+ aspects of tradecraft while attempting to locate critical organizational resources.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines processing and/or storage locations to be changed at time intervals specified
+ by the organization;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines a frequency to change the location of organization-defined processing and/or
+ storage; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
changes the location of organization-defined processing and/or storage at one of the
+ following:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
organization-defined time intervals; or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
random time intervals.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
configuration management policy and procedures
+
+
+
procedures addressing concealment and misdirection techniques for the information
+ system
+
+
+
list of processing/storage locations to be changed at organizational time intervals
+
+
+
change control records
+
+
+
configuration management records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility for changing processing and/or storage
+ locations
+
Parameter: sc-30_g organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
Control
+
+
+
The organization employs realistic, but misleading information in sc-30_g organization-defined information system components [organization-defined information system components] with regard to its security state or posture.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement misleads potential adversaries regarding the nature and extent
+ of security safeguards deployed by organizations. As a result, adversaries may employ
+ incorrect (and as a result ineffective) attack techniques. One way of misleading adversaries
+ is for organizations to place misleading information regarding the specific security
+ controls deployed in external information systems that are known to be accessed or
+ targeted by adversaries. Another technique is the use of deception nets (e.g., honeynets,
+ virtualized environments) that mimic actual aspects of organizational information
+ systems but use, for example, out-of-date software configurations.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines information system components in which to employ realistic, but misleading
+ information regarding its security state or posture; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs realistic, but misleading information in organization-defined information
+ system components with regard to its security state or posture.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
configuration management policy and procedures
+
+
+
procedures addressing concealment and misdirection techniques for the information
+ system
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility for defining and employing realistic,
+ but misleading information about the security posture of information system components
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing employment of realistic, but misleading
+ information about the security posture of information system components
+
Parameter: sc-30_i organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
Control
+
+
+
The organization employs sc-30_h organization-defined techniques [organization-defined techniques] to hide or conceal sc-30_i organization-defined information system components [organization-defined information system components].
+
+
+
+
+
Supplemental guidance
+
+
+
By hiding, disguising, or otherwise concealing critical information system components,
+ organizations may be able to decrease the probability that adversaries target and
+ successfully compromise those assets. Potential means for organizations to hide and/or
+ conceal information system components include, for example, configuration of routers
+ or the use of honeynets or virtualization techniques.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines techniques to be employed to hide or conceal information system components;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines information system components to be hidden or concealed using organization-defined
+ techniques; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
employs organization-defined techniques to hide or conceal organization-defined information
+ system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
configuration management policy and procedures
+
+
+
procedures addressing concealment and misdirection techniques for the information
+ system
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of techniques employed to hide or conceal information system components
+
+
+
list of information system components to be hidden or concealed
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with responsibility for concealment of system components
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing techniques for concealment of
+ system components
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
SC-31 COVERT CHANNEL ANALYSIS
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Performs a covert channel analysis to identify those aspects of communications within
+ the information system that are potential avenues for covert [Selection (one or more):
+ storage; timing] channels; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Estimates the maximum bandwidth of those channels.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Developers are in the best position to identify potential areas within systems that
+ might lead to covert channels. Covert channel analysis is a meaningful activity when
+ there is the potential for unauthorized information flows across security domains,
+ for example, in the case of information systems containing export-controlled information
+ and having connections to external networks (i.e., networks not controlled by organizations).
+ Covert channel analysis is also meaningful for multilevel secure (MLS) information
+ systems, multiple security level (MSL) systems, and cross-domain systems.
+
performs a covert channel analysis to identify those aspects of communications within
+ the information system that are potential avenues for one or more of the following:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
covert storage channels; and/or
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
covert timing channels; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
estimates the maximum bandwidth of those channels.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing covert channel analysis
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
covert channel analysis documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with covert channel analysis responsibilities
+
+
+
information system developers/integrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational process for conducting covert channel analysis
+
The organization reduces the maximum bandwidth for identified covert [Selection (one
+ or more); storage; timing] channels to sc-31_a organization-defined values [organization-defined values].
+
+
+
+
+
Supplemental guidance
+
+
+
Information system developers are in the best position to reduce the maximum bandwidth
+ for identified covert storage and timing channels.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines values to be employed as the maximum bandwidth allowed for identified covert
+ channels; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reduces the maximum bandwidth to organization-defined values for one or more of the
+ following identified:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
covert storage channels; and/or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
covert timing channels.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing covert channel analysis
+
+
+
acquisition contracts for information systems or services
+
+
+
acquisition documentation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
covert channel analysis documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with covert channel analysis responsibilities
+
+
+
information system developers/integrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational process for conducting covert channel analysis
+
automated mechanisms supporting and/or implementing the capability to reduce the bandwidth
+ of covert channels
+
+
+
+
+
+
+
SC-31 (3) MEASURE BANDWIDTH IN OPERATIONAL ENVIRONMENTS
+
+
+
+
+
+
Parameter: sc-31_b organization-defined subset of identified covert channels
+
+
+
Default: organization-defined subset of identified covert channels
+
+
+
+
+
+
Control
+
+
+
The organization measures the bandwidth of sc-31_b organization-defined subset of identified covert channels [organization-defined subset of identified covert channels] in the operational environment of the information system.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement addresses covert channel bandwidth in operational environments
+ versus developmental environments. Measuring covert channel bandwidth in operational
+ environments helps organizations to determine how much information can be covertly
+ leaked before such leakage adversely affects organizational missions/business functions.
+ Covert channel bandwidth may be significantly different when measured in those settings
+ that are independent of the particular environments of operation (e.g., laboratories
+ or development environments).
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines subset of identified covert channels whose bandwidth is to be measured in
+ the operational environment of the information system; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
measures the bandwidth of the organization-defined subset of identified covert channels
+ in the operational environment of the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing covert channel analysis
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
covert channel analysis documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with covert channel analysis responsibilities
+
+
+
information system developers/integrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational process for conducting covert channel analysis
+
automated mechanisms supporting and/or implementing the capability to measure the
+ bandwidth of covert channels
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
SC-32 INFORMATION SYSTEM PARTITIONING
+
+
+
+
+
+
Parameter: sc-32_a organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
+
Parameter: sc-32_b organization-defined circumstances for physical separation of components
+
+
+
Default: organization-defined circumstances for physical separation of components
+
+
+
+
+
+
+
Control
+
+
+
The organization partitions the information system into sc-32_a organization-defined information system components [organization-defined information system components] residing in separate physical domains or environments based on sc-32_b organization-defined circumstances for physical separation of components [organization-defined circumstances for physical separation of components].
+
+
+
+
+
Supplemental guidance
+
+
+
Information system partitioning is a part of a defense-in-depth protection strategy.
+ Organizations determine the degree of physical separation of system components from
+ physically distinct components in separate racks in the same room, to components in
+ separate rooms for the more critical components, to more significant geographical
+ separation of the most critical components. Security categorization can guide the
+ selection of appropriate candidates for domain partitioning. Managed interfaces restrict
+ or prohibit network access and information flow among partitioned information system
+ components.
+
defines circumstances for physical separation of information system components into
+ information system partitions;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines information system components to reside in separate physical domains or environments
+ based on organization-defined circumstances for physical separation of components;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
partitions the information system into organization-defined information system components
+ residing in separate physical domains or environments based on organization-defined
+ circumstances for physical separation of components.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing information system partitioning
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
list of information system physical domains (or environments)
+
+
+
information system facility diagrams
+
+
+
information system network diagrams
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
information system developers/integrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing physical separation of information
+ system components
+
The information system at sc-34_a organization-defined information system components [organization-defined information system components]:
+
+
+
+
+
+
+
a.
+
+
+
+
+
Loads and executes the operating environment from hardware-enforced, read-only media;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Loads and executes sc-34_b organization-defined applications [organization-defined applications] from hardware-enforced, read-only media.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
The term operating environment is defined as the specific code that hosts applications,
+ for example, operating systems, executives, or monitors including virtual machine
+ monitors (i.e., hypervisors). It can also include certain applications running directly
+ on hardware platforms. Hardware-enforced, read-only media include, for example, Compact
+ Disk-Recordable (CD-R)/Digital Video Disk-Recordable (DVD-R) disk drives and one-time
+ programmable read-only memory. The use of non-modifiable storage ensures the integrity
+ of software from the point of creation of the read-only image. The use of reprogrammable
+ read-only memory can be accepted as read-only media provided: (i) integrity can be
+ adequately protected from the point of initial writing to the insertion of the memory
+ into the information system; and (ii) there are reliable hardware protections against
+ reprogramming the memory while installed in organizational information systems.
+
the organization defines information system components for which the operating environment
+ and organization-defined applications are to be loaded and executed from hardware-enforced,
+ read-only media;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines applications to be loaded and executed from hardware-enforced,
+ read-only media;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system, at organization-defined information system components:
+
+
+
+
+
+
(a)
+
+
+
+
+
loads and executes the operating environment from hardware-enforced, read-only media;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
loads and executes organization-defined applications from hardware-enforced, read-only
+ media.
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
list of operating system components to be loaded from hardware-enforced, read-only
+ media
+
+
+
list of applications to be loaded from hardware-enforced, read-only media
+
+
+
media used to load and execute information system operating environment
+
+
+
media used to load and execute information system applications
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
information system developers/integrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing loading and executing the operating
+ environment from hardware-enforced, read-only media
+
+
+
automated mechanisms supporting and/or implementing loading and executing applications
+ from hardware-enforced, read-only media
+
+
+
+
+
+
Control enhancements
+
+
SC-34 (1) NO WRITABLE STORAGE
+
+
+
+
+
+
Parameter: sc-34_c organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
Control
+
+
+
The organization employs sc-34_c organization-defined information system components [organization-defined information system components] with no writeable storage that is persistent across component restart or power on/off.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement: (i) eliminates the possibility of malicious code insertion
+ via persistent, writeable storage within the designated information system components;
+ and (ii) applies to both fixed and removable storage, with the latter being addressed
+ directly or as specific restrictions imposed through access controls for mobile devices.
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
list of information system components to be employed without writeable storage capability
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
information system developers/integrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing employment of components with
+ no writeable storage
+
+
+
automated mechanisms supporting and/or implementing persistent non-writeable storage
+ across component restart and power on/off
+
+
+
+
+
+
+
SC-34 (2) INTEGRITY PROTECTION / READ-ONLY MEDIA
+
+
+
+
+
Control
+
+
+
The organization protects the integrity of information prior to storage on read-only
+ media and controls the media after such information has been recorded onto the media.
+
+
+
+
+
Supplemental guidance
+
+
+
Security safeguards prevent the substitution of media into information systems or
+ the reprogramming of programmable read-only media prior to installation into the systems.
+ Security safeguards include, for example, a combination of prevention, detection,
+ and response.
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
information system developers/integrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing capability for protecting information
+ integrity on read-only media prior to storage and after information has been recorded
+ onto the media
+
+
+
+
+
+
+
SC-34 (3) HARDWARE-BASED PROTECTION
+
+
+
+
+
+
Parameter: sc-34_d organization-defined information system firmware components
+
+
+
Default: organization-defined information system firmware components
+
Employs hardware-based, write-protect for sc-34_d organization-defined information system firmware components [organization-defined information system firmware components]; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Implements specific procedures for sc-34_e organization-defined authorized individuals [organization-defined authorized individuals] to manually disable hardware write-protect for firmware modifications and re-enable
+ the write-protect prior to returning to operational mode.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines information system firmware components for which hardware-based, write-protection
+ is to be employed;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs hardware-based, write-protection for organization-defined information system
+ firmware components;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines individuals authorized to manually disable hardware write-protect for firmware
+ modifications and re-enable the write-protect prior to returning to operational mode;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
implements specific procedures for organization-defined authorized individuals to
+ manually disable hardware write-protect for firmware modifications and re-enable the
+ write-protect prior to returning to operational mode.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing firmware modifications
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
The information system includes components that proactively seek to identify malicious
+ websites and/or web-based malicious code.
+
+
+
+
+
Supplemental guidance
+
+
+
Honeyclients differ from honeypots in that the components actively probe the Internet
+ in search of malicious code (e.g., worms) contained on external websites. As with
+ honeypots, honeyclients require some supporting isolation measures (e.g., virtualization)
+ to ensure that any malicious code discovered during the search and subsequently executed
+ does not infect organizational information systems.
+
Parameter: sc-36_a organization-defined processing and storage
+
+
+
Default: organization-defined processing and storage
+
+
+
+
+
+
+
Control
+
+
+
The organization distributes sc-36_a organization-defined processing and storage [organization-defined processing and storage] across multiple physical locations.
+
+
+
+
+
Supplemental guidance
+
+
+
Distributing processing and storage across multiple physical locations provides some
+ degree of redundancy or overlap for organizations, and therefore increases the work
+ factor of adversaries to adversely impact organizational operations, assets, and individuals.
+ This control does not assume a single primary processing or storage location, and
+ thus allows for parallel processing and storage.
+
defines processing and storage to be distributed across multiple physical locations;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
distributes organization-defined processing and storage across multiple physical locations.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
contingency planning policy and procedures
+
+
+
contingency plan
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
list of information system physical locations (or environments) with distributed processing
+ and storage
+
+
+
information system facility diagrams
+
+
+
processing site agreements
+
+
+
storage site agreements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with contingency planning and plan implementation responsibilities
+
+
+
information system developers/integrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for distributing processing and storage across multiple physical
+ locations
+
+
+
automated mechanisms supporting and/or implementing capability for distributing processing
+ and storage across multiple physical locations
+
+
+
+
+
+
Control enhancements
+
+
SC-36 (1) POLLING TECHNIQUES
+
+
+
+
+
+
Parameter: sc-36_b organization-defined distributed processing and storage components
+
+
+
Default: organization-defined distributed processing and storage components
+
+
+
+
+
+
Control
+
+
+
The organization employs polling techniques to identify potential faults, errors,
+ or compromises to sc-36_b organization-defined distributed processing and storage components [organization-defined distributed processing and storage components].
+
+
+
+
+
Supplemental guidance
+
+
+
Distributed processing and/or storage may be employed to reduce opportunities for
+ adversaries to successfully compromise the confidentiality, integrity, or availability
+ of information and information systems. However, distribution of processing and/or
+ storage components does not prevent adversaries from compromising one (or more) of
+ the distributed components. Polling compares the processing results and/or storage
+ content from the various distributed components and subsequently voting on the outcomes.
+ Polling identifies potential faults, errors, or compromises in distributed processing
+ and/or storage components.
+
defines distributed processing and storage components for which polling techniques
+ are to be employed to identify potential faults, errors, or compromises; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs polling techniques to identify potential faults, errors, or compromises to
+ organization-defined distributed processing and storage components.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
list of distributed processing and storage components subject to polling
+
+
+
information system polling techniques and associated documentation or records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
Parameter: sc-37_b organization-defined information, information system components, or devices
+
+
+
Default: organization-defined information, information system components, or devices
+
+
+
+
+
+
+
Parameter: sc-37_c organization-defined individuals or information systems
+
+
+
Default: organization-defined individuals or information systems
+
+
+
+
+
+
+
Control
+
+
+
The organization employs sc-37_a organization-defined out-of-band channels [organization-defined out-of-band channels] for the physical delivery or electronic transmission of sc-37_b organization-defined information, information system components, or devices [organization-defined information, information system components, or devices] to sc-37_c organization-defined individuals or information systems [organization-defined individuals or information systems].
+
+
+
+
+
Supplemental guidance
+
+
+
Out-of-band channels include, for example, local (nonnetwork) accesses to information
+ systems, network paths physically separate from network paths used for operational
+ traffic, or nonelectronic paths such as the US Postal Service. This is in contrast
+ with using the same channels (i.e., in-band channels) that carry routine operational
+ traffic. Out-of-band channels do not have the same vulnerability/exposure as in-band
+ channels, and hence the confidentiality, integrity, or availability compromises of
+ in-band channels will not compromise the out-of-band channels. Organizations may employ
+ out-of-band channels in the delivery or transmission of many organizational items
+ including, for example, identifiers/authenticators, configuration management changes
+ for hardware, firmware, or software, cryptographic key management information, security
+ updates, system/data backups, maintenance information, and malicious code protection
+ updates.
+
defines out-of-band channels to be employed for the physical delivery or electronic
+ transmission of information, information system components, or devices to individuals
+ or information systems;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines information, information system components, or devices for which physical
+ delivery or electronic transmission of such information, information system components,
+ or devices to individuals or information systems requires employment of organization-defined
+ out-of-band channels;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines individuals or information systems to which physical delivery or electronic
+ transmission of organization-defined information, information system components, or
+ devices is to be achieved via employment of organization-defined out-of-band channels;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
employs organization-defined out-of-band channels for the physical delivery or electronic
+ transmission of organization-defined information, information system components, or
+ devices to organization-defined individuals or information systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing use of out-of-band channels
+
+
+
access control policy and procedures
+
+
+
identification and authentication policy and procedures
+
+
+
information system design documentation
+
+
+
information system architecture
+
+
+
information system configuration settings and associated documentation
+
+
+
list of out-of-band channels
+
+
+
types of information, information system components, or devices requiring use of out-of-band
+ channels for physical delivery or electronic transmission to authorized individuals
+ or information systems
+
+
+
physical delivery records
+
+
+
electronic transmission records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
Parameter: sc-37_e organization-defined individuals or information systems
+
+
+
Default: organization-defined individuals or information systems
+
+
+
+
+
+
+
Parameter: sc-37_f organization-defined information, information system components, or devices
+
+
+
Default: organization-defined information, information system components, or devices
+
+
+
+
+
+
Control
+
+
+
The organization employs sc-37_d organization-defined security safeguards [organization-defined security safeguards] to ensure that only sc-37_e organization-defined individuals or information systems [organization-defined individuals or information systems] receive the sc-37_f organization-defined information, information system components, or devices [organization-defined information, information system components, or devices].
+
+
+
+
+
Supplemental guidance
+
+
+
Techniques and/or methods employed by organizations to ensure that only designated
+ information systems or individuals receive particular information, system components,
+ or devices include, for example, sending authenticators via courier service but requiring
+ recipients to show some form of government-issued photographic identification as a
+ condition of receipt.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines security safeguards to be employed to ensure that only designated individuals
+ or information systems receive specific information, information system components,
+ or devices;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines individuals or information systems designated to receive specific information,
+ information system components, or devices;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines information, information system components, or devices that only organization-defined
+ individuals or information systems are designated to receive; and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
employs organization-defined security safeguards to ensure that only organization-defined
+ individuals or information systems receive the organization-defined information, information
+ system components, or devices.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing use of out-of-band channels
+
+
+
access control policy and procedures
+
+
+
identification and authentication policy and procedures
+
+
+
information system design documentation
+
+
+
information system architecture
+
+
+
information system configuration settings and associated documentation
+
+
+
list of security safeguards to be employed to ensure designated individuals or information
+ systems receive organization-defined information, information system components, or
+ devices
+
+
+
list of security safeguards for delivering designated information, information system
+ components, or devices to designated individuals or information systems
+
+
+
list of information, information system components, or devices to be delivered to
+ designated individuals or information systems
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
The organization employs sc-38_a organization-defined operations security safeguards [organization-defined operations security safeguards] to protect key organizational information throughout the system development life
+ cycle.
+
+
+
+
+
Supplemental guidance
+
+
+
Operations security (OPSEC) is a systematic process by which potential adversaries
+ can be denied information about the capabilities and intentions of organizations by
+ identifying, controlling, and protecting generally unclassified information that specifically
+ relates to the planning and execution of sensitive organizational activities. The
+ OPSEC process involves five steps: (i) identification of critical information (e.g.,
+ the security categorization process); (ii) analysis of threats; (iii) analysis of
+ vulnerabilities; (iv) assessment of risks; and (v) the application of appropriate
+ countermeasures. OPSEC safeguards are applied to both organizational information systems
+ and the environments in which those systems operate. OPSEC safeguards help to protect
+ the confidentiality of key information including, for example, limiting the sharing
+ of information with suppliers and potential suppliers of information system components,
+ information technology products and services, and with other non-organizational elements
+ and individuals. Information critical to mission/business success includes, for example,
+ user identities, element uses, suppliers, supply chain processes, functional and security
+ requirements, system design specifications, testing protocols, and security control
+ implementation details.
+
defines operations security safeguards to be employed to protect key organizational
+ information throughout the system development life cycle; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs organization-defined operations security safeguards to protect key organizational
+ information throughout the system development life cycle.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing operations security
+
+
+
security plan
+
+
+
list of operations security safeguards
+
+
+
security control assessments
+
+
+
risk assessments
+
+
+
threat and vulnerability assessments
+
+
+
plans of action and milestones
+
+
+
system development life cycle documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
information system developers/integrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for protecting organizational information throughout the
+ SDLC
+
+
+
automated mechanisms supporting and/or implementing safeguards to protect organizational
+ information throughout the SDLC
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
SC-39 PROCESS ISOLATION
+
+
+
+
+
+
+
+
+
Control
+
+
+
The information system maintains a separate execution domain for each executing process.
+
+
+
+
Supplemental guidance
+
+
+
Information systems can maintain separate execution domains for each executing process
+ by assigning each process a separate address space. Each information system process
+ has a distinct address space so that communication between processes is performed
+ in a manner controlled through the security functions, and one process cannot modify
+ the executing code of another process. Maintaining separate execution domains for
+ executing processes can be achieved, for example, by implementing separate address
+ spaces. This capability is available in most commercial operating systems that employ
+ multi-state processor technologies.
+
Determine if the information system maintains a separate execution domain for each
+ executing process.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information system design documentation
+
+
+
information system architecture
+
+
+
independent verification and validation documentation
+
+
+
testing and evaluation documentation, other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Information system developers/integrators
+
+
+
information system security architect
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing separate execution domains for
+ each executing process
+
+
+
+
+
+
Control enhancements
+
+
SC-39 (1) HARDWARE SEPARATION
+
+
+
+
+
Control
+
+
+
The information system implements underlying hardware separation mechanisms to facilitate
+ process separation.
+
+
+
+
+
Supplemental guidance
+
+
+
Hardware-based separation of information system processes is generally less susceptible
+ to compromise than software-based separation, thus providing greater assurance that
+ the separation will be enforced. Underlying hardware separation mechanisms include,
+ for example, hardware memory management.
+
+
+
+
+
Objective
+
+
+
Determine if the information system implements underlying hardware separation mechanisms
+ to facilitate process separation.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
information system documentation for hardware separation mechanisms
+
+
+
information system documentation from vendors, manufacturers or developers
+
+
+
independent verification and validation documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
information system developers/integrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Information system capability implementing underlying hardware separation mechanisms
+ for process separation
+
The information system maintains a separate execution domain for each thread in sc-39_a organization-defined multi-threaded processing [organization-defined multi-threaded processing].
+
+
+
+
+
+
+
+
+
+
+
Determine if the information system:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines multi-threaded processing for which a separate execution domain is to be maintained
+ for each thread in multi-threaded processing; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
maintains a separate execution domain for each thread in organization-defined multi-threaded
+ processing.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
list of information system execution domains for each thread in multi-threaded processing
+
+
+
information system documentation for multi-threaded processing
+
+
+
information system documentation from vendors, manufacturers or developers
+
+
+
independent verification and validation documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
information system developers/integrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Information system capability implementing a separate execution domain for each thread
+ in multi-threaded processing
+
Parameter: sc-40_b organization-defined types of signal parameter attacks or references to sources for
+ such attacks
+
+
+
Default: organization-defined types of signal parameter attacks or references to sources for
+ such attacks
+
+
+
+
+
+
+
Control
+
+
+
The information system protects external and internal sc-40_a organization-defined wireless links [organization-defined wireless links] from sc-40_b organization-defined types of signal parameter attacks or references to sources for
+ such attacks [organization-defined types of signal parameter attacks or references to sources for
+ such attacks].
+
+
+
+
+
Supplemental guidance
+
+
+
This control applies to internal and external wireless communication links that may
+ be visible to individuals who are not authorized information system users. Adversaries
+ can exploit the signal parameters of wireless links if such links are not adequately
+ protected. There are many ways to exploit the signal parameters of wireless links
+ to gain intelligence, deny service, or to spoof users of organizational information
+ systems. This control reduces the impact of attacks that are unique to wireless systems.
+ If organizations rely on commercial service providers for transmission services as
+ commodity items rather than as fully dedicated services, it may not be possible to
+ implement this control.
+
internal wireless links to be protected from particular types of signal parameter
+ attacks;
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
external wireless links to be protected from particular types of signal parameter
+ attacks;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines types of signal parameter attacks or references to sources
+ for such attacks that are based upon exploiting the signal parameters of organization-defined
+ internal and external wireless links; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system protects internal and external organization-defined wireless
+ links from organization-defined types of signal parameter attacks or references to
+ sources for such attacks.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
access control policy and procedures
+
+
+
procedures addressing wireless link protection
+
+
+
information system design documentation
+
+
+
wireless network diagrams
+
+
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
list or internal and external wireless links
+
+
+
list of signal parameter attacks or references to sources for attacks
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
Automated mechanisms supporting and/or implementing protection of wireless links
+
+
+
+
+
+
Control enhancements
+
+
SC-40 (1) ELECTROMAGNETIC INTERFERENCE
+
+
+
+
+
+
Parameter: sc-40_c organization-defined level of protection
+
+
+
Default: organization-defined level of protection
+
+
+
+
+
+
Control
+
+
+
The information system implements cryptographic mechanisms that achieve sc-40_c organization-defined level of protection [organization-defined level of protection] against the effects of intentional electromagnetic interference.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement protects against intentional jamming that might deny or impair
+ communications by ensuring that wireless spread spectrum waveforms used to provide
+ anti-jam protection are not predictable by unauthorized individuals. The control enhancement
+ may also coincidentally help to mitigate the effects of unintentional jamming due
+ to interference from legitimate transmitters sharing the same spectrum. Mission requirements,
+ projected threats, concept of operations, and applicable legislation, directives,
+ regulations, policies, standards, and guidelines determine levels of wireless link
+ availability and performance/cryptography needed.
+
the organization defines level of protection to be employed against the effects of
+ intentional electromagnetic interference; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system employs cryptographic mechanisms that achieve organization-defined
+ level of protection against the effects of intentional electromagnetic interference.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
access control policy and procedures
+
+
+
procedures addressing wireless link protection
+
+
+
information system design documentation
+
+
+
wireless network diagrams
+
+
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
information system communications hardware and software
+
+
+
security categorization results
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
Cryptographic mechanisms enforcing protections against effects of intentional electromagnetic
+ interference
+
+
+
+
+
+
+
SC-40 (2) REDUCE DETECTION POTENTIAL
+
+
+
+
+
+
Parameter: sc-40_d organization-defined level of reduction
+
+
+
Default: organization-defined level of reduction
+
+
+
+
+
+
Control
+
+
+
The information system implements cryptographic mechanisms to reduce the detection
+ potential of wireless links to sc-40_d organization-defined level of reduction [organization-defined level of reduction].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement is needed for covert communications and protecting wireless
+ transmitters from being geo-located by their transmissions. The control enhancement
+ ensures that spread spectrum waveforms used to achieve low probability of detection
+ are not predictable by unauthorized individuals. Mission requirements, projected threats,
+ concept of operations, and applicable legislation, directives, regulations, policies,
+ standards, and guidelines determine the levels to which wireless links should be undetectable.
+
the organization defines level of reduction to be achieved to reduce the detection
+ potential of wireless links; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system implements cryptographic mechanisms to reduce the detection
+ potential of wireless links to organization-defined level of reduction.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
access control policy and procedures
+
+
+
procedures addressing wireless link protection
+
+
+
information system design documentation
+
+
+
wireless network diagrams
+
+
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
information system communications hardware and software
+
+
+
security categorization results
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
Cryptographic mechanisms enforcing protections to reduce detection of wireless links
+
+
+
+
+
+
+
SC-40 (3) IMITATIVE OR MANIPULATIVE COMMUNICATIONS DECEPTION
+
+
+
+
+
Control
+
+
+
The information system implements cryptographic mechanisms to identify and reject
+ wireless transmissions that are deliberate attempts to achieve imitative or manipulative
+ communications deception based on signal parameters.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement ensures that the signal parameters of wireless transmissions
+ are not predictable by unauthorized individuals. Such unpredictability reduces the
+ probability of imitative or manipulative communications deception based upon signal
+ parameters alone.
+
Determine if the information system implements cryptographic mechanisms to:
+
+
+
+
+
+
[1]
+
+
+
+
+
identify wireless transmissions that are deliberate attempts to achieve imitative
+ or manipulative communications deception based on signal parameters; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reject wireless transmissions that are deliberate attempts to achieve imitative or
+ manipulative communications deception based on signal parameters.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
access control policy and procedures
+
+
+
procedures addressing information system design documentation
+
+
+
wireless network diagrams
+
+
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
information system communications hardware and software
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
The information system implements cryptographic mechanisms to prevent the identification
+ of sc-40_e organization-defined wireless transmitters [organization-defined wireless transmitters] by using the transmitter signal parameters.
+
+
+
+
+
Supplemental guidance
+
+
+
Radio fingerprinting techniques identify the unique signal parameters of transmitters
+ to fingerprint such transmitters for purposes of tracking and mission/user identification.
+ This control enhancement protects against the unique identification of wireless transmitters
+ for purposes of intelligence exploitation by ensuring that anti-fingerprinting alterations
+ to signal parameters are not predictable by unauthorized individuals. This control
+ enhancement helps assure mission success when anonymity is required.
+
the organization defines wireless transmitters for which cryptographic mechanisms
+ are to be implemented to prevent identification of such transmitters by using the
+ transmitter signal parameters; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system implements cryptographic mechanisms to prevent the identification
+ of organization-defined wireless transmitters by using the transmitter signal parameters.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
access control policy and procedures
+
+
+
procedures addressing information system design documentation
+
+
+
wireless network diagrams
+
+
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
information system communications hardware and software
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
Cryptographic mechanisms preventing the identification of wireless transmitters
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
SC-41 PORT AND I/O DEVICE ACCESS
+
+
+
+
+
+
Parameter: sc-41_a organization-defined connection ports or input/output devices
+
+
+
Default: organization-defined connection ports or input/output devices
+
+
+
+
+
+
+
Parameter: sc-41_b organization-defined information systems or information system components
+
+
+
Default: organization-defined information systems or information system components
+
+
+
+
+
+
+
Control
+
+
+
The organization physically disables or removes sc-41_a organization-defined connection ports or input/output devices [organization-defined connection ports or input/output devices] on sc-41_b organization-defined information systems or information system components [organization-defined information systems or information system components].
+
+
+
+
+
Supplemental guidance
+
+
+
Connection ports include, for example, Universal Serial Bus (USB) and Firewire (IEEE
+ 1394). Input/output (I/O) devices include, for example, Compact Disk (CD) and Digital
+ Video Disk (DVD) drives. Physically disabling or removing such connection ports and
+ I/O devices helps prevent exfiltration of information from information systems and
+ the introduction of malicious code into systems from those ports/devices.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines connection ports or input/output devices to be physically disabled or removed
+ on information systems or information system components;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines information systems or information system components with organization-defined
+ connection ports or input/output devices that are to be physically disabled or removed;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
physically disables or removes organization-defined connection ports or input/output
+ devices on organization-defined information systems or information system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
access control policy and procedures
+
+
+
procedures addressing port and input/output device access
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
information systems or information system components list of connection ports or input/output
+ devices to be physically disabled or removed on information systems or information
+ system components
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing disabling of connection ports
+ or input/output devices
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
SC-42 SENSOR CAPABILITY AND DATA
+
+
+
+
+
+
Parameter: sc-42_a organization-defined exceptions where remote activation of sensors is allowed
+
+
+
Default: organization-defined exceptions where remote activation of sensors is allowed
+
+
+
+
+
+
+
Parameter: sc-42_b organization-defined class of users
+
+
+
Default: organization-defined class of users
+
+
+
+
+
+
+
+
+
+
+
+
+
The information system:
+
+
+
+
+
+
a.
+
+
+
+
+
Prohibits the remote activation of environmental sensing capabilities with the following
+ exceptions: sc-42_a organization-defined exceptions where remote activation of sensors is allowed [organization-defined exceptions where remote activation of sensors is allowed]; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Provides an explicit indication of sensor use to sc-42_b organization-defined class of users [organization-defined class of users].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control often applies to types of information systems or system components characterized
+ as mobile devices, for example, smart phones, tablets, and E-readers. These systems
+ often include sensors that can collect and record data regarding the environment where
+ the system is in use. Sensors that are embedded within mobile devices include, for
+ example, cameras, microphones, Global Positioning System (GPS) mechanisms, and accelerometers.
+ While the sensors on mobiles devices provide an important function, if activated covertly,
+ such devices can potentially provide a means for adversaries to learn valuable information
+ about individuals and organizations. For example, remotely activating the GPS function
+ on a mobile device could provide an adversary with the ability to track the specific
+ movements of an individual.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
(a)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines exceptions where remote activation of sensors is to be allowed;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system prohibits the remote activation of sensors, except for organization-defined
+ exceptions where remote activation of sensors is to be allowed;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines the class of users to whom an explicit indication of sensor
+ use is to be provided; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system provides an explicit indication of sensor use to the organization-defined
+ class of users.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing sensor capability and data collection
+
+
+
access control policy and procedures
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for sensor capability
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms implementing access controls for remote activation of information
+ system sensor capabilities
+
+
+
automated mechanisms implementing capability to indicate sensor use
+
+
+
+
+
+
Control enhancements
+
+
SC-42 (1) REPORTING TO AUTHORIZED INDIVIDUALS OR ROLES
+
+
+
+
+
+
Parameter: sc-42_c organization-defined sensors
+
+
+
Default: organization-defined sensors
+
+
+
+
+
+
Control
+
+
+
The organization ensures that the information system is configured so that data or
+ information collected by the sc-42_c organization-defined sensors [organization-defined sensors] is only reported to authorized individuals or roles.
+
+
+
+
+
Supplemental guidance
+
+
+
In situations where sensors are activated by authorized individuals (e.g., end users),
+ it is still possible that the data/information collected by the sensors will be sent
+ to unauthorized entities.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines sensors to be used to collect data or information only reported to authorized
+ individuals or roles; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
ensures that the information system is configured so that data or information collected
+ by the organization-defined sensors is only reported to authorized individuals or
+ roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
access control policy and procedures
+
+
+
procedures addressing sensor capability and data collection
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for sensor capability
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms restricting reporting of sensor information only to those authorized
+
+
+
sensor data collection and reporting capability for the information system
+
The organization employs the following measures: sc-42_d organization-defined measures [organization-defined measures], so that data or information collected by sc-42_e organization-defined sensors [organization-defined sensors] is only used for authorized purposes.
+
+
+
+
+
Supplemental guidance
+
+
+
Information collected by sensors for a specific authorized purpose potentially could
+ be misused for some unauthorized purpose. For example, GPS sensors that are used to
+ support traffic navigation could be misused to track movements of individuals. Measures
+ to mitigate such activities include, for example, additional training to ensure that
+ authorized parties do not abuse their authority, or (in the case where sensor data/information
+ is maintained by external parties) contractual restrictions on the use of the data/information.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines measures to be employed so that data or information collected by sensors is
+ only used for authorized purposes;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines sensors to be used to collect data or information for authorized purposes
+ only; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
employs organization-defined measures so that data or information collected by organization-defined
+ sensors is only used for authorized purposes.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
access control policy and procedures
+
+
+
sensor capability and data collection
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
list of measures to be employed to ensure data or information collected by sensors
+ is only used for authorized purposes
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for sensor capability
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing measures to ensure sensor information
+ is only used for authorized purposes
+
+
+
sensor information collection capability for the information system
+
Parameter: sc-42_g organization-defined facilities, areas, or systems
+
+
+
Default: organization-defined facilities, areas, or systems
+
+
+
+
+
+
Control
+
+
+
The organization prohibits the use of devices possessing sc-42_f organization-defined environmental sensing capabilities [organization-defined environmental sensing capabilities] in sc-42_g organization-defined facilities, areas, or systems [organization-defined facilities, areas, or systems].
+
+
+
+
+
Supplemental guidance
+
+
+
For example, organizations may prohibit individuals from bringing cell phones or digital
+ cameras into certain facilities or specific controlled areas within facilities where
+ classified information is stored or sensitive conversations are taking place.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines environmental sensing capabilities to be prohibited from use in facilities,
+ areas, or systems;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines facilities, areas, or systems where the use of devices possessing organization-defined
+ environmental sensing capabilities is to be prohibited; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
prohibits the use of devices possessing organization-defined environmental sensing
+ capabilities in organization-defined facilities, areas, or systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
access control policy and procedures
+
+
+
procedures addressing sensor capability and data collection
+
+
+
information system design documentation
+
+
+
wireless network diagrams
+
+
+
information system configuration settings and associated documentation
+
+
+
information system architecture
+
+
+
facilities, areas, or systems where use of devices possessing environmental sensing
+ capabilities is prohibited
+
+
+
list of devices possessing environmental sensing capabilities
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for sensor capability
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
SC-43 USAGE RESTRICTIONS
+
+
+
+
+
+
Parameter: sc-43_a organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Establishes usage restrictions and implementation guidance for sc-43_a organization-defined information system components [organization-defined information system components] based on the potential to cause damage to the information system if used maliciously;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Authorizes, monitors, and controls the use of such components within the information
+ system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Information system components include hardware, software, or firmware components (e.g.,
+ Voice Over Internet Protocol, mobile code, digital copiers, printers, scanners, optical
+ devices, wireless technologies, mobile devices).
+
defines information system components for which usage restrictions and implementation
+ guidance are to be established;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
establishes, for organization-defined information system components:
+
+
+
+
+
+
[a]
+
+
+
+
+
usage restrictions based on the potential to cause damage to the information system
+ if used maliciously;
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
implementation guidance based on the potential to cause damage to the information
+ system if used maliciously;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
authorizes the use of such components within the information system;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
monitors the use of such components within the information system; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
controls the use of such components within the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and communications protection policy
+
+
+
procedures addressing usage restrictions
+
+
+
usage restrictions
+
+
+
implementation policy and procedures
+
+
+
authorization records
+
+
+
information system monitoring records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for authorizing, monitoring, and controlling use of components
+ with usage restrictions
+
+
+
Automated mechanisms supporting and/or implementing authorizing, monitoring, and controlling
+ use of components with usage restrictions
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P0
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
SC-44 DETONATION CHAMBERS
+
+
+
+
+
+
Parameter: sc-44_a organization-defined information system, system component, or location
+
+
+
Default: organization-defined information system, system component, or location
+
+
+
+
+
+
+
Control
+
+
+
The organization employs a detonation chamber capability within sc-44_a organization-defined information system, system component, or location [organization-defined information system, system component, or location].
+
+
+
+
+
Supplemental guidance
+
+
+
Detonation chambers, also known as dynamic execution environments, allow organizations
+ to open email attachments, execute untrusted or suspicious applications, and execute
+ Universal Resource Locator (URL) requests in the safety of an isolated environment
+ or virtualized sandbox. These protected and isolated execution environments provide
+ a means of determining whether the associated attachments/applications contain malicious
+ code. While related to the concept of deception nets, the control is not intended
+ to maintain a long-term environment in which adversaries can operate and their actions
+ can be observed. Rather, it is intended to quickly identify malicious code and reduce
+ the likelihood that the code is propagated to user environments of operation (or prevent
+ such propagation completely).
+
SI-1 SYSTEM AND INFORMATION INTEGRITY POLICY AND PROCEDURES
+
+
+
+
+
+
Parameter: si-1_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: si-1_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: si-1_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops, documents, and disseminates to si-1_a organization-defined personnel or roles [organization-defined personnel or roles]:
+
+
+
+
+
+
+
1.
+
+
+
+
+
A system and information integrity policy that addresses purpose, scope, roles, responsibilities,
+ management commitment, coordination among organizational entities, and compliance;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Procedures to facilitate the implementation of the system and information integrity
+ policy and associated system and information integrity controls; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews and updates the current:
+
+
+
+
+
+
1.
+
+
+
+
+
System and information integrity policy si-1_b organization-defined frequency [organization-defined frequency]; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
System and information integrity procedures si-1_c organization-defined frequency [organization-defined frequency].
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the establishment of policy and procedures for the effective
+ implementation of selected security controls and control enhancements in the SI family.
+ Policy and procedures reflect applicable federal laws, Executive Orders, directives,
+ regulations, policies, standards, and guidance. Security program policies and procedures
+ at the organization level may make the need for system-specific policies and procedures
+ unnecessary. The policy can be included as part of the general information security
+ policy for organizations or conversely, can be represented by multiple policies reflecting
+ the complex nature of certain organizations. The procedures can be established for
+ the security program in general and for particular information systems, if needed.
+ The organizational risk management strategy is a key factor in establishing policy
+ and procedures.
+
develops and documents a system and information integrity policy that addresses:
+
+
+
+
+
+
[a]
+
+
+
+
+
purpose;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
scope;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
roles;
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
responsibilities;
+
+
+
+
+
+
+
+
+
+
+
[e]
+
+
+
+
+
management commitment;
+
+
+
+
+
+
+
+
+
+
+
[f]
+
+
+
+
+
coordination among organizational entities;
+
+
+
+
+
+
+
+
+
+
+
[g]
+
+
+
+
+
compliance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the system and information integrity policy is
+ to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the system and information integrity policy to organization-defined personnel
+ or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(a)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
develops and documents procedures to facilitate the implementation of the system and
+ information integrity policy and associated system and information integrity controls;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current system and information integrity
+ policy;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current system and information integrity policy with the organization-defined
+ frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)(2)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the current system and information integrity
+ procedures; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the current system and information integrity procedures with the
+ organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy and procedures
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with system and information integrity responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-12
+
+
+
+
+
+
NIST Special Publication 800-100
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW SI-1
+
+
MOD SI-1
+
+
HIGH SI-1
+
+
+
+
+
+
+
+
SI-2 FLAW REMEDIATION
+
+
+
+
+
+
Parameter: si-2_a organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Identifies, reports, and corrects information system flaws;
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Tests software and firmware updates related to flaw remediation for effectiveness
+ and potential side effects before installation;
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Installs security-relevant software and firmware updates within si-2_a organization-defined time period [organization-defined time period] of the release of the updates; and
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Incorporates flaw remediation into the organizational configuration management process.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations identify information systems affected by announced software flaws including
+ potential vulnerabilities resulting from those flaws, and report this information
+ to designated organizational personnel with information security responsibilities.
+ Security-relevant software updates include, for example, patches, service packs, hot
+ fixes, and anti-virus signatures. Organizations also address flaws discovered during
+ security assessments, continuous monitoring, incident response activities, and system
+ error handling. Organizations take advantage of available resources such as the Common
+ Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases
+ in remediating flaws discovered in organizational information systems. By incorporating
+ flaw remediation into ongoing configuration management processes, required/anticipated
+ remediation actions can be tracked and verified. Flaw remediation actions that can
+ be tracked and verified include, for example, determining whether organizations follow
+ US-CERT guidance and Information Assurance Vulnerability Alerts. Organization-defined
+ time periods for updating security-relevant software and firmware may vary based on
+ a variety of factors including, for example, the security category of the information
+ system or the criticality of the update (i.e., severity of the vulnerability related
+ to the discovered flaw). Some types of flaw remediation may require more testing than
+ other types. Organizations determine the degree and type of testing needed for the
+ specific type of flaw remediation activity under consideration and also the types
+ of changes that are to be configuration-managed. In some situations, organizations
+ may determine that the testing of software and/or firmware updates is not necessary
+ or practical, for example, when implementing simple anti-virus signature updates.
+ Organizations may also consider in testing decisions, whether security-relevant software
+ or firmware updates are obtained from authorized sources with appropriate digital
+ signatures.
+
tests software updates related to flaw remediation for effectiveness and potential
+ side effects before installation;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
tests firmware updates related to flaw remediation for effectiveness and potential
+ side effects before installation;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the time period within which to install security-relevant software updates
+ after the release of the updates;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the time period within which to install security-relevant firmware updates
+ after the release of the updates;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
installs software updates within the organization-defined time period of the release
+ of the updates;
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
installs firmware updates within the organization-defined time period of the release
+ of the updates; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
incorporates flaw remediation into the organizational configuration management process.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing flaw remediation
+
+
+
procedures addressing configuration management
+
+
+
list of flaws and vulnerabilities potentially affecting the information system
+
+
+
list of recent security flaw remediation actions performed on the information system
+ (e.g., list of installed patches, service packs, hot fixes, and other software updates
+ to correct information system flaws)
+
+
+
test results from the installation of software and firmware updates to correct information
+ system flaws
+
+
+
installation/change control records for security-relevant software and firmware updates
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for flaw remediation
+
+
+
organizational personnel with configuration management responsibility
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for identifying, reporting, and correcting information system
+ flaws
+
+
+
organizational process for installing software and firmware updates
+
+
+
automated mechanisms supporting and/or implementing reporting, and correcting information
+ system flaws
+
The organization centrally manages the flaw remediation process.
+
+
+
+
Supplemental guidance
+
+
+
Central management is the organization-wide management and implementation of flaw
+ remediation processes. Central management includes planning, implementing, assessing,
+ authorizing, and monitoring the organization-defined, centrally managed flaw remediation
+ security controls.
+
+
+
+
+
Objective
+
+
+
Determine if the organization centrally manages the flaw remediation process.
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing flaw remediation
+
+
+
automated mechanisms supporting centralized management of flaw remediation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for flaw remediation
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for central management of the flaw remediation process
+
+
+
automated mechanisms supporting and/or implementing central management of the flaw
+ remediation process
+
+
+
+
+
+
+
SI-2 (2) AUTOMATED FLAW REMEDIATION STATUS
+
+
+
+
+
+
Parameter: si-2_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms si-2_b organization-defined frequency [organization-defined frequency] to determine the state of information system components with regard to flaw remediation.
+
defines a frequency to employ automated mechanisms to determine the state of information
+ system components with regard to flaw remediation; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs automated mechanisms with the organization-defined frequency to determine
+ the state of information system components with regard to flaw remediation.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing flaw remediation
+
+
+
automated mechanisms supporting centralized management of flaw remediation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for flaw remediation
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms used to determine the state of information system components
+ with regard to flaw remediation
+
+
+
+
+
+
+
SI-2 (3) TIME TO REMEDIATE FLAWS / BENCHMARKS FOR CORRECTIVE ACTIONS
+
This control enhancement requires organizations to determine the current time it takes
+ on the average to correct information system flaws after such flaws have been identified,
+ and subsequently establish organizational benchmarks (i.e., time frames) for taking
+ corrective actions. Benchmarks can be established by type of flaw and/or severity
+ of the potential vulnerability if the flaw can be exploited.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
measures the time between flaw identification and flaw remediation;
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines benchmarks for taking corrective actions; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
establishes organization-defined benchmarks for taking corrective actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing flaw remediation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of benchmarks for taking corrective action on flaws identified
+
+
+
records providing time stamps of flaw identification and subsequent flaw remediation
+ activities
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for flaw remediation
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for identifying, reporting, and correcting information system
+ flaws
+
+
+
automated mechanisms used to measure the time between flaw identification and flaw
+ remediation
+
Parameter: si-2_d organization-defined security-relevant software and firmware updates
+
+
+
Default: organization-defined security-relevant software and firmware updates
+
+
+
+
+
+
+
Parameter: si-2_e organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
Control
+
+
+
The organization installs si-2_d organization-defined security-relevant software and firmware updates [organization-defined security-relevant software and firmware updates] automatically to si-2_e organization-defined information system components [organization-defined information system components].
+
+
+
+
+
Supplemental guidance
+
+
+
Due to information system integrity and availability concerns, organizations give
+ careful consideration to the methodology used to carry out automatic updates. Organizations
+ must balance the need to ensure that the updates are installed as soon as possible
+ with the need to maintain configuration management and with any mission or operational
+ impacts that automatic updates might impose.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
+
+
+
+
[a]
+
+
+
+
+
defines information system components requiring security-relevant software updates
+ to be automatically installed;
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
defines information system components requiring security-relevant firmware updates
+ to be automatically installed;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
+
+
+
+
[a]
+
+
+
+
+
defines security-relevant software updates to be automatically installed to organization-defined
+ information system components;
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
defines security-relevant firmware updates to be automatically installed to organization-defined
+ information system components;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
+
+
+
+
[a]
+
+
+
+
+
installs organization-defined security-relevant software updates automatically to
+ organization-defined information system components; and
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
installs organization-defined security-relevant firmware updates automatically to
+ organization-defined information system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing flaw remediation
+
+
+
automated mechanisms supporting flaw remediation and automatic software/firmware updates
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
records of recent security-relevant software and firmware updates automatically installed
+ to information system components
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for flaw remediation
+
SI-2 (6) REMOVAL OF PREVIOUS VERSIONS OF SOFTWARE / FIRMWARE
+
+
+
+
+
+
Parameter: si-2_f organization-defined software and firmware components
+
+
+
Default: organization-defined software and firmware components
+
+
+
+
+
+
Control
+
+
+
The organization removes si-2_f organization-defined software and firmware components [organization-defined software and firmware components] after updated versions have been installed.
+
+
+
+
+
Supplemental guidance
+
+
+
Previous versions of software and/or firmware components that are not removed from
+ the information system after updates have been installed may be exploited by adversaries.
+ Some information technology products may remove older versions of software and/or
+ firmware automatically from the information system.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
+
+
+
+
[a]
+
+
+
+
+
defines software components to be removed after updated versions have been installed;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
defines firmware components to be removed after updated versions have been installed;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
+
+
+
+
[a]
+
+
+
+
+
removes organization-defined software components after updated versions have been
+ installed; and
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
removes organization-defined firmware components after updated versions have been
+ installed.
+
information system configuration settings and associated documentation
+
+
+
records of software and firmware component removals after updated versions are installed
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for flaw remediation
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing removal of previous versions of
+ software/firmware
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-40
+
+
+
+
+
+
NIST Special Publication 800-128
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW SI-2
+
+
MOD SI-2 (2)
+
+
HIGH SI-2 (1) (2)
+
+
+
+
+
+
+
+
SI-3 MALICIOUS CODE PROTECTION
+
+
+
+
+
+
Parameter: si-3_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: si-3_b organization-defined action
+
+
+
Default: organization-defined action
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Employs malicious code protection mechanisms at information system entry and exit
+ points to detect and eradicate malicious code;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Updates malicious code protection mechanisms whenever new releases are available in
+ accordance with organizational configuration management policy and procedures;
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Configures malicious code protection mechanisms to:
+
+
+
+
+
+
1.
+
+
+
+
+
Perform periodic scans of the information system si-3_a organization-defined frequency [organization-defined frequency] and real-time scans of files from external sources at [Selection (one or more); endpoint;
+ network entry/exit points] as the files are downloaded, opened, or executed in accordance
+ with organizational security policy; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
[Selection (one or more): block malicious code; quarantine malicious code; send alert
+ to administrator; si-3_b organization-defined action [organization-defined action]] in response to malicious code detection; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Addresses the receipt of false positives during malicious code detection and eradication
+ and the resulting potential impact on the availability of the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Information system entry and exit points include, for example, firewalls, electronic
+ mail servers, web servers, proxy servers, remote-access servers, workstations, notebook
+ computers, and mobile devices. Malicious code includes, for example, viruses, worms,
+ Trojan horses, and spyware. Malicious code can also be encoded in various formats
+ (e.g., UUENCODE, Unicode), contained within compressed or hidden files, or hidden
+ in files using steganography. Malicious code can be transported by different means
+ including, for example, web accesses, electronic mail, electronic mail attachments,
+ and portable storage devices. Malicious code insertions occur through the exploitation
+ of information system vulnerabilities. Malicious code protection mechanisms include,
+ for example, anti-virus signature definitions and reputation-based technologies. A
+ variety of technologies and methods exist to limit or eliminate the effects of malicious
+ code. Pervasive configuration management and comprehensive software integrity controls
+ may be effective in preventing execution of unauthorized code. In addition to commercial
+ off-the-shelf software, malicious code may also be present in custom-built software.
+ This could include, for example, logic bombs, back doors, and other types of cyber
+ attacks that could affect organizational missions/business functions. Traditional
+ malicious code protection mechanisms cannot always detect such code. In these situations,
+ organizations rely instead on other safeguards including, for example, secure coding
+ practices, configuration management and control, trusted procurement processes, and
+ monitoring practices to help ensure that software does not perform functions other
+ than the functions intended. Organizations may determine that in response to the detection
+ of malicious code, different actions may be warranted. For example, organizations
+ can define actions in response to malicious code detection during periodic scans,
+ actions in response to detection of malicious downloads, and/or actions in response
+ to detection of maliciousness when attempting to open or execute files.
+
employs malicious code protection mechanisms to detect and eradicate malicious code
+ at information system:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
entry points;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
exit points;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
updates malicious code protection mechanisms whenever new releases are available in
+ accordance with organizational configuration management policy and procedures (as
+ identified in CM-1);
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines a frequency for malicious code protection mechanisms to perform periodic scans
+ of the information system;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines action to be initiated by malicious protection mechanisms in response to
+ malicious code detection;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
+
+
+
+
(1)
+
+
+
+
+
configures malicious code protection mechanisms to:
+
+
+
+
+
+
[a]
+
+
+
+
+
perform periodic scans of the information system with the organization-defined frequency;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
perform real-time scans of files from external sources at endpoint and/or network
+ entry/exit points as the files are downloaded, opened, or executed in accordance with
+ organizational security policy;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
configures malicious code protection mechanisms to do one or more of the following:
+
+
+
+
+
+
[a]
+
+
+
+
+
block malicious code in response to malicious code detection;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
quarantine malicious code in response to malicious code detection;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
send alert to administrator in response to malicious code detection; and/or
+
+
+
+
+
+
+
+
+
+
+
[d]
+
+
+
+
+
initiate organization-defined action in response to malicious code detection;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
addresses the receipt of false positives during malicious code detection and eradication;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
addresses the resulting potential impact on the availability of the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
configuration management policy and procedures
+
+
+
procedures addressing malicious code protection
+
+
+
malicious code protection mechanisms
+
+
+
records of malicious code protection updates
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
scan results from malicious code protection mechanisms
+
+
+
record of actions initiated by malicious code protection mechanisms in response to
+ malicious code detection
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for malicious code protection
+
+
+
organizational personnel with configuration management responsibility
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for employing, updating, and configuring malicious code protection
+ mechanisms
+
+
+
organizational process for addressing false positives and resulting potential impact
+
The organization centrally manages malicious code protection mechanisms.
+
+
+
+
Supplemental guidance
+
+
+
Central management is the organization-wide management and implementation of malicious
+ code protection mechanisms. Central management includes planning, implementing, assessing,
+ authorizing, and monitoring the organization-defined, centrally managed flaw malicious
+ code protection security controls.
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for malicious code protection
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for central management of malicious code protection mechanisms
+
+
+
automated mechanisms supporting and/or implementing central management of malicious
+ code protection mechanisms
+
+
+
+
+
+
+
SI-3 (2) AUTOMATIC UPDATES
+
+
+
+
+
+
+
Control
+
+
+
The information system automatically updates malicious code protection mechanisms.
+
+
+
+
Supplemental guidance
+
+
+
Malicious code protection mechanisms include, for example, signature definitions.
+ Due to information system integrity and availability concerns, organizations give
+ careful consideration to the methodology used to carry out automatic updates.
+
The information system updates malicious code protection mechanisms only when directed
+ by a privileged user.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement may be appropriate for situations where for reasons of security
+ or operational continuity, updates are only applied when selected/approved by designated
+ organizational personnel.
+
Parameter: si-3_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Tests malicious code protection mechanisms si-3_c organization-defined frequency [organization-defined frequency] by introducing a known benign, non-spreading test case into the information system;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Verifies that both detection of the test case and associated incident reporting occur.
defines a frequency to test malicious code protection mechanisms;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
tests malicious code protection mechanisms with the organization-defined frequency
+ by introducing a known benign, non-spreading test case into the information system;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
verifies that detection of the test case occurs; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
verifies that associated incident reporting occurs.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing malicious code protection
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
test cases
+
+
+
records providing evidence of test cases executed on malicious code protection mechanisms
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for malicious code protection
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing testing and verification of malicious
+ code protection capability
+
+
+
+
+
+
+
SI-3 (7) NONSIGNATURE-BASED DETECTION
+
+
+
+
+
Control
+
+
+
The information system implements nonsignature-based malicious code detection mechanisms.
+
+
+
+
Supplemental guidance
+
+
+
Nonsignature-based detection mechanisms include, for example, the use of heuristics
+ to detect, analyze, and describe the characteristics or behavior of malicious code
+ and to provide safeguards against malicious code for which signatures do not yet exist
+ or for which existing signatures may not be effective. This includes polymorphic malicious
+ code (i.e., code that changes signatures when it replicates). This control enhancement
+ does not preclude the use of signature-based detection mechanisms.
+
+
+
+
+
Objective
+
+
+
Determine if the information system implements non signature-based malicious code
+ detection mechanisms.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing malicious code protection
+
+
+
information system design documentation
+
+
+
malicious code protection mechanisms
+
+
+
records of malicious code protection updates
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for malicious code protection
+
Parameter: si-3_d organization-defined unauthorized operating system commands
+
+
+
Default: organization-defined unauthorized operating system commands
+
+
+
+
+
+
+
Parameter: si-3_e organization-defined information system hardware components
+
+
+
Default: organization-defined information system hardware components
+
+
+
+
+
+
Control
+
+
+
The information system detects si-3_d organization-defined unauthorized operating system commands [organization-defined unauthorized operating system commands] through the kernel application programming interface at si-3_e organization-defined information system hardware components [organization-defined information system hardware components] and [Selection (one or more): issues a warning; audits the command execution; prevents
+ the execution of the command].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement can also be applied to critical interfaces other than kernel-based
+ interfaces, including for example, interfaces with virtual machines and privileged
+ applications. Unauthorized operating system commands include, for example, commands
+ for kernel functions from information system processes that are not trusted to initiate
+ such commands, or commands for kernel functions that are suspicious even though commands
+ of that type are reasonable for processes to initiate. Organizations can define the
+ malicious commands to be detected by a combination of command types, command classes,
+ or specific instances of commands. Organizations can define hardware components by
+ specific component, component type, location in the network, or combination therein.
+ Organizations may select different actions for different types/classes/specific instances
+ of potentially malicious commands.
+
the organization defines unauthorized operating system commands to be detected by
+ the information system;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines information system hardware components for which organization-defined
+ unauthorized operating system commands are to be detected through the kernel application
+ programming interface;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system detects organization-defined unauthorized operating system
+ commands through the kernel application programming interface at organization-defined
+ information system hardware components, and does one or more of the following:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
issues a warning;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
audits the command execution; and/or
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
prevents the execution of the command.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing malicious code protection
+
+
+
information system design documentation
+
+
+
malicious code protection mechanisms
+
+
+
warning messages sent upon detection of unauthorized operating system command execution
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for malicious code protection
+
automated mechanisms supporting and/or implementing detection of unauthorized operating
+ system commands through the kernel application programming interface
+
The information system implements si-3_f organization-defined security safeguards [organization-defined security safeguards] to authenticate si-3_g organization-defined remote commands [organization-defined remote commands].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement protects against unauthorized commands and replay of authorized
+ commands. This capability is important for those remote information systems whose
+ loss, malfunction, misdirection, or exploitation would have immediate and/or serious
+ consequences (e.g., injury or death, property damage, loss of high-valued assets or
+ sensitive information, or failure of important missions/business functions). Authentication
+ safeguards for remote commands help to ensure that information systems accept and
+ execute in the order intended, only authorized commands, and that unauthorized commands
+ are rejected. Cryptographic mechanisms can be employed, for example, to authenticate
+ remote commands.
+
Parameter: si-3_h organization-defined tools and techniques
+
+
+
Default: organization-defined tools and techniques
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Employs si-3_h organization-defined tools and techniques [organization-defined tools and techniques] to analyze the characteristics and behavior of malicious code; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Incorporates the results from malicious code analysis into organizational incident
+ response and flaw remediation processes.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
The application of selected malicious code analysis tools and techniques provides
+ organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics,
+ techniques, and procedures) and the functionality and purpose of specific instances
+ of malicious code. Understanding the characteristics of malicious code facilitates
+ more effective organizational responses to current and future threats. Organizations
+ can conduct malicious code analyses by using reverse engineering techniques or by
+ monitoring the behavior of executing code.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines tools and techniques to be employed to analyze the characteristics and behavior
+ of malicious code;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs organization-defined tools and techniques to analyze the characteristics and
+ behavior of malicious code; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
incorporates the results from malicious code analysis into incident response and flaw
+ remediate processes.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing malicious code protection
+
+
+
procedures addressing incident response
+
+
+
procedures addressing flaw remediation
+
+
+
information system design documentation
+
+
+
malicious code protection mechanisms, tools, and techniques
+
+
+
information system configuration settings and associated documentation
+
+
+
results from malicious code analyses
+
+
+
records of flaw remediation events resulting from malicious code analyses
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for malicious code protection
+
+
+
organizational personnel responsible for flaw remediation
+
+
+
organizational personnel responsible for incident response/management
+
Parameter: si-4_b organization-defined techniques and methods
+
+
+
Default: organization-defined techniques and methods
+
+
+
+
+
+
+
Parameter: si-4_c organization-defined information system monitoring information
+
+
+
Default: organization-defined information system monitoring information
+
+
+
+
+
+
+
Parameter: si-4_d organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: si-4_e organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Monitors the information system to detect:
+
+
+
+
+
+
1.
+
+
+
+
+
Attacks and indicators of potential attacks in accordance with si-4_a organization-defined monitoring objectives [organization-defined monitoring objectives]; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Unauthorized local, network, and remote connections;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Identifies unauthorized use of the information system through si-4_b organization-defined techniques and methods [organization-defined techniques and methods];
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Deploys monitoring devices:
+
+
+
+
+
+
1.
+
+
+
+
+
Strategically within the information system to collect organization-determined essential
+ information; and
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
At ad hoc locations within the system to track specific types of transactions of interest
+ to the organization;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Protects information obtained from intrusion-monitoring tools from unauthorized access,
+ modification, and deletion;
+
+
+
+
+
+
+
+
+
+
+
+
e.
+
+
+
+
+
Heightens the level of information system monitoring activity whenever there is an
+ indication of increased risk to organizational operations and assets, individuals,
+ other organizations, or the Nation based on law enforcement information, intelligence
+ information, or other credible sources of information;
+
+
+
+
+
+
+
+
+
+
+
+
f.
+
+
+
+
+
Obtains legal opinion with regard to information system monitoring activities in accordance
+ with applicable federal laws, Executive Orders, directives, policies, or regulations;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
g.
+
+
+
+
+
Provides si-4_c organization-defined information system monitoring information [organization-defined information system monitoring information] to si-4_d organization-defined personnel or roles [organization-defined personnel or roles] [Selection (one or more): as needed; si-4_e organization-defined frequency [organization-defined frequency]].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Information system monitoring includes external and internal monitoring. External
+ monitoring includes the observation of events occurring at the information system
+ boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring
+ includes the observation of events occurring within the information system. Organizations
+ can monitor information systems, for example, by observing audit activities in real
+ time or by observing other system aspects such as access patterns, characteristics
+ of access, and other actions. The monitoring objectives may guide determination of
+ the events. Information system monitoring capability is achieved through a variety
+ of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems,
+ malicious code protection software, scanning tools, audit record monitoring software,
+ network monitoring software). Strategic locations for monitoring devices include,
+ for example, selected perimeter locations and near server farms supporting critical
+ applications, with such devices typically being employed at the managed interfaces
+ associated with controls SC-7 and AC-17. Einstein network monitoring devices from
+ the Department of Homeland Security can also be included as monitoring devices. The
+ granularity of monitoring information collected is based on organizational monitoring
+ objectives and the capability of information systems to support such objectives. Specific
+ types of transactions of interest include, for example, Hyper Text Transfer Protocol
+ (HTTP) traffic that bypasses HTTP proxies. Information system monitoring is an integral
+ part of organizational continuous monitoring and incident response programs. Output
+ from system monitoring serves as input to continuous monitoring and incident response
+ programs. A network connection is any connection with a device that communicates through
+ a network (e.g., local area network, Internet). A remote connection is any connection
+ with a device communicating through an external network (e.g., the Internet). Local,
+ network, and remote connections can be either wired or wireless.
+
defines monitoring objectives to detect attacks and indicators of potential attacks
+ on the information system;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
monitors the information system to detect, in accordance with organization-defined
+ monitoring objectives,:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
attacks;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
indicators of potential attacks;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
monitors the information system to detect unauthorized:
+
+
+
+
+
+
[1]
+
+
+
+
+
local connections;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
network connections;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
remote connections;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
(1)
+
+
+
+
+
defines techniques and methods to identify unauthorized use of the information system;
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
identifies unauthorized use of the information system through organization-defined
+ techniques and methods;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
deploys monitoring devices:
+
+
+
+
+
+
[1]
+
+
+
+
+
strategically within the information system to collect organization-determined essential
+ information;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
at ad hoc locations within the system to track specific types of transactions of interest
+ to the organization;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
protects information obtained from intrusion-monitoring tools from unauthorized:
+
+
+
+
+
+
[1]
+
+
+
+
+
access;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
modification;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
deletion;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(e)
+
+
+
+
+
heightens the level of information system monitoring activity whenever there is an
+ indication of increased risk to organizational operations and assets, individuals,
+ other organizations, or the Nation based on law enforcement information, intelligence
+ information, or other credible sources of information;
+
+
+
+
+
+
+
+
+
+
+
+
(f)
+
+
+
+
+
obtains legal opinion with regard to information system monitoring activities in accordance
+ with applicable federal laws, Executive Orders, directives, policies, or regulations;
+
+
+
+
+
+
+
+
+
+
+
+
(g)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to whom information system monitoring information is to
+ be provided;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines information system monitoring information to be provided to organization-defined
+ personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines a frequency to provide organization-defined information system monitoring
+ to organization-defined personnel or roles;
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
provides organization-defined information system monitoring information to organization-defined
+ personnel or roles one or more of the following:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
as needed; and/or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Continuous monitoring strategy
+
+
+
system and information integrity policy
+
+
+
procedures addressing information system monitoring tools and techniques
+
+
+
facility diagram/layout
+
+
+
information system design documentation
+
+
+
information system monitoring tools and techniques documentation
+
+
+
locations within information system where monitoring devices are deployed
+
+
+
information system configuration settings and associated documentation
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility monitoring the information system
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for information system monitoring
+
+
+
automated mechanisms supporting and/or implementing information system monitoring
+ capability
+
+
+
+
+
+
+
Control enhancements
+
+
SI-4 (1) SYSTEM-WIDE INTRUSION DETECTION SYSTEM
+
+
+
+
+
Control
+
+
+
The organization connects and configures individual intrusion detection tools into
+ an information system-wide intrusion detection system.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
connects individual intrusion detection tools into an information system-wide intrusion
+ detection system; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
configures individual intrusion detection tools into an information system-wide intrusion
+ detection system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing information system monitoring tools and techniques
+
+
+
information system design documentation
+
+
+
information system monitoring tools and techniques documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for monitoring the information system
+
+
+
organizational personnel with responsibility for the intrusion detection system
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for intrusion detection/information system monitoring
+
The organization employs automated tools to support near real-time analysis of events.
+
+
+
+
Supplemental guidance
+
+
+
Automated tools include, for example, host-based, network-based, transport-based,
+ or storage-based event monitoring tools or Security Information and Event Management
+ (SIEM) technologies that provide real time analysis of alerts and/or notifications
+ generated by organizational information systems.
+
+
+
+
+
Objective
+
+
+
Determine if the organization employs automated tools to support near real-time analysis
+ of events.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing information system monitoring tools and techniques
+
+
+
information system design documentation
+
+
+
information system monitoring tools and techniques documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for monitoring the information system
+
+
+
organizational personnel with responsibility for incident response/management
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for near real-time analysis of events
+
+
+
organizational processes for information system monitoring
+
+
+
automated mechanisms supporting and/or implementing information system monitoring
+
+
+
automated mechanisms/tools supporting and/or implementing analysis of events
+
+
+
+
+
+
+
SI-4 (3) AUTOMATED TOOL INTEGRATION
+
+
+
+
+
Control
+
+
+
The organization employs automated tools to integrate intrusion detection tools into
+ access control and flow control mechanisms for rapid response to attacks by enabling
+ reconfiguration of these mechanisms in support of attack isolation and elimination.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization, for rapid response to attacks by enabling reconfiguration
+ of intrusion detection tools in support of attack isolation and elimination, employs
+ automated tools to integrate intrusion detection tools into:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
access control mechanisms; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
flow control mechanisms.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
access control policy and procedures
+
+
+
procedures addressing information system monitoring tools and techniques
+
+
+
information system design documentation
+
+
+
information system monitoring tools and techniques documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for monitoring the information system
+
+
+
organizational personnel with responsibility for the intrusion detection system
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for intrusion detection/information system monitoring
+
automated mechanisms/tools supporting and/or implementing access/flow control capability
+
+
+
automated mechanisms/tools supporting and/or implementing integration of intrusion
+ detection tools into access/flow control mechanisms
+
+
+
+
+
+
+
SI-4 (4) INBOUND AND OUTBOUND COMMUNICATIONS TRAFFIC
+
+
+
+
+
+
Parameter: si-4_f organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
Control
+
+
+
The information system monitors inbound and outbound communications traffic si-4_f organization-defined frequency [organization-defined frequency] for unusual or unauthorized activities or conditions.
+
+
+
+
+
Supplemental guidance
+
+
+
Unusual/unauthorized activities or conditions related to information system inbound
+ and outbound communications traffic include, for example, internal traffic that indicates
+ the presence of malicious code within organizational information systems or propagating
+ among system components, the unauthorized exporting of information, or signaling to
+ external information systems. Evidence of malicious code is used to identify potentially
+ compromised information systems or information system components.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines a frequency to monitor:
+
+
+
+
+
+
[a]
+
+
+
+
+
inbound communications traffic for unusual or unauthorized activities or conditions;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
outbound communications traffic for unusual or unauthorized activities or conditions;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
monitors, with the organization-defined frequency:
+
+
+
+
+
+
[a]
+
+
+
+
+
inbound communications traffic for unusual or unauthorized activities or conditions;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
outbound communications traffic for unusual or unauthorized activities or conditions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing information system monitoring tools and techniques
+
+
+
information system design documentation
+
+
+
information system monitoring tools and techniques documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system protocols
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for monitoring the information system
+
+
+
organizational personnel with responsibility for the intrusion detection system
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for intrusion detection/information system monitoring
+
The information system alerts si-4_g organization-defined personnel or roles [organization-defined personnel or roles] when the following indications of compromise or potential compromise occur: si-4_h organization-defined compromise indicators [organization-defined compromise indicators].
+
+
+
+
+
Supplemental guidance
+
+
+
Alerts may be generated from a variety of sources, including, for example, audit records
+ or inputs from malicious code protection mechanisms, intrusion detection or prevention
+ mechanisms, or boundary protection devices such as firewalls, gateways, and routers.
+ Alerts can be transmitted, for example, telephonically, by electronic mail messages,
+ or by text messaging. Organizational personnel on the notification list can include,
+ for example, system administrators, mission/business owners, system owners, or information
+ system security officers.
+
SI-4 (7) AUTOMATED RESPONSE TO SUSPICIOUS EVENTS
+
+
+
+
+
+
Parameter: si-4_i organization-defined incident response personnel (identified by name and/or by role)
+
+
+
Default: organization-defined incident response personnel (identified by name and/or by role)
+
+
+
+
+
+
+
Parameter: si-4_j organization-defined least-disruptive actions to terminate suspicious events
+
+
+
Default: organization-defined least-disruptive actions to terminate suspicious events
+
+
+
+
+
+
Control
+
+
+
The information system notifies si-4_i organization-defined incident response personnel (identified by name and/or by role) [organization-defined incident response personnel (identified by name and/or by role)] of detected suspicious events and takes si-4_j organization-defined least-disruptive actions to terminate suspicious events [organization-defined least-disruptive actions to terminate suspicious events].
+
+
+
+
+
Supplemental guidance
+
+
+
Least-disruptive actions may include, for example, initiating requests for human responses.
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines incident response personnel (identified by name and/or by
+ role) to be notified of detected suspicious events;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines least-disruptive actions to be taken by the information system
+ to terminate suspicious events;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system notifies organization-defined incident response personnel of
+ detected suspicious events; and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
the information system takes organization-defined least-disruptive actions to terminate
+ suspicious events.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing information system monitoring tools and techniques
+
+
+
information system design documentation
+
+
+
information system monitoring tools and techniques documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
alerts/notifications generated based on detected suspicious events
+
+
+
records of actions taken to terminate suspicious events
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for monitoring the information system
+
+
+
organizational personnel with responsibility for the intrusion detection system
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for intrusion detection/information system monitoring
+
Parameter: si-4_k organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
Control
+
+
+
The organization tests intrusion-monitoring tools si-4_k organization-defined frequency [organization-defined frequency].
+
+
+
+
+
Supplemental guidance
+
+
+
Testing intrusion-monitoring tools is necessary to ensure that the tools are operating
+ correctly and continue to meet the monitoring objectives of organizations. The frequency
+ of testing depends on the types of tools used by organizations and methods of deployment.
+
Parameter: si-4_m organization-defined information system monitoring tools
+
+
+
Default: organization-defined information system monitoring tools
+
+
+
+
+
+
Control
+
+
+
The organization makes provisions so that si-4_l organization-defined encrypted communications traffic [organization-defined encrypted communications traffic] is visible to si-4_m organization-defined information system monitoring tools [organization-defined information system monitoring tools].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations balance the potentially conflicting needs for encrypting communications
+ traffic and for having insight into such traffic from a monitoring perspective. For
+ some organizations, the need to ensure the confidentiality of communications traffic
+ is paramount; for others, mission-assurance is of greater concern. Organizations determine
+ whether the visibility requirement applies to internal encrypted traffic, encrypted
+ traffic intended for external destinations, or a subset of the traffic types.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines encrypted communications traffic required to be visible to information system
+ monitoring tools;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines information system monitoring tools to be provided access to organization-defined
+ encrypted communications traffic; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
makes provisions so that organization-defined encrypted communications traffic is
+ visible to organization-defined information system monitoring tools.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing information system monitoring tools and techniques
+
+
+
information system design documentation
+
+
+
information system monitoring tools and techniques documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system protocols
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for monitoring the information system
+
+
+
organizational personnel with responsibility for the intrusion detection system
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for intrusion detection/information system monitoring
+
Parameter: si-4_n organization-defined interior points within the system (e.g., subnetworks, subsystems)
+
+
+
Default: organization-defined interior points within the system (e.g., subnetworks, subsystems)
+
+
+
+
+
+
Control
+
+
+
The organization analyzes outbound communications traffic at the external boundary
+ of the information system and selected si-4_n organization-defined interior points within the system (e.g., subnetworks, subsystems) [organization-defined interior points within the system (e.g., subnetworks, subsystems)] to discover anomalies.
+
+
+
+
+
Supplemental guidance
+
+
+
Anomalies within organizational information systems include, for example, large file
+ transfers, long-time persistent connections, unusual protocols and ports in use, and
+ attempted communications with suspected malicious external addresses.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines interior points within the system (e.g., subnetworks, subsystems) where communications
+ traffic is to be analyzed;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
analyzes outbound communications traffic to discover anomalies at:
+
+
+
+
+
+
[a]
+
+
+
+
+
the external boundary of the information system; and
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
selected organization-defined interior points within the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing information system monitoring tools and techniques
+
+
+
information system design documentation
+
+
+
network diagram
+
+
+
information system monitoring tools and techniques documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system monitoring logs or records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for monitoring the information system
+
+
+
organizational personnel with responsibility for the intrusion detection system
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for intrusion detection/information system monitoring
+
automated mechanisms supporting and/or implementing analysis of communications traffic
+
+
+
+
+
+
+
SI-4 (12) AUTOMATED ALERTS
+
+
+
+
+
+
Parameter: si-4_o organization-defined activities that trigger alerts
+
+
+
Default: organization-defined activities that trigger alerts
+
+
+
+
+
+
Control
+
+
+
The organization employs automated mechanisms to alert security personnel of the following
+ inappropriate or unusual activities with security implications: si-4_o organization-defined activities that trigger alerts [organization-defined activities that trigger alerts].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement focuses on the security alerts generated by organizations
+ and transmitted using automated means. In contrast to the alerts generated by information
+ systems in SI-4 (5), which tend to focus on information sources internal to the systems
+ (e.g., audit records), the sources of information for this enhancement can include
+ other entities as well (e.g., suspicious activity reports, reports on potential insider
+ threats).
+
defines activities that trigger alerts to security personnel based on inappropriate
+ or unusual activities with security implications; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs automated mechanisms to alert security personnel of organization-defined activities
+ that trigger alerts based on inappropriate or unusual activities with security implications.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing information system monitoring tools and techniques
+
+
+
information system design documentation
+
+
+
information system monitoring tools and techniques documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of inappropriate or unusual activities (with security implications) that trigger
+ alerts
+
+
+
alerts/notifications provided to security personnel
+
+
+
information system monitoring logs or records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developers
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for monitoring the information system
+
+
+
organizational personnel with responsibility for the intrusion detection system
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for intrusion detection/information system monitoring
+
The organization employs a wireless intrusion detection system to identify rogue wireless
+ devices and to detect attack attempts and potential compromises/breaches to the information
+ system.
+
+
+
+
+
Supplemental guidance
+
+
+
Wireless signals may radiate beyond the confines of organization-controlled facilities.
+ Organizations proactively search for unauthorized wireless connections including the
+ conduct of thorough scans for unauthorized wireless access points. Scans are not limited
+ to those areas within facilities containing information systems, but also include
+ areas outside of facilities as needed, to verify that unauthorized wireless access
+ points are not connected to the systems.
+
The organization employs an intrusion detection system to monitor wireless communications
+ traffic as the traffic passes from wireless to wireline networks.
+
Determine if the organization employs an intrusion detection system to monitor wireless
+ communications traffic as the traffic passes from wireless to wireline networks.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing information system monitoring tools and techniques
+
+
+
information system design documentation
+
+
+
information system monitoring tools and techniques documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system protocols documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for monitoring the information system
+
+
+
organizational personnel with responsibility for the intrusion detection system
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for intrusion detection/information system monitoring
+
The organization correlates information from monitoring tools employed throughout
+ the information system.
+
+
+
+
+
Supplemental guidance
+
+
+
Correlating information from different monitoring tools can provide a more comprehensive
+ view of information system activity. The correlation of monitoring tools that usually
+ work in isolation (e.g., host monitoring, network monitoring, anti-virus software)
+ can provide an organization-wide view and in so doing, may reveal otherwise unseen
+ attack patterns. Understanding the capabilities/limitations of diverse monitoring
+ tools and how to maximize the utility of information generated by those tools can
+ help organizations to build, operate, and maintain effective monitoring programs.
+
automated mechanisms supporting and/or implementing correlation of information from
+ monitoring tools
+
+
+
+
+
+
+
SI-4 (17) INTEGRATED SITUATIONAL AWARENESS
+
+
+
+
+
Control
+
+
+
The organization correlates information from monitoring physical, cyber, and supply
+ chain activities to achieve integrated, organization-wide situational awareness.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement correlates monitoring information from a more diverse set
+ of information sources to achieve integrated situational awareness. Integrated situational
+ awareness from a combination of physical, cyber, and supply chain monitoring activities
+ enhances the capability of organizations to more quickly detect sophisticated cyber
+ attacks and investigate the methods and techniques employed to carry out such attacks.
+ In contrast to SI-4 (16) which correlates the various cyber monitoring information,
+ this control enhancement correlates monitoring beyond just the cyber domain. Such
+ monitoring may help reveal attacks on organizations that are operating across multiple
+ attack vectors.
+
automated mechanisms supporting and/or implementing correlation of information from
+ monitoring tools
+
+
+
+
+
+
+
SI-4 (18) ANALYZE TRAFFIC / COVERT EXFILTRATION
+
+
+
+
+
+
Parameter: si-4_p organization-defined interior points within the system (e.g., subsystems, subnetworks)
+
+
+
Default: organization-defined interior points within the system (e.g., subsystems, subnetworks)
+
+
+
+
+
+
Control
+
+
+
The organization analyzes outbound communications traffic at the external boundary
+ of the information system (i.e., system perimeter) and at si-4_p organization-defined interior points within the system (e.g., subsystems, subnetworks) [organization-defined interior points within the system (e.g., subsystems, subnetworks)] to detect covert exfiltration of information.
+
+
+
+
+
Supplemental guidance
+
+
+
Covert means that can be used for the unauthorized exfiltration of organizational
+ information include, for example, steganography.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines interior points within the system (e.g., subsystems, subnetworks) where communications
+ traffic is to be analyzed;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
to detect covert exfiltration of information, analyzes outbound communications traffic
+ at:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
the external boundary of the information system (i.e., system perimeter); and
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
organization-defined interior points within the system.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing information system monitoring tools and techniques
+
+
+
information system design documentation
+
+
+
network diagram
+
+
+
information system monitoring tools and techniques documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system monitoring logs or records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for monitoring the information system
+
+
+
organizational personnel with responsibility for the intrusion detection system
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for intrusion detection/information system monitoring
+
The organization implements si-4_q organization-defined additional monitoring [organization-defined additional monitoring] of individuals who have been identified by si-4_r organization-defined sources [organization-defined sources] as posing an increased level of risk.
+
+
+
+
+
Supplemental guidance
+
+
+
Indications of increased risk from individuals can be obtained from a variety of sources
+ including, for example, human resource records, intelligence agencies, law enforcement
+ organizations, and/or other credible sources. The monitoring of individuals is closely
+ coordinated with management, legal, security, and human resources officials within
+ organizations conducting such monitoring and complies with federal legislation, Executive
+ Orders, policies, directives, regulations, and standards.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines sources that identify individuals who pose an increased level of risk;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines additional monitoring to be implemented on individuals who have been identified
+ by organization-defined sources as posing an increased level of risk; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
implements organization-defined additional monitoring of individuals who have been
+ identified by organization-defined sources as posing an increased level of risk.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing information system monitoring
+
+
+
information system design documentation
+
+
+
list of individuals who have been identified as posing an increased level of risk
+
+
+
information system monitoring tools and techniques documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for monitoring the information system
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for information system monitoring
+
+
+
automated mechanisms supporting and/or implementing system monitoring capability
+
Parameter: si-4_u organization-defined probationary period
+
+
+
Default: organization-defined probationary period
+
+
+
+
+
+
Control
+
+
+
The organization implements si-4_t organization-defined additional monitoring [organization-defined additional monitoring] of individuals during si-4_u organization-defined probationary period [organization-defined probationary period].
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines additional monitoring to be implemented on individuals during probationary
+ periods;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines probationary period during which organization-defined additional monitoring
+ of individuals is to be performed; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
implements organization-defined additional monitoring of individuals during organization-defined
+ probationary period.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing information system monitoring
+
+
+
information system design documentation
+
+
+
information system monitoring tools and techniques documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system monitoring logs or records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for monitoring the information system
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for information system monitoring
+
+
+
automated mechanisms supporting and/or implementing system monitoring capability
+
+
+
+
+
+
+
SI-4 (22) UNAUTHORIZED NETWORK SERVICES
+
+
+
+
+
+
Parameter: si-4_v organization-defined authorization or approval processes
+
+
+
Default: organization-defined authorization or approval processes
+
+
+
+
+
+
+
Parameter: si-4_w organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
Control
+
+
+
The information system detects network services that have not been authorized or approved
+ by si-4_v organization-defined authorization or approval processes [organization-defined authorization or approval processes] and [Selection (one or more): audits; alerts si-4_w organization-defined personnel or roles [organization-defined personnel or roles]].
+
+
+
+
+
Supplemental guidance
+
+
+
Unauthorized or unapproved network services include, for example, services in service-oriented
+ architectures that lack organizational verification or validation and therefore may
+ be unreliable or serve as malicious rogues for valid services.
+
the organization defines authorization or approval processes for network services;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines personnel or roles to be alerted upon detection of network
+ services that have not been authorized or approved by organization-defined authorization
+ or approval processes;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system detects network services that have not been authorized or approved
+ by organization-defined authorization or approval processes and does one or more of
+ the following:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
audits; and/or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
alerts organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing information system monitoring tools and techniques
+
+
+
information system design documentation
+
+
+
information system monitoring tools and techniques documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
documented authorization/approval of network services
+
+
+
notifications or alerts of unauthorized network services
+
+
+
information system monitoring logs or records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for monitoring the information system
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for information system monitoring
+
+
+
automated mechanisms supporting and/or implementing system monitoring capability
+
+
+
automated mechanisms for auditing network services
+
Parameter: si-4_y organization-defined information system components
+
+
+
Default: organization-defined information system components
+
+
+
+
+
+
Control
+
+
+
The organization implements si-4_x organization-defined host-based monitoring mechanisms [organization-defined host-based monitoring mechanisms] at si-4_y organization-defined information system components [organization-defined information system components].
+
+
+
+
+
Supplemental guidance
+
+
+
Information system components where host-based monitoring can be implemented include,
+ for example, servers, workstations, and mobile devices. Organizations consider employing
+ host-based monitoring mechanisms from multiple information technology product developers.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines host-based monitoring mechanisms to be implemented;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines information system components where organization-defined host-based monitoring
+ is to be implemented; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
implements organization-defined host-based monitoring mechanisms at organization-defined
+ information system components.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing information system monitoring tools and techniques
+
+
+
information system design documentation
+
+
+
host-based monitoring mechanisms
+
+
+
information system monitoring tools and techniques documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of information system components requiring host-based monitoring
+
+
+
information system monitoring logs or records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for monitoring information system hosts
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for information system monitoring
+
The information system discovers, collects, distributes, and uses indicators of compromise.
+
+
+
+
Supplemental guidance
+
+
+
Indicators of compromise (IOC) are forensic artifacts from intrusions that are identified
+ on organizational information systems (at the host or network level). IOCs provide
+ organizations with valuable information on objects or information systems that have
+ been compromised. IOCs for the discovery of compromised hosts can include for example,
+ the creation of registry key values. IOCs for network traffic include, for example,
+ Universal Resource Locator (URL) or protocol elements that indicate malware command
+ and control servers. The rapid distribution and adoption of IOCs can improve information
+ security by reducing the time that information systems and organizations are vulnerable
+ to the same exploit or attack.
+
+
+
+
+
+
+
+
+
+
+
Determine if the information system:
+
+
+
+
+
+
[1]
+
+
+
+
+
discovers indicators of compromise;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
collects indicators of compromise;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
distributes indicators of compromise; and
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
uses indicators of compromise.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing information system monitoring
+
+
+
information system design documentation
+
+
+
information system monitoring tools and techniques documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system monitoring logs or records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
System/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
organizational personnel installing, configuring, and/or maintaining the information
+ system
+
+
+
organizational personnel with responsibility for monitoring information system hosts
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for information system monitoring
+
+
+
organizational processes for discovery, collection, distribution, and use of indicators
+ of compromise
+
+
+
automated mechanisms supporting and/or implementing system monitoring capability
+
+
+
automated mechanisms supporting and/or implementing the discovery, collection, distribution,
+ and use of indicators of compromise
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-61
+
+
+
+
+
+
NIST Special Publication 800-83
+
+
+
+
+
+
NIST Special Publication 800-92
+
+
+
+
+
+
NIST Special Publication 800-94
+
+
+
+
+
+
NIST Special Publication 800-137
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW SI-4
+
+
MOD SI-4 (2) (4) (5)
+
+
HIGH SI-4 (2) (4) (5)
+
+
+
+
+
+
+
+
SI-5 SECURITY ALERTS, ADVISORIES, AND DIRECTIVES
+
Receives information system security alerts, advisories, and directives from si-5_a organization-defined external organizations [organization-defined external organizations] on an ongoing basis;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Generates internal security alerts, advisories, and directives as deemed necessary;
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Disseminates security alerts, advisories, and directives to: [Selection (one or more):
+ si-5_b organization-defined personnel or roles [organization-defined personnel or roles]; si-5_c organization-defined elements within the organization [organization-defined elements within the organization]; si-5_d organization-defined external organizations [organization-defined external organizations]]; and
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Implements security directives in accordance with established time frames, or notifies
+ the issuing organization of the degree of noncompliance.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
The United States Computer Emergency Readiness Team (US-CERT) generates security alerts
+ and advisories to maintain situational awareness across the federal government. Security
+ directives are issued by OMB or other designated organizations with the responsibility
+ and authority to issue such directives. Compliance to security directives is essential
+ due to the critical nature of many of these directives and the potential immediate
+ adverse effects on organizational operations and assets, individuals, other organizations,
+ and the Nation should the directives not be implemented in a timely manner. External
+ organizations include, for example, external mission/business partners, supply chain
+ partners, external service providers, and other peer/supporting organizations.
+
The organization employs automated mechanisms to make security alert and advisory
+ information available throughout the organization.
+
+
+
+
+
Supplemental guidance
+
+
+
The significant number of changes to organizational information systems and the environments
+ in which those systems operate requires the dissemination of security-related information
+ to a variety of organizational entities that have a direct interest in the success
+ of organizational missions and business functions. Based on the information provided
+ by the security alerts and advisories, changes may be required at one or more of the
+ three tiers related to the management of information security risk including the governance
+ level, mission/business process/enterprise architecture level, and the information
+ system level.
+
+
+
+
+
Objective
+
+
+
Determine if the organization employs automated mechanisms to make security alert
+ and advisory information available throughout the organization.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing security alerts, advisories, and directives
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
automated mechanisms supporting the distribution of security alert and advisory information
+
+
+
records of security alerts and advisories
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security alert and advisory responsibilities
+
+
+
organizational personnel implementing, operating, maintaining, and using the information
+ system
+
+
+
organizational personnel, organizational elements, and/or external organizations to
+ whom alerts and advisories are to be disseminated
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for defining, receiving, generating, and disseminating security
+ alerts and advisories
+
+
+
automated mechanisms supporting and/or implementing dissemination of security alerts
+ and advisories
+
Parameter: si-6_b organization-defined system transitional states
+
+
+
Default: organization-defined system transitional states
+
+
+
+
+
+
+
Parameter: si-6_c organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: si-6_d organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: si-6_e organization-defined alternative action(s)
+
+
+
Default: organization-defined alternative action(s)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The information system:
+
+
+
+
+
+
a.
+
+
+
+
+
Verifies the correct operation of si-6_a organization-defined security functions [organization-defined security functions];
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Performs this verification [Selection (one or more): si-6_b organization-defined system transitional states [organization-defined system transitional states]; upon command by user with appropriate privilege; si-6_c organization-defined frequency [organization-defined frequency]];
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Notifies si-6_d organization-defined personnel or roles [organization-defined personnel or roles] of failed security verification tests; and
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
[Selection (one or more): shuts the information system down; restarts the information
+ system; si-6_e organization-defined alternative action(s) [organization-defined alternative action(s)]] when anomalies are discovered.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Transitional states for information systems include, for example, system startup,
+ restart, shutdown, and abort. Notifications provided by information systems include,
+ for example, electronic alerts to system administrators, messages to local computer
+ consoles, and/or hardware indications such as lights.
+
Determine if the information system implements automated mechanisms to support the
+ management of distributed security testing.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing security function verification
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security function verification responsibilities
+
+
+
organizational personnel implementing, operating, and maintaining the information
+ system
+
+
+
system/network administrators
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for security function verification
+
+
+
automated mechanisms supporting and/or implementing the management of distributed
+ security testing
+
+
+
+
+
+
+
SI-6 (3) REPORT VERIFICATION RESULTS
+
+
+
+
+
+
Parameter: si-6_f organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
Control
+
+
+
The organization reports the results of security function verification to si-6_f organization-defined personnel or roles [organization-defined personnel or roles].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizational personnel with potential interest in security function verification
+ results include, for example, senior information security officers, information system
+ security managers, and information systems security officers.
+
defines personnel or roles designated to receive the results of security function
+ verification; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reports the results of security function verification to organization-defined personnel
+ or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing security function verification
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
records of security function verification results
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with security function verification responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for reporting security function verification results
+
+
+
automated mechanisms supporting and/or implementing the reporting of security function
+ verification results
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH SI-6
+
+
+
+
+
+
+
+
SI-7 SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY
+
+
+
+
+
+
Parameter: si-7_a organization-defined software, firmware, and information
+
+
+
Default: organization-defined software, firmware, and information
+
+
+
+
+
+
+
+
+
Control
+
+
+
The organization employs integrity verification tools to detect unauthorized changes
+ to si-7_a organization-defined software, firmware, and information [organization-defined software, firmware, and information].
+
+
+
+
+
Supplemental guidance
+
+
+
Unauthorized changes to software, firmware, and information can occur due to errors
+ or malicious activity (e.g., tampering). Software includes, for example, operating
+ systems (with key internal components such as kernels, drivers), middleware, and applications.
+ Firmware includes, for example, the Basic Input Output System (BIOS). Information
+ includes metadata such as security attributes associated with information. State-of-the-practice
+ integrity-checking mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic
+ hashes) and associated tools can automatically monitor the integrity of information
+ systems and hosted applications.
+
defines software requiring integrity verification tools to be employed to detect unauthorized
+ changes;
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
defines firmware requiring integrity verification tools to be employed to detect unauthorized
+ changes;
+
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
defines information requiring integrity verification tools to be employed to detect
+ unauthorized changes;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs integrity verification tools to detect unauthorized changes to organization-defined:
+
+
+
+
+
+
[a]
+
+
+
+
+
software;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
firmware; and
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
information.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing software, firmware, and information integrity
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
integrity verification tools and associated documentation
+
+
+
records generated/triggered from integrity verification tools regarding unauthorized
+ software, firmware, and information changes
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for software, firmware, and/or information
+ integrity
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Software, firmware, and information integrity verification tools
+
+
+
+
+
+
+
Control enhancements
+
+
SI-7 (1) INTEGRITY CHECKS
+
+
+
+
+
+
Parameter: si-7_b organization-defined software, firmware, and information
+
+
+
Default: organization-defined software, firmware, and information
+
+
+
+
+
+
+
Parameter: si-7_c organization-defined transitional states or security-relevant events
+
+
+
Default: organization-defined transitional states or security-relevant events
+
+
+
+
+
+
+
Parameter: si-7_d organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
Control
+
+
+
The information system performs an integrity check of si-7_b organization-defined software, firmware, and information [organization-defined software, firmware, and information] [Selection (one or more): at startup; at si-7_c organization-defined transitional states or security-relevant events [organization-defined transitional states or security-relevant events]; si-7_d organization-defined frequency [organization-defined frequency]].
+
+
+
+
+
Supplemental guidance
+
+
+
Security-relevant events include, for example, the identification of a new threat
+ to which organizational information systems are susceptible, and the installation
+ of new hardware, software, or firmware. Transitional states include, for example,
+ system startup, restart, shutdown, and abort.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines:
+
+
+
+
+
+
[a]
+
+
+
+
+
software requiring integrity checks to be performed;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
firmware requiring integrity checks to be performed;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
information requiring integrity checks to be performed;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines transitional states or security-relevant events requiring
+ integrity checks of organization-defined:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
software;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
firmware;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
information;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the organization defines a frequency with which to perform an integrity check of organization-defined:
+
+
+
+
+
+
[a]
+
+
+
+
+
software;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
firmware;
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
information;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
the information system performs an integrity check of organization-defined software,
+ firmware, and information one or more of the following:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
at startup;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
at organization-defined transitional states or security-relevant events; and/or
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
with the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing software, firmware, and information integrity
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
integrity verification tools and associated documentation
+
+
+
records of integrity scans
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for software, firmware, and/or information
+ integrity
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Software, firmware, and information integrity verification tools
+
+
+
+
+
+
+
SI-7 (2) AUTOMATED NOTIFICATIONS OF INTEGRITY VIOLATIONS
+
+
+
+
+
+
Parameter: si-7_e organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Control
+
+
+
The organization employs automated tools that provide notification to si-7_e organization-defined personnel or roles [organization-defined personnel or roles] upon discovering discrepancies during integrity verification.
+
+
+
+
+
Supplemental guidance
+
+
+
The use of automated tools to report integrity violations and to notify organizational
+ personnel in a timely matter is an essential precursor to effective risk response.
+ Personnel having an interest in integrity violations include, for example, mission/business
+ owners, information system owners, systems administrators, software developers, systems
+ integrators, and information security officers.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines personnel or roles to whom notification is to be provided upon discovering
+ discrepancies during integrity verification; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
employs automated tools that provide notification to organization-defined personnel
+ or roles upon discovering discrepancies during integrity verification.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing software, firmware, and information integrity
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
integrity verification tools and associated documentation
+
+
+
records of integrity scans
+
+
+
automated tools supporting alerts and notifications for integrity discrepancies
+
+
+
alerts/notifications provided upon discovering discrepancies during integrity verifications
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for software, firmware, and/or information
+ integrity
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Software, firmware, and information integrity verification tools
+
The information system automatically [Selection (one or more): shuts the information
+ system down; restarts the information system; implements si-7_f organization-defined security safeguards [organization-defined security safeguards]] when integrity violations are discovered.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations may define different integrity checking and anomaly responses: (i) by
+ type of information (e.g., firmware, software, user data); (ii) by specific information
+ (e.g., boot firmware, boot firmware for a specific types of machines); or (iii) a
+ combination of both. Automatic implementation of specific safeguards within organizational
+ information systems includes, for example, reversing the changes, halting the information
+ system, or triggering audit alerts when unauthorized modifications to critical security
+ files occur.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines security safeguards to be implemented when integrity violations
+ are discovered;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system automatically performs one or more of the following actions
+ when integrity violations are discovered:
+
+
+
+
+
+
+
[a]
+
+
+
+
+
shuts the information system down;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
restarts the information system; and/or
+
+
+
+
+
+
+
+
+
+
+
[c]
+
+
+
+
+
implements the organization-defined security safeguards.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing software, firmware, and information integrity
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
integrity verification tools and associated documentation
+
+
+
records of integrity scans
+
+
+
records of integrity checks and responses to integrity violations
+
+
+
information audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for software, firmware, and/or information
+ integrity
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Software, firmware, and information integrity verification tools
+
+
+
automated mechanisms providing an automated response to integrity violations
+
+
+
automated mechanisms supporting and/or implementing security safeguards to be implemented
+ when integrity violations are discovered
+
+
+
+
+
+
+
SI-7 (6) CRYPTOGRAPHIC PROTECTION
+
+
+
+
+
Control
+
+
+
The information system implements cryptographic mechanisms to detect unauthorized
+ changes to software, firmware, and information.
+
+
+
+
+
Supplemental guidance
+
+
+
Cryptographic mechanisms used for the protection of integrity include, for example,
+ digital signatures and the computation and application of signed hashes using asymmetric
+ cryptography, protecting the confidentiality of the key used to generate the hash,
+ and using the public key to verify the hash information.
+
Determine if the information system employs cryptographic mechanism to detect unauthorized
+ changes to:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
software;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
firmware; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
information.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing software, firmware, and information integrity
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
cryptographic mechanisms and associated documentation
+
+
+
records of detected unauthorized changes to software, firmware, and information
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for software, firmware, and/or information
+ integrity
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Software, firmware, and information integrity verification tools
+
+
+
cryptographic mechanisms implementing software, firmware, and information integrity
+
+
+
+
+
+
+
SI-7 (7) INTEGRATION OF DETECTION AND RESPONSE
+
+
+
+
+
+
Parameter: si-7_g organization-defined security-relevant changes to the information system
+
+
+
Default: organization-defined security-relevant changes to the information system
+
+
+
+
+
+
+
+
Control
+
+
+
The organization incorporates the detection of unauthorized si-7_g organization-defined security-relevant changes to the information system [organization-defined security-relevant changes to the information system] into the organizational incident response capability.
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement helps to ensure that detected events are tracked, monitored,
+ corrected, and available for historical purposes. Maintaining historical records is
+ important both for being able to identify and discern adversary actions over an extended
+ period of time and for possible legal actions. Security-relevant changes include,
+ for example, unauthorized changes to established configuration settings or unauthorized
+ elevation of information system privileges.
+
defines unauthorized security-relevant changes to the information system; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
incorporates the detection of unauthorized organization-defined security-relevant
+ changes to the information system into the organizational incident response capability.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing software, firmware, and information integrity
+
+
+
procedures addressing incident response
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
incident response records
+
+
+
information audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for software, firmware, and/or information
+ integrity
+
+
+
organizational personnel with information security responsibilities
+
+
+
organizational personnel with incident response responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for incorporating detection of unauthorized security-relevant
+ changes into the incident response capability
+
+
+
software, firmware, and information integrity verification tools
+
+
+
automated mechanisms supporting and/or implementing incorporation of detection of
+ unauthorized security-relevant changes into the incident response capability
+
+
+
+
+
+
+
SI-7 (8) AUDITING CAPABILITY FOR SIGNIFICANT EVENTS
+
+
+
+
+
+
Parameter: si-7_h organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
Parameter: si-7_i organization-defined other actions
+
+
+
Default: organization-defined other actions
+
+
+
+
+
+
Control
+
+
+
The information system, upon detection of a potential integrity violation, provides
+ the capability to audit the event and initiates the following actions: [Selection
+ (one or more): generates an audit record; alerts current user; alerts si-7_h organization-defined personnel or roles [organization-defined personnel or roles]; si-7_i organization-defined other actions [organization-defined other actions]].
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations select response actions based on types of software, specific software,
+ or information for which there are potential integrity violations.
+
The information system verifies the integrity of the boot process of si-7_j organization-defined devices [organization-defined devices].
+
+
+
+
+
Supplemental guidance
+
+
+
Ensuring the integrity of boot processes is critical to starting devices in known/trustworthy
+ states. Integrity verification mechanisms provide organizational personnel with assurance
+ that only trusted code is executed during boot processes.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines devices requiring integrity verification of the boot process;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system verifies the integrity of the boot process of organization-defined
+ devices.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing software, firmware, and information integrity
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
integrity verification tools and associated documentation
+
+
+
documentation
+
+
+
records of integrity verification scans
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for software, firmware, and/or information
+ integrity
+
+
+
organizational personnel with information security responsibilities
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Software, firmware, and information integrity verification tools
+
+
+
automated mechanisms supporting and/or implementing integrity verification of the
+ boot process
+
The information system implements si-7_k organization-defined security safeguards [organization-defined security safeguards] to protect the integrity of boot firmware in si-7_l organization-defined devices [organization-defined devices].
+
+
+
+
+
Supplemental guidance
+
+
+
Unauthorized modifications to boot firmware may be indicative of a sophisticated,
+ targeted cyber attack. These types of cyber attacks can result in a permanent denial
+ of service (e.g., if the firmware is corrupted) or a persistent malicious code presence
+ (e.g., if code is embedded within the firmware). Devices can protect the integrity
+ of the boot firmware in organizational information systems by: (i) verifying the integrity
+ and authenticity of all updates to the boot firmware prior to applying changes to
+ the boot devices; and (ii) preventing unauthorized processes from modifying the boot
+ firmware.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines security safeguards to be implemented to protect the integrity
+ of boot firmware in devices;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines devices requiring organization-defined security safeguards
+ to be implemented to protect the integrity of boot firmware; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system implements organization-defined security safeguards to protect
+ the integrity of boot firmware in organization-defined devices.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing software, firmware, and information integrity
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
integrity verification tools and associated documentation
+
+
+
records of integrity verification scans
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for software, firmware, and/or information
+ integrity
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Software, firmware, and information integrity verification tools
+
+
+
automated mechanisms supporting and/or implementing protection of the integrity of
+ boot firmware
+
+
+
safeguards implementing protection of the integrity of boot firmware
+
+
+
+
+
+
+
SI-7 (11) CONFINED ENVIRONMENTS WITH LIMITED PRIVILEGES
+
The organization requires that si-7_m organization-defined user-installed software [organization-defined user-installed software] execute in a confined physical or virtual machine environment with limited privileges.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations identify software that may be of greater concern with regard to origin
+ or potential for containing malicious code. For this type of software, user installations
+ occur in confined environments of operation to limit or contain damage from malicious
+ code that may be executed.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines user-installed software to be executed in a confined physical or virtual machine
+ environment with limited privileges; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires that organization-defined user-installed software execute in a confined physical
+ or virtual machine environment with limited privileges.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing software, firmware, and information integrity
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for software, firmware, and/or information
+ integrity
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Software, firmware, and information integrity verification tools
+
+
+
automated mechanisms supporting and/or implementing execution of software in a confined
+ environment (physical and/or virtual)
+
+
+
automated mechanisms supporting and/or implementing limited privileges in the confined
+ environment
+
The organization requires that the integrity of si-7_n organization-defined user-installed software [organization-defined user-installed software] be verified prior to execution.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations verify the integrity of user-installed software prior to execution to
+ reduce the likelihood of executing malicious code or code that contains errors from
+ unauthorized modifications. Organizations consider the practicality of approaches
+ to verifying software integrity including, for example, availability of checksums
+ of adequate trustworthiness from software developers or vendors.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines user-installed software requiring integrity verification prior to execution;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
requires that the integrity of organization-defined user-installed software be verified
+ prior to execution.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing software, firmware, and information integrity
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
integrity verification records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for software, firmware, and/or information
+ integrity
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Software, firmware, and information integrity verification tools
+
+
+
automated mechanisms supporting and/or implementing verification of the integrity
+ of user-installed software prior to execution
+
+
+
+
+
+
+
SI-7 (13) CODE EXECUTION IN PROTECTED ENVIRONMENTS
+
+
+
+
+
+
Parameter: si-7_o organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
Control
+
+
+
The organization allows execution of binary or machine-executable code obtained from
+ sources with limited or no warranty and without the provision of source code only
+ in confined physical or virtual machine environments and with the explicit approval
+ of si-7_o organization-defined personnel or roles [organization-defined personnel or roles].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement applies to all sources of binary or machine-executable code
+ including, for example, commercial software/firmware and open source software.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
allows execution of binary or machine-executable code obtained from sources with limited
+ or no warranty;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
allows execution of binary or machine-executable code without the provision of source
+ code only in confined physical or virtual machines;
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
defines personnel or roles required to provide explicit approval to allow execution
+ of binary or machine-executable code; and
+
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
allows execution of binary or machine-executable code with the explicit approval of
+ organization-defined personnel or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing software, firmware, and information integrity
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
approval records for execution of binary and machine-executable code
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for software, firmware, and/or information
+ integrity
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Software, firmware, and information integrity verification tools
+
+
+
automated mechanisms supporting and/or implementing approvals for execution of binary
+ or machine-executable code
+
+
+
+
+
+
+
SI-7 (14) BINARY OR MACHINE EXECUTABLE CODE
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
Prohibits the use of binary or machine-executable code from sources with limited or
+ no warranty and without the provision of source code; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Provides exceptions to the source code requirement only for compelling mission/operational
+ requirements and with the approval of the authorizing official.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement applies to all sources of binary or machine-executable code
+ including, for example, commercial software/firmware and open source software. Organizations
+ assess software products without accompanying source code from sources with limited
+ or no warranty for potential security impacts. The assessments address the fact that
+ these types of software products may be very difficult to review, repair, or extend,
+ given that organizations, in most cases, do not have access to the original source
+ code, and there may be no owners who could make such repairs on behalf of organizations.
+
prohibits the use of binary or machine-executable code from sources with limited or
+ no warranty;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
prohibits the use of binary or machine-executable code without the provision of source
+ code;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
provides exceptions to the source code requirement only for compelling mission/operational
+ requirements; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
provides exceptions to the source code requirement only with the approval of the authorizing
+ official.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing software, firmware, and information integrity
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
approval records for execution of binary and machine-executable code
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for software, firmware, and/or information
+ integrity
+
+
+
organizational personnel with information security responsibilities
+
+
+
authorizing official
+
+
+
system/network administrators
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing prohibition of the execution of
+ binary or machine-executable code
+
+
+
+
+
+
+
SI-7 (15) CODE AUTHENTICATION
+
+
+
+
+
+
Parameter: si-7_p organization-defined software or firmware components
+
+
+
Default: organization-defined software or firmware components
+
+
+
+
+
+
Control
+
+
+
The information system implements cryptographic mechanisms to authenticate si-7_p organization-defined software or firmware components [organization-defined software or firmware components] prior to installation.
+
+
+
+
+
Supplemental guidance
+
+
+
Cryptographic authentication includes, for example, verifying that software or firmware
+ components have been digitally signed using certificates recognized and approved by
+ organizations. Code signing is an effective method to protect against malicious code.
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
+
+
+
+
[a]
+
+
+
+
+
the organization defines software components to be authenticated by cryptographic
+ mechanisms prior to installation;
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
the organization defines firmware components to be authenticated by cryptographic
+ mechanisms prior to installation;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
+
+
+
+
[a]
+
+
+
+
+
the information system implements cryptographic mechanisms to authenticate organization-defined
+ software components prior to installation; and
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
the information system implements cryptographic mechanisms to authenticate organization-defined
+ firmware components prior to installation.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing software, firmware, and information integrity
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
cryptographic mechanisms and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for software, firmware, and/or information
+ integrity
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Cryptographic mechanisms authenticating software/firmware prior to installation
+
+
+
+
+
+
+
SI-7 (16) TIME LIMIT ON PROCESS EXECUTION W/O SUPERVISION
+
+
+
+
+
+
Parameter: si-7_q organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
Control
+
+
+
The organization does not allow processes to execute without supervision for more
+ than si-7_q organization-defined time period [organization-defined time period].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement addresses processes for which normal execution periods can
+ be determined and situations in which organizations exceed such periods. Supervision
+ includes, for example, operating system timers, automated responses, or manual oversight
+ and response when information system process anomalies occur.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines a time period as the maximum period allowed for processes to execute without
+ supervision; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
does not allow processes to execute without supervision for more than the organization-defined
+ time period.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing software and information integrity
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for software, firmware, and/or information
+ integrity
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Software, firmware, and information integrity verification tools
+
+
+
automated mechanisms supporting and/or implementing time limits on process execution
+ without supervision
+
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-147
+
+
+
+
+
+
NIST Special Publication 800-155
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD SI-7 (1) (7)
+
+
HIGH SI-7 (1) (2) (5) (7) (14)
+
+
+
+
+
+
+
+
SI-8 SPAM PROTECTION
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Employs spam protection mechanisms at information system entry and exit points to
+ detect and take action on unsolicited messages; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Updates spam protection mechanisms when new releases are available in accordance with
+ organizational configuration management policy and procedures.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Information system entry and exit points include, for example, firewalls, electronic
+ mail servers, web servers, proxy servers, remote-access servers, workstations, mobile
+ devices, and notebook/laptop computers. Spam can be transported by different means
+ including, for example, electronic mail, electronic mail attachments, and web accesses.
+ Spam protection mechanisms include, for example, signature definitions.
+
at information system entry points to detect unsolicited messages;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
at information system entry points to take action on unsolicited messages;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
at information system exit points to detect unsolicited messages;
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
at information system exit points to take action on unsolicited messages; and
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
updates spam protection mechanisms when new releases are available in accordance with
+ organizational configuration management policy and procedures.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
configuration management policy and procedures (CM-1)
+
+
+
procedures addressing spam protection
+
+
+
spam protection mechanisms
+
+
+
records of spam protection updates
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for spam protection
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for implementing spam protection
+
The organization centrally manages spam protection mechanisms.
+
+
+
+
Supplemental guidance
+
+
+
Central management is the organization-wide management and implementation of spam
+ protection mechanisms. Central management includes planning, implementing, assessing,
+ authorizing, and monitoring the organization-defined, centrally managed spam protection
+ security controls.
+
The information system implements spam protection mechanisms with a learning capability
+ to more effectively identify legitimate communications traffic.
+
+
+
+
+
Supplemental guidance
+
+
+
Learning mechanisms include, for example, Bayesian filters that respond to user inputs
+ identifying specific traffic as spam or legitimate by updating algorithm parameters
+ and thereby more accurately separating types of traffic.
+
+
+
+
+
Objective
+
+
+
Determine if the information system implements spam protection mechanisms with a learning
+ capability to more effectively identify legitimate communications traffic.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing spam protection
+
+
+
spam protection mechanisms
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for spam protection
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for spam protection
+
+
+
automated mechanisms supporting and/or implementing spam protection mechanisms with
+ a learning capability
+
+ Withdrawn: Incorporated into AC-2, AC-3, AC-5, AC-6.
+
+
+
+
+
References: None
+
+
+
+
SI-10 INFORMATION INPUT VALIDATION
+
+
+
+
+
+
Parameter: si-10_a organization-defined information inputs
+
+
+
Default: organization-defined information inputs
+
+
+
+
+
+
+
+
+
Control
+
+
+
The information system checks the validity of si-10_a organization-defined information inputs [organization-defined information inputs].
+
+
+
+
+
Supplemental guidance
+
+
+
Checking the valid syntax and semantics of information system inputs (e.g., character
+ set, length, numerical range, and acceptable values) verifies that inputs match specified
+ definitions for format and content. Software applications typically follow well-defined
+ protocols that use structured messages (i.e., commands or queries) to communicate
+ between software modules or system components. Structured messages can contain raw
+ or unstructured data interspersed with metadata or control information. If software
+ applications use attacker-supplied inputs to construct structured messages without
+ properly encoding such messages, then the attacker could insert malicious commands
+ or special characters that can cause the data to be interpreted as control information
+ or metadata. Consequently, the module or component that receives the tainted output
+ will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening
+ inputs prior to passing to interpreters prevents the content from being unintentionally
+ interpreted as commands. Input validation helps to ensure accurate and correct inputs
+ and prevent attacks such as cross-site scripting and a variety of injection attacks.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Determine if:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines information inputs requiring validity checks; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system checks the validity of organization-defined information inputs.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
access control policy and procedures
+
+
+
separation of duties policy and procedures
+
+
+
procedures addressing information input validation
+
+
+
documentation for automated tools and applications to verify validity of information
+
+
+
list of information inputs requiring validity checks
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for information input validation
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing validity checks on information
+ inputs
+
Provides a manual override capability for input validation of si-10_b organization-defined inputs [organization-defined inputs];
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
Restricts the use of the manual override capability to only si-10_c organization-defined authorized individuals [organization-defined authorized individuals]; and
+
automated mechanisms supporting and/or implementing auditing of the use of manual
+ override capability
+
+
+
+
+
+
+
SI-10 (2) REVIEW / RESOLUTION OF ERRORS
+
+
+
+
+
+
Parameter: si-10_d organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
Control
+
+
+
The organization ensures that input validation errors are reviewed and resolved within
+ si-10_d organization-defined time period [organization-defined time period].
+
+
+
+
+
Supplemental guidance
+
+
+
Resolution of input validation errors includes, for example, correcting systemic causes
+ of errors and resubmitting transactions with corrected input.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines a time period within which input validation errors are to be reviewed and
+ resolved; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
ensures that input validation errors are reviewed and resolved within the organization-defined
+ time period.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
access control policy and procedures
+
+
+
separation of duties policy and procedures
+
+
+
procedures addressing information input validation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
review records of information input validation errors and resulting resolutions
+
+
+
information input validation error logs or records
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for information input validation
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for review and resolution of input validation errors
+
+
+
automated mechanisms supporting and/or implementing review and resolution of input
+ validation errors
+
+
+
+
+
+
+
SI-10 (3) PREDICTABLE BEHAVIOR
+
+
+
+
+
Control
+
+
+
The information system behaves in a predictable and documented manner that reflects
+ organizational and system objectives when invalid inputs are received.
+
+
+
+
+
Supplemental guidance
+
+
+
A common vulnerability in organizational information systems is unpredictable behavior
+ when invalid inputs are received. This control enhancement ensures that there is predictable
+ behavior in the face of invalid inputs by specifying information system responses
+ that facilitate transitioning the system to known states without adverse, unintended
+ side effects.
+
+
+
+
+
Objective
+
+
+
Determine if the information system behaves in a predictable and documented manner
+ that reflects organizational and system objectives when invalid inputs are received.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing information input validation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for information input validation
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing predictable behavior when invalid
+ inputs are received
+
+
+
+
+
+
+
SI-10 (4) REVIEW / TIMING INTERACTIONS
+
+
+
+
+
Control
+
+
+
The organization accounts for timing interactions among information system components
+ in determining appropriate responses for invalid inputs.
+
+
+
+
+
Supplemental guidance
+
+
+
In addressing invalid information system inputs received across protocol interfaces,
+ timing interactions become relevant, where one protocol needs to consider the impact
+ of the error response on other protocols within the protocol stack. For example, 802.11
+ standard wireless network protocols do not interact well with Transmission Control
+ Protocols (TCP) when packets are dropped (which could be due to invalid packet input).
+ TCP assumes packet losses are due to congestion, while packets lost over 802.11 links
+ are typically dropped due to collisions or noise on the link. If TCP makes a congestion
+ response, it takes precisely the wrong action in response to a collision event. Adversaries
+ may be able to use apparently acceptable individual behaviors of the protocols in
+ concert to achieve adverse effects through suitable construction of invalid input.
+
+
+
+
+
Objective
+
+
+
Determine if the organization accounts for timing interactions among information system
+ components in determining appropriate responses for invalid inputs.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing information input validation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for information input validation
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for determining appropriate responses to invalid inputs
+
+
+
automated mechanisms supporting and/or implementing responses to invalid inputs
+
+
+
+
+
+
+
SI-10 (5) RESTRICT INPUTS TO TRUSTED SOURCES AND APPROVED FORMATS
+
The organization restricts the use of information inputs to si-10_e organization-defined trusted sources [organization-defined trusted sources] and/or si-10_f organization-defined formats [organization-defined formats].
+
+
+
+
+
Supplemental guidance
+
+
+
This control enhancement applies the concept of whitelisting to information inputs.
+ Specifying known trusted sources for information inputs and acceptable formats for
+ such inputs can reduce the probability of malicious activity.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines trusted sources to which the use of information inputs is to be restricted;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines formats to which the use of information inputs is to be restricted;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
restricts the use of information inputs to:
+
+
+
+
+
+
[a]
+
+
+
+
+
organization-defined trust sources; and/or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
organization-defined formats.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing information input validation
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of trusted sources for information inputs
+
+
+
list of acceptable formats for input restrictions
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for information input validation
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for restricting information inputs
+
+
+
automated mechanisms supporting and/or implementing restriction of information inputs
+
+
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P1
+
LOW Not selected
+
+
MOD SI-10
+
+
HIGH SI-10
+
+
+
+
+
+
+
+
SI-11 ERROR HANDLING
+
+
+
+
+
+
Parameter: si-11_a organization-defined personnel or roles
+
+
+
Default: organization-defined personnel or roles
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
The information system:
+
+
+
+
+
+
a.
+
+
+
+
+
Generates error messages that provide information necessary for corrective actions
+ without revealing information that could be exploited by adversaries; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reveals error messages only to si-11_a organization-defined personnel or roles [organization-defined personnel or roles].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations carefully consider the structure/content of error messages. The extent
+ to which information systems are able to identify and handle error conditions is guided
+ by organizational policy and operational requirements. Information that could be exploited
+ by adversaries includes, for example, erroneous logon attempts with passwords entered
+ by mistake as the username, mission/business information that can be derived from
+ (if not stated explicitly by) information recorded, and personal information such
+ as account numbers, social security numbers, and credit card numbers. In addition,
+ error messages may provide a covert channel for transmitting information.
+
the information system generates error messages that provide information necessary
+ for corrective actions without revealing information that could be exploited by adversaries;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
the organization defines personnel or roles to whom error messages are to be revealed;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system reveals error messages only to organization-defined personnel
+ or roles.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing information system error handling
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
documentation providing structure/content of error messages
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for information input validation
+
+
+
organizational personnel with information security responsibilities
+
automated mechanisms supporting and/or implementing management of error messages
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW Not selected
+
+
MOD SI-11
+
+
HIGH SI-11
+
+
+
+
+
+
+
+
SI-12 INFORMATION HANDLING AND RETENTION
+
+
+
+
+
+
+
+
+
Control
+
+
+
The organization handles and retains information within the information system and
+ information output from the system in accordance with applicable federal laws, Executive
+ Orders, directives, policies, regulations, standards, and operational requirements.
+
+
+
+
+
Supplemental guidance
+
+
+
Information handling and retention requirements cover the full life cycle of information,
+ in some cases extending beyond the disposal of information systems. The National Archives
+ and Records Administration provides guidance on records retention.
+
Determine if the organization, in accordance with applicable federal laws, Executive
+ Orders, directives, policies, regulations, standards, and operational requirements:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
handles information within the information system;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
handles output from the information system;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
retains information within the information system; and
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
retains output from the information system.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
federal laws, Executive Orders, directives, policies, regulations, standards, and
+ operational requirements applicable to information handling and retention
+
+
+
media protection policy and procedures
+
+
+
procedures addressing information system output handling and retention
+
+
+
information retention records, other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for information handling and retention
+
+
+
organizational personnel with information security responsibilities/network administrators
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for information handling and retention
+
+
+
automated mechanisms supporting and/or implementing information handling and retention
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
P2
+
LOW SI-12
+
+
MOD SI-12
+
+
HIGH SI-12
+
+
+
+
+
+
+
+
SI-13 PREDICTABLE FAILURE PREVENTION
+
+
+
+
+
+
Parameter: si-13_a organization-defined information system components
+
+
+
Default: organization-defined information system components
+
Determines mean time to failure (MTTF) for si-13_a organization-defined information system components [organization-defined information system components] in specific environments of operation; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Provides substitute information system components and a means to exchange active and
+ standby components at si-13_b organization-defined MTTF substitution criteria [organization-defined MTTF substitution criteria].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
While MTTF is primarily a reliability issue, this control addresses potential failures
+ of specific information system components that provide security capability. Failure
+ rates reflect installation-specific consideration, not industry-average. Organizations
+ define criteria for substitution of information system components based on MTTF value
+ with consideration for resulting potential harm from component failures. Transfer
+ of responsibilities between active and standby components does not compromise safety,
+ operational readiness, or security capability (e.g., preservation of state variables).
+ Standby components remain available at all times except for maintenance issues or
+ recovery failures in progress.
+
Parameter: si-13_c organization-defined fraction or percentage
+
+
+
Default: organization-defined fraction or percentage
+
+
+
+
+
+
Control
+
+
+
The organization takes information system components out of service by transferring
+ component responsibilities to substitute components no later than si-13_c organization-defined fraction or percentage [organization-defined fraction or percentage] of mean time to failure.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines maximum fraction or percentage of mean time to failure within which to transfer
+ the responsibilities of an information system component that is out of service to
+ a substitute component; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
takes the information system component out of service by transferring component responsibilities
+ to substitute components no later than organization-defined fraction or percentage
+ of mean time to failure.
+
Parameter: si-13_d organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Parameter: si-13_e organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
Control
+
+
+
The organization manually initiates transfers between active and standby information
+ system components si-13_d organization-defined frequency [organization-defined frequency] if the mean time to failure exceeds si-13_e organization-defined time period [organization-defined time period].
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the minimum frequency with which the organization manually initiates a transfer
+ between active and standby information system components if the mean time to failure
+ exceeds the organization-defined time period;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
defines the time period that the mean time to failure must exceed before the organization
+ manually initiates a transfer between active and standby information system components;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
manually initiates transfers between active and standby information system components
+ at the organization-defined frequency if the mean time to failure exceeds the organization-defined
+ time period.
+
Parameter: si-13_f organization-defined time period
+
+
+
Default: organization-defined time period
+
+
+
+
+
+
+
Parameter: si-13_g organization-defined alarm
+
+
+
Default: organization-defined alarm
+
+
+
+
+
+
+
+
+
+
+
+
The organization, if information system component failures are detected:
+
+
+
+
+
+
(a)
+
+
+
+
+
Ensures that the standby components are successfully and transparently installed within
+ si-13_f organization-defined time period [organization-defined time period]; and
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
[Selection (one or more): activates si-13_g organization-defined alarm [organization-defined alarm]; automatically shuts down the information system].
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Automatic or manual transfer of components from standby to active mode can occur,
+ for example, upon detection of component failures.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
(a)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines a time period for standby information system components to be successfully
+ and transparently installed when information system component failures are detected;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
ensures that the standby components are successfully and transparently installed within
+ the organization-defined time period;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines an alarm to be activated when information system component failures are detected;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
if information system component failures are detected, does one or more of the following:
The organization provides [Selection: real-time; near real-time] si-13_h organization-defined failover capability [organization-defined failover capability] for the information system.
+
+
+
+
+
Supplemental guidance
+
+
+
Failover refers to the automatic switchover to an alternate information system upon
+ the failure of the primary information system. Failover capability includes, for example,
+ incorporating mirrored information system operations at alternate processing sites
+ or periodic data mirroring at regular intervals defined by recovery time periods of
+ organizations.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines failover capability to be provided for the information system;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
provides one of the following organization-defined failover capabilities for the information
+ system:
+
Parameter: si-14_a organization-defined information system components and services
+
+
+
Default: organization-defined information system components and services
+
+
+
+
+
+
+
Parameter: si-14_b organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
Control
+
+
+
The organization implements non-persistent si-14_a organization-defined information system components and services [organization-defined information system components and services] that are initiated in a known state and terminated [Selection (one or more): upon
+ end of session of use; periodically at si-14_b organization-defined frequency [organization-defined frequency]].
+
+
+
+
+
Supplemental guidance
+
+
+
This control mitigates risk from advanced persistent threats (APTs) by significantly
+ reducing the targeting capability of adversaries (i.e., window of opportunity and
+ available attack surface) to initiate and complete cyber attacks. By implementing
+ the concept of non-persistence for selected information system components, organizations
+ can provide a known state computing resource for a specific period of time that does
+ not give adversaries sufficient time on target to exploit vulnerabilities in organizational
+ information systems and the environments in which those systems operate. Since the
+ advanced persistent threat is a high-end threat with regard to capability, intent,
+ and targeting, organizations assume that over an extended period of time, a percentage
+ of cyber attacks will be successful. Non-persistent information system components
+ and services are activated as required using protected information and terminated
+ periodically or upon the end of sessions. Non-persistence increases the work factor
+ of adversaries in attempting to compromise or breach organizational information systems.
+ Non-persistent system components can be implemented, for example, by periodically
+ re-imaging components or by using a variety of common virtualization techniques. Non-persistent
+ services can be implemented using virtualization techniques as part of virtual machines
+ or as new instances of processes on physical machines (either persistent or non-persistent).The
+ benefit of periodic refreshes of information system components/services is that it
+ does not require organizations to first determine whether compromises of components
+ or services have occurred (something that may often be difficult for organizations
+ to determine). The refresh of selected information system components and services
+ occurs with sufficient frequency to prevent the spread or intended impact of attacks,
+ but not with such frequency that it makes the information system unstable. In some
+ instances, refreshes of critical components and services may be done periodically
+ in order to hinder the ability of adversaries to exploit optimum windows of vulnerabilities.
+
defines non-persistent information system components and services to be implemented;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
+
+
+
+
[a]
+
+
+
+
+
defines a frequency to terminate non-persistent organization-defined components and
+ services that are initiated in a known state;
+
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
implements non-persistent organization-defined information system components and services
+ that are initiated in a known state and terminated one or more of the following:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
upon end of session of use; and/or
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
periodically at the organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing non-persistence for information system components
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for non-persistence
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Automated mechanisms supporting and/or implementing initiation and termination of
+ non-persistent components
+
The organization ensures that software and data employed during information system
+ component and service refreshes are obtained from si-14_c organization-defined trusted sources [organization-defined trusted sources].
+
+
+
+
+
Supplemental guidance
+
+
+
Trusted sources include, for example, software/data from write-once, read-only media
+ or from selected off-line secure storage facilities.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
defines trusted sources from which software and data employed during information system
+ component and service refreshes are to be obtained; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
ensures that software and data employed during information system component and service
+ refreshes are obtained from organization-defined trusted sources.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing non-persistence for information system components
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for obtaining component and service refreshes
+ from trusted sources
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for defining and obtaining component and service refreshes
+ from trusted sources
+
+
+
automated mechanisms supporting and/or implementing component and service refreshes
+
The information system validates information output from si-15_a organization-defined software programs and/or applications [organization-defined software programs and/or applications] to ensure that the information is consistent with the expected content.
+
+
+
+
+
Supplemental guidance
+
+
+
Certain types of cyber attacks (e.g., SQL injections) produce output results that
+ are unexpected or inconsistent with the output results that would normally be expected
+ from software programs or applications. This control enhancement focuses on detecting
+ extraneous content, preventing such extraneous content from being displayed, and alerting
+ monitoring tools that anomalous behavior has been discovered.
+
the organization defines software programs and/or applications whose information output
+ requires validation to ensure that the information is consistent with the expected
+ content; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the information system validates information output from organization-defined software
+ programs and/or applications to ensure that the information is consistent with the
+ expected content.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing information output filtering
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for validating information output
+
+
+
organizational personnel with information security responsibilities
+
+
+
system/network administrators
+
+
+
system developer
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for validating information output
+
+
+
automated mechanisms supporting and/or implementing information output validation
+
The information system implements si-16_a organization-defined security safeguards [organization-defined security safeguards] to protect its memory from unauthorized code execution.
+
+
+
+
+
Supplemental guidance
+
+
+
Some adversaries launch attacks with the intent of executing code in non-executable
+ regions of memory or in memory locations that are prohibited. Security safeguards
+ employed to protect memory include, for example, data execution prevention and address
+ space layout randomization. Data execution prevention safeguards can either be hardware-enforced
+ or software-enforced with hardware providing the greater strength of mechanism.
+
The information system implements si-17_a organization-defined fail-safe procedures [organization-defined fail-safe procedures] when si-17_b organization-defined failure conditions occur [organization-defined failure conditions occur].
+
+
+
+
+
Supplemental guidance
+
+
+
Failure conditions include, for example, loss of communications among critical system
+ components or between system components and operational facilities. Fail-safe procedures
+ include, for example, alerting operator personnel and providing specific instructions
+ on subsequent steps to take (e.g., do nothing, reestablish system settings, shut down
+ processes, restart the system, or contact designated organizational personnel).
+
the organization defines fail-safe procedures to be implemented when organization-defined
+ failure conditions occur;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the organization defines failure conditions resulting in organization-defined fail-safe
+ procedures being implemented when such conditions occur; and
+
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
the information system implements organization-defined fail-safe procedures when organization-defined
+ failure conditions occur.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
System and information integrity policy
+
+
+
procedures addressing memory protection for the information system
+
+
+
information system design documentation
+
+
+
information system configuration settings and associated documentation
+
+
+
list of security safeguards protecting information system memory from unauthorized
+ code execution
+
+
+
information system audit records
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for fail-safe procedures
+
+
+
organizational personnel with information security responsibilities
+
Parameter: pm-1_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops and disseminates an organization-wide information security program plan that:
+
+
+
+
+
+
1.
+
+
+
+
+
Provides an overview of the requirements for the security program and a description
+ of the security program management controls and common controls in place or planned
+ for meeting those requirements;
+
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Includes the identification and assignment of roles, responsibilities, management
+ commitment, coordination among organizational entities, and compliance;
+
+
+
+
+
+
+
+
+
+
+
+
3.
+
+
+
+
+
Reflects coordination among organizational entities responsible for the different
+ aspects of information security (i.e., technical, physical, personnel, cyber-physical);
+ and
+
+
+
+
+
+
+
+
+
+
+
+
4.
+
+
+
+
+
Is approved by a senior official with responsibility and accountability for the risk
+ being incurred to organizational operations (including mission, functions, image,
+ and reputation), organizational assets, individuals, other organizations, and the
+ Nation;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews the organization-wide information security program plan pm-1_a organization-defined frequency [organization-defined frequency];
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Updates the plan to address organizational changes and problems identified during
+ plan implementation or security control assessments; and
+
+
+
+
+
+
+
+
+
+
+
+
d.
+
+
+
+
+
Protects the information security program plan from unauthorized disclosure and modification.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Information security program plans can be represented in single documents or compilations
+ of documents at the discretion of organizations. The plans document the program management
+ controls and organization-defined common controls. Information security program plans
+ provide sufficient information about the program management controls/common controls
+ (including specification of parameters for any assignment and selection statements
+ either explicitly or by reference) to enable implementations that are unambiguously
+ compliant with the intent of the plans and a determination of the risk to be incurred
+ if the plans are implemented as intended.
+ The security plans for individual information systems and the organization-wide information
+ security program plan together, provide complete coverage for all security controls
+ employed within the organization. Common controls are documented in an appendix to
+ the organization�s information security program plan unless the controls are included
+ in a separate security plan for an information system (e.g., security controls employed
+ as part of an intrusion detection system providing organization-wide boundary protection
+ inherited by one or more organizational information systems). The organization-wide
+ information security program plan will indicate which separate security plans contain
+ descriptions of common controls.
+ Organizations have the flexibility to describe common controls in a single document
+ or in multiple documents. In the case of multiple documents, the documents describing
+ common controls are included as attachments to the information security program plan.
+ If the information security program plan contains multiple documents, the organization
+ specifies in each document the organizational official or officials responsible for
+ the development, implementation, assessment, authorization, and monitoring of the
+ respective common controls. For example, the organization may require that the Facilities
+ Management Office develop, implement, assess, authorize, and continuously monitor
+ common physical and environmental protection controls from the PE family when such
+ controls are not associated with a particular information system but instead, support
+ multiple information systems.
+
develops and disseminates an organization-wide information security program plan that:
+
+
+
+
+
+
(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
provides an overview of the requirements for the security program;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
provides a description of the:
+
+
+
+
+
+
[a]
+
+
+
+
+
security program management controls in place or planned for meeting those requirements;
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
common controls in place or planned for meeting those requirements;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
includes the identification and assignment of:
+
+
+
+
+
+
[1]
+
+
+
+
+
roles;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
responsibilities;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
management commitment;
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
coordination among organizational entities;
+
+
+
+
+
+
+
+
+
+
+
[5]
+
+
+
+
+
compliance;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
reflects coordination among organizational entities responsible for the different
+ aspects of information security (i.e., technical, physical, personnel, cyber-physical);
+
+
+
+
+
+
+
+
+
+
+
+
(4)
+
+
+
+
+
is approved by a senior official with responsibility and accountability for the risk
+ being incurred to organizational operations, organizational assets, individuals, other
+ organizations, and the Nation;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review the security program plan for the information system;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews the organization-wide information security program plan with the organization-defined
+ frequency;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
updates the plan to address organizational:
+
+
+
+
+
+
[1]
+
+
+
+
+
changes identified during plan implementation;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
changes identified during security control assessments;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
problems identified during plan implementation;
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
problems identified during security control assessments;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(d)
+
+
+
+
+
protects the information security program plan from unauthorized:
+
+
+
+
+
+
[1]
+
+
+
+
+
disclosure; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
modification.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information security program plan
+
+
+
procedures addressing program plan development and implementation
+
+
+
procedures addressing program plan reviews and updates
+
+
+
procedures addressing coordination of the program plan with relevant entities
+
+
+
procedures for program plan approvals
+
+
+
records of program plan reviews and updates
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security program planning and plan implementation
+ responsibilities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for information security program plan development/review/update/approval
+
+
+
automated mechanisms supporting and/or implementing the information security program
+ plan
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
PM-2 SENIOR INFORMATION SECURITY OFFICER
+
+
+
+
+
Control
+
+
+
The organization appoints a senior information security officer with the mission and
+ resources to coordinate, develop, implement, and maintain an organization-wide information
+ security program.
+
+
+
+
+
Supplemental guidance
+
+
+
The security officer described in this control is an organizational official. For
+ a federal agency (as defined in applicable federal laws, Executive Orders, directives,
+ policies, or regulations) this official is the Senior Agency Information Security
+ Officer. Organizations may also refer to this official as the Senior Information Security
+ Officer or Chief Information Security Officer.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization appoints a senior information security officer with
+ the mission and resources to:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
coordinate an organization-wide information security program;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
develop an organization-wide information security program;
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
implement an organization-wide information security program; and
+
+
+
+
+
+
+
+
+
+
+
[4]
+
+
+
+
+
maintain an organization-wide information security program.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information security program plan
+
+
+
procedures addressing program plan development and implementation
+
+
+
procedures addressing program plan reviews and updates
+
+
+
procedures addressing coordination of the program plan with relevant entities
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security program planning and plan implementation
+ responsibilities
+
+
+
senior information security officer
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
PM-3 INFORMATION SECURITY RESOURCES
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Ensures that all capital planning and investment requests include the resources needed
+ to implement the information security program and documents all exceptions to this
+ requirement;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Ensures that information security resources are available for expenditure as planned.
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations consider establishing champions for information security efforts and
+ as part of including the necessary resources, assign specialized expertise and resources
+ as needed. Organizations may designate and empower an Investment Review Board (or
+ similar group) to manage and provide oversight for the information security-related
+ aspects of the capital planning and investment control process.
+
ensures that all capital planning and investment requests include the resources needed
+ to implement the information security program plan;
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
documents all exceptions to the requirement;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
ensures that information security resources are available for expenditure as planned.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information security program plan
+
+
+
Exhibits 300
+
+
+
Exhibits 53
+
+
+
business cases for capital planning and investment
+
+
+
procedures for capital planning and investment
+
+
+
documentation of exceptions to capital planning requirements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security program planning responsibilities
+
+
+
organizational personnel responsible for capital planning and investment
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for capital planning and investment
+
+
+
organizational processes for business case/Exhibit 300/Exhibit 53 development
+
+
+
automated mechanisms supporting the capital planning and investment process
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-65
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
PM-4 PLAN OF ACTION AND MILESTONES PROCESS
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Implements a process for ensuring that plans of action and milestones for the security
+ program and associated organizational information systems:
+
+
+
+
+
+
+
1.
+
+
+
+
+
Are developed and maintained;
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Document the remedial information security actions to adequately respond to risk to
+ organizational operations and assets, individuals, other organizations, and the Nation;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
3.
+
+
+
+
+
Are reported in accordance with OMB FISMA reporting requirements.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews plans of action and milestones for consistency with the organizational risk
+ management strategy and organization-wide priorities for risk response actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
The plan of action and milestones is a key document in the information security program
+ and is subject to federal reporting requirements established by OMB. With the increasing
+ emphasis on organization-wide risk management across all three tiers in the risk management
+ hierarchy (i.e., organization, mission/business process, and information system),
+ organizations view plans of action and milestones from an organizational perspective,
+ prioritizing risk response actions and ensuring consistency with the goals and objectives
+ of the organization. Plan of action and milestones updates are based on findings from
+ security control assessments and continuous monitoring activities. OMB FISMA reporting
+ guidance contains instructions regarding organizational plans of action and milestones.
+
implements a process for ensuring that plans of action and milestones for the security
+ program and associated organizational information systems:
+
+
+
+
+
+
+
(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
are developed;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
are maintained;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
document the remedial information security actions to adequately respond to risk to
+ organizational operations and assets, individuals, other organizations, and the Nation;
+
+
+
+
+
+
+
+
+
+
+
+
(3)
+
+
+
+
+
are reported in accordance with OMB FISMA reporting requirements;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
reviews plans of action and milestones for consistency with:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organizational risk management strategy; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
organization-wide priorities for risk response actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information security program plan
+
+
+
plans of action and milestones
+
+
+
procedures addressing plans of action and milestones development and maintenance
+
+
+
procedures addressing plans of action and milestones reporting
+
+
+
procedures for review of plans of action and milestones for consistency with risk
+ management strategy and risk response priorities
+
+
+
results of risk assessments associated with plans of action and milestones
+
+
+
OMB FISMA reporting requirements
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for developing, maintaining, reviewing,
+ and reporting plans of action and milestones
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for plan of action and milestones development, review, maintenance,
+ reporting
+
+
+
automated mechanisms supporting plans of action and milestones
+
+
+
+
+
+
+
References
+
+
+
+
OMB Memorandum 02-01
+
+
+
+
+
+
NIST Special Publication 800-37
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
PM-5 INFORMATION SYSTEM INVENTORY
+
+
+
+
+
Control
+
+
+
The organization develops and maintains an inventory of its information systems.
+
+
+
+
Supplemental guidance
+
+
+
This control addresses the inventory requirements in FISMA. OMB provides guidance
+ on developing information systems inventories and associated reporting requirements.
+ For specific information system inventory reporting requirements, organizations consult
+ OMB annual FISMA reporting guidance.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
develops an inventory of its information systems; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
maintains the inventory of its information systems.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information security program plan
+
+
+
information system inventory
+
+
+
procedures addressing information system inventory development and maintenance
+
+
+
OMB FISMA reporting guidance
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security program planning and plan implementation
+ responsibilities
+
+
+
organizational personnel responsible for developing and maintaining the information
+ system inventory
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for information system inventory development and maintenance
+
+
+
automated mechanisms supporting the information system inventory
+
+
+
+
+
+
+
References
+
+
+
+
http://www.omb.gov
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
PM-6 INFORMATION SECURITY MEASURES OF PERFORMANCE
+
+
+
+
+
Control
+
+
+
The organization develops, monitors, and reports on the results of information security
+ measures of performance.
+
+
+
+
+
Supplemental guidance
+
+
+
Measures of performance are outcome-based metrics used by an organization to measure
+ the effectiveness or efficiency of the information security program and the security
+ controls employed in support of the program.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+
+
+
+
+
[1]
+
+
+
+
+
develops information security measures of performance;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
monitors information security measures of performance; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
reports information security measures of performance.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information security program plan
+
+
+
information security measures of performance
+
+
+
procedures addressing development, monitoring, and reporting of information security
+ measures of performance
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security program planning and plan implementation
+ responsibilities
+
+
+
organizational personnel responsible for developing, monitoring, and reporting information
+ security measures of performance
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for developing, monitoring, and reporting information security
+ measures of performance
+
+
+
automated mechanisms supporting the development, monitoring, and reporting of information
+ security measures of performance
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-55
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
PM-7 ENTERPRISE ARCHITECTURE
+
+
+
+
+
Control
+
+
+
The organization develops an enterprise architecture with consideration for information
+ security and the resulting risk to organizational operations, organizational assets,
+ individuals, other organizations, and the Nation.
+
+
+
+
+
Supplemental guidance
+
+
+
The enterprise architecture developed by the organization is aligned with the Federal
+ Enterprise Architecture. The integration of information security requirements and
+ associated security controls into the organization�s enterprise architecture helps
+ to ensure that security considerations are addressed by organizations early in the
+ system development life cycle and are directly and explicitly related to the organization�s
+ mission/business processes. This process of security requirements integration also
+ embeds into the enterprise architecture, an integral information security architecture
+ consistent with organizational risk management and information security strategies.
+ For PM-7, the information security architecture is developed at a system-of-systems
+ level (organization-wide), representing all of the organizational information systems.
+ For PL-8, the information security architecture is developed at a level representing
+ an individual information system but at the same time, is consistent with the information
+ security architecture defined for the organization. Security requirements and security
+ control integration are most effectively accomplished through the application of the
+ Risk Management Framework and supporting security standards and guidelines. The Federal
+ Segment Architecture Methodology provides guidance on integrating information security
+ requirements and security controls into enterprise architectures.
+
Determine if the organization develops an enterprise architecture with consideration
+ for:
+
+
+
+
+
+
+
[1]
+
+
+
+
+
information security; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
the resulting risk to organizational operations, organizational assets, individuals,
+ other organizations, and the Nation.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information security program plan
+
+
+
enterprise architecture documentation
+
+
+
procedures addressing enterprise architecture development
+
+
+
results of risk assessment of enterprise architecture
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security program planning and plan implementation
+ responsibilities
+
+
+
organizational personnel responsible for developing enterprise architecture
+
+
+
organizational personnel responsible for risk assessment of enterprise architecture
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for enterprise architecture development
+
+
+
automated mechanisms supporting the enterprise architecture and its development
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-39
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
PM-8 CRITICAL INFRASTRUCTURE PLAN
+
+
+
+
+
Control
+
+
+
The organization addresses information security issues in the development, documentation,
+ and updating of a critical infrastructure and key resources protection plan.
+
+
+
+
+
Supplemental guidance
+
+
+
Protection strategies are based on the prioritization of critical assets and resources.
+ The requirement and guidance for defining critical infrastructure and key resources
+ and for preparing an associated critical infrastructure protection plan are found
+ in applicable federal laws, Executive Orders, directives, policies, regulations, standards,
+ and guidance.
+
Determine if the organization addresses information security issues in the:
+
+
+
+
+
+
[1]
+
+
+
+
+
development of a critical infrastructure and key resources protection plan;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
documentation of a critical infrastructure and key resources protection plan; and
+
+
+
+
+
+
+
+
+
+
+
[3]
+
+
+
+
+
updating of the critical infrastructure and key resources protection plan.
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information security program plan
+
+
+
critical infrastructure and key resources protection plan
+
+
+
procedures addressing development, documentation, and updating of the critical infrastructure
+ and key resources protection plan
+
+
+
HSPD 7
+
+
+
National Infrastructure Protection Plan
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security program planning and plan implementation
+ responsibilities
+
+
+
organizational personnel responsible for developing, documenting, and updating the
+ critical infrastructure and key resources protection plan
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for developing, documenting, and updating the critical infrastructure
+ and key resources protection plan
+
+
+
automated mechanisms supporting the development, documentation, and updating of the
+ critical infrastructure and key resources protection plan
+
+
+
+
+
+
+
References
+
+
+
+
HSPD 7
+
+
+
+
+
+
National Infrastructure Protection Plan
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
PM-9 RISK MANAGEMENT STRATEGY
+
+
+
+
+
+
Parameter: pm-9_a organization-defined frequency
+
+
+
Default: organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Develops a comprehensive strategy to manage risk to organizational operations and
+ assets, individuals, other organizations, and the Nation associated with the operation
+ and use of information systems;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Implements the risk management strategy consistently across the organization; and
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Reviews and updates the risk management strategy pm-9_a organization-defined frequency [organization-defined frequency] or as required, to address organizational changes.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
An organization-wide risk management strategy includes, for example, an unambiguous
+ expression of the risk tolerance for the organization, acceptable risk assessment
+ methodologies, risk mitigation strategies, a process for consistently evaluating risk
+ across the organization with respect to the organization�s risk tolerance, and approaches
+ for monitoring risk over time. The use of a risk executive function can facilitate
+ consistent, organization-wide application of the risk management strategy. The organization-wide
+ risk management strategy can be informed by risk-related inputs from other sources
+ both internal and external to the organization to ensure the strategy is both broad-based
+ and comprehensive.
+
develops a comprehensive strategy to manage risk to organizational operations and
+ assets, individuals, other organizations, and the Nation associated with the operation
+ and use of information systems;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
implements the risk management strategy consistently across the organization;
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
defines the frequency to review and update the risk management strategy;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
reviews and updates the risk management strategy to address organizational changes:
+
+
+
+
+
+
[a]
+
+
+
+
+
with the organization-defined frequency; or
+
+
+
+
+
+
+
+
+
+
+
[b]
+
+
+
+
+
as required.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information security program plan
+
+
+
risk management strategy
+
+
+
procedures addressing development, implementation, review, and update of the risk
+ management strategy
+
+
+
risk assessment results relevant to the risk management strategy
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security program planning and plan implementation
+ responsibilities
+
+
+
organizational personnel responsible for development, implementation, review, and
+ update of the risk management strategy
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for development, implementation, review, and update of the
+ risk management strategy
+
+
+
automated mechanisms supporting the development, implementation, review, and update
+ of the risk management strategy
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-30
+
+
+
+
+
+
NIST Special Publication 800-39
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
PM-10 SECURITY AUTHORIZATION PROCESS
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Manages (i.e., documents, tracks, and reports) the security state of organizational
+ information systems and the environments in which those systems operate through security
+ authorization processes;
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Designates individuals to fulfill specific roles and responsibilities within the organizational
+ risk management process; and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
Fully integrates the security authorization processes into an organization-wide risk
+ management program.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Security authorization processes for information systems and environments of operation
+ require the implementation of an organization-wide risk management process, a Risk
+ Management Framework, and associated security standards and guidelines. Specific roles
+ within the risk management process include an organizational risk executive (function)
+ and designated authorizing officials for each organizational information system and
+ common control provider. Security authorization processes are integrated with organizational
+ continuous monitoring processes to facilitate ongoing understanding and acceptance
+ of risk to organizational operations and assets, individuals, other organizations,
+ and the Nation.
+
manages (i.e., documents, tracks, and reports) the security state of organizational
+ information systems and the environments in which those systems operate through security
+ authorization processes;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
designates individuals to fulfill specific roles and responsibilities within the organizational
+ risk management process; and
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
fully integrates the security authorization processes into an organization-wide risk
+ management program.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information security program plan
+
+
+
procedures addressing management (i.e., documentation, tracking, and reporting) of
+ the security authorization process
+
+
+
security authorization documents
+
+
+
lists or other documentation about security authorization process roles and responsibilities
+
+
+
risk assessment results relevant to the security authorization process and the organization-wide
+ risk management program
+
+
+
organizational risk management strategy
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security program planning and plan implementation
+ responsibilities
+
+
+
organizational personnel responsible for management of the security authorization
+ process
+
+
+
authorizing officials
+
+
+
system owners, senior information security officer
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for security authorization
+
+
+
automated mechanisms supporting the security authorization process
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-37
+
+
+
+
+
+
NIST Special Publication 800-39
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
PM-11 MISSION/BUSINESS PROCESS DEFINITION
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Defines mission/business processes with consideration for information security and
+ the resulting risk to organizational operations, organizational assets, individuals,
+ other organizations, and the Nation; and
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Determines information protection needs arising from the defined mission/business
+ processes and revises the processes as necessary, until achievable protection needs
+ are obtained.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Information protection needs are technology-independent, required capabilities to
+ counter threats to organizations, individuals, or the Nation through the compromise
+ of information (i.e., loss of confidentiality, integrity, or availability). Information
+ protection needs are derived from the mission/business needs defined by the organization,
+ the mission/business processes selected to meet the stated needs, and the organizational
+ risk management strategy. Information protection needs determine the required security
+ controls for the organization and the associated information systems supporting the
+ mission/business processes. Inherent in defining an organization�s information protection
+ needs is an understanding of the level of adverse impact that could result if a compromise
+ of information occurs. The security categorization process is used to make such potential
+ impact determinations. Mission/business process definitions and associated information
+ protection requirements are documented by the organization in accordance with organizational
+ policy and procedure.
+
defines mission/business processes with consideration for information security and
+ the resulting risk to organizational operations, organizational assets, individuals,
+ other organizations, and the Nation;
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
determines information protection needs arising from the defined mission/business
+ process; and
+
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
revises the processes as necessary until achievable protection needs are obtained.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information security program plan
+
+
+
risk management strategy
+
+
+
procedures for determining mission/business protection needs
+
+
+
risk assessment results relevant to determination of mission/business protection needs
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security program planning and plan implementation
+ responsibilities
+
+
+
organizational personnel responsible for mission/business processes
+
+
+
organizational personnel responsible for determining information protection needs
+ for mission/business processes
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for defining mission/business processes and their information
+ protection needs
+
+
+
+
+
+
+
References
+
+
+
+
FIPS Publication 199
+
+
+
+
+
+
NIST Special Publication 800-60
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
PM-12 INSIDER THREAT PROGRAM
+
+
+
+
+
Control
+
+
+
The organization implements an insider threat program that includes a cross-discipline
+ insider threat incident handling team.
+
+
+
+
+
Supplemental guidance
+
+
+
Organizations handling classified information are required, under Executive Order
+ 13587 and the National Policy on Insider Threat, to establish insider threat programs.
+ The standards and guidelines that apply to insider threat programs in classified environments
+ can also be employed effectively to improve the security of Controlled Unclassified
+ Information in non-national security systems. Insider threat programs include security
+ controls to detect and prevent malicious insider activity through the centralized
+ integration and analysis of both technical and non-technical information to identify
+ potential insider threat concerns. A senior organizational official is designated
+ by the department/agency head as the responsible individual to implement and provide
+ oversight for the program. In addition to the centralized integration and analysis
+ capability, insider threat programs as a minimum, prepare department/agency insider
+ threat policies and implementation plans, conduct host-based user monitoring of individual
+ employee activities on government-owned classified computers, provide insider threat
+ awareness training to employees, receive access to information from all offices within
+ the department/agency (e.g., human resources, legal, physical security, personnel
+ security, information technology, information system security, and law enforcement)
+ for insider threat analysis, and conduct self-assessments of department/agency insider
+ threat posture.
+ Insider threat programs can leverage the existence of incident handling teams organizations
+ may already have in place, such as computer security incident response teams. Human
+ resources records are especially important in this effort, as there is compelling
+ evidence to show that some types of insider crimes are often preceded by nontechnical
+ behaviors in the workplace (e.g., ongoing patterns of disgruntled behavior and conflicts
+ with coworkers and other colleagues). These precursors can better inform and guide
+ organizational officials in more focused, targeted monitoring efforts. The participation
+ of a legal team is important to ensure that all monitoring activities are performed
+ in accordance with appropriate legislation, directives, regulations, policies, standards,
+ and guidelines.
+
Determine if the organization implements an insider threat program that includes a
+ cross-discipline insider threat incident handling team.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information security program plan
+
+
+
insider threat program documentation
+
+
+
procedures for the insider threat program
+
+
+
risk assessment results relevant to insider threats
+
+
+
list or other documentation on the cross-discipline insider threat incident handling
+ team
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security program planning and plan implementation
+ responsibilities
+
+
+
organizational personnel responsible for the insider threat program
+
+
+
members of the cross-discipline insider threat incident handling team
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for implementing the insider threat program and the cross-discipline
+ insider threat incident handling team
+
+
+
automated mechanisms supporting and/or implementing the insider threat program and
+ the cross-discipline insider threat incident handling team
+
+
+
+
+
+
+
References
+
+
+
+
Executive Order 13587
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
PM-13 INFORMATION SECURITY WORKFORCE
+
+
+
+
+
Control
+
+
+
The organization establishes an information security workforce development and improvement
+ program.
+
+
+
+
+
Supplemental guidance
+
+
+
Information security workforce development and improvement programs include, for example:
+ (i) defining the knowledge and skill levels needed to perform information security
+ duties and tasks; (ii) developing role-based training programs for individuals assigned
+ information security roles and responsibilities; and (iii) providing standards for
+ measuring and building individual qualifications for incumbents and applicants for
+ information security-related positions. Such workforce programs can also include associated
+ information security career paths to encourage: (i) information security professionals
+ to advance in the field and fill positions with greater responsibility; and (ii) organizations
+ to fill information security-related positions with qualified personnel. Information
+ security workforce development and improvement programs are complementary to organizational
+ security awareness and training programs. Information security workforce development
+ and improvement programs focus on developing and institutionalizing core information
+ security capabilities of selected personnel needed to protect organizational operations,
+ assets, and individuals.
+
Determine if the organization establishes an information security workforce development
+ and improvement program.
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information security program plan
+
+
+
information security workforce development and improvement program documentation
+
+
+
procedures for the information security workforce development and improvement program
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security program planning and plan implementation
+ responsibilities
+
+
+
organizational personnel responsible for the information security workforce development
+ and improvement program
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for implementing information security workforce development
+ and improvement program
+
+
+
automated mechanisms supporting and/or implementing the information security workforce
+ development and improvement program
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
PM-14 TESTING, TRAINING, AND MONITORING
+
+
+
+
+
+
+
+
+
+
+
The organization:
+
+
+
+
+
+
a.
+
+
+
+
+
Implements a process for ensuring that organizational plans for conducting security
+ testing, training, and monitoring activities associated with organizational information
+ systems:
+
+
+
+
+
+
+
1.
+
+
+
+
+
Are developed and maintained; and
+
+
+
+
+
+
+
+
+
+
+
2.
+
+
+
+
+
Continue to be executed in a timely manner;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
Reviews testing, training, and monitoring plans for consistency with the organizational
+ risk management strategy and organization-wide priorities for risk response actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
This control ensures that organizations provide oversight for the security testing,
+ training, and monitoring activities conducted organization-wide and that those activities
+ are coordinated. With the importance of continuous monitoring programs, the implementation
+ of information security across the three tiers of the risk management hierarchy, and
+ the widespread use of common controls, organizations coordinate and consolidate the
+ testing and monitoring activities that are routinely conducted as part of ongoing
+ organizational assessments supporting a variety of security controls. Security training
+ activities, while typically focused on individual information systems and specific
+ roles, also necessitate coordination across all organizational elements. Testing,
+ training, and monitoring plans and activities are informed by current threat and vulnerability
+ assessments.
+
implements a process for ensuring that organizational plans for conducting security
+ testing, training, and monitoring activities associated with organizational information
+ systems:
+
+
+
+
+
+
+
(1)
+
+
+
+
+
+
+
+
+
[1]
+
+
+
+
+
are developed;
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
are maintained;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(2)
+
+
+
+
+
continue to be executed in a timely manner;
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
reviews testing, training, and monitoring plans for consistency with:
+
+
+
+
+
+
[1]
+
+
+
+
+
the organizational risk management strategy; and
+
+
+
+
+
+
+
+
+
+
+
[2]
+
+
+
+
+
organization-wide priorities for risk response actions.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information security program plan
+
+
+
plans for conducting security testing, training, and monitoring activities
+
+
+
organizational procedures addressing development and maintenance of plans for conducting
+ security testing, training, and monitoring activities
+
+
+
risk management strategy
+
+
+
procedures for review of plans for conducting security testing, training, and monitoring
+ activities for consistency with risk management strategy and risk response priorities
+
+
+
results of risk assessments associated with conducting security testing, training,
+ and monitoring activities
+
+
+
evidence that plans for conducting security testing, training, and monitoring activities
+ are executed in a timely manner
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with responsibility for developing and maintaining plans
+ for conducting security testing, training, and monitoring activities
+
+
+
organizational personnel with information security responsibilities
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for development and maintenance of plans for conducting security
+ testing, training, and monitoring activities
+
+
+
automated mechanisms supporting development and maintenance of plans for conducting
+ security testing, training, and monitoring activities
+
+
+
+
+
+
+
References
+
+
+
+
NIST Special Publication 800-16
+
+
+
+
+
+
NIST Special Publication 800-37
+
+
+
+
+
+
NIST Special Publication 800-53A
+
+
+
+
+
+
NIST Special Publication 800-137
+
+
+
+
+
Priority and baseline allocation
+
+
+
+
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
PM-15 CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS
+
+
+
+
+
+
+
+
+
+
+
The organization establishes and institutionalizes contact with selected groups and
+ associations within the security community:
+
+
+
+
+
+
+
a.
+
+
+
+
+
To facilitate ongoing security education and training for organizational personnel;
+
+
+
+
+
+
+
+
+
+
+
b.
+
+
+
+
+
To maintain currency with recommended security practices, techniques, and technologies;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
c.
+
+
+
+
+
To share current security-related information including threats, vulnerabilities,
+ and incidents.
+
+
+
+
+
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
+
Ongoing contact with security groups and associations is of paramount importance in
+ an environment of rapidly changing technologies and threats. Security groups and associations
+ include, for example, special interest groups, forums, professional associations,
+ news groups, and/or peer groups of security professionals in similar organizations.
+ Organizations select groups and associations based on organizational missions/business
+ functions. Organizations share threat, vulnerability, and incident information consistent
+ with applicable federal laws, Executive Orders, directives, policies, regulations,
+ standards, and guidance.
+
Determine if the organization establishes and institutionalizes contact with selected
+ groups and associations with the security community to:
+
+
+
+
+
+
+
(a)
+
+
+
+
+
facilitate ongoing security education and training for organizational personnel;
+
+
+
+
+
+
+
+
+
+
+
(b)
+
+
+
+
+
maintain currency with recommended security practices, techniques, and technologies;
+ and
+
+
+
+
+
+
+
+
+
+
+
+
(c)
+
+
+
+
+
share current security-related information including threats, vulnerabilities, and
+ incidents.
+
+
+
+
+
+
+
+
+
+
+
+
+
Assessment: EXAMINE
+
+
+
+
Information security program plan
+
+
+
risk management strategy
+
+
+
procedures for contacts with security groups and associations
+
+
+
evidence of established and institutionalized contact with security groups and associations
+
+
+
lists or other documentation about contact with and/or membership in security groups
+ and associations
+
+
+
other relevant documents or records
+
+
+
+
+
Assessment: INTERVIEW
+
+
+
+
Organizational personnel with information security program planning and plan implementation
+ responsibilities
+
+
+
organizational personnel responsible for establishing and institutionalizing contact
+ with security groups and associations
+
+
+
organizational personnel with information security responsibilities
+
+
+
personnel from selected groups and associations with which the organization has established
+ and institutionalized contact
+
+
+
+
+
Assessment: TEST
+
+
+
+
Organizational processes for establishing and institutionalizing contact with security
+ groups and associations
+
+
+
automated mechanisms supporting contacts with security groups and associations
+
+
+
+
+
References: None
+
Priority and baseline allocation
+
+
+
+
+
LOW Not selected
+
+
MOD Not selected
+
+
HIGH Not selected
+
+
+
+
+
+
+
+
PM-16 THREAT AWARENESS PROGRAM
+
+
+
+
+
Control
+
+
+
The organization implements a threat awareness program that includes a cross-organization
+ information-sharing capability.
+
+
+
+
+
Supplemental guidance
+
+
+
Because of the constantly changing and increasing sophistication of adversaries, especially
+ the advanced persistent threat (APT), it is becoming more likely that adversaries
+ may successfully breach or compromise organizational information systems. One of the
+ best techniques to address this concern is for organizations to share threat information.
+ This can include, for example, sharing threat events (i.e., tactics, techniques, and
+ procedures) that organizations have experienced, mitigations that organizations have
+ found are effective against certain types of threats, threat intelligence (i.e., indications
+ and warnings about threats that are likely to occur). Threat information sharing may
+ be bilateral (e.g., government-commercial cooperatives, government-government cooperatives),
+ or multilateral (e.g., organizations taking part in threat-sharing consortia). Threat
+ information may be highly sensitive requiring special agreements and protection, or
+ less sensitive and freely shared.
+
+
+
+
+
+
\ No newline at end of file
diff --git a/working/SP800-53/SP800-53-OSCAL-demo.xml b/working/SP800-53/SP800-53-OSCAL-demo.xml
new file mode 100644
index 0000000000..cfbcbac668
--- /dev/null
+++ b/working/SP800-53/SP800-53-OSCAL-demo.xml
@@ -0,0 +1,1636 @@
+
+
+
+
+
+ NIST SP800-53 Excerpts for demonstration
+
+
+ ACCESS CONTROL
+
+ ACCESS CONTROL POLICY AND PROCEDURES
+
+ organization-defined personnel or roles
+ Club members in good standing
+
+
+ organization-defined frequency
+ Every TOTAL ECLIPSE OF THE SUN!
+
+ AC-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-1a.
+
Develops, documents, and disseminates to :
+
+ AC-1a.1.
+
An access control policy that addresses purpose, scope, roles,
+ responsibilities, management commitment, coordination among organizational entities,
+ and compliance; and
+
+
+ AC-1a.2.
+
Procedures to facilitate the implementation of the access control
+ policy and associated access controls; and
+
+
+
+ AC-1b.
+
Reviews and updates the current:
+
+ AC-1b.1.
+
Access control policy ; and
+
+
+ AC-1b.2.
+
Access control procedures .
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective
+ implementation of selected security controls and control enhancements in the AC family.
+ Policy and procedures reflect applicable federal laws, Executive Orders, directives,
+ regulations, policies, standards, and guidance. Security program policies and procedures
+ at the organization level may make the need for system-specific policies and procedures
+ unnecessary. The policy can be included as part of the general information security policy
+ for organizations or conversely, can be represented by multiple policies reflecting the
+ complex nature of certain organizations. The procedures can be established for the
+ security program in general and for particular information systems, if needed. The
+ organizational risk management strategy is a key factor in establishing policy and
+ procedures.
+
+
+
+
Determine if the organization:
+
+ AC-1(a)(1)
+
+ AC-1(a)(1)[1]
+
develops and documents an access control policy that addresses:
+
+ AC-1(a)(1)[1][a]
+
purpose;
+
+
+ AC-1(a)(1)[1][b]
+
scope;
+
+
+ AC-1(a)(1)[1][c]
+
roles;
+
+
+ AC-1(a)(1)[1][d]
+
responsibilities;
+
+
+ AC-1(a)(1)[1][e]
+
management commitment;
+
+
+ AC-1(a)(1)[1][f]
+
coordination among organizational entities;
+
+
+ AC-1(a)(1)[1][g]
+
compliance;
+
+
+
+ AC-1(a)(1)[2]
+
defines personnel or roles to whom the access control policy are to
+ be disseminated;
+
+
+ AC-1(a)(1)[3]
+
disseminates the access control policy to organization-defined
+ personnel or roles;
+
+
+
+ AC-1(a)(2)
+
+ AC-1(a)(2)[1]
+
develops and documents procedures to facilitate the implementation
+ of the access control policy and associated access control controls;
+
+
+ AC-1(a)(2)[2]
+
defines personnel or roles to whom the procedures are to be
+ disseminated;
+
+
+ AC-1(a)(2)[3]
+
disseminates the procedures to organization-defined personnel or
+ roles;
+
+
+
+ AC-1(b)(1)
+
+ AC-1(b)(1)[1]
+
defines the frequency to review and update the current access
+ control policy;
+
+
+ AC-1(b)(1)[2]
+
reviews and updates the current access control policy with the
+ organization-defined frequency;
+
+
+
+ AC-1(b)(2)
+
+ AC-1(b)(2)[1]
+
defines the frequency to review and update the current access
+ control procedures; and
+
+
+ AC-1(b)(2)[2]
+
reviews and updates the current access control procedures with the
+ organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Access control policy and procedures
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with access control responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ NIST Special
+ Publication 800-12
+
+
+ NIST Special
+ Publication 800-100
+
+
+
+
+ ACCOUNT MANAGEMENT
+
+ organization-defined information system account types
+ organization-defined information system account types
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined procedures or conditions
+ organization-defined procedures or conditions
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ AC-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-2a.
+
Identifies and selects the following types of information system
+ accounts to support organizational missions/business functions: ;
+
+
+ AC-2b.
+
Assigns account managers for information system accounts;
+
+
+ AC-2c.
+
Establishes conditions for group and role membership;
+
+
+ AC-2d.
+
Specifies authorized users of the information system, group and
+ role membership, and access authorizations (i.e., privileges) and other attributes (as
+ required) for each account;
+
+
+ AC-2e.
+
Requires approvals by for requests to
+ create information system accounts;
+
+
+ AC-2f.
+
Creates, enables, modifies, disables, and removes information
+ system accounts in accordance with ;
+
+
+ AC-2g.
+
Monitors the use of information system accounts;
+
+
+ AC-2h.
+
Notifies account managers:
+
+ AC-2h.1.
+
When accounts are no longer required;
+
+
+ AC-2h.2.
+
When users are terminated or transferred; and
+
+
+ AC-2h.3.
+
When individual information system usage or need-to-know
+ changes;
+
+
+
+ AC-2i.
+
Authorizes access to the information system based on:
+
+ AC-2i.1.
+
A valid access authorization;
+
+
+ AC-2i.2.
+
Intended system usage; and
+
+
+ AC-2i.3.
+
Other attributes as required by the organization or associated
+ missions/business functions;
+
+
+
+ AC-2j.
+
Reviews accounts for compliance with account management
+ requirements ; and
+
+
+ AC-2k.
+
Establishes a process for reissuing shared/group account
+ credentials (if deployed) when individuals are removed from the group.
+
+
+
+
Information system account types include, for example, individual, shared, group, system,
+ guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of
+ the account management requirements listed above can be implemented by organizational
+ information systems. The identification of authorized users of the information system and
+ the specification of access privileges reflects the requirements in other security
+ controls in the security plan. Users requiring administrative privileges on information
+ system accounts receive additional scrutiny by appropriate organizational personnel (e.g.,
+ system owner, mission/business owner, or chief information security officer) responsible
+ for approving such accounts and privileged access. Organizations may choose to define
+ access privileges or other attributes by account, by type of account, or a combination of
+ both. Other attributes required for authorizing access include, for example, restrictions
+ on time-of-day, day-of-week, and point-of-origin. In defining other account attributes,
+ organizations consider system-related requirements (e.g., scheduled maintenance, system
+ upgrades) and mission/business requirements, (e.g., time zone differences, customer
+ requirements, remote access to support travel requirements). Failure to consider these
+ factors could affect information system availability. Temporary and emergency accounts are
+ accounts intended for short-term use. Organizations establish temporary accounts as a part
+ of normal account activation procedures when there is a need for short-term accounts
+ without the demand for immediacy in account activation. Organizations establish emergency
+ accounts in response to crisis situations and with the need for rapid account activation.
+ Therefore, emergency account activation may bypass normal account authorization processes.
+ Emergency and temporary accounts are not to be confused with infrequently used accounts
+ (e.g., local logon accounts used for special tasks defined by organizations or when
+ network resources are unavailable). Such accounts remain available and are not subject to
+ automatic disabling or removal dates. Conditions for disabling or deactivating accounts
+ include, for example: (i) when shared/group, emergency, or temporary accounts are no
+ longer required; or (ii) when individuals are transferred or terminated. Some types of
+ information system accounts may require specialized training.
The organization employs automated mechanisms to support the
+ management of information system accounts.
+
+
+
The use of automated mechanisms can include, for example: using email or text messaging
+ to automatically notify account managers when users are terminated or transferred; using
+ the information system to monitor account usage; and using telephonic notification to
+ report atypical system account usage.
+
+
+
Determine if the organization employs automated mechanisms to support
+ the management of information system accounts.
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing account management
+
information system design documentation
+
information system configuration settings and associated
+ documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+
+ REMOVAL OF TEMPORARY / EMERGENCY ACCOUNTS
+
+ organization-defined time period for each type of account
+ organization-defined time period for each type of account
+
+ AC-2 (2)
+ MODERATE
+ HIGH
+
+
The information system automatically [Selection: removes; disables]
+ temporary and emergency accounts after .
+
+
+
This control enhancement requires the removal of both temporary and emergency accounts
+ automatically after a predefined period of time has elapsed, rather than at the
+ convenience of the systems administrator.
+
+
+
Determine if:
+
+ AC-2(2)[1]
+
the organization defines the time period after which the information
+ system automatically removes or disables temporary and emergency accounts; and
+
+
+ AC-2(2)[2]
+
the information system automatically removes or disables temporary
+ and emergency accounts after the organization-defined time period for each type of
+ account.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing account management
+
security plan
+
information system design documentation
+
information system configuration settings and associated
+ documentation
+
information system-generated list of temporary accounts removed and/or
+ disabled
+
information system-generated list of emergency accounts removed and/or
+ disabled
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+
+ INACTIVITY LOGOUT
+
+ organization-defined time-period of expected inactivity or description of when to
+ log out
+ organization-defined time-period of expected inactivity or description of when to log out
+
+ AC-2 (5)
+ HIGH
+
+
The organization requires that users log out when .
+
+
+
+
+
+
Determine if the organization:
+
+ AC-2(5)[1]
+
defines either the time period of expected inactivity that requires
+ users to log out or the description of when users are required to log out; and
+
+
+ AC-2(5)[2]
+
requires that users log out when the organization-defined time
+ period of inactivity is reached or in accordance with organization-defined description
+ of when to log out.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing account management
+
security plan
+
information system design documentation
+
information system configuration settings and associated
+ documentation
+
security violation reports
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
users that must comply with inactivity logout policy
+
+
+
+ DYNAMIC PRIVILEGE MANAGEMENT
+
+ organization-defined list of dynamic privilege management capabilities
+ organization-defined list of dynamic privilege management capabilities
+
+ AC-2 (6)
+
+
The information system implements the following dynamic privilege
+ management capabilities: .
+
+
+
In contrast to conventional access control approaches which employ static information
+ system accounts and predefined sets of user privileges, dynamic access control
+ approaches (e.g., service-oriented architectures) rely on run time access control
+ decisions facilitated by dynamic privilege management. While user identities may remain
+ relatively constant over time, user privileges may change more frequently based on
+ ongoing mission/business requirements and operational needs of organizations. Dynamic
+ privilege management can include, for example, the immediate revocation of privileges
+ from users, as opposed to requiring that users terminate and restart their sessions to
+ reflect any changes in privileges. Dynamic privilege management can also refer to
+ mechanisms that change the privileges of users based on dynamic rules as opposed to
+ editing specific user profiles. This type of privilege management includes, for example,
+ automatic adjustments of privileges if users are operating out of their normal work
+ times, or if information systems are under duress or in emergency maintenance
+ situations. This control enhancement also includes the ancillary effects of privilege
+ changes, for example, the potential changes to encryption keys used for communications.
+ Dynamic privilege management can support requirements for information system
+ resiliency.
+
+
+
+
Determine if:
+
+ AC-2(6)[1]
+
the organization defines a list of dynamic privilege management
+ capabilities to be implemented by the information system; and
+
+
+ AC-2(6)[2]
+
the information system implements the organization-defined list of
+ dynamic privilege management capabilities.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing account management
+
information system design documentation
+
information system configuration settings and associated
+ documentation
+
system-generated list of dynamic privilege management capabilities
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Information system implementing dynamic privilege management
+ capabilities
Establishes and administers privileged user accounts in
+ accordance with a role-based access scheme that organizes allowed information system
+ access and privileges into roles;
+
+
+ AC-2 (7)(b)
+
Monitors privileged role assignments; and
+
+
+ AC-2 (7)(c)
+
Takes when privileged role
+ assignments are no longer appropriate.
+
+
+
+
Privileged roles are organization-defined roles assigned to individuals that allow
+ those individuals to perform certain security-relevant functions that ordinary users are
+ not authorized to perform. These privileged roles include, for example, key management,
+ account management, network and system administration, database administration, and web
+ administration.
+
+
+
Determine if the organization:
+
+ AC-2(7)(a)
+
establishes and administers privileged user accounts in accordance
+ with a role-based access scheme that organizes allowed information system access and
+ privileges into roles;
+
+
+ AC-2(7)(b)
+
monitors privileged role assignments;
+
+
+ AC-2(7)(c)
+
+ AC-2(7)(c)[1]
+
defines actions to be taken when privileged role assignments are
+ no longer appropriate; and
+
+
+ AC-2(7)(c)[2]
+
takes organization-defined actions when privileged role
+ assignments are no longer appropriate.
+
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing account management
+
information system design documentation
+
information system configuration settings and associated
+ documentation
+
information system-generated list of privileged user accounts and
+ associated role
+
records of actions taken when privileged role assignments are no longer
+ appropriate
+
information system audit records
+
audit tracking and monitoring reports
+
information system monitoring records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
automated mechanisms monitoring privileged role assignments
+
+
+
+ DYNAMIC ACCOUNT CREATION
+
+ organization-defined information system accounts
+ organization-defined information system accounts
+
+ AC-2 (8)
+
+
The information system creates
+ dynamically.
+
+
+
Dynamic approaches for creating information system accounts (e.g., as implemented
+ within service-oriented architectures) rely on establishing accounts (identities) at run
+ time for entities that were previously unknown. Organizations plan for dynamic creation
+ of information system accounts by establishing trust relationships and mechanisms with
+ the appropriate authorities to validate related authorizations and privileges.
+
+
+
+
Determine if:
+
+ AC-2(8)[1]
+
the organization defines information system accounts to be created
+ by the information system dynamically; and
+
+
+ AC-2(8)[2]
+
the information system creates organization-defined information
+ system accounts dynamically.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing account management
+
information system design documentation
+
information system configuration settings and associated
+ documentation
+
system-generated list of information system accounts
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+
+ USAGE CONDITIONS
+
+ organization-defined circumstances and/or usage conditions
+ organization-defined circumstances and/or usage conditions
+
+
+ organization-defined information system accounts
+ organization-defined information system accounts
+
+ AC-2 (11)
+ HIGH
+
+
The information system enforces for
+ .
+
+
+
Organizations can describe the specific conditions or circumstances under which
+ information system accounts can be used, for example, by restricting usage to certain
+ days of the week, time of day, or specific durations of time.
+
+
+
Determine if:
+
+ AC-2(11)[1]
+
the organization defines circumstances and/or usage conditions to be
+ enforced for information system accounts;
+
+
+ AC-2(11)[2]
+
the organization defines information system accounts for which
+ organization-defined circumstances and/or usage conditions are to be enforced; and
+
+
+ AC-2(11)[3]
+
the information system enforces organization-defined circumstances
+ and/or usage conditions for organization-defined information system accounts.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing account management
+
information system design documentation
+
information system configuration settings and associated
+ documentation
+
system-generated list of information system accounts and associated
+ assignments of usage circumstances and/or usage conditions
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
Reports atypical usage of information system accounts to .
+
+
+
+
Atypical usage includes, for example, accessing information systems at certain times of
+ the day and from locations that are not consistent with the normal usage patterns of
+ individuals working in organizations.
+
+
+
+
Determine if the organization:
+
+ AC-2(12)(a)
+
+ AC-2(12)(a)[1]
+
defines atypical usage to be monitored for information system
+ accounts;
+
+
+ AC-2(12)(a)[2]
+
monitors information system accounts for organization-defined
+ atypical usage;
+
+
+
+ AC-2(12)(b)
+
+ AC-2(12)(b)[1]
+
defines personnel or roles to whom atypical usage of information
+ system accounts are to be reported; and
+
+
+ AC-2(12)(b)[2]
+
reports atypical usage of information system accounts to
+ organization-defined personnel or roles.
+
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing account management
+
information system design documentation
+
information system configuration settings and associated
+ documentation
+
information system monitoring records
+
information system audit records
+
audit tracking and monitoring reports
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+
+ DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS
+
+ organization-defined time period
+ organization-defined time period
+
+ AC-2 (13)
+ HIGH
+
+
The organization disables accounts of users posing a significant
+ risk within of discovery of the risk.
+
+
+
Users posing a significant risk to organizations include individuals for whom reliable
+ evidence or intelligence indicates either the intention to use authorized access to
+ information systems to cause harm or through whom adversaries will cause harm. Harm
+ includes potential adverse impacts to organizational operations and assets, individuals,
+ other organizations, or the Nation. Close coordination between authorizing officials,
+ information system administrators, and human resource managers is essential in order for
+ timely execution of this control enhancement.
+
+
+
+
Determine if the organization:
+
+ AC-2(13)[1]
+
defines the time period within which accounts are disabled upon
+ discovery of a significant risk posed by users of such accounts; and
+
+
+ AC-2(13)[2]
+
disables accounts of users posing a significant risk within the
+ organization-defined time period of discovery of the risk.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing account management
+
information system design documentation
+
information system configuration settings and associated
+ documentation
+
system-generated list of disabled accounts
+
list of user activities posing significant organizational risk
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
defines information system account types to be identified and
+ selected to support organizational missions/business functions;
+
+
+ AC-2(a)[2]
+
identifies and selects organization-defined information system
+ account types to support organizational missions/business functions;
+
+
+
+ AC-2(b)
+
assigns account managers for information system accounts;
+
+
+ AC-2(c)
+
establishes conditions for group and role membership;
+
+
+ AC-2(d)
+
specifies for each account (as required):
+
+ AC-2(d)[1]
+
authorized users of the information system;
+
+
+ AC-2(d)[2]
+
group and role membership;
+
+
+ AC-2(d)[3]
+
access authorizations (i.e., privileges);
+
+
+ AC-2(d)[4]
+
other attributes;
+
+
+
+ AC-2(e)
+
+ AC-2(e)[1]
+
defines personnel or roles required to approve requests to create
+ information system accounts;
+
+
+ AC-2(e)[2]
+
requires approvals by organization-defined personnel or roles for
+ requests to create information system accounts;
+
+
+
+ AC-2(f)
+
+ AC-2(f)[1]
+
defines procedures or conditions to:
+
+ AC-2(f)[1][a]
+
create information system accounts;
+
+
+ AC-2(f)[1][b]
+
enable information system accounts;
+
+
+ AC-2(f)[1][c]
+
modify information system accounts;
+
+
+ AC-2(f)[1][d]
+
disable information system accounts;
+
+
+ AC-2(f)[1][e]
+
remove information system accounts;
+
+
+
+ AC-2(f)[2]
+
in accordance with organization-defined procedures or
+ conditions:
+
+ AC-2(f)[2][a]
+
creates information system accounts;
+
+
+ AC-2(f)[2][b]
+
enables information system accounts;
+
+
+ AC-2(f)[2][c]
+
modifies information system accounts;
+
+
+ AC-2(f)[2][d]
+
disables information system accounts;
+
+
+ AC-2(f)[2][e]
+
removes information system accounts;
+
+
+
+
+ AC-2(g)
+
monitors the use of information system accounts;
+
+
+ AC-2(h)
+
notifies account managers:
+
+ AC-2(h)(1)
+
when accounts are no longer required;
+
+
+ AC-2(h)(2)
+
when users are terminated or transferred;
+
+
+ AC-2(h)(3)
+
when individual information system usage or need to know
+ changes;
+
+
+
+ AC-2(i)
+
authorizes access to the information system based on;
+
+ AC-2(i)(1)
+
a valid access authorization;
+
+
+ AC-2(i)(2)
+
intended system usage;
+
+
+ AC-2(i)(3)
+
other attributes as required by the organization or associated
+ missions/business functions;
+
+
+
+ AC-2(j)
+
+ AC-2(j)[1]
+
defines the frequency to review accounts for compliance with account
+ management requirements;
+
+
+ AC-2(j)[2]
+
reviews accounts for compliance with account management requirements
+ with the organization-defined frequency; and
+
+
+
+ AC-2(k)
+
establishes a process for reissuing shared/group account credentials
+ (if deployed) when individuals are removed from the group.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing account management
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of active system accounts along with the name of the individual
+ associated with each account
+
list of conditions for group and role membership
+
notifications or records of recently transferred, separated, or terminated
+ employees
+
list of recently disabled information system accounts along with the name
+ of the individual associated with each account
+
access authorization records
+
account management compliance reviews
+
information system monitoring records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes account management on the information system
+
automated mechanisms for implementing account management
+
+
+
+ SUPERVISION AND REVIEW - ACCESS CONTROL
+ AC-13
+
+
+
+
+ Incorporated into AC-2 and AU-6.
+
+
+
+
+ PROGRAM MANAGEMENT
+
+ INFORMATION SECURITY PROGRAM PLAN
+
+ organization-defined frequency
+ organization-defined frequency
+
+ PM-1
+
+
The organization:
+
+ PM-1a.
+
Develops and disseminates an organization-wide information security
+ program plan that:
+
+ PM-1a.1.
+
Provides an overview of the requirements for the security program
+ and a description of the security program management controls and common controls in
+ place or planned for meeting those requirements;
+
+
+ PM-1a.2.
+
Includes the identification and assignment of roles,
+ responsibilities, management commitment, coordination among organizational entities,
+ and compliance;
+
+
+ PM-1a.3.
+
Reflects coordination among organizational entities responsible
+ for the different aspects of information security (i.e., technical, physical,
+ personnel, cyber-physical); and
+
+
+ PM-1a.4.
+
Is approved by a senior official with responsibility and
+ accountability for the risk being incurred to organizational operations (including
+ mission, functions, image, and reputation), organizational assets, individuals, other
+ organizations, and the Nation;
+
+
+
+ PM-1b.
+
Reviews the organization-wide information security program plan
+ ;
+
+
+ PM-1c.
+
Updates the plan to address organizational changes and problems
+ identified during plan implementation or security control assessments; and
+
+
+ PM-1d.
+
Protects the information security program plan from unauthorized
+ disclosure and modification.
+
+
+
+
Information security program plans can be represented in single documents or compilations
+ of documents at the discretion of organizations. The plans document the program management
+ controls and organization-defined common controls. Information security program plans
+ provide sufficient information about the program management controls/common controls
+ (including specification of parameters for any assignment and selection statements either
+ explicitly or by reference) to enable implementations that are unambiguously compliant
+ with the intent of the plans and a determination of the risk to be incurred if the plans
+ are implemented as intended. The security plans for individual information systems and the
+ organization-wide information security program plan together, provide complete coverage
+ for all security controls employed within the organization. Common controls are documented
+ in an appendix to the organization�s information security program plan unless the controls
+ are included in a separate security plan for an information system (e.g., security
+ controls employed as part of an intrusion detection system providing organization-wide
+ boundary protection inherited by one or more organizational information systems). The
+ organization-wide information security program plan will indicate which separate security
+ plans contain descriptions of common controls. Organizations have the flexibility to
+ describe common controls in a single document or in multiple documents. In the case of
+ multiple documents, the documents describing common controls are included as attachments
+ to the information security program plan. If the information security program plan
+ contains multiple documents, the organization specifies in each document the
+ organizational official or officials responsible for the development, implementation,
+ assessment, authorization, and monitoring of the respective common controls. For example,
+ the organization may require that the Facilities Management Office develop, implement,
+ assess, authorize, and continuously monitor common physical and environmental protection
+ controls from the PE family when such controls are not associated with a particular
+ information system but instead, support multiple information systems.
+
+
+
+
Determine if the organization:
+
+ PM-1(a)
+
develops and disseminates an organization-wide information security
+ program plan that:
+
+ PM-1(a)(1)
+
+ PM-1(a)(1)[1]
+
provides an overview of the requirements for the security
+ program;
+
+
+ PM-1(a)(1)[2]
+
provides a description of the:
+
+ PM-1(a)(1)[2][a]
+
security program management controls in place or planned for
+ meeting those requirements;
+
+
+ PM-1(a)(1)[2][b]
+
common controls in place or planned for meeting those
+ requirements;
+
+
+
+
+ PM-1(a)(2)
+
includes the identification and assignment of:
+
+ PM-1(a)(2)[1]
+
roles;
+
+
+ PM-1(a)(2)[2]
+
responsibilities;
+
+
+ PM-1(a)(2)[3]
+
management commitment;
+
+
+ PM-1(a)(2)[4]
+
coordination among organizational entities;
+
+
+ PM-1(a)(2)[5]
+
compliance;
+
+
+
+ PM-1(a)(3)
+
reflects coordination among organizational entities responsible for
+ the different aspects of information security (i.e., technical, physical, personnel,
+ cyber-physical);
+
+
+ PM-1(a)(4)
+
is approved by a senior official with responsibility and
+ accountability for the risk being incurred to organizational operations,
+ organizational assets, individuals, other organizations, and the Nation;
+
+
+
+ PM-1(b)
+
+ PM-1(b)[1]
+
defines the frequency to review the security program plan for the
+ information system;
+
+
+ PM-1(b)[2]
+
reviews the organization-wide information security program plan with
+ the organization-defined frequency;
+
+
+
+ PM-1(c)
+
updates the plan to address organizational:
+
+ PM-1(c)[1]
+
changes identified during plan implementation;
+
+
+ PM-1(c)[2]
+
changes identified during security control assessments;
+
+
+ PM-1(c)[3]
+
problems identified during plan implementation;
+
+
+ PM-1(c)[4]
+
problems identified during security control assessments;
+
+
+
+ PM-1(d)
+
protects the information security program plan from unauthorized:
+
+ PM-1(d)[1]
+
disclosure; and
+
+
+ PM-1(d)[2]
+
modification.
+
+
+
+
+ EXAMINE
+
Information security program plan
+
procedures addressing program plan development and implementation
+
procedures addressing program plan reviews and updates
+
procedures addressing coordination of the program plan with relevant
+ entities
+
procedures for program plan approvals
+
records of program plan reviews and updates
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security program planning and
+ plan implementation responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for information security program plan
+ development/review/update/approval
+
automated mechanisms supporting and/or implementing the information
+ security program plan
The organization appoints a senior information security officer with
+ the mission and resources to coordinate, develop, implement, and maintain an
+ organization-wide information security program.
+
+
+
The security officer described in this control is an organizational official. For a
+ federal agency (as defined in applicable federal laws, Executive Orders, directives,
+ policies, or regulations) this official is the Senior Agency Information Security Officer.
+ Organizations may also refer to this official as the Senior Information Security Officer
+ or Chief Information Security Officer.
+
+
+
Determine if the organization appoints a senior information security
+ officer with the mission and resources to:
+
+ PM-2[1]
+
coordinate an organization-wide information security program;
+
+
+ PM-2[2]
+
develop an organization-wide information security program;
+
+
+ PM-2[3]
+
implement an organization-wide information security program; and
+
+
+ PM-2[4]
+
maintain an organization-wide information security program.
+
+
+
+ EXAMINE
+
Information security program plan
+
procedures addressing program plan development and implementation
+
procedures addressing program plan reviews and updates
+
procedures addressing coordination of the program plan with relevant
+ entities
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security program planning and
+ plan implementation responsibilities
+
senior information security officer
+
organizational personnel with information security responsibilities
+
+
+
+
diff --git a/working/SP800-53/SP800-53-OSCAL-param.xml b/working/SP800-53/SP800-53-OSCAL-param.xml
new file mode 100644
index 0000000000..8bcf9e4abb
--- /dev/null
+++ b/working/SP800-53/SP800-53-OSCAL-param.xml
@@ -0,0 +1,48818 @@
+
+
+
+
+
+ NIST SP800-53
+
+
+ ACCESS CONTROL
+
+ ACCESS CONTROL POLICY AND PROCEDURES
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+
+
+
+
+ AC-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-1a.
+
Develops, documents, and disseminates to :
+
+
+ AC-1a.1.
+
An access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ AC-1a.2.
+
Procedures to facilitate the implementation of the access control policy and associated access controls; and
+
+
+
+ AC-1b.
+
Reviews and updates the current:
+
+ AC-1b.1.
+
Access control policy organization-defined frequency; and
+
+
+ AC-1b.2.
+
Access control procedures organization-defined frequency.
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+ Determine if the organization:
+
+ AC-1(a)(1)
+
+ AC-1(a)(1)[1]
+ develops and documents an access control policy that addresses:
+
+ AC-1(a)(1)[1][a]
+ purpose;
+
+
+ AC-1(a)(1)[1][b]
+ scope;
+
+
+ AC-1(a)(1)[1][c]
+ roles;
+
+
+ AC-1(a)(1)[1][d]
+ responsibilities;
+
+
+ AC-1(a)(1)[1][e]
+ management commitment;
+
+
+ AC-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ AC-1(a)(1)[1][g]
+ compliance;
+
+
+
+ AC-1(a)(1)[2]
+ defines personnel or roles to whom the access control policy are to be disseminated;
+
+
+ AC-1(a)(1)[3]
+ disseminates the access control policy to organization-defined personnel or roles;
+
+
+
+ AC-1(a)(2)
+
+ AC-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the access control policy and associated access control controls;
+
+
+ AC-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ AC-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ AC-1(b)(1)
+
+ AC-1(b)(1)[1]
+ defines the frequency to review and update the current access control policy;
+
+
+ AC-1(b)(1)[2]
+ reviews and updates the current access control policy with the organization-defined frequency;
+
+
+
+ AC-1(b)(2)
+
+ AC-1(b)(2)[1]
+ defines the frequency to review and update the current access control procedures; and
+
+
+ AC-1(b)(2)[2]
+ reviews and updates the current access control procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Access control policy and procedures
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with access control responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ ACCOUNT MANAGEMENT
+ AC-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-2a.
+
Identifies and selects the following types of information system accounts to support organizational missions/business functions: organization-defined information system account types;
+
+
+ AC-2b.
+
Assigns account managers for information system accounts;
+
+
+ AC-2c.
+
Establishes conditions for group and role membership;
+
+
+ AC-2d.
+
Specifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;
+
+
+ AC-2e.
+
Requires approvals by organization-defined personnel or roles for requests to create information system accounts;
+
+
+ AC-2f.
+
Creates, enables, modifies, disables, and removes information system accounts in accordance with organization-defined procedures or conditions;
+
+
+ AC-2g.
+
Monitors the use of information system accounts;
+
+
+ AC-2h.
+
Notifies account managers:
+
+ AC-2h.1.
+
When accounts are no longer required;
+
+
+ AC-2h.2.
+
When users are terminated or transferred; and
+
+
+ AC-2h.3.
+
When individual information system usage or need-to-know changes;
+
+
+
+ AC-2i.
+
Authorizes access to the information system based on:
+
+ AC-2i.1.
+
A valid access authorization;
+
+
+ AC-2i.2.
+
Intended system usage; and
+
+
+ AC-2i.3.
+
Other attributes as required by the organization or associated missions/business functions;
+
+
+
+ AC-2j.
+
Reviews accounts for compliance with account management requirements organization-defined frequency; and
+
+
+ AC-2k.
+
Establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.
+
+
+
+
Information system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training.
The organization employs automated mechanisms to support the management of information system accounts.
+
+
+
The use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using telephonic notification to report atypical system account usage.
+
+
+ Determine if the organization employs automated mechanisms to support the management of information system accounts.
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing account management
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with account management responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing account management functions
+
+
+
+ REMOVAL OF TEMPORARY / EMERGENCY ACCOUNTS
+ AC-2 (2)
+ MODERATE
+ HIGH
+
+
The information system automatically [Selection: removes; disables] temporary and emergency accounts after organization-defined time period for each type of account.
+
+
+
This control enhancement requires the removal of both temporary and emergency accounts automatically after a predefined period of time has elapsed, rather than at the convenience of the systems administrator.
+
+
+ Determine if:
+
+ AC-2(2)[1]
+ the organization defines the time period after which the information system automatically removes or disables temporary and emergency accounts; and
+
+
+ AC-2(2)[2]
+ the information system automatically removes or disables temporary and emergency accounts after the organization-defined time period for each type of account.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing account management
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system-generated list of temporary accounts removed and/or disabled
+ information system-generated list of emergency accounts removed and/or disabled
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with account management responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing account management functions
+
+
+
+ DISABLE INACTIVE ACCOUNTS
+ AC-2 (3)
+ MODERATE
+ HIGH
+
+
The information system automatically disables inactive accounts after organization-defined time period.
+
+
+ Determine if:
+
+ AC-2(3)[1]
+ the organization defines the time period after which the information system automatically disables inactive accounts; and
+
+
+ AC-2(3)[2]
+ the information system automatically disables inactive accounts after the organization-defined time period.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing account management
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system-generated list of temporary accounts removed and/or disabled
+ information system-generated list of emergency accounts removed and/or disabled
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with account management responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing account management functions
+
+
+
+ AUTOMATED AUDIT ACTIONS
+ AC-2 (4)
+ MODERATE
+ HIGH
+
+
The information system automatically audits account creation, modification, enabling, disabling, and removal actions, and notifies organization-defined personnel or roles.
+
+
+ AU-2
+ AU-12
+
+
+ Determine if:
+
+ AC-2(4)[1]
+ the information system automatically audits the following account actions:
+
+ AC-2(4)[1][a]
+ creation;
+
+
+ AC-2(4)[1][b]
+ modification;
+
+
+ AC-2(4)[1][c]
+ enabling;
+
+
+ AC-2(4)[1][d]
+ disabling;
+
+
+ AC-2(4)[1][e]
+ removal;
+
+
+
+ AC-2(4)[2]
+ the organization defines personnel or roles to be notified of the following account actions:
+
+ AC-2(4)[2][a]
+ creation;
+
+
+ AC-2(4)[2][b]
+ modification;
+
+
+ AC-2(4)[2][c]
+ enabling;
+
+
+ AC-2(4)[2][d]
+ disabling;
+
+
+ AC-2(4)[2][e]
+ removal;
+
+
+
+ AC-2(4)[3]
+ the information system notifies organization-defined personnel or roles of the following account actions:
+
+ AC-2(4)[3][a]
+ creation;
+
+
+ AC-2(4)[3][b]
+ modification;
+
+
+ AC-2(4)[3][c]
+ enabling;
+
+
+ AC-2(4)[3][d]
+ disabling; and
+
+
+ AC-2(4)[3][e]
+ removal.
+
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing account management
+ information system design documentation
+ information system configuration settings and associated documentation
+ notifications/alerts of account creation, modification, enabling, disabling, and removal actions
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with account management responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing account management functions
+
+
+
+ INACTIVITY LOGOUT
+ AC-2 (5)
+ HIGH
+
+
The organization requires that users log out when organization-defined time-period of expected inactivity or description of when to log out.
+
+
+ SC-23
+
+
+ Determine if the organization:
+
+ AC-2(5)[1]
+ defines either the time period of expected inactivity that requires users to log out or the description of when users are required to log out; and
+
+
+ AC-2(5)[2]
+ requires that users log out when the organization-defined time period of inactivity is reached or in accordance with organization-defined description of when to log out.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing account management
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ security violation reports
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with account management responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ users that must comply with inactivity logout policy
+
+
+
+ DYNAMIC PRIVILEGE MANAGEMENT
+ AC-2 (6)
+
+
The information system implements the following dynamic privilege management capabilities: organization-defined list of dynamic privilege management capabilities.
+
+
+
In contrast to conventional access control approaches which employ static information system accounts and predefined sets of user privileges, dynamic access control approaches (e.g., service-oriented architectures) rely on run time access control decisions facilitated by dynamic privilege management. While user identities may remain relatively constant over time, user privileges may change more frequently based on ongoing mission/business requirements and operational needs of organizations. Dynamic privilege management can include, for example, the immediate revocation of privileges from users, as opposed to requiring that users terminate and restart their sessions to reflect any changes in privileges. Dynamic privilege management can also refer to mechanisms that change the privileges of users based on dynamic rules as opposed to editing specific user profiles. This type of privilege management includes, for example, automatic adjustments of privileges if users are operating out of their normal work times, or if information systems are under duress or in emergency maintenance situations. This control enhancement also includes the ancillary effects of privilege changes, for example, the potential changes to encryption keys used for communications. Dynamic privilege management can support requirements for information system resiliency.
+ AC-16
+
+
+ Determine if:
+
+ AC-2(6)[1]
+ the organization defines a list of dynamic privilege management capabilities to be implemented by the information system; and
+
+
+ AC-2(6)[2]
+ the information system implements the organization-defined list of dynamic privilege management capabilities.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing account management
+ information system design documentation
+ information system configuration settings and associated documentation
+ system-generated list of dynamic privilege management capabilities
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with account management responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Information system implementing dynamic privilege management capabilities
+
+
+
+ ROLE-BASED SCHEMES
+ AC-2 (7)
+
+
The organization:
+
+ AC-2 (7)(a)
+
Establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;
+
+
+ AC-2 (7)(b)
+
Monitors privileged role assignments; and
+
+
+ AC-2 (7)(c)
+
Takes organization-defined actions when privileged role assignments are no longer appropriate.
+
+
+
+
Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. These privileged roles include, for example, key management, account management, network and system administration, database administration, and web administration.
+
+
+ Determine if the organization:
+
+ AC-2(7)(a)
+ establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;
+
+
+ AC-2(7)(b)
+ monitors privileged role assignments;
+
+
+ AC-2(7)(c)
+
+ AC-2(7)(c)[1]
+ defines actions to be taken when privileged role assignments are no longer appropriate; and
+
+
+ AC-2(7)(c)[2]
+ takes organization-defined actions when privileged role assignments are no longer appropriate.
+
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing account management
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system-generated list of privileged user accounts and associated role
+ records of actions taken when privileged role assignments are no longer appropriate
+ information system audit records
+ audit tracking and monitoring reports
+ information system monitoring records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with account management responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing account management functions
+ automated mechanisms monitoring privileged role assignments
+
+
+
+ DYNAMIC ACCOUNT CREATION
+ AC-2 (8)
+
+
The information system creates organization-defined information system accounts dynamically.
+
+
+
Dynamic approaches for creating information system accounts (e.g., as implemented within service-oriented architectures) rely on establishing accounts (identities) at run time for entities that were previously unknown. Organizations plan for dynamic creation of information system accounts by establishing trust relationships and mechanisms with the appropriate authorities to validate related authorizations and privileges.
+ AC-16
+
+
+ Determine if:
+
+ AC-2(8)[1]
+ the organization defines information system accounts to be created by the information system dynamically; and
+
+
+ AC-2(8)[2]
+ the information system creates organization-defined information system accounts dynamically.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing account management
+ information system design documentation
+ information system configuration settings and associated documentation
+ system-generated list of information system accounts
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with account management responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing account management functions
+
+
+
+ RESTRICTIONS ON USE OF SHARED / GROUP ACCOUNTS
+ AC-2 (9)
+
+
The organization only permits the use of shared/group accounts that meet organization-defined conditions for establishing shared/group accounts.
+
+
+ Determine if the organization:
+
+ AC-2(9)[1]
+ defines conditions for establishing shared/group accounts; and
+
+
+ AC-2(9)[2]
+ only permits the use of shared/group accounts that meet organization-defined conditions for establishing shared/group accounts.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing account management
+ information system design documentation
+ information system configuration settings and associated documentation
+ system-generated list of shared/group accounts and associated role
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with account management responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing management of shared/group accounts
+
+
+
+ SHARED / GROUP ACCOUNT CREDENTIAL TERMINATION
+ AC-2 (10)
+
+
The information system terminates shared/group account credentials when members leave the group.
+
+
+ Determine if the information system terminates shared/group account credentials when members leave the group.
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing account management
+ information system design documentation
+ information system configuration settings and associated documentation
+ account access termination records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with account management responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing account management functions
+
+
+
+ USAGE CONDITIONS
+ AC-2 (11)
+ HIGH
+
+
The information system enforces organization-defined circumstances and/or usage conditions for organization-defined information system accounts.
+
+
+
Organizations can describe the specific conditions or circumstances under which information system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.
+
+
+ Determine if:
+
+ AC-2(11)[1]
+ the organization defines circumstances and/or usage conditions to be enforced for information system accounts;
+
+
+ AC-2(11)[2]
+ the organization defines information system accounts for which organization-defined circumstances and/or usage conditions are to be enforced; and
+
+
+ AC-2(11)[3]
+ the information system enforces organization-defined circumstances and/or usage conditions for organization-defined information system accounts.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing account management
+ information system design documentation
+ information system configuration settings and associated documentation
+ system-generated list of information system accounts and associated assignments of usage circumstances and/or usage conditions
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with account management responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing account management functions
+
+
+
+ ACCOUNT MONITORING / ATYPICAL USAGE
+ AC-2 (12)
+ HIGH
+
+
The organization:
+
+ AC-2 (12)(a)
+
Monitors information system accounts for organization-defined atypical usage; and
+
+
+ AC-2 (12)(b)
+
Reports atypical usage of information system accounts to organization-defined personnel or roles.
+
+
+
+
Atypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations.
+ CA-7
+
+
+ Determine if the organization:
+
+ AC-2(12)(a)
+
+ AC-2(12)(a)[1]
+ defines atypical usage to be monitored for information system accounts;
+
+
+ AC-2(12)(a)[2]
+ monitors information system accounts for organization-defined atypical usage;
+
+
+
+ AC-2(12)(b)
+
+ AC-2(12)(b)[1]
+ defines personnel or roles to whom atypical usage of information system accounts are to be reported; and
+
+
+ AC-2(12)(b)[2]
+ reports atypical usage of information system accounts to organization-defined personnel or roles.
+
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing account management
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system monitoring records
+ information system audit records
+ audit tracking and monitoring reports
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with account management responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing account management functions
+
+
+
+ DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS
+ AC-2 (13)
+ HIGH
+
+
The organization disables accounts of users posing a significant risk within organization-defined time period of discovery of the risk.
+
+
+
Users posing a significant risk to organizations include individuals for whom reliable evidence or intelligence indicates either the intention to use authorized access to information systems to cause harm or through whom adversaries will cause harm. Harm includes potential adverse impacts to organizational operations and assets, individuals, other organizations, or the Nation. Close coordination between authorizing officials, information system administrators, and human resource managers is essential in order for timely execution of this control enhancement.
+ PS-4
+
+
+ Determine if the organization:
+
+ AC-2(13)[1]
+ defines the time period within which accounts are disabled upon discovery of a significant risk posed by users of such accounts; and
+
+
+ AC-2(13)[2]
+ disables accounts of users posing a significant risk within the organization-defined time period of discovery of the risk.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing account management
+ information system design documentation
+ information system configuration settings and associated documentation
+ system-generated list of disabled accounts
+ list of user activities posing significant organizational risk
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with account management responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing account management functions
+
+
+
+ Determine if the organization:
+
+ AC-2(a)
+
+ AC-2(a)[1]
+ defines information system account types to be identified and selected to support organizational missions/business functions;
+
+
+ AC-2(a)[2]
+ identifies and selects organization-defined information system account types to support organizational missions/business functions;
+
+
+
+ AC-2(b)
+ assigns account managers for information system accounts;
+
+
+ AC-2(c)
+ establishes conditions for group and role membership;
+
+
+ AC-2(d)
+ specifies for each account (as required):
+
+ AC-2(d)[1]
+ authorized users of the information system;
+
+
+ AC-2(d)[2]
+ group and role membership;
+
+
+ AC-2(d)[3]
+ access authorizations (i.e., privileges);
+
+
+ AC-2(d)[4]
+ other attributes;
+
+
+
+ AC-2(e)
+
+ AC-2(e)[1]
+ defines personnel or roles required to approve requests to create information system accounts;
+
+
+ AC-2(e)[2]
+ requires approvals by organization-defined personnel or roles for requests to create information system accounts;
+
+
+
+ AC-2(f)
+
+ AC-2(f)[1]
+ defines procedures or conditions to:
+
+ AC-2(f)[1][a]
+ create information system accounts;
+
+
+ AC-2(f)[1][b]
+ enable information system accounts;
+
+
+ AC-2(f)[1][c]
+ modify information system accounts;
+
+
+ AC-2(f)[1][d]
+ disable information system accounts;
+
+
+ AC-2(f)[1][e]
+ remove information system accounts;
+
+
+
+ AC-2(f)[2]
+ in accordance with organization-defined procedures or conditions:
+
+ AC-2(f)[2][a]
+ creates information system accounts;
+
+
+ AC-2(f)[2][b]
+ enables information system accounts;
+
+
+ AC-2(f)[2][c]
+ modifies information system accounts;
+
+
+ AC-2(f)[2][d]
+ disables information system accounts;
+
+
+ AC-2(f)[2][e]
+ removes information system accounts;
+
+
+
+
+ AC-2(g)
+ monitors the use of information system accounts;
+
+
+ AC-2(h)
+ notifies account managers:
+
+ AC-2(h)(1)
+ when accounts are no longer required;
+
+
+ AC-2(h)(2)
+ when users are terminated or transferred;
+
+
+ AC-2(h)(3)
+ when individual information system usage or need to know changes;
+
+
+
+ AC-2(i)
+ authorizes access to the information system based on;
+
+ AC-2(i)(1)
+ a valid access authorization;
+
+
+ AC-2(i)(2)
+ intended system usage;
+
+
+ AC-2(i)(3)
+ other attributes as required by the organization or associated missions/business functions;
+
+
+
+ AC-2(j)
+
+ AC-2(j)[1]
+ defines the frequency to review accounts for compliance with account management requirements;
+
+
+ AC-2(j)[2]
+ reviews accounts for compliance with account management requirements with the organization-defined frequency; and
+
+
+
+ AC-2(k)
+ establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing account management
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of active system accounts along with the name of the individual associated with each account
+ list of conditions for group and role membership
+ notifications or records of recently transferred, separated, or terminated employees
+ list of recently disabled information system accounts along with the name of the individual associated with each account
+ access authorization records
+ account management compliance reviews
+ information system monitoring records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with account management responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes account management on the information system
+ automated mechanisms for implementing account management
+
+
+
+ ACCESS ENFORCEMENT
+ AC-3
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.
+
+
+
Access control policies (e.g., identity-based policies, role-based policies, control matrices, cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, domains) in information systems. In addition to enforcing authorized access at the information system level and recognizing that information systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security.
The information system enforces dual authorization for organization-defined privileged commands and/or other organization-defined actions.
+
+
+
Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety. Dual authorization may also be known as two-person control.
+ CP-9
+ MP-6
+
+
+ Determine if:
+
+ AC-3(2)[1]
+ the organization defines privileged commands and/or other actions for which dual authorization is to be enforced; and
+
+
+ AC-3(2)[2]
+ the information system enforces dual authorization for organization-defined privileged commands and/or other organization-defined actions.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing access enforcement and dual authorization
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of privileged commands requiring dual authorization
+ list of actions requiring dual authorization
+ list of approved authorizations (user privileges)
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with access enforcement responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Dual authorization mechanisms implementing access control policy
+
+
+
+ MANDATORY ACCESS CONTROL
+ AC-3 (3)
+
+
The information system enforces organization-defined mandatory access control policy over all subjects and objects where the policy:
+
+ AC-3 (3)(a)
+
Is uniformly enforced across all subjects and objects within the boundary of the information system;
+
+
+ AC-3 (3)(b)
+
Specifies that a subject that has been granted access to information is constrained from doing any of the following;
+
+ AC-3 (3)(b)(1)
+
Passing the information to unauthorized subjects or objects;
+
+
+ AC-3 (3)(b)(2)
+
Granting its privileges to other subjects;
+
+
+ AC-3 (3)(b)(3)
+
Changing one or more security attributes on subjects, objects, the information system, or information system components;
+
+
+ AC-3 (3)(b)(4)
+
Choosing the security attributes and attribute values to be associated with newly created or modified objects; or
+
+
+ AC-3 (3)(b)(5)
+
Changing the rules governing access control; and
+
+
+
+ AC-3 (3)(c)
+
Specifies that organization-defined subjects may explicitly be granted organization-defined privileges (i.e., they are trusted subjects) such that they are not limited by some or all of the above constraints.
+
+
+
+
Mandatory access control as defined in this control enhancement is synonymous with nondiscretionary access control, and is not constrained only to certain historical uses (e.g., implementations using the Bell-LaPadula Model). The above class of mandatory access control policies constrains what actions subjects can take with information obtained from data objects for which they have already been granted access, thus preventing the subjects from passing the information to unauthorized subjects and objects. This class of mandatory access control policies also constrains what actions subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the information system has control. Otherwise, the access control policy can be circumvented. This enforcement typically is provided via an implementation that meets the reference monitor concept (see AC-25). The policy is bounded by the information system boundary (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect). The trusted subjects described above are granted privileges consistent with the concept of least privilege (see AC-6). Trusted subjects are only given the minimum privileges relative to the above policy necessary for satisfying organizational mission/business needs. The control is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes a policy regarding access to sensitive/classified information and some users of the information system are not authorized access to all sensitive/classified information resident in the information system. This control can operate in conjunction with AC-3 (4). A subject that is constrained in its operation by policies governed by this control is still able to operate under the less rigorous constraints of AC-3 (4), but policies governed by this control take precedence over the less rigorous constraints of AC-3 (4). For example, while a mandatory access control policy imposes a constraint preventing a subject from passing information to another subject operating at a different sensitivity label, AC-3 (4) permits the subject to pass the information to any subject with the same sensitivity label as the subject.
+ AC-25
+ SC-11
+
+
+ Determine if:
+
+ AC-3(3)[1]
+ the organization defines mandatory access control policies to be enforced over all subjects and objects;
+
+
+ AC-3(3)[2]
+ the organization defines subjects over which organization-defined mandatory access control policies are to be enforced;
+
+
+ AC-3(3)[3]
+ the organization defines objects over which organization-defined mandatory access control policies are to be enforced;
+
+
+ AC-3(3)[4]
+ the organization defines subjects that may explicitly be granted privileges such that they are not limited by the constraints specified elsewhere within this control;
+
+
+ AC-3(3)[5]
+ the organization defines privileges that may be granted to organization-defined subjects;
+
+
+ AC-3(3)[6]
+ the information system enforces organization-defined mandatory access control policies over all subjects and objects where the policy specifies that:
+
+ AC-3(3)[6](a)
+ the policy is uniformly enforced across all subjects and objects within the boundary of the information system;
+
+
+ AC-3(3)[6](b)
+ a subject that has been granted access to information is constrained from doing any of the following:
+
+ AC-3(3)[6](b)(1)
+ passing the information to unauthorized subjects or objects;
+
+
+ AC-3(3)[6](b)(2)
+ granting its privileges to other subjects;
+
+
+ AC-3(3)[6](b)(3)
+ changing one or more security attributes on:
+
+ AC-3(3)[6](b)(3)[a]
+ subjects;
+
+
+ AC-3(3)[6](b)(3)[b]
+ objects;
+
+
+ AC-3(3)[6](b)(3)[c]
+ the information system; or
+
+
+ AC-3(3)[6](b)(3)[d]
+ system components;
+
+
+
+ AC-3(3)[6](b)(4)
+ choosing the security attributes and attribute values to be associated with newly created or modified objects; or
+
+
+ AC-3(3)[6](b)(5)
+ changing the rules governing access control; and
+
+
+
+ AC-3(3)[6](c)
+ organization-defined subjects may explicitly be granted organization-defined privileges such that they are not limited by some or all of the above constraints.
+
+
+
+
+ EXAMINE
+ Access control policy
+ mandatory access control policies
+ procedures addressing access enforcement
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of subjects and objects (i.e., users and resources) requiring enforcement of mandatory access control policies
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with access enforcement responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing mandatory access control
+
+
+
+ DISCRETIONARY ACCESS CONTROL
+ AC-3 (4)
+
+
The information system enforces organization-defined discretionary access control policy over defined subjects and objects where the policy specifies that a subject that has been granted access to information can do one or more of the following:
+
+ AC-3 (4)(a)
+
Pass the information to any other subjects or objects;
+
+
+ AC-3 (4)(b)
+
Grant its privileges to other subjects;
+
+
+ AC-3 (4)(c)
+
Change security attributes on subjects, objects, the information system, or the information system�s components;
+
+
+ AC-3 (4)(d)
+
Choose the security attributes to be associated with newly created or revised objects; or
+
+
+ AC-3 (4)(e)
+
Change the rules governing access control.
+
+
+
+
When discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing (i.e., the subjects have the discretion to pass) the information to other subjects or objects. This control enhancement can operate in conjunction with AC-3 (3). A subject that is constrained in its operation by policies governed by AC-3 (3) is still able to operate under the less rigorous constraints of this control enhancement. Thus, while AC-3 (3) imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3 (4) permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the information system boundary. Once the information is passed outside of the control of the information system, additional means may be required to ensure that the constraints remain in effect. While the older, more traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this use of discretionary access control.
+
+
+ Determine if:
+
+ AC-3(4)[1]
+ the organization defines discretionary access control policies to be enforced over defined subjects and objects;
+
+
+ AC-3(4)[2]
+ the information system enforces organization-defined discretionary access control policies over defined subjects and objects where the policy specifies that a subject has been granted access to information and can do one or more of the following:
+
+ AC-3(4)[2](a)
+ pass the information to any other subjects or objects;
+
+
+ AC-3(4)[2](b)
+ grant its privileges to other subjects;
+
+
+ AC-3(4)[2](c)
+ change security attributes on:
+
+ AC-3(4)[2](c)[a]
+ subjects,
+
+
+ AC-3(4)[2](c)[b]
+ objects,
+
+
+ AC-3(4)[2](c)[c]
+ the information system, or
+
+
+ AC-3(4)[2](c)[d]
+ the information system’s components;
+
+
+
+ AC-3(4)[2](d)
+ choose the security attributes to be associated with newly created or revised objects; or
+
+
+ AC-3(4)[2](e)
+ change the rules governing access control.
+
+
+
+
+ EXAMINE
+ Access control policy
+ discretionary access control policies
+ procedures addressing access enforcement
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of subjects and objects (i.e., users and resources) requiring enforcement of discretionary access control policies
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with access enforcement responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing discretionary access control policy
+
+
+
+ SECURITY-RELEVANT INFORMATION
+ AC-3 (5)
+
+
The information system prevents access to organization-defined security-relevant information except during secure, non-operable system states.
+
+
+
Security-relevant information is any information within information systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security policies or maintain the isolation of code and data. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Secure, non-operable system states include the times in which information systems are not performing mission/business-related processing (e.g., the system is off-line for maintenance, troubleshooting, boot-up, shut down).
+ CM-3
+
+
+ Determine if:
+
+ AC-3(5)[1]
+ the organization defines security-relevant information to which the information system prevents access except during secure, non-operable system states; and
+
+
+ AC-3(5)[2]
+ the information system prevents access to organization-defined security-relevant information except during secure, non-operable system states.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing access enforcement
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with access enforcement responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms preventing access to security-relevant information within the information system
+
+
+
+ PROTECTION OF USER AND SYSTEM INFORMATION
+ AC-3 (6)
+ MP-4
+ SC-28
+
+
+ Incorporated into MP-4 and SC-28.
+
+
+
+ ROLE-BASED ACCESS CONTROL
+ AC-3 (7)
+
+
The information system enforces a role-based access control policy over defined subjects and objects and controls access based upon organization-defined roles and users authorized to assume such roles.
+
+
+
Role-based access control (RBAC) is an access control policy that restricts information system access to authorized users. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on organizational information systems associated with the organization-defined roles. When users are assigned to the organizational roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for organizations because privileges are not assigned directly to every user (which can be a significant number of individuals for mid- to large-size organizations) but are instead acquired through role assignments. RBAC can be implemented either as a mandatory or discretionary form of access control. For organizations implementing RBAC with mandatory access controls, the requirements in AC-3 (3) define the scope of the subjects and objects covered by the policy.
+
+
+ Determine if:
+
+ AC-3(7)[1]
+ the organization defines roles to control information system access;
+
+
+ AC-3(7)[2]
+ the organization defines users authorized to assume the organization-defined roles;
+
+
+ AC-3(7)[3]
+ the information system controls access based on organization-defined roles and users authorized to assume such roles;
+
+
+ AC-3(7)[4]
+ the information system enforces a role-based access control policy over defined:
+
+ AC-3(7)[4][a]
+ subjects, and
+
+
+ AC-3(7)[4][b]
+ objects.
+
+
+
+
+ EXAMINE
+ Access control policy
+ role-based access control policies
+ procedures addressing access enforcement
+ security plan, information system design documentation
+ information system configuration settings and associated documentation
+ list of roles, users, and associated privileges required to control information system access
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with access enforcement responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing role-based access control policy
+
+
+
+ REVOCATION OF ACCESS AUTHORIZATIONS
+ AC-3 (8)
+
+
The information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on organization-defined rules governing the timing of revocations of access authorizations.
+
+
+
Revocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process) is removed from a group, access may not be revoked until the next time the object (e.g., file) is opened or until the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations can provide alternative approaches on how to make revocations immediate if information systems cannot provide such capability and immediate revocation is necessary.
+
+
+ Determine if:
+
+ AC-3(8)[1]
+ the organization defines rules governing the timing of revocations of access authorizations; and
+
+
+ AC-3(8)[2]
+ the information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on organization-defined rules governing the timing of revocations of access authorizations.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing access enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ rules governing revocation of access authorizations, information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with access enforcement responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing access enforcement functions
+
+
+
+ CONTROLLED RELEASE
+ AC-3 (9)
+
+
The information system does not release information outside of the established system boundary unless:
+
+ AC-3 (9)(a)
+
The receiving organization-defined information system or system component provides organization-defined security safeguards; and
+
+
+ AC-3 (9)(b)
+
+ organization-defined security safeguards are used to validate the appropriateness of the information designated for release.
+
+
+
+
Information systems can only protect organizational information within the confines of established system boundaries. Additional security safeguards may be needed to ensure that such information is adequately protected once it is passed beyond the established information system boundaries. Examples of information leaving the system boundary include transmitting information to an external information system or printing the information on one of its printers. In cases where the information system is unable to make a determination of the adequacy of the protections provided by entities outside its boundary, as a mitigating control, organizations determine procedurally whether the external information systems are providing adequate security. The means used to determine the adequacy of the security provided by external information systems include, for example, conducting inspections or periodic testing, establishing agreements between the organization and its counterpart organizations, or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security policy to protect the information. This control enhancement requires information systems to employ technical or procedural means to validate the information prior to releasing it to external systems. For example, if the information system passes information to another system controlled by another organization, technical means are employed to validate that the security attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the information system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only appropriately authorized individuals gain access to the printer. This control enhancement is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes policy regarding access to the information, and that policy applies beyond the realm of a particular information system or organization.
+
+
+ Determine if:
+
+ AC-3(9)[1]
+ the organization defines the information system or system component authorized to receive information released outside of the established system boundary of the information system releasing such information;
+
+
+ AC-3(9)[2]
+ the organization defines security safeguards to be provided by organization-defined information system or system component receiving information released from an information system outside of the established system boundary;
+
+
+ AC-3(9)[3]
+ the organization defines security safeguards to be used to validate the appropriateness of the information designated for release;
+
+
+ AC-3(9)[4]
+ the information system does not release information outside of the established system boundary unless:
+
+ AC-3(9)[4](a)
+ the receiving organization-defined information system or system component provides organization-defined security safeguards; and
+
+
+ AC-3(9)[4](b)
+ the organization-defined security safeguards are used to validate the appropriateness of the information designated for release.
+
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing access enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of security safeguards provided by receiving information system or system components
+ list of security safeguards validating appropriateness of information designated for release
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with access enforcement responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing access enforcement functions
+
+
+
+ AUDITED OVERRIDE OF ACCESS CONTROL MECHANISMS
+ AC-3 (10)
+
+
The organization employs an audited override of automated access control mechanisms under organization-defined conditions.
+
+
+ AU-2
+ AU-6
+
+
+ Determine if the organization:
+
+ AC-3(10)[1]
+ defines conditions under which to employ an audited override of automated access control mechanisms; and
+
+
+ AC-3(10)[2]
+ employs an audited override of automated access control mechanisms under organization-defined conditions.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing access enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ conditions for employing audited override of automated access control mechanisms
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with access enforcement responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing access enforcement functions
+
+
+
+ Determine if the information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing access enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of approved authorizations (user privileges)
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with access enforcement responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing access control policy
+
+
+
+ INFORMATION FLOW ENFORCEMENT
+ AC-4
+ P1
+ MODERATE
+ HIGH
+
+
The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on organization-defined information flow control policies.
+
+
+
Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regrading mechanisms to reassign security attributes and security labels.
+Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products.
The information system uses organization-defined security attributes associated with organization-defined information, source, and destination objects to enforce organization-defined information flow control policies as a basis for flow control decisions.
+
+
+
Information flow enforcement mechanisms compare security attributes associated with information (data content and data structure) and source/destination objects, and respond appropriately (e.g., block, quarantine, alert administrator) when the mechanisms encounter information flows not explicitly allowed by information flow policies. For example, an information object labeled Secret would be allowed to flow to a destination object labeled Secret, but an information object labeled Top Secret would not be allowed to flow to a destination object labeled Secret. Security attributes can also include, for example, source and destination addresses employed in traffic filter firewalls. Flow enforcement using explicit security attributes can be used, for example, to control the release of certain types of information.
+ AC-16
+
+
+ Determine if:
+
+ AC-4(1)[1]
+ the organization defines information flow control policies as a basis for flow control decisions;
+
+
+ AC-4(1)[2]
+ the organization defines security attributes to be associated with information, source, and destination objects;
+
+
+ AC-4(1)[3]
+ the organization defines the following objects to be associated with organization-defined security attributes:
+
+ AC-4(1)[3][a]
+ information;
+
+
+ AC-4(1)[3][b]
+ source;
+
+
+ AC-4(1)[3][c]
+ destination; and
+
+
+
+ AC-4(1)[4]
+ the information system uses organization-defined security attributes associated with organization-defined information, source, and destination objects to enforce organization-defined information flow control policies as a basis for flow control decisions.
+
+
+
+ EXAMINE
+ Access control policy
+ information flow control policies
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of security attributes and associated information, source, and destination objects enforcing information flow control policies
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement policy
+
+
+
+ PROCESSING DOMAINS
+ AC-4 (2)
+
+
The information system uses protected processing domains to enforce organization-defined information flow control policies as a basis for flow control decisions.
+
+
+
Within information systems, protected processing domains are processing spaces that have controlled interactions with other processing spaces, thus enabling control of information flows between these spaces and to/from data/information objects. A protected processing domain can be provided, for example, by implementing domain and type enforcement. In domain and type enforcement, information system processes are assigned to domains; information is identified by types; and information flows are controlled based on allowed information accesses (determined by domain and type), allowed signaling among domains, and allowed process transitions to other domains.
+
+
+ Determine if:
+
+ AC-4(2)[1]
+ the organization defines information flow control policies as a basis for flow control decisions; and
+
+
+ AC-4(2)[2]
+ the information system uses protected processing domains to enforce organization-defined information flow control policies as a basis for flow control decisions.
+
+
+
+ EXAMINE
+ Access control policy
+ information flow control policies
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system security architecture and associated documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement policy
+
+
+
+ DYNAMIC INFORMATION FLOW CONTROL
+ AC-4 (3)
+
+
The information system enforces dynamic information flow control based on organization-defined policies.
+
+
+
Organizational policies regarding dynamic information flow control include, for example, allowing or disallowing information flows based on changing conditions or mission/operational considerations. Changing conditions include, for example, changes in organizational risk tolerance due to changes in the immediacy of mission/business needs, changes in the threat environment, and detection of potentially harmful or adverse events.
+ SI-4
+
+
+ Determine if:
+
+ AC-4(3)[1]
+ the organization defines policies to enforce dynamic information flow control; and
+
+
+ AC-4(3)[2]
+ the information system enforces dynamic information flow control based on organization-defined policies.
+
+
+
+ EXAMINE
+ Access control policy
+ information flow control policies
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system security architecture and associated documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement policy
+
+
+
+ CONTENT CHECK ENCRYPTED INFORMATION
+ AC-4 (4)
+
+
The information system prevents encrypted information from bypassing content-checking mechanisms by [Selection (one or more): decrypting the information; blocking the flow of the encrypted information; terminating communications sessions attempting to pass encrypted information; organization-defined procedure or method].
+
+
+ SI-4
+
+
+ Determine if:
+
+ AC-4(4)[1]
+ the organization defines a procedure or method to be employed to prevent encrypted information from bypassing content-checking mechanisms;
+
+
+ AC-4(4)[2]
+ the information system prevents encrypted information from bypassing content-checking mechanisms by doing one or more of the following:
+
+ AC-4(4)[2][a]
+ decrypting the information;
+
+
+ AC-4(4)[2][b]
+ blocking the flow of the encrypted information;
+
+
+ AC-4(4)[2][c]
+ terminating communications sessions attempting to pass encrypted information; and/or
+
+
+ AC-4(4)[2][d]
+ employing the organization-defined procedure or method.
+
+
+
+
+ EXAMINE
+ Access control policy
+ information flow control policies
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement policy
+
+
+
+ EMBEDDED DATA TYPES
+ AC-4 (5)
+
+
The information system enforces organization-defined limitations on embedding data types within other data types.
+
+
+
Embedding data types within other data types may result in reduced flow control effectiveness. Data type embedding includes, for example, inserting executable files as objects within word processing files, inserting references or descriptive information into a media file, and compressed or archived data types that may include multiple embedded data types. Limitations on data type embedding consider the levels of embedding and prohibit levels of data type embedding that are beyond the capability of the inspection tools.
+
+
+ Determine if:
+
+ AC-4(5)[1]
+ the organization defines limitations to be enforced on embedding data types within other data types; and
+
+
+ AC-4(5)[2]
+ the information system enforces organization-defined limitations on embedding data types within other data types.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of limitations to be enforced on embedding data types within other data types
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement policy
+
+
+
+ METADATA
+ AC-4 (6)
+
+
The information system enforces information flow control based on organization-defined metadata.
+
+
+
Metadata is information used to describe the characteristics of data. Metadata can include structural metadata describing data structures (e.g., data format, syntax, and semantics) or descriptive metadata describing data contents (e.g., age, location, telephone number). Enforcing allowed information flows based on metadata enables simpler and more effective flow control. Organizations consider the trustworthiness of metadata with regard to data accuracy (i.e., knowledge that the metadata values are correct with respect to the data), data integrity (i.e., protecting against unauthorized changes to metadata tags), and the binding of metadata to the data payload (i.e., ensuring sufficiently strong binding techniques with appropriate levels of assurance).
+ AC-16
+ SI-7
+
+
+ Determine if:
+
+ AC-4(6)[1]
+ the organization defines metadata to be used as a means of enforcing information flow control; and
+
+
+ AC-4(6)[2]
+ the information system enforces information flow control based on organization-defined metadata.
+
+
+
+ EXAMINE
+ Access control policy
+ information flow control policies
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ types of metadata used to enforce information flow control decisions
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement policy
+
+
+
+ ONE-WAY FLOW MECHANISMS
+ AC-4 (7)
+
+
The information system enforces organization-defined one-way information flows using hardware mechanisms.
+
+
+ Determine if:
+
+ AC-4(7)[1]
+ the organization defines one-way information flows to be enforced by the information system; and
+
+
+ AC-4(7)[2]
+ the information system enforces organization-defined one-way information flows using hardware mechanisms.
+
+
+
+ EXAMINE
+ Access control policy
+ information flow control policies
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system hardware mechanisms and associated configurations
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Hardware mechanisms implementing information flow enforcement policy
+
+
+
+ SECURITY POLICY FILTERS
+ AC-4 (8)
+
+
The information system enforces information flow control using organization-defined security policy filters as a basis for flow control decisions for organization-defined information flows.
+
+
+
Organization-defined security policy filters can address data structures and content. For example, security policy filters for data structures can check for maximum file lengths, maximum field sizes, and data/file types (for structured and unstructured data). Security policy filters for data content can check for specific words (e.g., dirty/clean word filters), enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data typically refers to digital information without a particular data structure or with a data structure that does not facilitate the development of rule sets to address the particular sensitivity of the information conveyed by the data or the associated flow enforcement decisions. Unstructured data consists of: (i) bitmap objects that are inherently non language-based (i.e., image, video, or audio files); and (ii) textual objects that are based on written or printed languages (e.g., commercial off-the-shelf word processing documents, spreadsheets, or emails). Organizations can implement more than one security policy filter to meet information flow control objectives (e.g., employing clean word lists in conjunction with dirty word lists may help to reduce false positives).
+
+
+ Determine if:
+
+ AC-4(8)[1]
+ the organization defines security policy filters to be used as a basis for enforcing flow control decisions;
+
+
+ AC-4(8)[2]
+ the organization defines information flows for which flow control decisions are to be applied and enforced; and
+
+
+ AC-4(8)[3]
+ the information system enforces information flow control using organization-defined security policy filters as a basis for flow control decisions for organization-defined information flows.
+
+
+
+ EXAMINE
+ Access control policy
+ information flow control policies
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of security policy filters regulating flow control decisions
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement policy
+
+
+
+ HUMAN REVIEWS
+ AC-4 (9)
+
+
The information system enforces the use of human reviews for organization-defined information flows under the following conditions: organization-defined conditions.
+
+
+
Organizations define security policy filters for all situations where automated flow control decisions are possible. When a fully automated flow control decision is not possible, then a human review may be employed in lieu of, or as a complement to, automated security policy filtering. Human reviews may also be employed as deemed necessary by organizations.
+
+
+ Determine if:
+
+ AC-4(9)[1]
+ the organization defines information flows requiring the use of human reviews;
+
+
+ AC-4(9)[2]
+ the organization defines conditions under which the use of human reviews for organization-defined information flows is to be enforced; and
+
+
+ AC-4(9)[3]
+ the information system enforces the use of human reviews for organization-defined information flows under organization-defined conditions.
+
+
+
+ EXAMINE
+ Access control policy
+ information flow control policies
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ records of human reviews regarding information flows
+ list of conditions requiring human reviews for information flows
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with information flow enforcement responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms enforcing the use of human reviews
+
+
+
+ ENABLE / DISABLE SECURITY POLICY FILTERS
+ AC-4 (10)
+
+
The information system provides the capability for privileged administrators to enable/disable organization-defined security policy filters under the following conditions: organization-defined conditions.
+
+
+
For example, as allowed by the information system authorization, administrators can enable security policy filters to accommodate approved data types.
+
+
+ Determine if:
+
+ AC-4(10)[1]
+ the organization defines security policy filters that privileged administrators have the capability to enable/disable;
+
+
+ AC-4(10)[2]
+ the organization-defined conditions under which privileged administrators have the capability to enable/disable organization-defined security policy filters; and
+
+
+ AC-4(10)[3]
+ the information system provides the capability for privileged administrators to enable/disable organization-defined security policy filters under organization-defined conditions.
+
+
+
+ EXAMINE
+ Access control policy
+ information flow information policies
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of security policy filters enabled/disabled by privileged administrators
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for enabling/disabling security policy filters
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement policy
+
+
+
+ CONFIGURATION OF SECURITY POLICY FILTERS
+ AC-4 (11)
+
+
The information system provides the capability for privileged administrators to configure organization-defined security policy filters to support different security policies.
+
+
+
For example, to reflect changes in security policies, administrators can change the list of �dirty words� that security policy mechanisms check in accordance with the definitions provided by organizations.
+
+
+ Determine if:
+
+ AC-4(11)[1]
+ the organization defines security policy filters that privileged administrators have the capability to configure to support different security policies; and
+
+
+ AC-4(11)[2]
+ the information system provides the capability for privileged administrators to configure organization-defined security policy filters to support different security policies.
+
+
+
+ EXAMINE
+ Access control policy
+ information flow control policies
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of security policy filters
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for configuring security policy filters
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement policy
+
+
+
+ DATA TYPE IDENTIFIERS
+ AC-4 (12)
+
+
The information system, when transferring information between different security domains, uses organization-defined data type identifiers to validate data essential for information flow decisions.
+
+
+
Data type identifiers include, for example, filenames, file types, file signatures/tokens, and multiple internal file signatures/tokens. Information systems may allow transfer of data only if compliant with data type format specifications.
+
+
+ Determine if:
+
+ AC-4(12)[1]
+ the organization defines data type identifiers to be used, when transferring information between different security domains, to validate data essential for information flow decisions; and
+
+
+ AC-4(12)[2]
+ the information system, when transferring information between different security domains, uses organization-defined data type identifiers to validate data essential for information flow decisions.
+
+
+
+ EXAMINE
+ Access control policy
+ information flow control policies
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of data type identifiers
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement policy
+
+
+
+ DECOMPOSITION INTO POLICY-RELEVANT SUBCOMPONENTS
+ AC-4 (13)
+
+
The information system, when transferring information between different security domains, decomposes information into organization-defined policy-relevant subcomponents for submission to policy enforcement mechanisms.
+
+
+
Policy enforcement mechanisms apply filtering, inspection, and/or sanitization rules to the policy-relevant subcomponents of information to facilitate flow enforcement prior to transferring such information to different security domains. Parsing transfer files facilitates policy decisions on source, destination, certificates, classification, attachments, and other security-related component differentiators.
+
+
+ Determine if:
+
+ AC-4(13)[1]
+ the organization defines policy-relevant subcomponents to decompose information for submission to policy enforcement mechanisms when transferring such information between different security domains; and
+
+
+ AC-4(13)[2]
+ the information system, when transferring information between different security domains, decomposes information into organization-defined policy-relevant subcomponents for submission to policy enforcement mechanisms.
+
+
+
+ EXAMINE
+ Access control policy
+ information flow control policies
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement policy
+
+
+
+ SECURITY POLICY FILTER CONSTRAINTS
+ AC-4 (14)
+
+
The information system, when transferring information between different security domains, implements organization-defined security policy filters requiring fully enumerated formats that restrict data structure and content.
+
+
+
Data structure and content restrictions reduce the range of potential malicious and/or unsanctioned content in cross-domain transactions. Security policy filters that restrict data structures include, for example, restricting file sizes and field lengths. Data content policy filters include, for example: (i) encoding formats for character sets (e.g., Universal Character Set Transformation Formats, American Standard Code for Information Interchange); (ii) restricting character data fields to only contain alpha-numeric characters; (iii) prohibiting special characters; and (iv) validating schema structures.
+
+
+ Determine if:
+
+ AC-4(14)[1]
+ the organization defines security policy filters to be implemented that require fully enumerated formats restricting data structure and content when transferring information between different security domains; and
+
+
+ AC-4(14)[2]
+ the information system, when transferring information between different security domains, implements organization-defined security policy filters requiring fully enumerated formats that restrict data structure and content.
+
+
+
+ EXAMINE
+ Access control policy
+ information flow control policies
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of security policy filters
+ list of data content policy filters
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement policy
+
+
+
+ DETECTION OF UNSANCTIONED INFORMATION
+ AC-4 (15)
+
+
The information system, when transferring information between different security domains, examines the information for the presence of organized-defined unsanctioned information and prohibits the transfer of such information in accordance with the organization-defined security policy.
+
+
+
Detection of unsanctioned information includes, for example, checking all information to be transferred for malicious code and dirty words.
+ SI-3
+
+
+ Determine if:
+
+ AC-4(15)[1]
+ the organization defines unsanctioned information to be detected when transferring information between different security domains;
+
+
+ AC-4(15)[2]
+ the organization defines the security policy that requires the transfer of organization-defined unsanctioned information between different security domains to be prohibited when the presence of such information is detected; and
+
+
+ AC-4(15)[3]
+ the information system, when transferring information between different security domains, examines the information for the presence of organization-defined unsanctioned information and prohibits the transfer of such information in accordance with the organization-defined security policy.
+
+
+
+ EXAMINE
+ Access control policy
+ information flow control policies
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of unsanctioned information types and associated information
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement policy
+
+
+
+ INFORMATION TRANSFERS ON INTERCONNECTED SYSTEMS
+ AC-4 (16)
+ AC-4
+
+
+ Incorporated into AC-4.
+
+
+
+ DOMAIN AUTHENTICATION
+ AC-4 (17)
+
+
The information system uniquely identifies and authenticates source and destination points by [Selection (one or more): organization, system, application, individual] for information transfer.
+
+
+
Attribution is a critical component of a security concept of operations. The ability to identify source and destination points for information flowing in information systems, allows the forensic reconstruction of events when required, and encourages policy compliance by attributing policy violations to specific organizations/individuals. Successful domain authentication requires that information system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information.
+ IA-2
+ IA-3
+ IA-4
+ IA-5
+
+
+ Determine if the information system uniquely identifies and authenticates:
+
+ AC-4(17)[1]
+
+ AC-4(17)[1][a]
+ source points for information transfer;
+
+
+ AC-4(17)[1][b]
+ destination points for information transfer;
+
+
+
+ AC-4(17)[2]
+ by one or more of the following:
+
+ AC-4(17)[2][a]
+ organization;
+
+
+ AC-4(17)[2][b]
+ system;
+
+
+ AC-4(17)[2][c]
+ application; and/or
+
+
+ AC-4(17)[2][d]
+ individual.
+
+
+
+
+ EXAMINE
+ Access control policy
+ information flow control policies
+ procedures addressing information flow enforcement
+ procedures addressing source and destination domain identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement policy
+
+
+
+ SECURITY ATTRIBUTE BINDING
+ AC-4 (18)
+
+
The information system binds security attributes to information using organization-defined binding techniques to facilitate information flow policy enforcement.
+
+
+
Binding techniques implemented by information systems affect the strength of security attribute binding to information. Binding strength and the assurance associated with binding techniques play an important part in the trust organizations have in the information flow enforcement process. The binding techniques affect the number and degree of additional reviews required by organizations.
+ AC-16
+ SC-16
+
+
+ Determine if:
+
+ AC-4(18)[1]
+ the organization defines binding techniques to be used to facilitate information flow policy enforcement; and
+
+
+ AC-4(18)[2]
+ the information system binds security attributes to information using organization-defined binding techniques to facilitate information flow policy enforcement.
+
+
+
+ EXAMINE
+ Information flow enforcement policy
+ information flow control policies
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of binding techniques to bind security attributes to information
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information flow enforcement responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement functions
+
+
+
+ VALIDATION OF METADATA
+ AC-4 (19)
+
+
The information system, when transferring information between different security domains, applies the same security policy filtering to metadata as it applies to data payloads.
+
+
+
This control enhancement requires the validation of metadata and the data to which the metadata applies. Some organizations distinguish between metadata and data payloads (i.e., only the data to which the metadata is bound). Other organizations do not make such distinctions, considering metadata and the data to which the metadata applies as part of the payload. All information (including metadata and the data to which the metadata applies) is subject to filtering and inspection.
+
+
+ Determine if the information system, when transferring information between different security domains, applies the same security policy filtering to metadata as it applies to data payloads.
+
+
+ EXAMINE
+ Information flow enforcement policy
+ information flow control policies
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of security policy filtering criteria applied to metadata and data payloads
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information flow enforcement responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement functions
+
+
+
+ APPROVED SOLUTIONS
+ AC-4 (20)
+
+
The organization employs organization-defined solutions in approved configurations to control the flow of organization-defined information across security domains.
+
+
+
Organizations define approved solutions and configurations in cross-domain policies and guidance in accordance with the types of information flows across classification boundaries. The Unified Cross Domain Management Office (UCDMO) provides a baseline listing of approved cross-domain solutions.
+
+
+ Determine if the organization:
+
+ AC-4(20)[1]
+ defines solutions in approved configurations to control the flow of information across security domains;
+
+
+ AC-4(20)[2]
+ defines information for which organization-defined solutions in approved configurations are to be employed to control the flow of such information across security domains; and
+
+
+ AC-4(20)[3]
+ employs organization-defined solutions in approved configurations to control the flow of organization-defined information across security domains.
+
+
+
+ EXAMINE
+ Information flow enforcement policy
+ information flow control policies
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of solutions in approved configurations
+ approved configuration baselines
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information flow enforcement responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement functions
+
+
+
+ PHYSICAL / LOGICAL SEPARATION OF INFORMATION FLOWS
+ AC-4 (21)
+
+
The information system separates information flows logically or physically using organization-defined mechanisms and/or techniques to accomplish organization-defined required separations by types of information.
+
+
+
Enforcing the separation of information flows by type can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths perhaps not otherwise achievable. Types of separable information include, for example, inbound and outbound communications traffic, service requests and responses, and information of differing security categories.
+
+
+ Determine if:
+
+ AC-4(21)[1]
+ the organization defines the required separations of information flows by types of information;
+
+
+ AC-4(21)[2]
+ the organization defines the mechanisms and/or techniques to be used to separate information flows logically or physically; and
+
+
+ AC-4(21)[3]
+ the information system separates information flows logically or physically using organization-defined mechanisms and/or techniques to accomplish organization-defined required separations by types of information.
+
+
+
+ EXAMINE
+ Information flow enforcement policy
+ information flow control policies
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of required separation of information flows by information types
+ list of mechanisms and/or techniques used to logically or physically separate information flows
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information flow enforcement responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement functions
+
+
+
+ ACCESS ONLY
+ AC-4 (22)
+
+
The information system provides access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains.
+
+
+
The information system, for example, provides a desktop for users to access each connected security domain without providing any mechanisms to allow transfer of information between the different security domains.
+
+
+ Determine if the information system provides access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains.
+
+
+ EXAMINE
+ Information flow enforcement policy
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information flow enforcement responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement functions
+
+
+
+ Determine if:
+
+ AC-4[1]
+ the organization defines information flow control policies to control the flow of information within the system and between interconnected systems; and
+
+
+ AC-4[2]
+ the information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on organization-defined information flow control policies.
+
+
+
+ EXAMINE
+ Access control policy
+ information flow control policies
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system baseline configuration
+ list of information flow authorizations
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing information flow enforcement policy
+
+
+
+ SEPARATION OF DUTIES
+ AC-5
+ P1
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-5a.
+
Separates organization-defined duties of individuals;
+
+
+ AC-5b.
+
Documents separation of duties of individuals; and
+
+
+ AC-5c.
+
Defines information system access authorizations to support separation of duties.
+
+
+
+
Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes, for example: (i) dividing mission functions and information system support functions among different individuals and/or roles; (ii) conducting information system support functions with different individuals (e.g., system management, programming, configuration management, quality assurance and testing, and network security); and (iii) ensuring security personnel administering access control functions do not also administer audit functions.
+ AC-3
+ AC-6
+ PE-3
+ PE-4
+ PS-2
+
+
+ Determine if the organization:
+
+ AC-5(a)
+
+ AC-5(a)[1]
+ defines duties of individuals to be separated;
+
+
+ AC-5(a)[2]
+ separates organization-defined duties of individuals;
+
+
+
+ AC-5(b)
+ documents separation of duties; and
+
+
+ AC-5(c)
+ defines information system access authorizations to support separation of duties.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing divisions of responsibility and separation of duties
+ information system configuration settings and associated documentation
+ list of divisions of responsibility and separation of duties
+ information system access authorizations
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for defining appropriate divisions of responsibility and separation of duties
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms implementing separation of duties policy
+
+
+
+ LEAST PRIVILEGE
+ AC-6
+ P1
+ MODERATE
+ HIGH
+
+
The organization employs the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.
+
+
+
Organizations employ least privilege for specific duties and information systems. The principle of least privilege is also applied to information system processes, ensuring that the processes operate at privilege levels no higher than necessary to accomplish required organizational missions/business functions. Organizations consider the creation of additional processes, roles, and information system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational information systems.
The organization explicitly authorizes access to organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information.
+
+
+
Security functions include, for example, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Explicitly authorized personnel include, for example, security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users.
+ AC-17
+ AC-18
+ AC-19
+
+
+ Determine if the organization:
+
+ AC-6(1)[1]
+ defines security-relevant information for which access must be explicitly authorized;
+
+
+ AC-6(1)[2]
+ defines security functions deployed in:
+
+ AC-6(1)[2][a]
+ hardware;
+
+
+ AC-6(1)[2][b]
+ software;
+
+
+ AC-6(1)[2][c]
+ firmware;
+
+
+
+ AC-6(1)[3]
+ explicitly authorizes access to:
+
+ AC-6(1)[3][a]
+ organization-defined security functions; and
+
+
+ AC-6(1)[3][b]
+ security-relevant information.
+
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing least privilege
+ list of security functions (deployed in hardware, software, and firmware) and security-relevant information for which access must be explicitly authorized
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms implementing least privilege functions
+
+
+
+ NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS
+ AC-6 (2)
+ MODERATE
+ HIGH
+
+
The organization requires that users of information system accounts, or roles, with access to organization-defined security functions or security-relevant information, use non-privileged accounts or roles, when accessing nonsecurity functions.
+
+
+
This control enhancement limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies such as role-based access control and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.
+ PL-4
+
+
+ Determine if the organization:
+
+ AC-6(2)[1]
+ defines security functions or security-relevant information to which users of information system accounts, or roles, have access; and
+
+
+ AC-6(2)[2]
+ requires that users of information system accounts, or roles, with access to organization-defined security functions or security-relevant information, use non-privileged accounts, or roles, when accessing nonsecurity functions.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing least privilege
+ list of system-generated security functions or security-relevant information assigned to information system accounts or roles
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms implementing least privilege functions
+
+
+
+ NETWORK ACCESS TO PRIVILEGED COMMANDS
+ AC-6 (3)
+ HIGH
+
+
The organization authorizes network access to organization-defined privileged commands only for organization-defined compelling operational needs and documents the rationale for such access in the security plan for the information system.
+
+
+
Network access is any access across a network connection in lieu of local access (i.e., user being physically present at the device).
+ AC-17
+
+
+ Determine if the organization:
+
+ AC-6(3)[1]
+ defines privileged commands to which network access is to be authorized only for compelling operational needs;
+
+
+ AC-6(3)[2]
+ defines compelling operational needs for which network access to organization-defined privileged commands are to be solely authorized;
+
+
+ AC-6(3)[3]
+ authorizes network access to organization-defined privileged commands only for organization-defined compelling operational needs; and
+
+
+ AC-6(3)[4]
+ documents the rationale for authorized network access to organization-defined privileged commands in the security plan for the information system.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing least privilege
+ security plan
+ information system configuration settings and associated documentation
+ information system audit records
+ list of operational needs for authorizing network access to privileged commands
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing least privilege functions
+
+
+
+ SEPARATE PROCESSING DOMAINS
+ AC-6 (4)
+
+
The information system provides separate processing domains to enable finer-grained allocation of user privileges.
+
+
+
Providing separate processing domains for finer-grained allocation of user privileges includes, for example: (i) using virtualization techniques to allow additional privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying actual machine; (ii) employing hardware and/or software domain separation mechanisms; and (iii) implementing separate physical domains.
+ AC-4
+ SC-3
+ SC-30
+ SC-32
+
+
+ Determine if the information system provides separate processing domains to enable finer-grained allocation of user privileges.
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing least privilege
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing least privilege functions
+
+
+
+ PRIVILEGED ACCOUNTS
+ AC-6 (5)
+ MODERATE
+ HIGH
+
+
The organization restricts privileged accounts on the information system to organization-defined personnel or roles.
+
+
+
Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from having access to privileged information/functions. Organizations may differentiate in the application of this control enhancement between allowed privileges for local accounts and for domain accounts provided organizations retain the ability to control information system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk.
+ CM-6
+
+
+ Determine if the organization:
+
+ AC-6(5)[1]
+ defines personnel or roles for which privileged accounts on the information system are to be restricted; and
+
+
+ AC-6(5)[2]
+ restricts privileged accounts on the information system to organization-defined personnel or roles.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing least privilege
+ list of system-generated privileged accounts
+ list of system administration personnel
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms implementing least privilege functions
+
+
+
+ PRIVILEGED ACCESS BY NON-ORGANIZATIONAL USERS
+ AC-6 (6)
+
+
The organization prohibits privileged access to the information system by non-organizational users.
+
+
+ IA-8
+
+
+ Determine if the organization prohibits privileged access to the information system by non-organizational users.
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing least privilege
+ list of system-generated privileged accounts
+ list of non-organizational users
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms prohibiting privileged access to the information system
+
+
+
+ REVIEW OF USER PRIVILEGES
+ AC-6 (7)
+
+
The organization:
+
+ AC-6 (7)(a)
+
Reviews organization-defined frequency the privileges assigned to organization-defined roles or classes of users to validate the need for such privileges; and
+
+
+ AC-6 (7)(b)
+
Reassigns or removes privileges, if necessary, to correctly reflect organizational mission/business needs.
+
+
+
+
The need for certain assigned user privileges may change over time reflecting changes in organizational missions/business function, environments of operation, technologies, or threat. Periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions.
+ CA-7
+
+
+ Determine if the organization:
+
+ AC-6(7)(a)
+
+ AC-6(7)(a)[1]
+ defines roles or classes of users to which privileges are assigned;
+
+
+ AC-6(7)(a)[2]
+ defines the frequency to review the privileges assigned to organization-defined roles or classes of users to validate the need for such privileges;
+
+
+ AC-6(7)(a)[3]
+ reviews the privileges assigned to organization-defined roles or classes of users with the organization-defined frequency to validate the need for such privileges; and
+
+
+
+ AC-6(7)(b)
+ reassigns or removes privileges, if necessary, to correctly reflect organizational missions/business needs.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing least privilege
+ list of system-generated roles or classes of users and assigned privileges
+ information system design documentation
+ information system configuration settings and associated documentation
+ validation reviews of privileges assigned to roles or classes or users
+ records of privilege removals or reassignments for roles or classes of users
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms implementing review of user privileges
+
+
+
+ PRIVILEGE LEVELS FOR CODE EXECUTION
+ AC-6 (8)
+
+
The information system prevents organization-defined software from executing at higher privilege levels than users executing the software.
+
+
+
In certain situations, software applications/programs need to execute with elevated privileges to perform required functions. However, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications/programs, those users are indirectly provided with greater privileges than assigned by organizations.
+
+
+ Determine if:
+
+ AC-6(8)[1]
+ the organization defines software that should not execute at higher privilege levels than users executing the software; and
+
+
+ AC-6(8)[2]
+ the information system prevents organization-defined software from executing at higher privilege levels than users executing the software.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing least privilege
+ list of software that should not execute at higher privilege levels than users executing software
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing least privilege functions for software execution
+
+
+
+ AUDITING USE OF PRIVILEGED FUNCTIONS
+ AC-6 (9)
+ MODERATE
+ HIGH
+
+
The information system audits the execution of privileged functions.
+
+
+
Misuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised information system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Auditing the use of privileged functions is one way to detect such misuse, and in doing so, help mitigate the risk from insider threats and the advanced persistent threat (APT).
+ AU-2
+
+
+ Determine if the information system audits the execution of privileged functions.
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing least privilege
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of privileged functions to be audited
+ list of audited events
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms auditing the execution of least privilege functions
+
+
+
+ PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS
+ AC-6 (10)
+ MODERATE
+ HIGH
+
+
The information system prevents non-privileged users from executing privileged functions to include disabling, circumventing, or altering implemented security safeguards/countermeasures.
+
+
+
Privileged functions include, for example, establishing information system accounts, performing system integrity checks, or administering cryptographic key management activities. Non-privileged users are individuals that do not possess appropriate authorizations. Circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms are examples of privileged functions that require protection from non-privileged users.
+
+
+ Determine if the information system prevents non-privileged users from executing privileged functions to include:
+
+ AC-6(10)[1]
+ disabling implemented security safeguards/countermeasures;
+
+
+ AC-6(10)[2]
+ circumventing security safeguards/countermeasures; or
+
+
+ AC-6(10)[3]
+ altering implemented security safeguards/countermeasures.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing least privilege
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of privileged functions and associated user account assignments
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing least privilege functions for non-privileged users
+
+
+
+ Determine if the organization employs the principle of least privilege, allowing only authorized access for users (and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing least privilege
+ list of assigned access authorizations (user privileges)
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms implementing least privilege functions
+
+
+
+ UNSUCCESSFUL LOGON ATTEMPTS
+ AC-7
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The information system:
+
+ AC-7a.
+
Enforces a limit of organization-defined number consecutive invalid logon attempts by a user during a organization-defined time period; and
+
+
+ AC-7b.
+
Automatically [Selection: locks the account/node for an organization-defined time period; locks the account/node until released by an administrator; delays next logon prompt according to organization-defined delay algorithm] when the maximum number of unsuccessful attempts is exceeded.
+
+
+
+
This control applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by information systems are usually temporary and automatically release after a predetermined time period established by organizations. If a delay algorithm is selected, organizations may choose to employ different algorithms for different information system components based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at both the operating system and the application levels.
The information system purges/wipes information from organization-defined mobile devices based on organization-defined purging/wiping requirements/techniques after organization-defined number consecutive, unsuccessful device logon attempts.
+
+
+
This control enhancement applies only to mobile devices for which a logon occurs (e.g., personal digital assistants, smart phones, tablets). The logon is to the mobile device, not to any one account on the device. Therefore, successful logons to any accounts on mobile devices reset the unsuccessful logon count to zero. Organizations define information to be purged/wiped carefully in order to avoid over purging/wiping which may result in devices becoming unusable. Purging/wiping may be unnecessary if the information on the device is protected with sufficiently strong encryption mechanisms.
+ AC-19
+ MP-5
+ MP-6
+ SC-13
+
+
+ Determine if:
+
+ AC-7(2)[1]
+ the organization defines mobile devices to be purged/wiped after organization-defined number of consecutive, unsuccessful device logon attempts;
+
+
+ AC-7(2)[2]
+ the organization defines purging/wiping requirements/techniques to be used when organization-defined mobile devices are purged/wiped after organization-defined number of consecutive, unsuccessful device logon attempts;
+
+
+ AC-7(2)[3]
+ the organization defines the number of consecutive, unsuccessful logon attempts allowed for accessing mobile devices before the information system purges/wipes information from such devices; and
+
+
+ AC-7(2)[4]
+ the information system purges/wipes information from organization-defined mobile devices based on organization-defined purging/wiping requirements/techniques after organization-defined number of consecutive, unsuccessful logon attempts.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing unsuccessful login attempts on mobile devices
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of mobile devices to be purged/wiped after organization-defined consecutive, unsuccessful device logon attempts
+ list of purging/wiping requirements or techniques for mobile devices
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing access control policy for unsuccessful device logon attempts
+
+
+
+ Determine if:
+
+ AC-7(a)
+
+ AC-7(a)[1]
+ the organization defines the number of consecutive invalid logon attempts allowed to the information system by a user during an organization-defined time period;
+
+
+ AC-7(a)[2]
+ the organization defines the time period allowed by a user of the information system for an organization-defined number of consecutive invalid logon attempts;
+
+
+ AC-7(a)[3]
+ the information system enforces a limit of organization-defined number of consecutive invalid logon attempts by a user during an organization-defined time period;
+
+
+
+ AC-7(b)
+
+ AC-7(b)[1]
+ the organization defines account/node lockout time period or logon delay algorithm to be automatically enforced by the information system when the maximum number of unsuccessful logon attempts is exceeded;
+
+
+ AC-7(b)[2]
+ the information system, when the maximum number of unsuccessful logon attempts is exceeded, automatically:
+
+ AC-7(b)[2][a]
+ locks the account/node for the organization-defined time period;
+
+
+ AC-7(b)[2][b]
+ locks the account/node until released by an administrator; or
+
+
+ AC-7(b)[2][c]
+ delays next logon prompt according to the organization-defined delay algorithm.
+
+
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing unsuccessful logon attempts
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system developers
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms implementing access control policy for unsuccessful logon attempts
+
+
+
+ SYSTEM USE NOTIFICATION
+ AC-8
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system:
+
+ AC-8a.
+
Displays to users organization-defined system use notification message or banner before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance and states that:
+
+ AC-8a.1.
+
Users are accessing a U.S. Government information system;
+
+
+ AC-8a.2.
+
Information system usage may be monitored, recorded, and subject to audit;
+
+
+ AC-8a.3.
+
Unauthorized use of the information system is prohibited and subject to criminal and civil penalties; and
+
+
+ AC-8a.4.
+
Use of the information system indicates consent to monitoring and recording;
+
+
+
+ AC-8b.
+
Retains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system; and
+
+
+ AC-8c.
+
For publicly accessible systems:
+
+ AC-8c.1.
+
Displays system use information organization-defined conditions, before granting further access;
+
+
+ AC-8c.2.
+
Displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and
+
+
+ AC-8c.3.
+
Includes a description of the authorized uses of the system.
+
+
+
+
+
System use notifications can be implemented using messages or warning banners displayed before individuals log in to information systems. System use notifications are used only for access via logon interfaces with human users and are not required when such human interfaces do not exist. Organizations consider system use notification messages/banners displayed in multiple languages based on specific organizational needs and the demographics of information system users. Organizations also consult with the Office of the General Counsel for legal review and approval of warning banner content.
+
+
+ Determine if:
+
+ AC-8(a)
+
+ AC-8(a)[1]
+ the organization defines a system use notification message or banner to be displayed by the information system to users before granting access to the system;
+
+
+ AC-8(a)[2]
+ the information system displays to users the organization-defined system use notification message or banner before granting access to the information system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance, and states that:
+
+ AC-8(a)[2](1)
+ users are accessing a U.S. Government information system;
+
+
+ AC-8(a)[2](2)
+ information system usage may be monitored, recorded, and subject to audit;
+
+
+ AC-8(a)[2](3)
+ unauthorized use of the information system is prohibited and subject to criminal and civil penalties;
+
+
+ AC-8(a)[2](4)
+ use of the information system indicates consent to monitoring and recording;
+
+
+
+
+ AC-8(b)
+ the information system retains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system;
+
+
+ AC-8(c)
+ for publicly accessible systems:
+
+ AC-8(c)(1)
+
+ AC-8(c)(1)[1]
+ the organization defines conditions for system use to be displayed by the information system before granting further access;
+
+
+ AC-8(c)(1)[2]
+ the information system displays organization-defined conditions before granting further access;
+
+
+
+ AC-8(c)(2)
+ the information system displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and
+
+
+ AC-8(c)(3)
+ the information system includes a description of the authorized uses of the system.
+
+
+
+
+ EXAMINE
+ Access control policy
+ privacy and security policies, procedures addressing system use notification
+ documented approval of information system use notification messages or banners
+ information system audit records
+ user acknowledgements of notification message or banner
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system use notification messages
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for providing legal advice
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing system use notification
+
+
+
+ PREVIOUS LOGON (ACCESS) NOTIFICATION
+ AC-9
+ P0
+
+
The information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access).
+
+
+
This control is applicable to logons to information systems via human user interfaces and logons to systems that occur in other types of architectures (e.g., service-oriented architectures).
The information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.
+
+
+ Determine if the information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing previous logon notification
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing access control policy for previous logon notification
+
+
+
+ SUCCESSFUL / UNSUCCESSFUL LOGONS
+ AC-9 (2)
+
+
The information system notifies the user of the number of [Selection: successful logons/accesses; unsuccessful logon/access attempts; both] during organization-defined time period.
+
+
+ Determine if:
+
+ AC-9(2)[1]
+ the organization defines the time period within which the information system must notify the user of the number of:
+
+ AC-9(2)[1][a]
+ successful logons/accesses; and/or
+
+
+ AC-9(2)[1][b]
+ unsuccessful logon/access attempts;
+
+
+
+ AC-9(2)[2]
+ the information system, during the organization-defined time period, notifies the user of the number of:
+
+ AC-9(2)[2][a]
+ successful logons/accesses; and/or
+
+
+ AC-9(2)[2][b]
+ unsuccessful logon/access attempts.
+
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing previous logon notification
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing access control policy for previous logon notification
+
+
+
+ NOTIFICATION OF ACCOUNT CHANGES
+ AC-9 (3)
+
+
The information system notifies the user of changes to organization-defined security-related characteristics/parameters of the user�s account during organization-defined time period.
+
+
+ Determine if:
+
+ AC-9(3)[1]
+ the organization defines security-related characteristics/parameters of a user’s account;
+
+
+ AC-9(3)[2]
+ the organization defines the time period within which changes to organization-defined security-related characteristics/parameters of a user’s account must occur; and
+
+
+ AC-9(3)[3]
+ the information system notifies the user of changes to organization-defined security-related characteristics/parameters of the user’s account during the organization-defined time period.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing previous logon notification
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing access control policy for previous logon notification
+
+
+
+ ADDITIONAL LOGON INFORMATION
+ AC-9 (4)
+
+
The information system notifies the user, upon successful logon (access), of the following additional information: organization-defined information to be included in addition to the date and time of the last logon (access).
+
+
+
This control enhancement permits organizations to specify additional information to be provided to users upon logon including, for example, the location of last logon. User location is defined as that information which can be determined by information systems, for example, IP addresses from which network logons occurred, device identifiers, or notifications of local logons.
+
+
+ Determine if:
+
+ AC-9(4)[1]
+ the organization defines information to be included in addition to the date and time of the last logon (access); and
+
+
+ AC-9(4)[2]
+ the information system notifies the user, upon successful logon (access), of the organization-defined information to be included in addition to the date and time of the last logon (access).
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing previous logon notification
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing access control policy for previous logon notification
+
+
+
+ Determine if the information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access).
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing previous logon notification
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system notification messages
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing access control policy for previous logon notification
+
+
+
+ CONCURRENT SESSION CONTROL
+ AC-10
+ P3
+ HIGH
+
+
The information system limits the number of concurrent sessions for each organization-defined account and/or account type to organization-defined number.
+
+
+
Organizations may define the maximum number of concurrent sessions for information system accounts globally, by account type (e.g., privileged user, non-privileged user, domain, specific application), by account, or a combination. For example, organizations may limit the number of concurrent sessions for system administrators or individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for information system accounts and does not address concurrent sessions by single users via multiple system accounts.
+
+
+ Determine if:
+
+ AC-10[1]
+ the organization defines account and/or account types for the information system;
+
+
+ AC-10[2]
+ the organization defines the number of concurrent sessions to be allowed for each organization-defined account and/or account type; and
+
+
+ AC-10[3]
+ the information system limits the number of concurrent sessions for each organization-defined account and/or account type to the organization-defined number of concurrent sessions allowed.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing concurrent session control
+ information system design documentation
+ information system configuration settings and associated documentation
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing access control policy for concurrent session control
+
+
+
+ SESSION LOCK
+ AC-11
+ P3
+ MODERATE
+ HIGH
+
+
The information system:
+
+ AC-11a.
+
Prevents further access to the system by initiating a session lock after organization-defined time period of inactivity or upon receiving a request from a user; and
+
+
+ AC-11b.
+
Retains the session lock until the user reestablishes access using established identification and authentication procedures.
+
+
+
+
Session locks are temporary actions taken when users stop work and move away from the immediate vicinity of information systems but do not want to log out because of the temporary nature of their absences. Session locks are implemented where session activities can be determined. This is typically at the operating system level, but can also be at the application level. Session locks are not an acceptable substitute for logging out of information systems, for example, if organizations require users to log out at the end of workdays.
The information system conceals, via the session lock, information previously visible on the display with a publicly viewable image.
+
+
+
Publicly viewable images can include static or dynamic images, for example, patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen, with the additional caveat that none of the images convey sensitive information.
+
+
+ Determine if the information system conceals, via the session lock, information previously visible on the display with a publicly viewable image.
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing session lock
+ display screen with session lock activated
+ information system design documentation
+ information system configuration settings and associated documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Information system session lock mechanisms
+
+
+
+ Determine if:
+
+ AC-11(a)
+
+ AC-11(a)[1]
+ the organization defines the time period of user inactivity after which the information system initiates a session lock;
+
+
+ AC-11(a)[2]
+ the information system prevents further access to the system by initiating a session lock after organization-defined time period of user inactivity or upon receiving a request from a user; and
+
+
+
+ AC-11(b)
+ the information system retains the session lock until the user reestablishes access using established identification and authentication procedures.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing session lock
+ procedures addressing identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing access control policy for session lock
+
+
+
+ OMB Memorandum 06-16
+
+
+
+
+ SESSION TERMINATION
+ AC-12
+ P2
+ MODERATE
+ HIGH
+
+
The information system automatically terminates a user session after organization-defined conditions or trigger events requiring session disconnect.
+
+
+
This control addresses the termination of user-initiated logical sessions in contrast to SC-10 which addresses the termination of network connections that are associated with communications sessions (i.e., network disconnect). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational information system. Such user sessions can be terminated (and thus terminate user access) without terminating network sessions. Session termination terminates all processes associated with a user�s logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination can include, for example, organization-defined periods of user inactivity, targeted responses to certain types of incidents, time-of-day restrictions on information system use.
Provides a logout capability for user-initiated communications sessions whenever authentication is used to gain access to organization-defined information resources; and
+
+
+ AC-12 (1)(b)
+
Displays an explicit logout message to users indicating the reliable termination of authenticated communications sessions.
+
+
+
+
Information resources to which users gain access via authentication include, for example, local workstations, databases, and password-protected websites/web-based services. Logout messages for web page access, for example, can be displayed after authenticated sessions have been terminated. However, for some types of interactive sessions including, for example, file transfer protocol (FTP) sessions, information systems typically send logout messages as final messages prior to terminating sessions.
+
+
+ Determine if:
+
+ AC-12(1)(a)
+
+ AC-12(1)(a)[1]
+ the organization defines information resources for which user authentication is required to gain access to such resources;
+
+
+ AC-12(1)(a)[2]
+ the information system provides a logout capability for user-initiated communications sessions whenever authentication is used to gain access to organization-defined information resources; and
+
+
+
+ AC-12(1)(b)
+ the information system displays an explicit logout message to users indicating the reliable termination of authenticated communications sessions.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing session termination
+ user logout messages
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Information system session lock mechanisms
+
+
+
+ Determine if:
+
+ AC-12[1]
+ the organization defines conditions or trigger events requiring session disconnect; and
+
+
+ AC-12[2]
+ the information system automatically terminates a user session after organization-defined conditions or trigger events requiring session disconnect occurs.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing session termination
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of conditions or trigger events requiring session disconnect
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing user session termination
+
+
+
+ SUPERVISION AND REVIEW - ACCESS CONTROL
+ AC-13
+ AC-2
+ AU-6
+
+
+ Incorporated into AC-2 and AU-6.
+
+
+
+ PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION
+ AC-14
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-14a.
+
Identifies organization-defined user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and
+
+
+ AC-14b.
+
Documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.
+
+
+
+
This control addresses situations in which organizations determine that no identification or authentication is required in organizational information systems. Organizations may allow a limited number of user actions without identification or authentication including, for example, when individuals access public websites or other publicly accessible federal information systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations also identify actions that normally require identification or authentication but may under certain circumstances (e.g., emergencies), allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not repeated, but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational information systems without identification and authentication and thus, the values for assignment statements can be none.
+
+
+
+ Determine if the organization:
+
+ AC-14(a)
+
+ AC-14(a)[1]
+ defines user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions;
+
+
+ AC-14(a)[2]
+ identifies organization-defined user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and
+
+
+
+ AC-14(b)
+ documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing permitted actions without identification or authentication
+ information system configuration settings and associated documentation
+ security plan
+ list of user actions that can be performed without identification or authentication
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+
+ AUTOMATED MARKING
+ AC-15
+ MP-3
+
+
+ Incorporated into MP-3.
+
+
+
+ SECURITY ATTRIBUTES
+ AC-16
+ P0
+
+
The organization:
+
+ AC-16a.
+
Provides the means to associate organization-defined types of security attributes having organization-defined security attribute values with information in storage, in process, and/or in transmission;
+
+
+ AC-16b.
+
Ensures that the security attribute associations are made and retained with the information;
+
+
+ AC-16c.
+
Establishes the permitted organization-defined security attributes for organization-defined information systems; and
+
+
+ AC-16d.
+
Determines the permitted organization-defined values or ranges for each of the established security attributes.
+
+
+
+
Information is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions representing the basic properties or characteristics of active and passive entities with respect to safeguarding information. These attributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, to cause information to flow among objects, or to change the information system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of security attributes to subjects and objects is referred to as binding and is typically inclusive of setting the attribute value and the attribute type. Security attributes when bound to data/information, enables the enforcement of information security policies for access control and information flow control, either through organizational processes or information system functions or mechanisms. The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information.
+Organizations can define the types of attributes needed for selected information systems to support missions/business functions. There is potentially a wide range of values that can be assigned to any given security attribute. Release markings could include, for example, US only, NATO, or NOFORN (not releasable to foreign nationals). By specifying permitted attribute ranges and values, organizations can ensure that the security attribute values are meaningful and relevant. The term security labeling refers to the association of security attributes with subjects and objects represented by internal data structures within organizational information systems, to enable information system-based enforcement of information security policies. Security labels include, for example, access authorizations, data life cycle protection (i.e., encryption and data expiration), nationality, affiliation as contractor, and classification of information in accordance with legal and compliance requirements. The term security marking refers to the association of security attributes with objects in a human-readable form, to enable organizational process-based enforcement of information security policies. The AC-16 base control represents the requirement for user-based attribute association (marking). The enhancements to AC-16 represent additional requirements including information system-based attribute association (labeling). Types of attributes include, for example, classification level for objects and clearance (access authorization) level for subjects. An example of a value for both of these attribute types is Top Secret.
The information system dynamically associates security attributes with organization-defined subjects and objects in accordance with organization-defined security policies as information is created and combined.
+
+
+
Dynamic association of security attributes is appropriate whenever the security characteristics of information changes over time. Security attributes may change, for example, due to information aggregation issues (i.e., the security characteristics of individual information elements are different from the combined elements), changes in individual access authorizations (i.e., privileges), and changes in the security category of information.
+ AC-4
+
+
+ Determine if:
+
+ AC-16(1)[1]
+ the organization defines subjects and objects to which security attributes are to be dynamically associated as information is created and combined;
+
+
+ AC-16(1)[2]
+ the organization defines security policies requiring the information system to dynamically associate security attributes with organization-defined subjects and objects; and
+
+
+ AC-16(1)[3]
+ the information system dynamically associates security attributes with organization-defined subjects and objects in accordance with organization-defined security policies as information is created and combined.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing dynamic association of security attributes to information
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing dynamic association of security attributes to information
+
+
+
+ ATTRIBUTE VALUE CHANGES BY AUTHORIZED INDIVIDUALS
+ AC-16 (2)
+
+
The information system provides authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security attributes.
+
+
+
The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for information systems to be able to limit the ability to create or modify security attributes to authorized individuals.
+ AC-6
+ AU-2
+
+
+ Determine if the information system provides authorized individuals (or processes acting on behalf on individuals) the capability to define or change the value of associated security attributes.
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing the change of security attribute values
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of individuals authorized to change security attributes
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for changing values of security attributes
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms permitting changes to values of security attributes
+
+
+
+ MAINTENANCE OF ATTRIBUTE ASSOCIATIONS BY INFORMATION SYSTEM
+ AC-16 (3)
+
+
The information system maintains the association and integrity of organization-defined security attributes to organization-defined subjects and objects.
+
+
+
Maintaining the association and integrity of security attributes to subjects and objects with sufficient assurance helps to ensure that the attribute associations can be used as the basis of automated policy actions. Automated policy actions include, for example, access control decisions or information flow control decisions.
+
+
+ Determine if:
+
+ AC-16(3)[1]
+ the organization defines security attributes to be associated with organization-defined subjects and objects;
+
+
+ AC-16(3)[2]
+ the organization defines subjects and objects requiring the association and integrity of security attributes to such subjects and objects to be maintained; and
+
+
+ AC-16(3)[3]
+ the information system maintains the association and integrity of organization-defined security attributes to organization-defined subjects and objects.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing the association of security attributes to information
+ information system design documentation
+ information system configuration settings and associated documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms maintaining association and integrity of security attributes to information
+
+
+
+ ASSOCIATION OF ATTRIBUTES BY AUTHORIZED INDIVIDUALS
+ AC-16 (4)
+
+
The information system supports the association of organization-defined security attributes with organization-defined subjects and objects by authorized individuals (or processes acting on behalf of individuals).
+
+
+
The support provided by information systems can vary to include: (i) prompting users to select specific security attributes to be associated with specific information objects; (ii) employing automated mechanisms for categorizing information with appropriate attributes based on defined policies; or (iii) ensuring that the combination of selected security attributes selected is valid. Organizations consider the creation, deletion, or modification of security attributes when defining auditable events.
+
+
+ Determine if:
+
+ AC-16(4)[1]
+ the organization defines security attributes to be associated with subjects and objects by authorized individuals (or processes acting on behalf of individuals);
+
+
+ AC-16(4)[2]
+ the organization defines subjects and objects requiring the association of organization-defined security attributes by authorized individuals (or processes acting on behalf of individuals); and
+
+
+ AC-16(4)[3]
+ the information system supports the association of organization-defined security attributes with organization-defined subjects and objects by authorized individuals (or processes acting on behalf of individuals).
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing the association of security attributes to information
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of users authorized to associate security attributes to information
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for associating security attributes to information
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting user associations of security attributes to information
+
+
+
+ ATTRIBUTE DISPLAYS FOR OUTPUT DEVICES
+ AC-16 (5)
+
+
The information system displays security attributes in human-readable form on each object that the system transmits to output devices to identify organization-identified special dissemination, handling, or distribution instructions using organization-identified human-readable, standard naming conventions.
+
+
+
Information system outputs include, for example, pages, screens, or equivalent. Information system output devices include, for example, printers and video displays on computer workstations, notebook computers, and personal digital assistants.
+
+
+ Determine if:
+
+ AC-16(5)[1]
+ the organization identifies special dissemination, handling, or distribution instructions to be used for each object that the information system transmits to output devices;
+
+
+ AC-16(5)[2]
+ the organization identifies human-readable, standard naming conventions for the security attributes to be displayed in human-readable form on each object that the information system transmits to output devices; and
+
+
+ AC-16(5)[3]
+ the information system displays security attributes in human-readable form on each object that the system transmits to output devices to identify organization-identified special dissemination, handling, or distribution instructions using organization-identified human readable, standard naming conventions.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing display of security attributes in human-readable form
+ special dissemination, handling, or distribution instructions
+ types of human-readable, standard naming conventions
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ System output devices displaying security attributes in human-readable form on each object
+
+
+
+ MAINTENANCE OF ATTRIBUTE ASSOCIATION BY ORGANIZATION
+ AC-16 (6)
+
+
The organization allows personnel to associate, and maintain the association of organization-defined security attributes with organization-defined subjects and objects in accordance with organization-defined security policies.
+
+
+
This control enhancement requires individual users (as opposed to the information system) to maintain associations of security attributes with subjects and objects.
+
+
+ Determine if the organization:
+
+ AC-16(6)[1]
+ defines security attributes to be associated with subjects and objects;
+
+
+ AC-16(6)[2]
+ defines subjects and objects to be associated with organization-defined security attributes;
+
+
+ AC-16(6)[3]
+ defines security policies to allow personnel to associate, and maintain the association of organization-defined security attributes with organization-defined subjects and objects; and
+
+
+ AC-16(6)[4]
+ allows personnel to associate, and maintain the association of organization-defined security attributes with organization-defined subjects and objects in accordance with organization-defined security policies.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing association of security attributes with subjects and objects
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for associating and maintaining association of security attributes with subjects and objects
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting associations of security attributes to subjects and objects
+
+
+
+ CONSISTENT ATTRIBUTE INTERPRETATION
+ AC-16 (7)
+
+
The organization provides a consistent interpretation of security attributes transmitted between distributed information system components.
+
+
+
In order to enforce security policies across multiple components in distributed information systems (e.g., distributed database management systems, cloud-based systems, and service-oriented architectures), organizations provide a consistent interpretation of security attributes that are used in access enforcement and flow enforcement decisions. Organizations establish agreements and processes to ensure that all distributed information system components implement security attributes with consistent interpretations in automated access/flow enforcement actions.
+
+
+ Determine if the organization provides a consistent interpretation of security attributes transmitted between distributed information system components.
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing consistent interpretation of security attributes transmitted between distributed information system components
+ procedures addressing access enforcement
+ procedures addressing information flow enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for providing consistent interpretation of security attributes used in access enforcement and information flow enforcement actions
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing access enforcement and information flow enforcement functions
+
+
+
+ ASSOCIATION TECHNIQUES / TECHNOLOGIES
+ AC-16 (8)
+
+
The information system implements organization-defined techniques or technologies with organization-defined level of assurance in associating security attributes to information.
+
+
+
The association (i.e., binding) of security attributes to information within information systems is of significant importance with regard to conducting automated access enforcement and flow enforcement actions. The association of such security attributes can be accomplished with technologies/techniques providing different levels of assurance. For example, information systems can cryptographically bind security attributes to information using digital signatures with the supporting cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust).
+
+
+ Determine if:
+
+ AC-16(8)[1]
+ the organization defines techniques or technologies to be implemented in associating security attributes to information;
+
+
+ AC-16(8)[2]
+ the organization defines level of assurance to be provided when the information system implements organization-defined technologies or technologies to associate security attributes to information; and
+
+
+ AC-16(8)[3]
+ the information system implements organization-defined techniques or technologies with organization-defined level of assurance in associating security attributes to information.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing association of security attributes to information
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for associating security attributes to information
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing techniques or technologies associating security attributes to information
+
+
+
+ ATTRIBUTE REASSIGNMENT
+ AC-16 (9)
+
+
The organization ensures that security attributes associated with information are reassigned only via re-grading mechanisms validated using organization-defined techniques or procedures.
+
+
+
Validated re-grading mechanisms are employed by organizations to provide the requisite levels of assurance for security attribute reassignment activities. The validation is facilitated by ensuring that re-grading mechanisms are single purpose and of limited function. Since security attribute reassignments can affect security policy enforcement actions (e.g., access/flow enforcement decisions), using trustworthy re-grading mechanisms is necessary to ensure that such mechanisms perform in a consistent/correct mode of operation.
+
+
+ Determine if the organization:
+
+ AC-16(9)[1]
+ defines techniques or procedures to validate re-grading mechanisms used to reassign association of security attributes with information; and
+
+
+ AC-16(9)[2]
+ ensures that security attributes associated with information are reassigned only via re-grading mechanisms validated using organization-defined techniques or procedures.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing reassignment of security attributes to information
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for reassigning association of security attributes to information
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing techniques or procedures for reassigning association of security attributes to information
+
+
+
+ ATTRIBUTE CONFIGURATION BY AUTHORIZED INDIVIDUALS
+ AC-16 (10)
+
+
The information system provides authorized individuals the capability to define or change the type and value of security attributes available for association with subjects and objects.
+
+
+
The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for information systems to be able to limit the ability to create or modify security attributes to authorized individuals only.
+
+
+ Determine if the information system provides authorized individuals the capability to define or change the type and value of security attributes available for association with subjects and objects.
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing configuration of security attributes by authorized individuals
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for defining or changing security attributes associated with information
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing capability for defining or changing security attributes
+
+
+
+ Determine if the organization:
+
+ AC-16(a)
+
+ AC-16(a)[1]
+ defines types of security attributes to be associated with information:
+
+ AC-16(a)[1][a]
+ in storage;
+
+
+ AC-16(a)[1][b]
+ in process; and/or
+
+
+ AC-16(a)[1][c]
+ in transmission;
+
+
+
+ AC-16(a)[2]
+ defines security attribute values for organization-defined types of security attributes;
+
+
+ AC-16(a)[3]
+ provides the means to associate organization-defined types of security attributes having organization-defined security attribute values with information:
+
+ AC-16(a)[3][a]
+ in storage;
+
+
+ AC-16(a)[3][b]
+ in process; and/or
+
+
+ AC-16(a)[3][c]
+ in transmission;
+
+
+
+
+ AC-16(b)
+ ensures that the security attribute associations are made and retained with the information;
+
+
+ AC-16(c)
+
+ AC-16(c)[1]
+ defines information systems for which the permitted organization-defined security attributes are to be established;
+
+
+ AC-16(c)[2]
+ defines security attributes that are permitted for organization-defined information systems;
+
+
+ AC-16(c)[3]
+ establishes the permitted organization-defined security attributes for organization-defined information systems;
+
+
+
+ AC-16(d)
+
+ AC-16(d)[1]
+ defines values or ranges for each of the established security attributes; and
+
+
+ AC-16(d)[2]
+ determines the permitted organization-defined values or ranges for each of the established security attributes.
+
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing the association of security attributes to information in storage, in process, and in transmission
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Organizational capability supporting and maintaining the association of security attributes to information in storage, in process, and in transmission
+
+
+
+ REMOTE ACCESS
+ AC-17
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-17a.
+
Establishes and documents usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and
+
+
+ AC-17b.
+
Authorizes remote access to the information system prior to allowing such connections.
+
+
+
+
Remote access is access to organizational information systems by users (or processes acting on behalf of users) communicating through external networks (e.g., the Internet). Remote access methods include, for example, dial-up, broadband, and wireless. Organizations often employ encrypted virtual private networks (VPNs) to enhance confidentiality and integrity over remote connections. The use of encrypted VPNs does not make the access non-remote; however, the use of VPNs, when adequately provisioned with appropriate security controls (e.g., employing appropriate encryption techniques for confidentiality and integrity protection) may provide sufficient assurance to the organization that it can effectively treat such connections as internal networks. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. Also, VPNs with encrypted tunnels can affect the organizational capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to information systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the formats for such authorization. While organizations may use interconnection security agreements to authorize remote access connections, such agreements are not required by this control. Enforcing access restrictions for remote connections is addressed in AC-3.
The information system monitors and controls remote access methods.
+
+
+
Automated monitoring and control of remote access sessions allows organizations to detect cyber attacks and also ensure ongoing compliance with remote access policies by auditing connection activities of remote users on a variety of information system components (e.g., servers, workstations, notebook computers, smart phones, and tablets).
+ AU-2
+ AU-12
+
+
+ Determine if the information system monitors and controls remote access methods.
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing remote access to the information system
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ information system monitoring records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms monitoring and controlling remote access methods
+
+
+
+ PROTECTION OF CONFIDENTIALITY / INTEGRITY USING ENCRYPTION
+ AC-17 (2)
+ MODERATE
+ HIGH
+
+
The information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.
+
+
+
The encryption strength of mechanism is selected based on the security categorization of the information.
+ SC-8
+ SC-12
+ SC-13
+
+
+ Determine if the information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing remote access to the information system
+ information system design documentation
+ information system configuration settings and associated documentation
+ cryptographic mechanisms and associated configuration documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Cryptographic mechanisms protecting confidentiality and integrity of remote access sessions
+
+
+
+ MANAGED ACCESS CONTROL POINTS
+ AC-17 (3)
+ MODERATE
+ HIGH
+
+
The information system routes all remote accesses through organization-defined number managed network access control points.
+
+
+
Limiting the number of access control points for remote accesses reduces the attack surface for organizations. Organizations consider the Trusted Internet Connections (TIC) initiative requirements for external network connections.
+ SC-7
+
+
+ Determine if:
+
+ AC-17(3)[1]
+ the organization defines the number of managed network access control points through which all remote accesses are to be routed; and
+
+
+ AC-17(3)[2]
+ the information system routes all remote accesses through the organization-defined number of managed network access control points.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing remote access to the information system
+ information system design documentation
+ list of all managed network access control points
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms routing all remote accesses through managed network access control points
+
+
+
+ PRIVILEGED COMMANDS / ACCESS
+ AC-17 (4)
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-17 (4)(a)
+
Authorizes the execution of privileged commands and access to security-relevant information via remote access only for organization-defined needs; and
+
+
+ AC-17 (4)(b)
+
Documents the rationale for such access in the security plan for the information system.
+
+
+
+ AC-6
+
+
+ Determine if the organization:
+
+ AC-17(4)(a)
+
+ AC-17(4)(a)[1]
+ defines needs to authorize the execution of privileged commands and access to security-relevant information via remote access;
+
+
+ AC-17(4)(a)[2]
+ authorizes the execution of privileged commands and access to security-relevant information via remote access only for organization-defined needs; and
+
+
+
+ AC-17(4)(b)
+ documents the rationale for such access in the information system security plan.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing remote access to the information system
+ information system configuration settings and associated documentation
+ security plan
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing remote access management
+
+
+
+ MONITORING FOR UNAUTHORIZED CONNECTIONS
+ AC-17 (5)
+ SI-4
+
+
+ Incorporated into SI-4.
+
+
+
+ PROTECTION OF INFORMATION
+ AC-17 (6)
+
+
The organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.
+
+
+ AT-2
+ AT-3
+ PS-6
+
+
+ Determine if the organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing remote access to the information system
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for implementing or monitoring remote access to the information system
+ information system users with knowledge of information about remote access mechanisms
+ organizational personnel with information security responsibilities
+
+
+
+ ADDITIONAL PROTECTION FOR SECURITY FUNCTION ACCESS
+ AC-17 (7)
+ AC-3 (10)
+
+
The organization provides the capability to expeditiously disconnect or disable remote access to the information system within organization-defined time period.
+
+
+
This control enhancement requires organizations to have the capability to rapidly disconnect current users remotely accessing the information system and/or disable further remote access. The speed of disconnect or disablement varies based on the criticality of missions/business functions and the need to eliminate immediate or future remote access to organizational information systems.
+
+
+ Determine if the organization:
+
+ AC-17(9)[1]
+ defines the time period within which to expeditiously disconnect or disable remote access to the information system; and
+
+
+ AC-17(9)[2]
+ provides the capability to expeditiously disconnect or disable remote access to the information system within the organization-defined time period.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing disconnecting or disabling remote access to the information system
+ information system design documentation
+ information system configuration settings and associated documentation
+ security plan, information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing capability to disconnect or disable remote access to information system
+
+
+
+ Determine if the organization:
+
+ AC-17(a)
+
+ AC-17(a)[1]
+ identifies the types of remote access allowed to the information system;
+
+
+ AC-17(a)[2]
+ establishes for each type of remote access allowed:
+
+ AC-17(a)[2][a]
+ usage restrictions;
+
+
+ AC-17(a)[2][b]
+ configuration/connection requirements;
+
+
+ AC-17(a)[2][c]
+ implementation guidance;
+
+
+
+ AC-17(a)[3]
+ documents for each type of remote access allowed:
+
+ AC-17(a)[3][a]
+ usage restrictions;
+
+
+ AC-17(a)[3][b]
+ configuration/connection requirements;
+
+
+ AC-17(a)[3][c]
+ implementation guidance; and
+
+
+
+
+ AC-17(b)
+ authorizes remote access to the information system prior to allowing such connections.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing remote access implementation and usage (including restrictions)
+ configuration management plan
+ security plan
+ information system configuration settings and associated documentation
+ remote access authorizations
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for managing remote access connections
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Remote access management capability for the information system
+
+
+
+ NIST Special Publication 800-46
+
+
+ NIST Special Publication 800-77
+
+
+ NIST Special Publication 800-113
+
+
+ NIST Special Publication 800-114
+
+
+ NIST Special Publication 800-121
+
+
+
+
+ WIRELESS ACCESS
+ AC-18
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-18a.
+
Establishes usage restrictions, configuration/connection requirements, and implementation guidance for wireless access; and
+
+
+ AC-18b.
+
Authorizes wireless access to the information system prior to allowing such connections.
+
+
+
+
Wireless technologies include, for example, microwave, packet radio (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., EAP/TLS, PEAP), which provide credential protection and mutual authentication.
The information system protects wireless access to the system using authentication of [Selection (one or more): users; devices] and encryption.
+
+
+ SC-8
+ SC-13
+
+
+ Determine if the information system protects wireless access to the system using encryption and one or more of the following:
+
+ AC-18(1)[1]
+ authentication of users; and/or
+
+
+ AC-18(1)[2]
+ authentication of devices.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing wireless implementation and usage (including restrictions)
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing wireless access protections to the information system
+
+
+
+ MONITORING UNAUTHORIZED CONNECTIONS
+ AC-18 (2)
+ SI-4
+
+
The organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.
+
+
+ AC-19
+
+
+ Determine if the organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing wireless implementation and usage (including restrictions)
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms managing the disabling of wireless networking capabilities internally embedded within information system components
+
+
+
+ RESTRICT CONFIGURATIONS BY USERS
+ AC-18 (4)
+ HIGH
+
+
The organization identifies and explicitly authorizes users allowed to independently configure wireless networking capabilities.
+
+
+
Organizational authorizations to allow selected users to configure wireless networking capability are enforced in part, by the access enforcement mechanisms employed within organizational information systems.
+ AC-3
+ SC-15
+
+
+ Determine if the organization:
+
+ AC-18(4)[1]
+ identifies users allowed to independently configure wireless networking capabilities; and
+
+
+ AC-18(4)[2]
+ explicitly authorizes the identified users allowed to independently configure wireless networking capabilities.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing wireless implementation and usage (including restrictions)
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms authorizing independent user configuration of wireless networking capabilities
+
+
+
+ ANTENNAS / TRANSMISSION POWER LEVELS
+ AC-18 (5)
+ HIGH
+
+
The organization selects radio antennas and calibrates transmission power levels to reduce the probability that usable signals can be received outside of organization-controlled boundaries.
+
+
+
Actions that may be taken by organizations to limit unauthorized use of wireless communications outside of organization-controlled boundaries include, for example: (i) reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be used by adversaries outside of the physical perimeters of organizations; (ii) employing measures such as TEMPEST to control wireless emanations; and (iii) using directional/beam forming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational information systems as well as other systems that may be operating in the area.
+ PE-19
+
+
+ Determine if the organization:
+
+ AC-18(5)[1]
+ selects radio antennas to reduce the probability that usable signals can be received outside of organization-controlled boundaries; and
+
+
+ AC-18(5)[2]
+ calibrates transmission power levels to reduce the probability that usable signals can be received outside of organization-controlled boundaries.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing wireless implementation and usage (including restrictions)
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Wireless access capability protecting usable signals from unauthorized access outside organization-controlled boundaries
+
+
+
+ Determine if the organization:
+
+ AC-18(a)
+ establishes for wireless access:
+
+ AC-18(a)[1]
+ usage restrictions;
+
+
+ AC-18(a)[2]
+ configuration/connection requirement;
+
+
+ AC-18(a)[3]
+ implementation guidance; and
+
+
+
+ AC-18(b)
+ authorizes wireless access to the information system prior to allowing such connections.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing wireless access implementation and usage (including restrictions)
+ configuration management plan
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ wireless access authorizations
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for managing wireless access connections
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Wireless access management capability for the information system
+
+
+
+ NIST Special Publication 800-48
+
+
+ NIST Special Publication 800-94
+
+
+ NIST Special Publication 800-97
+
+
+
+
+ ACCESS CONTROL FOR MOBILE DEVICES
+ AC-19
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-19a.
+
Establishes usage restrictions, configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices; and
+
+
+ AC-19b.
+
Authorizes the connection of mobile devices to organizational information systems.
+
+
+
+
A mobile device is a computing device that: (i) has a small form factor such that it can easily be carried by a single individual; (ii) is designed to operate without a physical connection (e.g., wirelessly transmit or receive information); (iii) possesses local, non-removable or removable data storage; and (iv) includes a self-contained power source. Mobile devices may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones, E-readers, and tablets. Mobile devices are typically associated with a single individual and the device is usually in close proximity to the individual; however, the degree of proximity can vary depending upon on the form factor and size of the device. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of desktop systems, depending upon the nature and intended purpose of the device. Due to the large variety of mobile devices with different technical characteristics and capabilities, organizational restrictions may vary for the different classes/types of such devices. Usage restrictions and specific implementation guidance for mobile devices include, for example, configuration management, device identification and authentication, implementation of mandatory protective software (e.g., malicious code detection, firewall), scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the need to provide adequate security for mobile devices goes beyond the requirements in this control. Many safeguards and countermeasures for mobile devices are reflected in other security controls in the catalog allocated in the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some degree of overlap in the requirements articulated by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled.
+
+
+
+ USE OF PERSONALLY OWNED PORTABLE STORAGE DEVICES
+ AC-19 (2)
+ MP-7
+
+
+ Incorporated into MP-7.
+
+
+
+ USE OF PORTABLE STORAGE DEVICES WITH NO IDENTIFIABLE OWNER
+ AC-19 (3)
+ MP-7
+
+
+ Incorporated into MP-7.
+
+
+
+ RESTRICTIONS FOR CLASSIFIED INFORMATION
+ AC-19 (4)
+
+
The organization:
+
+ AC-19 (4)(a)
+
Prohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official; and
+
+
+ AC-19 (4)(b)
+
Enforces the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information:
+
+ AC-19 (4)(b)(1)
+
Connection of unclassified mobile devices to classified information systems is prohibited;
+
+
+ AC-19 (4)(b)(2)
+
Connection of unclassified mobile devices to unclassified information systems requires approval from the authorizing official;
+
+
+ AC-19 (4)(b)(3)
+
Use of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited; and
+
+
+ AC-19 (4)(b)(4)
+
Unclassified mobile devices and the information stored on those devices are subject to random reviews and inspections by organization-defined security officials, and if classified information is found, the incident handling policy is followed.
+
+
+
+ AC-19 (4)(c)
+
Restricts the connection of classified mobile devices to classified information systems in accordance with organization-defined security policies.
+
+
+
+ CA-6
+ IR-4
+
+
+ Determine if the organization:
+
+ AC-19(4)(a)
+ prohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official;
+
+
+ AC-19(4)(b)
+ enforces the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information:
+
+ AC-19(4)(b)(1)
+ connection of unclassified mobile devices to classified information systems is prohibited;
+
+
+ AC-19(4)(b)(2)
+ connection of unclassified mobile devices to unclassified information systems requires approval from the authorizing official;
+
+
+ AC-19(4)(b)(3)
+ use of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited;
+
+
+ AC-19(4)(b)(4)
+
+ AC-19(4)(b)(4)[1]
+ defines security officials responsible for reviews and inspections of unclassified mobile devices and the information stored on those devices;
+
+
+ AC-19(4)(b)(4)[2]
+ unclassified mobile devices and the information stored on those devices are subject to random reviews/inspections by organization-defined security officials;
+
+
+ AC-19(4)(b)(4)[3]
+ the incident handling policy is followed if classified information is found;
+
+
+
+
+ AC-19(4)(c)
+
+ AC-19(4)(c)[1]
+ defines security policies to restrict the connection of classified mobile devices to classified information systems; and
+
+
+ AC-19(4)(c)[2]
+ restricts the connection of classified mobile devices to classified information systems in accordance with organization-defined security policies.
+
+
+
+
+ EXAMINE
+ Access control policy
+ incident handling policy
+ procedures addressing access control for mobile devices
+ information system design documentation
+ information system configuration settings and associated documentation
+ evidentiary documentation for random inspections and reviews of mobile devices
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel responsible for random reviews/inspections of mobile devices
+ organizational personnel using mobile devices in facilities containing information systems processing, storing, or transmitting classified information
+ organizational personnel with incident response responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms prohibiting the use of internal or external modems or wireless interfaces with mobile devices
+
+
+
+ FULL DEVICE / CONTAINER-BASED ENCRYPTION
+ AC-19 (5)
+ MODERATE
+ HIGH
+
+
The organization employs [Selection: full-device encryption; container encryption] to protect the confidentiality and integrity of information on organization-defined mobile devices.
+
+
+
Container-based encryption provides a more fine-grained approach to the encryption of data/information on mobile devices, including for example, encrypting selected data structures such as files, records, or fields.
+ MP-5
+ SC-13
+ SC-28
+
+
+ Determine if the organization:
+
+ AC-19(5)[1]
+ defines mobile devices for which full-device encryption or container encryption is required to protect the confidentiality and integrity of information on such devices; and
+
+
+ AC-19(5)[2]
+ employs full-device encryption or container encryption to protect the confidentiality and integrity of information on organization-defined mobile devices.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing access control for mobile devices
+ information system design documentation
+ information system configuration settings and associated documentation
+ encryption mechanism s and associated configuration documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with access control responsibilities for mobile devices
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Encryption mechanisms protecting confidentiality and integrity of information on mobile devices
+
+
+
+ Determine if the organization:
+
+ AC-19(a)
+ establishes for organization-controlled mobile devices:
+
+ AC-19(a)[1]
+ usage restrictions;
+
+
+ AC-19(a)[2]
+ configuration/connection requirement;
+
+
+ AC-19(a)[3]
+ implementation guidance; and
+
+
+
+ AC-19(b)
+ authorizes the connection of mobile devices to organizational information systems.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing access control for mobile device usage (including restrictions)
+ configuration management plan
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ authorizations for mobile device connections to organizational information systems
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel using mobile devices to access organizational information systems
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Access control capability authorizing mobile device connections to organizational information systems
+
+
+
+ OMB Memorandum 06-16
+
+
+ NIST Special Publication 800-114
+
+
+ NIST Special Publication 800-124
+
+
+ NIST Special Publication 800-164
+
+
+
+
+ USE OF EXTERNAL INFORMATION SYSTEMS
+ AC-20
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:
+
+ AC-20a.
+
Access the information system from external information systems; and
+
+
+ AC-20b.
+
Process, store, or transmit organization-controlled information using external information systems.
+
+
+
+
External information systems are information systems or components of information systems that are outside of the authorization boundary established by organizations and for which organizations typically have no direct supervision and authority over the application of required security controls or the assessment of control effectiveness. External information systems include, for example: (i) personally owned information systems/devices (e.g., notebook computers, smart phones, tablets, personal digital assistants); (ii) privately owned computing and communications devices resident in commercial or public facilities (e.g., hotels, train stations, convention centers, shopping malls, or airports); (iii) information systems owned or controlled by nonfederal governmental organizations; and (iv) federal information systems that are not owned by, operated by, or under the direct supervision and authority of organizations. This control also addresses the use of external information systems for the processing, storage, or transmission of organizational information, including, for example, accessing cloud services (e.g., infrastructure as a service, platform as a service, or software as a service) from organizational information systems.
+For some external information systems (i.e., information systems operated by other federal agencies, including organizations subordinate to those agencies), the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. Information systems within these organizations would not be considered external. These situations occur when, for example, there are pre-existing sharing/trust agreements (either implicit or explicit) established between federal agencies or organizations subordinate to those agencies, or when such trust agreements are specified by applicable laws, Executive Orders, directives, or policies. Authorized individuals include, for example, organizational personnel, contractors, or other individuals with authorized access to organizational information systems and over which organizations have the authority to impose rules of behavior with regard to system access. Restrictions that organizations impose on authorized individuals need not be uniform, as those restrictions may vary depending upon the trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments.
+This control does not apply to the use of external information systems to access public interfaces to organizational information systems (e.g., individuals accessing federal information through www.usa.gov). Organizations establish terms and conditions for the use of external information systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: types of applications that can be accessed on organizational information systems from external information systems; and the highest security category of information that can be processed, stored, or transmitted on external information systems. If terms and conditions with the owners of external information systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.
+ AC-3
+ AC-17
+ AC-19
+ CA-3
+ PL-4
+ SA-9
+
+
+ LIMITS ON AUTHORIZED USE
+ AC-20 (1)
+ MODERATE
+ HIGH
+
+
The organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:
+
+ AC-20 (1)(a)
+
Verifies the implementation of required security controls on the external system as specified in the organization�s information security policy and security plan; or
+
+
+ AC-20 (1)(b)
+
Retains approved information system connection or processing agreements with the organizational entity hosting the external information system.
+
+
+
+
This control enhancement recognizes that there are circumstances where individuals using external information systems (e.g., contractors, coalition partners) need to access organizational information systems. In those situations, organizations need confidence that the external information systems contain the necessary security safeguards (i.e., security controls), so as not to compromise, damage, or otherwise harm organizational information systems. Verification that the required security controls have been implemented can be achieved, for example, by third-party, independent assessments, attestations, or other means, depending on the confidence level required by organizations.
+ CA-2
+
+
+ Determine if the organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:
+
+ AC-20(1)(a)
+ verifies the implementation of required security controls on the external system as specified in the organization’s information security policy and security plan; or
+
+
+ AC-20(1)(b)
+ retains approved information system connection or processing agreements with the organizational entity hosting the external information system.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing the use of external information systems
+ security plan
+ information system connection or processing agreements
+ account management documents
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing limits on use of external information systems
+
+
+
+ PORTABLE STORAGE DEVICES
+ AC-20 (2)
+ MODERATE
+ HIGH
+
+
The organization [Selection: restricts; prohibits] the use of organization-controlled portable storage devices by authorized individuals on external information systems.
+
+
+
Limits on the use of organization-controlled portable storage devices in external information systems include, for example, complete prohibition of the use of such devices or restrictions on how the devices may be used and under what conditions the devices may be used.
+
+
+ Determine if the organization restricts or prohibits the use of organization-controlled portable storage devices by authorized individuals on external information systems.
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing the use of external information systems
+ security plan
+ information system configuration settings and associated documentation
+ information system connection or processing agreements
+ account management documents
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for restricting or prohibiting use of organization-controlled storage devices on external information systems
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing restrictions on use of portable storage devices
+
+
+
+ NON-ORGANIZATIONALLY OWNED SYSTEMS / COMPONENTS / DEVICES
+ AC-20 (3)
+
+
The organization [Selection: restricts; prohibits] the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information.
+
+
+
Non-organizationally owned devices include devices owned by other organizations (e.g., federal/state agencies, contractors) and personally owned devices. There are risks to using non-organizationally owned devices. In some cases, the risk is sufficiently high as to prohibit such use. In other cases, it may be such that the use of non-organizationally owned devices is allowed but restricted in some way. Restrictions include, for example: (i) requiring the implementation of organization-approved security controls prior to authorizing such connections; (ii) limiting access to certain types of information, services, or applications; (iii) using virtualization techniques to limit processing and storage activities to servers or other system components provisioned by the organization; and (iv) agreeing to terms and conditions for usage. For personally owned devices, organizations consult with the Office of the General Counsel regarding legal issues associated with using such devices in operational environments, including, for example, requirements for conducting forensic analyses during investigations after an incident.
+
+
+ Determine if the organization restricts or prohibits the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information.
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing the use of external information systems
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system connection or processing agreements
+ account management documents
+ information system audit records, other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for restricting or prohibiting use of non-organizationally owned information systems, system components, or devices
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing restrictions on the use of non-organizationally owned systems/components/devices
+
+
+
+ NETWORK ACCESSIBLE STORAGE DEVICES
+ AC-20 (4)
+
+
The organization prohibits the use of organization-defined network accessible storage devices in external information systems.
+
+
+
Network accessible storage devices in external information systems include, for example, online storage devices in public, hybrid, or community cloud-based systems.
+
+
+ Determine if the organization:
+
+ AC-20(4)[1]
+ defines network accessible storage devices to be prohibited from use in external information systems; and
+
+
+ AC-20(4)[2]
+ prohibits the use of organization-defined network accessible storage devices in external information systems.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing use of network accessible storage devices in external information systems
+ security plan, information system design documentation
+ information system configuration settings and associated documentation
+ information system connection or processing agreements
+ list of network accessible storage devices prohibited from use in external information systems
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for prohibiting use of network accessible storage devices in external information systems
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms prohibiting the use of network accessible storage devices in external information systems
+
+
+
+ Determine if the organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:
+
+ AC-20(a)
+ access the information system from the external information systems; and
+
+
+ AC-20(b)
+ process, store, or transmit organization-controlled information using external information systems.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing the use of external information systems
+ external information systems terms and conditions
+ list of types of applications accessible from external information systems
+ maximum security categorization for information processed, stored, or transmitted on external information systems
+ information system configuration settings and associated documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for defining terms and conditions for use of external information systems to access organizational systems
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing terms and conditions on use of external information systems
+
+
+
+ FIPS Publication 199
+
+
+
+
+ INFORMATION SHARING
+ AC-21
+ P2
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-21a.
+
Facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for organization-defined information sharing circumstances where user discretion is required; and
+
+
+ AC-21b.
+
Employs organization-defined automated mechanisms or manual processes to assist users in making information sharing/collaboration decisions.
+
+
+
+
This control applies to information that may be restricted in some manner (e.g., privileged medical information, contract-sensitive information, proprietary information, personally identifiable information, classified information related to special access programs or compartments) based on some formal or administrative determination. Depending on the particular information-sharing circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program/compartment.
The information system enforces information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared.
+
+
+ Determine if the information system enforces information-sharing decisions by authorized users based on:
+
+ AC-21(1)[1]
+ access authorizations of sharing partners; and
+
+
+ AC-21(1)[2]
+ access restrictions on information to be shared.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing user-based collaboration and information sharing (including restrictions)
+ information system design documentation
+ information system configuration settings and associated documentation
+ system-generated list of users authorized to make information sharing/collaboration decisions
+ system-generated list of sharing partners and access authorizations
+ system-generated list of access restrictions regarding information to be shared
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing access authorizations supporting information sharing/user collaboration decisions
+
+
+
+ INFORMATION SEARCH AND RETRIEVAL
+ AC-21 (2)
+
+
The information system implements information search and retrieval services that enforce organization-defined information sharing restrictions.
+
+
+ Determine if:
+
+ AC-21(2)[1]
+ the organization defines information sharing restrictions to be enforced through information search and retrieval services; and
+
+
+ AC-21(2)[2]
+ the information system implements information search and retrieval services that enforce organization-defined information sharing restrictions.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing user-based collaboration and information sharing (including restrictions)
+ information system design documentation
+ information system configuration settings and associated documentation
+ system-generated list of access restrictions regarding information to be shared
+ information search and retrieval records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with access enforcement responsibilities for information system search and retrieval services
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Information system search and retrieval services enforcing information sharing restrictions
+
+
+
+ Determine if the organization:
+
+ AC-21(a)
+
+ AC-21(a)[1]
+ defines information sharing circumstances where user discretion is required;
+
+
+ AC-21(a)[2]
+ facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for organization-defined information sharing circumstances;
+
+
+
+ AC-21(b)
+
+ AC-21(b)[1]
+ defines automated mechanisms or manual processes to be employed to assist users in making information sharing/collaboration decisions; and
+
+
+ AC-21(b)[2]
+ employs organization-defined automated mechanisms or manual processes to assist users in making information sharing/collaboration decisions.
+
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing user-based collaboration and information sharing (including restrictions)
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of users authorized to make information sharing/collaboration decisions
+ list of information sharing circumstances requiring user discretion
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel responsible for making information sharing/collaboration decisions
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms or manual process implementing access authorizations supporting information sharing/user collaboration decisions
+
+
+
+ PUBLICLY ACCESSIBLE CONTENT
+ AC-22
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-22a.
+
Designates individuals authorized to post information onto a publicly accessible information system;
+
+
+ AC-22b.
+
Trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;
+
+
+ AC-22c.
+
Reviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included; and
+
+
+ AC-22d.
+
Reviews the content on the publicly accessible information system for nonpublic information organization-defined frequency and removes such information, if discovered.
+
+
+
+
In accordance with federal laws, Executive Orders, directives, policies, regulations, standards, and/or guidance, the general public is not authorized access to nonpublic information (e.g., information protected under the Privacy Act and proprietary information). This control addresses information systems that are controlled by the organization and accessible to the general public, typically without identification or authentication. The posting of information on non-organization information systems is covered by organizational policy.
+ AC-3
+ AC-4
+ AT-2
+ AT-3
+ AU-13
+
+
+ Determine if the organization:
+
+ AC-22(a)
+ designates individuals authorized to post information onto a publicly accessible information system;
+
+
+ AC-22(b)
+ trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;
+
+
+ AC-22(c)
+ reviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included;
+
+
+ AC-22(d)
+
+ AC-22(d)[1]
+ defines the frequency to review the content on the publicly accessible information system for nonpublic information;
+
+
+ AC-22(d)[2]
+ reviews the content on the publicly accessible information system for nonpublic information with the organization-defined frequency; and
+
+
+ AC-22(d)[3]
+ removes nonpublic information from the publicly accessible information system, if discovered.
+
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing publicly accessible content
+ list of users authorized to post publicly accessible content on organizational information systems
+ training materials and/or records
+ records of publicly accessible information reviews
+ records of response to nonpublic information on public websites
+ system audit logs
+ security awareness training records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for managing publicly accessible information posted on organizational information systems
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing management of publicly accessible content
+
+
+
+ DATA MINING PROTECTION
+ AC-23
+ P0
+
+
The organization employs organization-defined data mining prevention and detection techniques for organization-defined data storage objects to adequately detect and protect against data mining.
+
+
+
Data storage objects include, for example, databases, database records, and database fields. Data mining prevention and detection techniques include, for example: (i) limiting the types of responses provided to database queries; (ii) limiting the number/frequency of database queries to increase the work factor needed to determine the contents of such databases; and (iii) notifying organizational personnel when atypical database queries or accesses occur. This control focuses on the protection of organizational information from data mining while such information resides in organizational data stores. In contrast, AU-13 focuses on monitoring for organizational information that may have been mined or otherwise obtained from data stores and is now available as open source information residing on external sites, for example, through social networking or social media websites.
+
+
+ Determine if the organization:
+
+ AC-23[1]
+ defines data mining prevention and detection techniques to be employed for organization-defined storage objects to adequately detect and protect against data mining;
+
+
+ AC-23[2]
+ defines data storage objects to be protected from data mining; and
+
+
+ AC-23[3]
+ employs organization-defined data mining prevention and detection techniques for organization-defined data storage objects to adequately detect and protect against data mining.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing data mining techniques
+ procedures addressing protection of data storage objects against data mining
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit logs
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for implementing data mining detection and prevention techniques for data storage objects
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing data mining prevention and detection
+
+
+
+ ACCESS CONTROL DECISIONS
+ AC-24
+ P0
+
+
The organization establishes procedures to ensure organization-defined access control decisions are applied to each access request prior to access enforcement.
+
+
+
Access control decisions (also known as authorization decisions) occur when authorization information is applied to specific accesses. In contrast, access enforcement occurs when information systems enforce access control decisions. While it is very common to have access control decisions and access enforcement implemented by the same entity, it is not required and it is not always an optimal implementation choice. For some architectures and distributed information systems, different entities may perform access control decisions and access enforcement.
The information system transmits organization-defined access authorization information using organization-defined security safeguards to organization-defined information systems that enforce access control decisions.
+
+
+
In distributed information systems, authorization processes and access control decisions may occur in separate parts of the systems. In such instances, authorization information is transmitted securely so timely access control decisions can be enforced at the appropriate locations. To support the access control decisions, it may be necessary to transmit as part of the access authorization information, supporting security attributes. This is due to the fact that in distributed information systems, there are various access control decisions that need to be made and different entities (e.g., services) make these decisions in a serial fashion, each requiring some security attributes to make the decisions. Protecting access authorization information (i.e., access control decisions) ensures that such information cannot be altered, spoofed, or otherwise compromised during transmission.
+
+
+ Determine if:
+
+ AC-24(1)[1]
+ the organization defines access authorization information that the information system transmits to organization-defined information systems that enforce access control decisions;
+
+
+ AC-24(1)[2]
+ the organization defines security safeguards to be used when the information system transmits organization-defined authorization information to organization-defined information systems that enforce access control decisions;
+
+
+ AC-24(1)[3]
+ the organization defines the information systems that enforce access control decisions; and
+
+
+ AC-24(1)[4]
+ the information system transmits organization-defined access authorization information using organization-defined security safeguards to organization-defined information systems that enforce access control decisions.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing access enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with access enforcement responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing access enforcement functions
+
+
+
+ NO USER OR PROCESS IDENTITY
+ AC-24 (2)
+
+
The information system enforces access control decisions based on organization-defined security attributes that do not include the identity of the user or process acting on behalf of the user.
+
+
+
In certain situations, it is important that access control decisions can be made without information regarding the identity of the users issuing the requests. These are generally instances where preserving individual privacy is of paramount importance. In other situations, user identification information is simply not needed for access control decisions and, especially in the case of distributed information systems, transmitting such information with the needed degree of assurance may be very expensive or difficult to accomplish.
+
+
+ Determine if:
+
+ AC-24(2)[1]
+ the organization defines security attributes that support access control decisions that do not include the identity of the user or processes acting on behalf of the user; and
+
+
+ AC-24(2)[2]
+ the information system enforces access control decisions based on organization-defined security attributes that do not include the identity of the user or process acting on behalf of the user.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing access enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with access enforcement responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing access enforcement functions
+
+
+
+ Determine if the organization:
+
+ AC-24[1]
+ defines access control decisions to be applied to each access request prior to access control enforcement; and
+
+
+ AC-24[2]
+ establishes procedures to ensure organization-defined access control decisions are applied to each access request prior to access control enforcement.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing access control decisions
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for establishing procedures regarding access control decisions to the information system
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms applying established access control decisions and procedures
+
+
+
+ REFERENCE MONITOR
+ AC-25
+ P0
+
+
The information system implements a reference monitor for organization-defined access control policies that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.
+
+
+
Information is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Reference monitors typically enforce mandatory access control policies�a type of access control that restricts access to objects based on the identity of subjects or groups to which the subjects belong. The access controls are mandatory because subjects with certain privileges (i.e., access permissions) are restricted from passing those privileges on to any other subjects, either directly or indirectly�that is, the information system strictly enforces the access control policy based on the rule set established by the policy. The tamperproof property of the reference monitor prevents adversaries from compromising the functioning of the mechanism. The always invoked property prevents adversaries from bypassing the mechanism and hence violating the security policy. The smallness property helps to ensure the completeness in the analysis and testing of the mechanism to detect weaknesses or deficiencies (i.e., latent flaws) that would prevent the enforcement of the security policy.
+ AC-3
+ AC-16
+ SC-3
+ SC-39
+
+
+ Determine if:
+
+ AC-25[1]
+ the organization defines access control policies for which the information system implements a reference monitor to enforce such policies; and
+
+
+ AC-25[2]
+ the information system implements a reference monitor for organization-defined access control policies that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing access enforcement
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with access enforcement responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing access enforcement functions
+
+
+
+
+ AWARENESS AND TRAINING
+
+ SECURITY AWARENESS AND TRAINING POLICY AND PROCEDURES
+ AT-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AT-1a.
+
Develops, documents, and disseminates to organization-defined personnel or roles:
+
+ AT-1a.1.
+
A security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ AT-1a.2.
+
Procedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls; and
+
+
+
+ AT-1b.
+
Reviews and updates the current:
+
+ AT-1b.1.
+
Security awareness and training policy organization-defined frequency; and
+
+
+ AT-1b.2.
+
Security awareness and training procedures organization-defined frequency.
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AT family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+ Determine if the organization:
+
+ AT-1(a)(1)
+
+ AT-1(a)(1)[1]
+ develops and documents an security awareness and training policy that addresses:
+
+ AT-1(a)(1)[1][a]
+ purpose;
+
+
+ AT-1(a)(1)[1][b]
+ scope;
+
+
+ AT-1(a)(1)[1][c]
+ roles;
+
+
+ AT-1(a)(1)[1][d]
+ responsibilities;
+
+
+ AT-1(a)(1)[1][e]
+ management commitment;
+
+
+ AT-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ AT-1(a)(1)[1][g]
+ compliance;
+
+
+
+ AT-1(a)(1)[2]
+ defines personnel or roles to whom the security awareness and training policy are to be disseminated;
+
+
+ AT-1(a)(1)[3]
+ disseminates the security awareness and training policy to organization-defined personnel or roles;
+
+
+
+ AT-1(a)(2)
+
+ AT-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the security awareness and training policy and associated awareness and training controls;
+
+
+ AT-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ AT-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ AT-1(b)(1)
+
+ AT-1(b)(1)[1]
+ defines the frequency to review and update the current security awareness and training policy;
+
+
+ AT-1(b)(1)[2]
+ reviews and updates the current security awareness and training policy with the organization-defined frequency;
+
+
+
+ AT-1(b)(2)
+
+ AT-1(b)(2)[1]
+ defines the frequency to review and update the current security awareness and training procedures; and
+
+
+ AT-1(b)(2)[2]
+ reviews and updates the current security awareness and training procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Security awareness and training policy and procedures
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security awareness and training responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-16
+
+
+ NIST Special Publication 800-50
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ SECURITY AWARENESS TRAINING
+ AT-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization provides basic security awareness training to information system users (including managers, senior executives, and contractors):
+
+ AT-2a.
+
As part of initial training for new users;
+
+
+ AT-2b.
+
When required by information system changes; and
+
+
+ AT-2c.
+
+ organization-defined frequency thereafter.
+
+
+
+
Organizations determine the appropriate content of security awareness training and security awareness techniques based on the specific organizational requirements and the information systems to which personnel have authorized access. The content includes a basic understanding of the need for information security and user actions to maintain security and to respond to suspected security incidents. The content also addresses awareness of the need for operations security. Security awareness techniques can include, for example, displaying posters, offering supplies inscribed with security reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security awareness events.
The organization includes practical exercises in security awareness training that simulate actual cyber attacks.
+
+
+
Practical exercises may include, for example, no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments or invoking, via spear phishing attacks, malicious web links.
+ CA-2
+ CA-7
+ CP-4
+ IR-3
+
+
+ Determine if the organization includes practical exercises in security awareness training that simulate actual cyber attacks.
+
+
+ EXAMINE
+ Security awareness and training policy
+ procedures addressing security awareness training implementation
+ security awareness training curriculum
+ security awareness training materials
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel that participate in security awareness training
+ organizational personnel with responsibilities for security awareness training
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing cyber attack simulations in practical exercises
+
+
+
+ INSIDER THREAT
+ AT-2 (2)
+ MODERATE
+ HIGH
+
+
The organization includes security awareness training on recognizing and reporting potential indicators of insider threat.
+
+
+
Potential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction, attempts to gain access to information not required for job performance, unexplained access to financial resources, bullying or sexual harassment of fellow employees, workplace violence, and other serious violations of organizational policies, procedures, directives, rules, or practices. Security awareness training includes how to communicate employee and management concerns regarding potential indicators of insider threat through appropriate organizational channels in accordance with established organizational policies and procedures.
+ PL-4
+ PM-12
+ PS-3
+ PS-6
+
+
+ Determine if the organization includes security awareness training on recognizing and reporting potential indicators of insider threat.
+
+
+ EXAMINE
+ Security awareness and training policy
+ procedures addressing security awareness training implementation
+ security awareness training curriculum
+ security awareness training materials
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel that participate in security awareness training
+ organizational personnel with responsibilities for basic security awareness training
+ organizational personnel with information security responsibilities
+
+
+
+ Determine if the organization:
+
+ AT-2(a)
+ provides basic security awareness training to information system users (including managers, senior executives, and contractors) as part of initial training for new users;
+
+
+ AT-2(b)
+ provides basic security awareness training to information system users (including managers, senior executives, and contractors) when required by information system changes; and
+
+
+ AT-2(c)
+
+ AT-2(c)[1]
+ defines the frequency to provide refresher security awareness training thereafter to information system users (including managers, senior executives, and contractors); and
+
+
+ AT-2(c)[2]
+ provides refresher security awareness training to information users (including managers, senior executives, and contractors) with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Security awareness and training policy
+ procedures addressing security awareness training implementation
+ appropriate codes of federal regulations
+ security awareness training curriculum
+ security awareness training materials
+ security plan
+ training records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for security awareness training
+ organizational personnel with information security responsibilities
+ organizational personnel comprising the general information system user community
+
+
+ TEST
+ Automated mechanisms managing security awareness training
+
+
+
+ C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)
+
+
+ Executive Order 13587
+
+
+ NIST Special Publication 800-50
+
+
+
+
+ ROLE-BASED SECURITY TRAINING
+ AT-3
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization provides role-based security training to personnel with assigned security roles and responsibilities:
+
+ AT-3a.
+
Before authorizing access to the information system or performing assigned duties;
+
+
+ AT-3b.
+
When required by information system changes; and
+
+
+ AT-3c.
+
+ organization-defined frequency thereafter.
+
+
+
+
Organizations determine the appropriate content of security training based on the assigned roles and responsibilities of individuals and the specific security requirements of organizations and the information systems to which personnel have authorized access. In addition, organizations provide enterprise architects, information system developers, software developers, acquisition/procurement officials, information system managers, system/network administrators, personnel conducting configuration management and auditing activities, personnel performing independent verification and validation activities, security control assessors, and other personnel having access to system-level software, adequate security-related technical training specifically tailored for their assigned duties. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. Such training can include for example, policies, procedures, tools, and artifacts for the organizational security roles defined. Organizations also provide the training necessary for individuals to carry out their responsibilities related to operations and supply chain security within the context of organizational information security programs. Role-based security training also applies to contractors providing services to federal agencies.
The organization provides organization-defined personnel or roles with initial and organization-defined frequency training in the employment and operation of environmental controls.
+
+
+
Environmental controls include, for example, fire suppression and detection devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature/humidity, HVAC, and power within the facility. Organizations identify personnel with specific roles and responsibilities associated with environmental controls requiring specialized training.
+ PE-1
+ PE-13
+ PE-14
+ PE-15
+
+
+ Determine if the organization:
+
+ AT-3(1)[1]
+ defines personnel or roles to be provided with initial and refresher training in the employment and operation of environmental controls;
+
+
+ AT-3(1)[2]
+ provides organization-defined personnel or roles with initial and refresher training in the employment and operation of environmental controls;
+
+
+ AT-3(1)[3]
+ defines the frequency to provide refresher training in the employment and operation of environmental controls; and
+
+
+ AT-3(1)[4]
+ provides refresher training in the employment and operation of environmental controls with the organization-defined frequency.
+
+
+
+ EXAMINE
+ Security awareness and training policy
+ procedures addressing security training implementation
+ security training curriculum
+ security training materials
+ security plan
+ training records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for role-based security training
+ organizational personnel with responsibilities for employing and operating environmental controls
+
+
+
+ PHYSICAL SECURITY CONTROLS
+ AT-3 (2)
+
+
The organization provides organization-defined personnel or roles with initial and organization-defined frequency training in the employment and operation of physical security controls.
+
+
+
Physical security controls include, for example, physical access control devices, physical intrusion alarms, monitoring/surveillance equipment, and security guards (deployment and operating procedures). Organizations identify personnel with specific roles and responsibilities associated with physical security controls requiring specialized training.
+ PE-2
+ PE-3
+ PE-4
+ PE-5
+
+
+ Determine if the organization:
+
+ AT-3(2)[1]
+ defines personnel or roles to be provided with initial and refresher training in the employment and operation of physical security controls;
+
+
+ AT-3(2)[2]
+ provides organization-defined personnel or roles with initial and refresher training in the employment and operation of physical security controls;
+
+
+ AT-3(2)[3]
+ defines the frequency to provide refresher training in the employment and operation of physical security controls; and
+
+
+ AT-3(2)[4]
+ provides refresher training in the employment and operation of physical security controls with the organization-defined frequency.
+
+
+
+ EXAMINE
+ Security awareness and training policy
+ procedures addressing security training implementation
+ security training curriculum
+ security training materials
+ security plan
+ training records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for role-based security training
+ organizational personnel with responsibilities for employing and operating physical security controls
+
+
+
+ PRACTICAL EXERCISES
+ AT-3 (3)
+
+
The organization includes practical exercises in security training that reinforce training objectives.
+
+
+
Practical exercises may include, for example, security training for software developers that includes simulated cyber attacks exploiting common software vulnerabilities (e.g., buffer overflows), or spear/whale phishing attacks targeted at senior leaders/executives. These types of practical exercises help developers better understand the effects of such vulnerabilities and appreciate the need for security coding standards and processes.
+
+
+ Determine if the organization includes practical exercises in security training that reinforce training objectives.
+
+
+ EXAMINE
+ Security awareness and training policy
+ procedures addressing security awareness training implementation
+ security awareness training curriculum
+ security awareness training materials
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for role-based security training
+ organizational personnel that participate in security awareness training
+
+
+
+ SUSPICIOUS COMMUNICATIONS AND ANOMALOUS SYSTEM BEHAVIOR
+ AT-3 (4)
+
+
The organization provides training to its personnel on organization-defined indicators of malicious code to recognize suspicious communications and anomalous behavior in organizational information systems.
+
+
+
A well-trained workforce provides another organizational safeguard that can be employed as part of a defense-in-depth strategy to protect organizations against malicious code coming in to organizations via email or the web applications. Personnel are trained to look for indications of potentially suspicious email (e.g., receiving an unexpected email, receiving an email containing strange or poor grammar, or receiving an email from an unfamiliar sender but who appears to be from a known sponsor or contractor). Personnel are also trained on how to respond to such suspicious email or web communications (e.g., not opening attachments, not clicking on embedded web links, and checking the source of email addresses). For this process to work effectively, all organizational personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in organizational information systems can potentially provide early warning for the presence of malicious code. Recognition of such anomalous behavior by organizational personnel can supplement automated malicious code detection and protection tools and systems employed by organizations.
+
+
+ Determine if the organization:
+
+ AT-3(4)[1]
+ defines indicators of malicious code; and
+
+
+ AT-3(4)[2]
+ provides training to its personnel on organization-defined indicators of malicious code to recognize suspicious communications and anomalous behavior in organizational information systems.
+
+
+
+ EXAMINE
+ Security awareness and training policy
+ procedures addressing security training implementation
+ security training curriculum
+ security training materials
+ security plan
+ training records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for role-based security training
+ organizational personnel that participate in security awareness training
+
+
+
+ Determine if the organization:
+
+ AT-3(a)
+ provides role-based security training to personnel with assigned security roles and responsibilities before authorizing access to the information system or performing assigned duties;
+
+
+ AT-3(b)
+ provides role-based security training to personnel with assigned security roles and responsibilities when required by information system changes; and
+
+
+ AT-3(c)
+
+ AT-3(c)[1]
+ defines the frequency to provide refresher role-based security training thereafter to personnel with assigned security roles and responsibilities; and
+
+
+ AT-3(c)[2]
+ provides refresher role-based security training to personnel with assigned security roles and responsibilities with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Security awareness and training policy
+ procedures addressing security training implementation
+ codes of federal regulations
+ security training curriculum
+ security training materials
+ security plan
+ training records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for role-based security training
+ organizational personnel with assigned information system security roles and responsibilities
+
+
+ TEST
+ Automated mechanisms managing role-based security training
+
+
+
+ C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)
+
+
+ NIST Special Publication 800-16
+
+
+ NIST Special Publication 800-50
+
+
+
+
+ SECURITY TRAINING RECORDS
+ AT-4
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AT-4a.
+
Documents and monitors individual information system security training activities including basic security awareness training and specific information system security training; and
+
+
+ AT-4b.
+
Retains individual training records for organization-defined time period.
+
+
+
+
Documentation for specialized training may be maintained by individual supervisors at the option of the organization.
+ AT-2
+ AT-3
+ PM-14
+
+
+ Determine if the organization:
+
+ AT-4(a)
+
+ AT-4(a)[1]
+ documents individual information system security training activities including:
+
+ AT-4(a)[1][a]
+ basic security awareness training;
+
+
+ AT-4(a)[1][b]
+ specific role-based information system security training;
+
+
+
+ AT-4(a)[2]
+ monitors individual information system security training activities including:
+
+ AT-4(a)[2][a]
+ basic security awareness training;
+
+
+ AT-4(a)[2][b]
+ specific role-based information system security training;
+
+
+
+
+ AT-4(b)
+
+ AT-4(b)[1]
+ defines a time period to retain individual training records; and
+
+
+ AT-4(b)[2]
+ retains individual training records for the organization-defined time period.
+
+
+
+
+ EXAMINE
+ Security awareness and training policy
+ procedures addressing security training records
+ security awareness and training records
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security training record retention responsibilities
+
+
+ TEST
+ Automated mechanisms supporting management of security training records
+
+
+
+ CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS
+ AT-5
+ PM-15
+
+
+ Incorporated into PM-15.
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+
+ AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES
+ AU-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AU-1a.
+
Develops, documents, and disseminates to organization-defined personnel or roles:
+
+ AU-1a.1.
+
An audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ AU-1a.2.
+
Procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls; and
+
+
+
+ AU-1b.
+
Reviews and updates the current:
+
+ AU-1b.1.
+
Audit and accountability policy organization-defined frequency; and
+
+
+ AU-1b.2.
+
Audit and accountability procedures organization-defined frequency.
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AU family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+ Determine if the organization:
+
+ AU-1(a)(1)
+
+ AU-1(a)(1)[1]
+ develops and documents an audit and accountability policy that addresses:
+
+ AU-1(a)(1)[1][a]
+ purpose;
+
+
+ AU-1(a)(1)[1][b]
+ scope;
+
+
+ AU-1(a)(1)[1][c]
+ roles;
+
+
+ AU-1(a)(1)[1][d]
+ responsibilities;
+
+
+ AU-1(a)(1)[1][e]
+ management commitment;
+
+
+ AU-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ AU-1(a)(1)[1][g]
+ compliance;
+
+
+
+ AU-1(a)(1)[2]
+ defines personnel or roles to whom the audit and accountability policy are to be disseminated;
+
+
+ AU-1(a)(1)[3]
+ disseminates the audit and accountability policy to organization-defined personnel or roles;
+
+
+
+ AU-1(a)(2)
+
+ AU-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls;
+
+
+ AU-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ AU-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ AU-1(b)(1)
+
+ AU-1(b)(1)[1]
+ defines the frequency to review and update the current audit and accountability policy;
+
+
+ AU-1(b)(1)[2]
+ reviews and updates the current audit and accountability policy with the organization-defined frequency;
+
+
+
+ AU-1(b)(2)
+
+ AU-1(b)(2)[1]
+ defines the frequency to review and update the current audit and accountability procedures; and
+
+
+ AU-1(b)(2)[2]
+ reviews and updates the current audit and accountability procedures in accordance with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Audit and accountability policy and procedures
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit and accountability responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ AUDIT EVENTS
+ AU-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AU-2a.
+
Determines that the information system is capable of auditing the following events: organization-defined auditable events;
+
+
+ AU-2b.
+
Coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;
+
+
+ AU-2c.
+
Provides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents; and
+
+
+ AU-2d.
+
Determines that the following events are to be audited within the information system: organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event.
+
+
+
+
An event is any observable occurrence in an organizational information system. Organizations identify audit events as those events which are significant and relevant to the security of information systems and the environments in which those systems operate in order to meet specific and ongoing audit needs. Audit events can include, for example, password changes, failed logons, or failed accesses related to information systems, administrative privilege usage, PIV credential usage, or third-party credential usage. In determining the set of auditable events, organizations consider the auditing appropriate for each of the security controls to be implemented. To balance auditing requirements with other information system needs, this control also requires identifying that subset of auditable events that are audited at a given point in time. For example, organizations may determine that information systems must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. Auditing requirements, including the need for auditable events, may be referenced in other security controls and control enhancements. Organizations also include auditable events that are required by applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the appropriate level of abstraction is a critical aspect of an audit capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of auditable events, the auditing necessary to cover related events such as the steps in distributed, transaction-based processes (e.g., processes that are distributed across multiple organizations) and actions that occur in service-oriented architectures.
+
+
+
+ SELECTION OF AUDIT EVENTS BY COMPONENT
+ AU-2 (2)
+ AU-12
+
+
+ Incorporated into AU-12.
+
+
+
+ REVIEWS AND UPDATES
+ AU-2 (3)
+ MODERATE
+ HIGH
+
+
The organization reviews and updates the audited events organization-defined frequency.
+
+
+
Over time, the events that organizations believe should be audited may change. Reviewing and updating the set of audited events periodically is necessary to ensure that the current set is still necessary and sufficient.
+
+
+ Determine if the organization:
+
+ AU-2(3)[1]
+ defines the frequency to review and update the audited events; and
+
+
+ AU-2(3)[2]
+ reviews and updates the auditable events with organization-defined frequency.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing auditable events
+ security plan
+ list of organization-defined auditable events
+ auditable events review and update records
+ information system audit records
+ information system incident reports
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit and accountability responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting review and update of auditable events
+
+
+
+ PRIVILEGED FUNCTIONS
+ AU-2 (4)
+ AC-6 (9)
+
+
+ Incorporated into AC-6 (9).
+
+
+
+ Determine if the organization:
+
+ AU-2(a)
+
+ AU-2(a)[1]
+ defines the auditable events that the information system must be capable of auditing;
+
+
+ AU-2(a)[2]
+ determines that the information system is capable of auditing organization-defined auditable events;
+
+
+
+ AU-2(b)
+ coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;
+
+
+ AU-2(c)
+ provides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents;
+
+
+ AU-2(d)
+
+ AU-2(d)[1]
+ defines the subset of auditable events defined in AU-2a that are to be audited within the information system;
+
+
+ AU-2(d)[2]
+ determines that the subset of auditable events defined in AU-2a are to be audited within the information system; and
+
+
+ AU-2(d)[3]
+ determines the frequency of (or situation requiring) auditing for each identified event.
+
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing auditable events
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ information system auditable events
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit and accountability responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms implementing information system auditing
+
+
+
+ NIST Special Publication 800-92
+
+
+ http://idmanagement.gov
+
+
+
+
+ CONTENT OF AUDIT RECORDS
+ AU-3
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event.
+
+
+
Audit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Event outcomes can include indicators of event success or failure and event-specific results (e.g., the security state of the information system after the event occurred).
The information system generates audit records containing the following additional information: organization-defined additional, more detailed information.
+
+
+
Detailed information that organizations may consider in audit records includes, for example, full text recording of privileged commands or the individual identities of group account users. Organizations consider limiting the additional audit information to only that information explicitly needed for specific audit requirements. This facilitates the use of audit trails and audit logs by not including information that could potentially be misleading or could make it more difficult to locate information of interest.
+
+
+ Determine if:
+
+ AU-3(1)[1]
+ the organization defines additional, more detailed information to be contained in audit records that the information system generates; and
+
+
+ AU-3(1)[2]
+ the information system generates audit records containing the organization-defined additional, more detailed information.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing content of audit records
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of organization-defined auditable events
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit and accountability responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Information system audit capability
+
+
+
+ CENTRALIZED MANAGEMENT OF PLANNED AUDIT RECORD CONTENT
+ AU-3 (2)
+ HIGH
+
+
The information system provides centralized management and configuration of the content to be captured in audit records generated by organization-defined information system components.
+
+
+
This control enhancement requires that the content to be captured in audit records be configured from a central location (necessitating automation). Organizations coordinate the selection of required audit content to support the centralized management and configuration capability provided by the information system.
+ AU-6
+ AU-7
+
+
+ Determine if:
+
+ AU-3(2)[1]
+ the organization defines information system components that generate audit records whose content is to be centrally managed and configured by the information system; and
+
+
+ AU-3(2)[2]
+ the information system provides centralized management and configuration of the content to be captured in audit records generated by the organization-defined information system components.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing content of audit records
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of organization-defined auditable events
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit and accountability responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Information system capability implementing centralized management and configuration of audit record content
+
+
+
+ Determine if the information system generates audit records containing information that establishes:
+
+ AU-3[1]
+ what type of event occurred;
+
+
+ AU-3[2]
+ when the event occurred;
+
+
+ AU-3[3]
+ where the event occurred;
+
+
+ AU-3[4]
+ the source of the event;
+
+
+ AU-3[5]
+ the outcome of the event; and
+
+
+ AU-3[6]
+ the identity of any individuals or subjects associated with the event.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing content of audit records
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of organization-defined auditable events
+ information system audit records
+ information system incident reports
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit and accountability responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms implementing information system auditing of auditable events
+
+
+
+ AUDIT STORAGE CAPACITY
+ AU-4
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization allocates audit record storage capacity in accordance with organization-defined audit record storage requirements.
+
+
+
Organizations consider the types of auditing to be performed and the audit processing requirements when allocating audit storage capacity. Allocating sufficient audit storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of auditing capability.
The information system off-loads audit records organization-defined frequency onto a different system or media than the system being audited.
+
+
+
Off-loading is a process designed to preserve the confidentiality and integrity of audit records by moving the records from the primary information system to a secondary or alternate system. It is a common process in information systems with limited audit storage capacity; the audit storage is used only in a transitory fashion until the system can communicate with the secondary or alternate system designated for storing the audit records, at which point the information is transferred.
+
+
+ Determine if:
+
+ AU-4(1)[1]
+ the organization defines the frequency to off-load audit records onto a different system or media than the system being audited; and
+
+
+ AU-4(1)[2]
+ the information system off-loads audit records onto a different system or media than the system being audited with the organization-defined frequency.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing audit storage capacity
+ procedures addressing transfer of information system audit records to secondary or alternate systems
+ information system design documentation
+ information system configuration settings and associated documentation
+ logs of audit record transfers to secondary or alternate systems
+ information system audit records transferred to secondary or alternate systems
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit storage capacity planning responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms supporting transfer of audit records onto a different system
+
+
+
+ Determine if the organization:
+
+ AU-4[1]
+ defines audit record storage requirements; and
+
+
+ AU-4[2]
+ allocates audit record storage capacity in accordance with the organization-defined audit record storage requirements.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing audit storage capacity
+ information system design documentation
+ information system configuration settings and associated documentation
+ audit record storage requirements
+ audit record storage capability for information system components
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit and accountability responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Audit record storage capacity and related configuration settings
+
+
+
+ RESPONSE TO AUDIT PROCESSING FAILURES
+ AU-5
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system:
+
+ AU-5a.
+
Alerts organization-defined personnel or roles in the event of an audit processing failure; and
+
+
+ AU-5b.
+
Takes the following additional actions: organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records).
+
+
+
+
Audit processing failures include, for example, software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. Organizations may choose to define additional actions for different audit processing failures (e.g., by type, by location, by severity, or a combination of such factors). This control applies to each audit data storage repository (i.e., distinct information system component where audit records are stored), the total audit storage capacity of organizations (i.e., all audit data storage repositories combined), or both.
The information system provides a warning to organization-defined personnel, roles, and/or locations within organization-defined time period when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity.
+
+
+
Organizations may have multiple audit data storage repositories distributed across multiple information system components, with each repository having different storage volume capacities.
+
+
+ Determine if:
+
+ AU-5(1)[1]
+ the organization defines:
+
+ AU-5(1)[1][a]
+ personnel to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity;
+
+
+ AU-5(1)[1][b]
+ roles to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity; and/or
+
+
+ AU-5(1)[1][c]
+ locations to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity;
+
+
+
+ AU-5(1)[2]
+ the organization defines the time period within which the information system is to provide a warning to the organization-defined personnel, roles, and/or locations when allocated audit record storage volume reaches the organization-defined percentage of repository maximum audit record storage capacity;
+
+
+ AU-5(1)[3]
+ the organization defines the percentage of repository maximum audit record storage capacity that, if reached, requires a warning to be provided; and
+
+
+ AU-5(1)[4]
+ the information system provides a warning to the organization-defined personnel, roles, and/or locations within the organization-defined time period when allocated audit record storage volume reaches the organization-defined percentage of repository maximum audit record storage capacity.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing response to audit processing failures
+ information system design documentation
+ security plan
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit and accountability responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing audit storage limit warnings
+
+
+
+ REAL-TIME ALERTS
+ AU-5 (2)
+ HIGH
+
+
The information system provides an alert in organization-defined real-time period to organization-defined personnel, roles, and/or locations when the following audit failure events occur: organization-defined audit failure events requiring real-time alerts.
+
+
+
Alerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less).
+
+
+ Determine if:
+
+ AU-5(2)[1]
+ the organization defines audit failure events requiring real-time alerts;
+
+
+ AU-5(2)[2]
+ the organization defines:
+
+ AU-5(2)[2][a]
+ personnel to be alerted when organization-defined audit failure events requiring real-time alerts occur;
+
+
+ AU-5(2)[2][b]
+ roles to be alerted when organization-defined audit failure events requiring real-time alerts occur; and/or
+
+
+ AU-5(2)[2][c]
+ locations to be alerted when organization-defined audit failure events requiring real-time alerts occur;
+
+
+
+ AU-5(2)[3]
+ the organization defines the real-time period within which the information system is to provide an alert to the organization-defined personnel, roles, and/or locations when the organization-defined audit failure events requiring real-time alerts occur; and
+
+
+ AU-5(2)[4]
+ the information system provides an alert within the organization-defined real-time period to the organization-defined personnel, roles, and/or locations when organization-defined audit failure events requiring real-time alerts occur.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing response to audit processing failures
+ information system design documentation
+ security plan
+ information system configuration settings and associated documentation
+ records of notifications or real-time alerts when audit processing failures occur
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit and accountability responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing real-time audit alerts when organization-defined audit failure events occur
+
+
+
+ CONFIGURABLE TRAFFIC VOLUME THRESHOLDS
+ AU-5 (3)
+
+
The information system enforces configurable network communications traffic volume thresholds reflecting limits on auditing capacity and [Selection: rejects; delays] network traffic above those thresholds.
+
+
+
Organizations have the capability to reject or delay the processing of network communications traffic if auditing such traffic is determined to exceed the storage capacity of the information system audit function. The rejection or delay response is triggered by the established organizational traffic volume thresholds which can be adjusted based on changes to audit storage capacity.
+
+
+ Determine if:
+
+ AU-5(3)[1]
+ the information system enforces configurable network communications traffic volume thresholds reflecting limits on auditing capacity;
+
+
+ AU-5(3)[2]
+ the organization selects if network traffic above configurable traffic volume thresholds is to be:
+
+ AU-5(3)[2][a]
+ rejected; or
+
+
+ AU-5(3)[2][b]
+ delayed; and
+
+
+
+ AU-5(3)[3]
+ the information system rejects or delays network communications traffic generated above configurable traffic volume thresholds.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing response to audit processing failures
+ information system design documentation
+ security plan
+ information system configuration settings and associated documentation
+ configuration of network communications traffic volume thresholds
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit and accountability responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Information system capability implementing configurable traffic volume thresholds
+
+
+
+ SHUTDOWN ON FAILURE
+ AU-5 (4)
+
+
The information system invokes a [Selection: full system shutdown; partial system shutdown; degraded operational mode with limited mission/business functionality available] in the event of organization-defined audit failures, unless an alternate audit capability exists.
+
+
+
Organizations determine the types of audit failures that can trigger automatic information system shutdowns or degraded operations. Because of the importance of ensuring mission/business continuity, organizations may determine that the nature of the audit failure is not so severe that it warrants a complete shutdown of the information system supporting the core organizational missions/business operations. In those instances, partial information system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives.
+ AU-15
+
+
+ Determine if:
+
+ AU-5(4)[1]
+ the organization selects one of the following specific actions for the information system to invoke in the event of organization-defined audit failures:
+
+ AU-5(4)[1][a]
+ full system shutdown;
+
+
+ AU-5(4)[1][b]
+ partial system shutdown; or
+
+
+ AU-5(4)[1][c]
+ degraded operational mode with limited mission/business functionality available;
+
+
+
+ AU-5(4)[2]
+ the organization defines audit failures that, unless an alternate audit capability exists, are to trigger the information system to invoke a specific action; and
+
+
+ AU-5(4)[3]
+ the information system invokes the selected specific action in the event of organization-defined audit failures, unless an alternate audit capability exists.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing response to audit processing failures
+ information system design documentation
+ security plan
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit and accountability responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Information system capability invoking system shutdown or degraded operational mode in the event of an audit processing failure
+
+
+
+ Determine if:
+
+ AU-5(a)
+
+ AU-5(a)[1]
+ the organization defines the personnel or roles to be alerted in the event of an audit processing failure;
+
+
+ AU-5(a)[2]
+ the information system alerts the organization-defined personnel or roles in the event of an audit processing failure;
+
+
+
+ AU-5(b)
+
+ AU-5(b)[1]
+ the organization defines additional actions to be taken (e.g., shutdown information system, overwrite oldest audit records, stop generating audit records) in the event of an audit processing failure; and
+
+
+ AU-5(b)[2]
+ the information system takes the additional organization-defined actions in the event of an audit processing failure.
+
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing response to audit processing failures
+ information system design documentation
+ security plan
+ information system configuration settings and associated documentation
+ list of personnel to be notified in case of an audit processing failure
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit and accountability responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing information system response to audit processing failures
+
+
+
+ AUDIT REVIEW, ANALYSIS, AND REPORTING
+ AU-6
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AU-6a.
+
Reviews and analyzes information system audit records organization-defined frequency for indications of organization-defined inappropriate or unusual activity; and
+
+
+ AU-6b.
+
Reports findings to organization-defined personnel or roles.
+
+
+
+
Audit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority.
The organization employs automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.
+
+
+
Organizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits.
+ AU-12
+ PM-7
+
+
+ Determine if the organization:
+
+ AU-6(1)[1]
+ employs automated mechanisms to integrate:
+
+ AU-6(1)[1][a]
+ audit review;
+
+
+ AU-6(1)[1][b]
+ analysis;
+
+
+ AU-6(1)[1][c]
+ reporting processes;
+
+
+
+ AU-6(1)[2]
+ uses integrated audit review, analysis and reporting processes to support organizational processes for:
+
+ AU-6(1)[2][a]
+ investigation of suspicious activities; and
+
+
+ AU-6(1)[2][b]
+ response to suspicious activities.
+
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing audit review, analysis, and reporting
+ procedures addressing investigation and response to suspicious activities
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit review, analysis, and reporting responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms integrating audit review, analysis, and reporting processes
+
+
+
+ AUTOMATED SECURITY ALERTS
+ AU-6 (2)
+ SI-4
+
+
The organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.
+
+
+
Organization-wide situational awareness includes awareness across all three tiers of risk management (i.e., organizational, mission/business process, and information system) and supports cross-organization awareness.
+ AU-12
+ IR-4
+
+
+ Determine if the organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing audit review, analysis, and reporting
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records across different repositories
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit review, analysis, and reporting responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting analysis and correlation of audit records
+
+
+
+ CENTRAL REVIEW AND ANALYSIS
+ AU-6 (4)
+
+
The information system provides the capability to centrally review and analyze audit records from multiple components within the system.
+
+
+
Automated mechanisms for centralized reviews and analyses include, for example, Security Information Management products.
+ AU-2
+ AU-12
+
+
+ Determine if the information system provides the capability to centrally review and analyze audit records from multiple components within the system.
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing audit review, analysis, and reporting
+ information system design documentation
+ information system configuration settings and associated documentation
+ security plan
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit review, analysis, and reporting responsibilities
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Information system capability to centralize review and analysis of audit records
+
+
+
+ INTEGRATION / SCANNING AND MONITORING CAPABILITIES
+ AU-6 (5)
+ HIGH
+
+
The organization integrates analysis of audit records with analysis of [Selection (one or more): vulnerability scanning information; performance data; information system monitoring information; organization-defined data/information collected from other sources] to further enhance the ability to identify inappropriate or unusual activity.
+
+
+
This control enhancement does not require vulnerability scanning, the generation of performance data, or information system monitoring. Rather, the enhancement requires that the analysis of information being otherwise produced in these areas is integrated with the analysis of audit information. Security Event and Information Management System tools can facilitate audit record aggregation/consolidation from multiple information system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans and correlating attack detection events with scanning results. Correlation with performance data can help uncover denial of service attacks or cyber attacks resulting in unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations.
+ AU-12
+ IR-4
+ RA-5
+
+
+ Determine if the organization:
+
+ AU-6(5)[1]
+ defines data/information to be collected from other sources;
+
+
+ AU-6(5)[2]
+ selects sources of data/information to be analyzed and integrated with the analysis of audit records from one or more of the following:
+
+ AU-6(5)[2][a]
+ vulnerability scanning information;
+
+
+ AU-6(5)[2][b]
+ performance data;
+
+
+ AU-6(5)[2][c]
+ information system monitoring information; and/or
+
+
+ AU-6(5)[2][d]
+ organization-defined data/information collected from other sources; and
+
+
+
+ AU-6(5)[3]
+ integrates the analysis of audit records with the analysis of selected data/information to further enhance the ability to identify inappropriate or unusual activity.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing audit review, analysis, and reporting
+ information system design documentation
+ information system configuration settings and associated documentation
+ integrated analysis of audit records, vulnerability scanning information, performance data, network monitoring information and associated documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit review, analysis, and reporting responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing capability to integrate analysis of audit records with analysis of data/information sources
+
+
+
+ CORRELATION WITH PHYSICAL MONITORING
+ AU-6 (6)
+ HIGH
+
+
The organization correlates information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.
+
+
+
The correlation of physical audit information and audit logs from information systems may assist organizations in identifying examples of suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual�s identity for logical access to certain information systems with the additional physical security information that the individual was actually present at the facility when the logical access occurred, may prove to be useful in investigations.
+
+
+ Determine if the organization correlates information from audit records with information obtained from monitoring physical access to enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing audit review, analysis, and reporting
+ procedures addressing physical access monitoring
+ information system design documentation
+ information system configuration settings and associated documentation
+ documentation providing evidence of correlated information obtained from audit records and physical access monitoring records
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit review, analysis, and reporting responsibilities
+ organizational personnel with physical access monitoring responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing capability to correlate information from audit records with information from monitoring physical access
+
+
+
+ PERMITTED ACTIONS
+ AU-6 (7)
+
+
The organization specifies the permitted actions for each [Selection (one or more): information system process; role; user] associated with the review, analysis, and reporting of audit information.
+
+
+
Organizations specify permitted actions for information system processes, roles, and/or users associated with the review, analysis, and reporting of audit records through account management techniques. Specifying permitted actions on audit information is a way to enforce the principle of least privilege. Permitted actions are enforced by the information system and include, for example, read, write, execute, append, and delete.
+
+
+ Determine if the organization specifies the permitted actions for each one or more of the following associated with the review, analysis and reporting of audit information:
+
+ AU-6(7)[1]
+ information system process;
+
+
+ AU-6(7)[2]
+ role; and/or
+
+
+ AU-6(7)[3]
+ user.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing process, role and/or user permitted actions from audit review, analysis, and reporting
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit review, analysis, and reporting responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting permitted actions for review, analysis, and reporting of audit information
+
+
+
+ FULL TEXT ANALYSIS OF PRIVILEGED COMMANDS
+ AU-6 (8)
+
+
The organization performs a full text analysis of audited privileged commands in a physically distinct component or subsystem of the information system, or other information system that is dedicated to that analysis.
+
+
+
This control enhancement requires a distinct environment for the dedicated analysis of audit information related to privileged users without compromising such information on the information system where the users have elevated privileges including the capability to execute privileged commands. Full text analysis refers to analysis that considers the full text of privileged commands (i.e., commands and all parameters) as opposed to analysis that considers only the name of the command. Full text analysis includes, for example, the use of pattern matching and heuristics.
+ AU-3
+ AU-9
+ AU-11
+ AU-12
+
+
+ Determine if the organization performs a full text analysis of audited privileged commands in:
+
+ AU-6(8)[1]
+ a physically distinct component or subsystem of the information system; or
+
+
+ AU-6(8)[2]
+ other information system that is dedicated to that analysis.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing audit review, analysis, and reporting
+ information system design documentation
+ information system configuration settings and associated documentation
+ text analysis tools and techniques
+ text analysis documentation of audited privileged commands
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit review, analysis, and reporting responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing capability to perform a full text analysis of audited privilege commands
+
+
+
+ CORRELATION WITH INFORMATION FROM NONTECHNICAL SOURCES
+ AU-6 (9)
+
+
The organization correlates information from nontechnical sources with audit information to enhance organization-wide situational awareness.
+
+
+
Nontechnical sources include, for example, human resources records documenting organizational policy violations (e.g., sexual harassment incidents, improper use of organizational information assets). Such information can lead organizations to a more directed analytical effort to detect potential malicious insider activity. Due to the sensitive nature of the information available from nontechnical sources, organizations limit access to such information to minimize the potential for the inadvertent release of privacy-related information to individuals that do not have a need to know. Thus, correlation of information from nontechnical sources with audit information generally occurs only when individuals are suspected of being involved in a security incident. Organizations obtain legal advice prior to initiating such actions.
+ AT-2
+
+
+ Determine if the organization correlates information from nontechnical sources with audit information to enhance organization-wide situational awareness.
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing audit review, analysis, and reporting
+ information system design documentation
+ information system configuration settings and associated documentation
+ documentation providing evidence of correlated information obtained from audit records and organization-defined nontechnical sources
+ list of information types from nontechnical sources for correlation with audit information
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit review, analysis, and reporting responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing capability to correlate information from non-technical sources
+
+
+
+ AUDIT LEVEL ADJUSTMENT
+ AU-6 (10)
+
+
The organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information.
+
+
+
The frequency, scope, and/or depth of the audit review, analysis, and reporting may be adjusted to meet organizational needs based on new information received.
+
+
+ Determine if the organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on:
+
+ AU-6(10)[1]
+ law enforcement information;
+
+
+ AU-6(10)[2]
+ intelligence information; and/or
+
+
+ AU-6(10)[3]
+ other credible sources of information.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing audit review, analysis, and reporting
+ organizational risk assessment
+ security control assessment
+ vulnerability assessment
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit review, analysis, and reporting responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting review, analysis, and reporting of audit information
+
+
+
+ Determine if the organization:
+
+ AU-6(a)
+
+ AU-6(a)[1]
+ defines the types of inappropriate or unusual activity to look for when information system audit records are reviewed and analyzed;
+
+
+ AU-6(a)[2]
+ defines the frequency to review and analyze information system audit records for indications of organization-defined inappropriate or unusual activity;
+
+
+ AU-6(a)[3]
+ reviews and analyzes information system audit records for indications of organization-defined inappropriate or unusual activity with the organization-defined frequency;
+
+
+
+ AU-6(b)
+
+ AU-6(b)[1]
+ defines personnel or roles to whom findings resulting from reviews and analysis of information system audit records are to be reported; and
+
+
+ AU-6(b)[2]
+ reports findings to organization-defined personnel or roles.
+
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing audit review, analysis, and reporting
+ reports of audit findings
+ records of actions taken in response to reviews/analyses of audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit review, analysis, and reporting responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ AUDIT REDUCTION AND REPORT GENERATION
+ AU-7
+ P2
+ MODERATE
+ HIGH
+
+
The information system provides an audit reduction and report generation capability that:
+
+ AU-7a.
+
Supports on-demand audit review, analysis, and reporting requirements and after-the-fact investigations of security incidents; and
+
+
+ AU-7b.
+
Does not alter the original content or time ordering of audit records.
+
+
+
+
Audit reduction is a process that manipulates collected audit information and organizes such information in a summary format that is more meaningful to analysts. Audit reduction and report generation capabilities do not always emanate from the same information system or from the same organizational entities conducting auditing activities. Audit reduction capability can include, for example, modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the information system can generate customizable reports. Time ordering of audit records can be a significant issue if the granularity of the timestamp in the record is insufficient.
The information system provides the capability to process audit records for events of interest based on organization-defined audit fields within audit records.
+
+
+
Events of interest can be identified by the content of specific audit record fields including, for example, identities of individuals, event types, event locations, event times, event dates, system resources involved, IP addresses involved, or information objects accessed. Organizations may define audit event criteria to any degree of granularity required, for example, locations selectable by general networking location (e.g., by network or subnetwork) or selectable by specific information system component.
+ AU-2
+ AU-12
+
+
+ Determine if:
+
+ AU-7(1)[1]
+ the organization defines audit fields within audit records in order to process audit records for events of interest; and
+
+
+ AU-7(1)[2]
+ the information system provides the capability to process audit records for events of interest based on the organization-defined audit fields within audit records.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing audit reduction and report generation
+ information system design documentation
+ information system configuration settings and associated documentation
+ audit reduction, review, analysis, and reporting tools
+ audit record criteria (fields) establishing events of interest
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit reduction and report generation responsibilities
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Audit reduction and report generation capability
+
+
+
+ AUTOMATIC SORT AND SEARCH
+ AU-7 (2)
+
+
The information system provides the capability to sort and search audit records for events of interest based on the content of organization-defined audit fields within audit records.
+
+
+
Sorting and searching of audit records may be based upon the contents of audit record fields, for example: (i) date/time of events; (ii) user identifiers; (iii) Internet Protocol (IP) addresses involved in the event; (iv) type of event; or (v) event success/failure.
+
+
+ Determine if:
+
+ AU-7(2)[1]
+ the organization defines audit fields within audit records in order to sort and search audit records for events of interest based on content of such audit fields; and
+
+
+ AU-7(2)[2]
+ the information system provides the capability to sort and search audit records for events of interest based on the content of organization-defined audit fields within audit records.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing audit reduction and report generation
+ information system design documentation
+ information system configuration settings and associated documentation
+ audit reduction, review, analysis, and reporting tools
+ audit record criteria (fields) establishing events of interest
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit reduction and report generation responsibilities
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Audit reduction and report generation capability
+
+
+
+ Determine if the information system provides an audit reduction and report generation capability that supports:
+
+ AU-7(a)
+
+ AU-7(a)[1]
+ on-demand audit review;
+
+
+ AU-7(a)[2]
+ analysis;
+
+
+ AU-7(a)[3]
+ reporting requirements;
+
+
+ AU-7(a)[4]
+ after-the-fact investigations of security incidents; and
+
+
+
+ AU-7(b)
+ does not alter the original content or time ordering of audit records.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing audit reduction and report generation
+ information system design documentation
+ information system configuration settings and associated documentation
+ audit reduction, review, analysis, and reporting tools
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit reduction and report generation responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Audit reduction and report generation capability
+
+
+
+ TIME STAMPS
+ AU-8
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system:
+
+ AU-8a.
+
Uses internal system clocks to generate time stamps for audit records; and
+
+
+ AU-8b.
+
Records time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT) and meets organization-defined granularity of time measurement.
+
+
+
+
Time stamps generated by the information system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between information system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or within tens of milliseconds. Organizations may define different time granularities for different system components. Time service can also be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities.
+ AU-3
+ AU-12
+
+
+ SYNCHRONIZATION WITH AUTHORITATIVE TIME SOURCE
+ AU-8 (1)
+ MODERATE
+ HIGH
+
+
The information system:
+
+ AU-8 (1)(a)
+
Compares the internal information system clocks organization-defined frequency with organization-defined authoritative time source; and
+
+
+ AU-8 (1)(b)
+
Synchronizes the internal system clocks to the authoritative time source when the time difference is greater than organization-defined time period.
+
+
+
+
This control enhancement provides uniformity of time stamps for information systems with multiple system clocks and systems connected over a network.
+
+
+ Determine if:
+
+ AU-8(1)(a)
+
+ AU-8(1)(a)[1]
+ the organization defines the authoritative time source to which internal information system clocks are to be compared;
+
+
+ AU-8(1)(a)[2]
+ the organization defines the frequency to compare the internal information system clocks with the organization-defined authoritative time source; and
+
+
+ AU-8(1)(a)[3]
+ the information system compares the internal information system clocks with the organization-defined authoritative time source with organization-defined frequency; and
+
+
+
+ AU-8(1)(b)
+
+ AU-8(1)(b)[1]
+ the organization defines the time period that, if exceeded by the time difference between the internal system clocks and the authoritative time source, will result in the internal system clocks being synchronized to the authoritative time source; and
+
+
+ AU-8(1)(b)[2]
+ the information system synchronizes the internal information system clocks to the authoritative time source when the time difference is greater than the organization-defined time period.
+
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing time stamp generation
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing internal information system clock synchronization
+
+
+
+ SECONDARY AUTHORITATIVE TIME SOURCE
+ AU-8 (2)
+
+
The information system identifies a secondary authoritative time source that is located in a different geographic region than the primary authoritative time source.
+
+
+ Determine if the information system identifies a secondary authoritative time source that is located in a different geographic region than the primary authoritative time source.
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing time stamp generation
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing internal information system clock authoritative time sources
+
+
+
+ Determine if:
+
+ AU-8(a)
+ the information system uses internal system clocks to generate time stamps for audit records;
+
+
+ AU-8(b)
+
+ AU-8(b)[1]
+ the information system records time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);
+
+
+ AU-8(b)[2]
+ the organization defines the granularity of time measurement to be met when recording time stamps for audit records; and
+
+
+ AU-8(b)[3]
+ the organization records time stamps for audit records that meet the organization-defined granularity of time measurement.
+
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing time stamp generation
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing time stamp generation
+
+
+
+ PROTECTION OF AUDIT INFORMATION
+ AU-9
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system protects audit information and audit tools from unauthorized access, modification, and deletion.
+
+
+
Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. This control focuses on technical protection of audit information. Physical protection of audit information is addressed by media protection controls and physical and environmental protection controls.
The information system writes audit trails to hardware-enforced, write-once media.
+
+
+
This control enhancement applies to the initial generation of audit trails (i.e., the collection of audit records that represents the audit information to be used for detection, analysis, and reporting purposes) and to the backup of those audit trails. The enhancement does not apply to the initial generation of audit records prior to being written to an audit trail. Write-once, read-many (WORM) media includes, for example, Compact Disk-Recordable (CD-R) and Digital Video Disk-Recordable (DVD-R). In contrast, the use of switchable write-protection media such as on tape cartridges or Universal Serial Bus (USB) drives results in write-protected, but not write-once, media.
+ AU-4
+ AU-5
+
+
+ Determine if the information system writes audit trails to hardware-enforced, write-once media.
+
+
+ EXAMINE
+ Audit and accountability policy
+ access control policy and procedures
+ procedures addressing protection of audit information
+ information system design documentation
+ information system hardware settings
+ information system configuration settings and associated documentation
+ information system storage media
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit and accountability responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Information system media storing audit trails
+
+
+
+ AUDIT BACKUP ON SEPARATE PHYSICAL SYSTEMS / COMPONENTS
+ AU-9 (2)
+ HIGH
+
+
The information system backs up audit records organization-defined frequency onto a physically different system or system component than the system or component being audited.
+
+
+
This control enhancement helps to ensure that a compromise of the information system being audited does not also result in a compromise of the audit records.
+ AU-4
+ AU-5
+ AU-11
+
+
+ Determine if:
+
+ AU-9(2)[1]
+ the organization defines the frequency to back up audit records onto a physically different system or system component than the system or component being audited; and
+
+
+ AU-9(2)[2]
+ the information system backs up audit records with the organization-defined frequency, onto a physically different system or system component than the system or component being audited.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing protection of audit information
+ information system design documentation
+ information system configuration settings and associated documentation, system or media storing backups of information system audit records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit and accountability responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing the backing up of audit records
+
+
+
+ CRYPTOGRAPHIC PROTECTION
+ AU-9 (3)
+ HIGH
+
+
The information system implements cryptographic mechanisms to protect the integrity of audit information and audit tools.
+
+
+
Cryptographic mechanisms used for protecting the integrity of audit information include, for example, signed hash functions using asymmetric cryptography enabling distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash.
+ AU-10
+ SC-12
+ SC-13
+
+
+ Determine if the information system:
+
+ AU-9(3)[1]
+ uses cryptographic mechanisms to protect the integrity of audit information; and
+
+
+ AU-9(3)[2]
+ uses cryptographic mechanisms to protect the integrity of audit tools.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ access control policy and procedures
+ procedures addressing protection of audit information
+ information system design documentation
+ information system hardware settings
+ information system configuration settings and associated documentation, information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit and accountability responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Cryptographic mechanisms protecting integrity of audit information and tools
+
+
+
+ ACCESS BY SUBSET OF PRIVILEGED USERS
+ AU-9 (4)
+ MODERATE
+ HIGH
+
+
The organization authorizes access to management of audit functionality to only organization-defined subset of privileged users.
+
+
+
Individuals with privileged access to an information system and who are also the subject of an audit by that system, may affect the reliability of audit information by inhibiting audit activities or modifying audit records. This control enhancement requires that privileged access be further defined between audit-related privileges and other privileges, thus limiting the users with audit-related privileges.
+ AC-5
+
+
+ Determine if the organization:
+
+ AU-9(4)[1]
+ defines a subset of privileged users to be authorized access to management of audit functionality; and
+
+
+ AU-9(4)[2]
+ authorizes access to management of audit functionality to only the organization-defined subset of privileged users.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ access control policy and procedures
+ procedures addressing protection of audit information
+ information system design documentation
+ information system configuration settings and associated documentation, system-generated list of privileged users with access to management of audit functionality
+ access authorizations
+ access control list
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit and accountability responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms managing access to audit functionality
+
+
+
+ DUAL AUTHORIZATION
+ AU-9 (5)
+
+
The organization enforces dual authorization for [Selection (one or more): movement; deletion] of organization-defined audit information.
+
+
+
Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Dual authorization may also be known as two-person control.
+ AC-3
+ MP-2
+
+
+ Determine if the organization:
+
+ AU-9(5)[1]
+ defines audit information for which dual authorization is to be enforced;
+
+
+ AU-9(5)[2]
+ defines one or more of the following types of operations on audit information for which dual authorization is to be enforced:
+
+ AU-9(5)[2][a]
+ movement; and/or
+
+
+ AU-9(5)[2][b]
+ deletion; and
+
+
+
+ AU-9(5)[3]
+ enforces dual authorization for the movement and/or deletion of organization-defined audit information.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ access control policy and procedures
+ procedures addressing protection of audit information
+ information system design documentation
+ information system configuration settings and associated documentation, access authorizations
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit and accountability responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms implementing enforcement of dual authorization
+
+
+
+ READ ONLY ACCESS
+ AU-9 (6)
+
+
The organization authorizes read-only access to audit information to organization-defined subset of privileged users.
+
+
+
Restricting privileged user authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users (e.g., deleting audit records to cover up malicious activity).
+
+
+ Determine if the organization:
+
+ AU-9(6)[1]
+ defines the subset of privileged users to be authorized read-only access to audit information; and
+
+
+ AU-9(6)[2]
+ authorizes read-only access to audit information to the organization-defined subset of privileged users.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ access control policy and procedures
+ procedures addressing protection of audit information
+ information system design documentation
+ information system configuration settings and associated documentation, system-generated list of privileged users with read-only access to audit information
+ access authorizations
+ access control list
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit and accountability responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms managing access to audit information
+
+
+
+ Determine if:
+
+ AU-9[1]
+ the information system protects audit information from unauthorized:
+
+ AU-9[1][a]
+ access;
+
+
+ AU-9[1][b]
+ modification;
+
+
+ AU-9[1][c]
+ deletion;
+
+
+
+ AU-9[2]
+ the information system protects audit tools from unauthorized:
+
+ AU-9[2][a]
+ access;
+
+
+ AU-9[2][b]
+ modification; and
+
+
+ AU-9[2][c]
+ deletion.
+
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ access control policy and procedures
+ procedures addressing protection of audit information
+ information system design documentation
+ information system configuration settings and associated documentation, information system audit records
+ audit tools
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit and accountability responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing audit information protection
+
+
+
+ NON-REPUDIATION
+ AU-10
+ P2
+ HIGH
+
+
The information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed organization-defined actions to be covered by non-repudiation.
+
+
+
Types of individual actions covered by non-repudiation include, for example, creating information, sending and receiving messages, approving information (e.g., indicating concurrence or signing a contract). Non-repudiation protects individuals against later claims by: (i) authors of not having authored particular documents; (ii) senders of not having transmitted messages; (iii) receivers of not having received messages; or (iv) signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from a particular individual, or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request) or received specific information. Organizations obtain non-repudiation services by employing various techniques or mechanisms (e.g., digital signatures, digital message receipts).
Binds the identity of the information producer with the information to organization-defined strength of binding; and
+
+
+ AU-10 (1)(b)
+
Provides the means for authorized individuals to determine the identity of the producer of the information.
+
+
+
+
This control enhancement supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of the binding between the information producer and the information based on the security category of the information and relevant risk factors.
+ AC-4
+ AC-16
+
+
+ Determine if:
+
+ AU-10(1)(a)
+
+ AU-10(1)(a)[1]
+ the organization defines the strength of binding to be employed between the identity of the information producer and the information;
+
+
+ AU-10(1)(a)[2]
+ the information system binds the identity of the information producer with the information to the organization-defined strength of binding; and
+
+
+
+ AU-10(1)(b)
+ the information system provides the means for authorized individuals to determine the identity of the producer of the information.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing non-repudiation
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing non-repudiation capability
+
+
+
+ VALIDATE BINDING OF INFORMATION PRODUCER IDENTITY
+ AU-10 (2)
+
+
The information system:
+
+ AU-10 (2)(a)
+
Validates the binding of the information producer identity to the information at organization-defined frequency; and
+
+
+ AU-10 (2)(b)
+
Performs organization-defined actions in the event of a validation error.
+
+
+
+
This control enhancement prevents the modification of information between production and review. The validation of bindings can be achieved, for example, by the use of cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically.
+ AC-3
+ AC-4
+ AC-16
+
+
+ Determine if:
+
+ AU-10(2)(a)
+
+ AU-10(2)(a)[1]
+ the organization defines the frequency to validate the binding of the information producer identity to the information;
+
+
+ AU-10(2)(a)[2]
+ the information system validates the binding of the information producer identity to the information at the organization-defined frequency; and
+
+
+
+ AU-10(2)(b)
+
+ AU-10(2)(b)[1]
+ the organization defines actions to be performed in the event of a validation error; and
+
+
+ AU-10(2)(b)[2]
+ the information system performs organization-defined actions in the event of a validation error.
+
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing non-repudiation
+ information system design documentation
+ information system configuration settings and associated documentation
+ validation records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing non-repudiation capability
+
+
+
+ CHAIN OF CUSTODY
+ AU-10 (3)
+
+
The information system maintains reviewer/releaser identity and credentials within the established chain of custody for all information reviewed or released.
+
+
+
Chain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each person who handled the evidence, the date and time it was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release/transfer function, the information system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, this control enhancement provides organizational officials the means to identify who reviewed and released the information. In the case of automated reviews, this control enhancement ensures that only approved review functions are employed.
+ AC-4
+ AC-16
+
+
+ Determine if the information system:
+
+ AU-10(3)[1]
+ maintains reviewer/releaser identity within the established chain of custody for all information reviewed;
+
+
+ AU-10(3)[2]
+ maintains reviewer/releaser identity within the established chain of custody for all information released;
+
+
+ AU-10(3)[3]
+ maintains reviewer/releaser credentials within the established chain of custody for all information reviewed; and
+
+
+ AU-10(3)[4]
+ maintains reviewer/releaser credentials within the established chain of custody for all information released.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing non-repudiation
+ information system design documentation
+ information system configuration settings and associated documentation
+ records of information reviews and releases
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing non-repudiation capability
+
+
+
+ VALIDATE BINDING OF INFORMATION REVIEWER IDENTITY
+ AU-10 (4)
+
+
The information system:
+
+ AU-10 (4)(a)
+
Validates the binding of the information reviewer identity to the information at the transfer or release points prior to release/transfer between organization-defined security domains; and
+
+
+ AU-10 (4)(b)
+
Performs organization-defined actions in the event of a validation error.
+
+
+
+
This control enhancement prevents the modification of information between review and transfer/release. The validation of bindings can be achieved, for example, by the use of cryptographic checksums. Organizations determine validations are in response to user requests or generated automatically.
+ AC-4
+ AC-16
+
+
+ Determine if:
+
+ AU-10(4)(a)
+
+ AU-10(4)(a)[1]
+ the organization defines security domains for which the binding of the information reviewer identity to the information is to be validated at the transfer or release points prior to release/transfer between such domains;
+
+
+ AU-10(4)(a)[2]
+ the information system validates the binding of the information reviewer identity to the information at the transfer or release points prior to release/transfer between organization-defined security domains;
+
+
+
+ AU-10(4)(b)
+
+ AU-10(4)(b)[1]
+ the organization defines actions to be performed in the event of a validation error; and
+
+
+ AU-10(4)(b)[2]
+ the information system performs organization-defined actions in the event of a validation error.
+
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing non-repudiation
+ information system design documentation
+ information system configuration settings and associated documentation
+ validation records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing non-repudiation capability
+
+
+
+ DIGITAL SIGNATURES
+ AU-10 (5)
+ SI-7
+
+
+ Incorporated into SI-7.
+
+
+
+ Determine if:
+
+ AU-10[1]
+ the organization defines actions to be covered by non-repudiation; and
+
+
+ AU-10[2]
+ the information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed organization-defined actions to be covered by non-repudiation.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing non-repudiation
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing non-repudiation capability
+
+
+
+ AUDIT RECORD RETENTION
+ AU-11
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+
The organization retains audit records for organization-defined time period consistent with records retention policy to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements.
+
+
+
Organizations retain audit records until it is determined that they are no longer needed for administrative, legal, audit, or other operational purposes. This includes, for example, retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on record retention.
The organization employs organization-defined measures to ensure that long-term audit records generated by the information system can be retrieved.
+
+
+
Measures employed by organizations to help facilitate the retrieval of audit records include, for example, converting records to newer formats, retaining equipment capable of reading the records, and retaining necessary documentation to help organizational personnel understand how to interpret the records.
+
+
+ Determine if the organization:
+
+ AU-11(1)[1]
+ defines measures to be employed to ensure that long-term audit records generated by the information system can be retrieved; and
+
+
+ AU-11(1)[2]
+ employs organization-defined measures to ensure that long-term audit records generated by the information system can be retrieved.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ audit record retention policy and procedures
+ information system design documentation
+ information system configuration settings and associated documentation
+ audit record archives
+ audit logs
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit record retention responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms implementing audit record retention capability
+
+
+
+ Determine if the organization:
+
+ AU-11[1]
+ defines a time period to retain audit records that is consistent with records retention policy;
+
+
+ AU-11[2]
+ retains audit records for the organization-defined time period consistent with records retention policy to:
+
+ AU-11[2][a]
+ provide support for after-the-fact investigations of security incidents; and
+
+
+ AU-11[2][b]
+ meet regulatory and organizational information retention requirements.
+
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ audit record retention policy and procedures
+ security plan
+ organization-defined retention period for audit records
+ audit record archives
+ audit logs
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit record retention responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+
+ AUDIT GENERATION
+ AU-12
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system:
+
+ AU-12a.
+
Provides audit record generation capability for the auditable events defined in AU-2 a. at organization-defined information system components;
+
+
+ AU-12b.
+
Allows organization-defined personnel or roles to select which auditable events are to be audited by specific components of the information system; and
+
+
+ AU-12c.
+
Generates audit records for the events defined in AU-2 d. with the content defined in AU-3.
+
+
+
+
Audit records can be generated from many different information system components. The list of audited events is the set of events for which audits are to be generated. These events are typically a subset of all events for which the information system is capable of generating audit records.
The information system compiles audit records from organization-defined information system components into a system-wide (logical or physical) audit trail that is time-correlated to within organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail.
+
+
+
Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances.
+ AU-8
+ AU-12
+
+
+ Determine if:
+
+ AU-12(1)[1]
+ the organization defines the information system components from which audit records are to be compiled into a system-wide (logical or physical) audit trail;
+
+
+ AU-12(1)[2]
+ the organization defines the level of tolerance for the relationship between time stamps of individual records in the audit trail; and
+
+
+ AU-12(1)[3]
+ the information system compiles audit records from organization-defined information system components into a system-wide (logical or physical) audit trail that is time-correlated to within the organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing audit record generation
+ information system design documentation
+ information system configuration settings and associated documentation
+ system-wide audit trail (logical or physical)
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit record generation responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing audit record generation capability
+
+
+
+ STANDARDIZED FORMATS
+ AU-12 (2)
+
+
The information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.
+
+
+
Audit information that is normalized to common standards promotes interoperability and exchange of such information between dissimilar devices and information systems. This facilitates production of event information that can be more readily analyzed and correlated. Standard formats for audit records include, for example, system log records and audit records compliant with Common Event Expressions (CEE). If logging mechanisms within information systems do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails.
+
+
+ Determine if the information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing audit record generation
+ information system design documentation
+ information system configuration settings and associated documentation
+ system-wide audit trail (logical or physical)
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit record generation responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing audit record generation capability
+
+
+
+ CHANGES BY AUTHORIZED INDIVIDUALS
+ AU-12 (3)
+ HIGH
+
+
The information system provides the capability for organization-defined individuals or roles to change the auditing to be performed on organization-defined information system components based on organization-defined selectable event criteria within organization-defined time thresholds.
+
+
+
This control enhancement enables organizations to extend or limit auditing as necessary to meet organizational requirements. Auditing that is limited to conserve information system resources may be extended to address certain threat situations. In addition, auditing may be limited to a specific set of events to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which audit actions are changed, for example, near real-time, within minutes, or within hours.
+ AU-7
+
+
+ Determine if:
+
+ AU-12(3)[1]
+ the organization defines information system components on which auditing is to be performed;
+
+
+ AU-12(3)[2]
+ the organization defines individuals or roles authorized to change the auditing to be performed on organization-defined information system components;
+
+
+ AU-12(3)[3]
+ the organization defines time thresholds within which organization-defined individuals or roles can change the auditing to be performed on organization-defined information system components;
+
+
+ AU-12(3)[4]
+ the organization defines selectable event criteria that support the capability for organization-defined individuals or roles to change the auditing to be performed on organization-defined information system components; and
+
+
+ AU-12(3)[5]
+ the information system provides the capability for organization-defined individuals or roles to change the auditing to be performed on organization-defined information system components based on organization-defined selectable event criteria within organization-defined time thresholds.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing audit record generation
+ information system design documentation
+ information system configuration settings and associated documentation
+ system-generated list of individuals or roles authorized to change auditing to be performed
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit record generation responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing audit record generation capability
+
+
+
+ Determine if:
+
+ AU-12(a)
+
+ AU-12(a)[1]
+ the organization defines the information system components which are to provide audit record generation capability for the auditable events defined in AU-2a;
+
+
+ AU-12(a)[2]
+ the information system provides audit record generation capability, for the auditable events defined in AU-2a, at organization-defined information system components;
+
+
+
+ AU-12(b)
+
+ AU-12(b)[1]
+ the organization defines the personnel or roles allowed to select which auditable events are to be audited by specific components of the information system;
+
+
+ AU-12(b)[2]
+ the information system allows the organization-defined personnel or roles to select which auditable events are to be audited by specific components of the system; and
+
+
+
+ AU-12(c)
+ the information system generates audit records for the events defined in AU-2d with the content in defined in AU-3.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing audit record generation
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of auditable events
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with audit record generation responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing audit record generation capability
+
+
+
+ MONITORING FOR INFORMATION DISCLOSURE
+ AU-13
+ P0
+
+
The organization monitors organization-defined open source information and/or information sites
+ organization-defined frequency for evidence of unauthorized disclosure of organizational information.
+
+
+
Open source information includes, for example, social networking sites.
+ PE-3
+ SC-7
+
+
+ USE OF AUTOMATED TOOLS
+ AU-13 (1)
+
+
The organization employs automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner.
+
+
+
Automated mechanisms can include, for example, automated scripts to monitor new posts on selected websites, and commercial services providing notifications and alerts to organizations.
+
+
+ Determine if the organization employs automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner.
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing information disclosure monitoring
+ information system design documentation
+ information system configuration settings and associated documentation
+ automated monitoring tools
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for monitoring information disclosures
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing monitoring for information disclosure
+
+
+
+ REVIEW OF MONITORED SITES
+ AU-13 (2)
+
+
The organization reviews the open source information sites being monitored organization-defined frequency.
+
+
+ Determine if the organization:
+
+ AU-13(2)[1]
+ defines a frequency to review the open source information sites being monitored; and
+
+
+ AU-13(2)[2]
+ reviews the open source information sites being monitored with the organization-defined frequency.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing information disclosure monitoring
+ information system design documentation
+ information system configuration settings and associated documentation
+ reviews for open source information sites being monitored
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for monitoring open source information sites
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing monitoring for information disclosure
+
+
+
+ Determine if the organization:
+
+ AU-13[1]
+ defines open source information and/or information sites to be monitored for evidence of unauthorized disclosure of organizational information;
+
+
+ AU-13[2]
+ defines a frequency to monitor organization-defined open source information and/or information sites for evidence of unauthorized disclosure of organizational information; and
+
+
+ AU-13[3]
+ monitors organization-defined open source information and/or information sites for evidence of unauthorized disclosure of organizational information with the organization-defined frequency.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing information disclosure monitoring
+ information system design documentation
+ information system configuration settings and associated documentation
+ monitoring records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for monitoring open source information and/or information sites
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing monitoring for information disclosure
+
+
+
+ SESSION AUDIT
+ AU-14
+ P0
+
+
The information system provides the capability for authorized users to select a user session to capture/record or view/hear.
+
+
+
Session audits include, for example, monitoring keystrokes, tracking websites visited, and recording information and/or file transfers. Session auditing activities are developed, integrated, and used in consultation with legal counsel in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, or standards.
The information system initiates session audits at system start-up.
+
+
+ Determine if the information system initiates session audits at system start-up.
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing user session auditing
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing user session auditing capability
+
+
+
+ CAPTURE/RECORD AND LOG CONTENT
+ AU-14 (2)
+
+
The information system provides the capability for authorized users to capture/record and log content related to a user session.
+
+
+ Determine if the information system provides the capability for authorized users to:
+
+ AU-14(2)[1]
+ capture/record content related to a user session; and
+
+
+ AU-14(2)[2]
+ log content related to a user session.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing user session auditing
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing user session auditing capability
+
+
+
+ REMOTE VIEWING / LISTENING
+ AU-14 (3)
+
+
The information system provides the capability for authorized users to remotely view/hear all content related to an established user session in real time.
+
+
+ Determine if the information system provides the capability for authorized users to remotely view/hear all content related to an established user session in real time.
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing user session auditing
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing user session auditing capability
+
+
+
+ Determine if the information system provides the capability for authorized users to select a user session to:
+
+ AU-14[1]
+ capture/record; and/or
+
+
+ AU-14[2]
+ view/hear.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing user session auditing
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing user session auditing capability
+
+
+
+ ALTERNATE AUDIT CAPABILITY
+ AU-15
+ P0
+
+
The organization provides an alternate audit capability in the event of a failure in primary audit capability that provides organization-defined alternate audit functionality.
+
+
+
Since an alternate audit capability may be a short-term protection employed until the failure in the primary auditing capability is corrected, organizations may determine that the alternate audit capability need only provide a subset of the primary audit functionality that is impacted by the failure.
+ AU-5
+
+
+ Determine if the organization:
+
+ AU-15[1]
+ defines alternative audit functionality to be provided in the event of a failure in primary audit capability; and
+
+
+ AU-15[2]
+ provides an alternative audit capability in the event of a failure in primary audit capability that provides organization-defined alternative audit functionality.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing alternate audit capability
+ information system design documentation
+ information system configuration settings and associated documentation
+ test records for alternative audit capability
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel responsible for providing alternate audit capability
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing alternative audit capability
+
+
+
+ CROSS-ORGANIZATIONAL AUDITING
+ AU-16
+ P0
+
+
The organization employs organization-defined methods for coordinating organization-defined audit information among external organizations when audit information is transmitted across organizational boundaries.
+
+
+
When organizations use information systems and/or services of external organizations, the auditing capability necessitates a coordinated approach across organizations. For example, maintaining the identity of individuals that requested particular services across organizational boundaries may often be very difficult, and doing so may prove to have significant performance ramifications. Therefore, it is often the case that cross-organizational auditing (e.g., the type of auditing capability provided by service-oriented architectures) simply captures the identity of individuals issuing requests at the initial information system, and subsequent systems record that the requests emanated from authorized individuals.
The organization requires that the identity of individuals be preserved in cross-organizational audit trails.
+
+
+
This control enhancement applies when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual.
+
+
+ Determine if the organization requires that the identity of individuals be preserved in cross- organizational audit trails.
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing cross-organizational audit trails
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with cross-organizational audit responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing cross-organizational auditing (if applicable)
+
+
+
+ SHARING OF AUDIT INFORMATION
+ AU-16 (2)
+
+
The organization provides cross-organizational audit information to organization-defined organizations based on organization-defined cross-organizational sharing agreements.
+
+
+
Because of the distributed nature of the audit information, cross-organization sharing of audit information may be essential for effective analysis of the auditing being performed. For example, the audit records of one organization may not provide sufficient information to determine the appropriate or inappropriate use of organizational information resources by individuals in other organizations. In some instances, only the home organizations of individuals have the appropriate knowledge to make such determinations, thus requiring the sharing of audit information among organizations.
+
+
+ Determine if the organization:
+
+ AU-16(2)[1]
+ defines organizations with whom cross-organizational audit information is to be shared;
+
+
+ AU-16(2)[2]
+ defines cross-organizational sharing agreements to be used when providing cross-organizational audit information to organization-defined organizations; and
+
+
+ AU-16(2)[3]
+ provides cross-organizational audit information to organization-defined organizations based on organization-defined cross-organizational sharing agreements.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing cross-organizational sharing of audit information
+ cross-organizational sharing agreements
+ data sharing agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for sharing cross-organizational audit information
+ organizational personnel with information security responsibilities
+
+
+
+ Determine if the organization:
+
+ AU-16[1]
+ defines audit information to be coordinated among external organizations when audit information is transmitted across organizational boundaries;
+
+
+ AU-16[2]
+ defines methods for coordinating organization-defined audit information among external organizations when audit information is transmitted across organizational boundaries; and
+
+
+ AU-16[3]
+ employs organization-defined methods for coordinating organization-defined audit information among external organizations when audit information is transmitted across organizational boundaries.
+
+
+
+ EXAMINE
+ Audit and accountability policy
+ procedures addressing methods for coordinating audit information among external organizations
+ information system design documentation
+ information system configuration settings and associated documentation
+ methods for coordinating audit information among external organizations
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for coordinating audit information among external organizations
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing cross-organizational auditing (if applicable)
+
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+
+ SECURITY ASSESSMENT AND AUTHORIZATION POLICY AND PROCEDURES
+ CA-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CA-1a.
+
Develops, documents, and disseminates to organization-defined personnel or roles:
+
+ CA-1a.1.
+
A security assessment and authorization policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ CA-1a.2.
+
Procedures to facilitate the implementation of the security assessment and authorization policy and associated security assessment and authorization controls; and
+
+
+
+ CA-1b.
+
Reviews and updates the current:
+
+ CA-1b.1.
+
Security assessment and authorization policy organization-defined frequency; and
+
+
+ CA-1b.2.
+
Security assessment and authorization procedures organization-defined frequency.
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+ Determine if the organization:
+
+ CA-1(a)(1)
+
+ CA-1(a)(1)[1]
+ develops and documents a security assessment and authorization policy that addresses:
+
+ CA-1(a)(1)[1][a]
+ purpose;
+
+
+ CA-1(a)(1)[1][b]
+ scope;
+
+
+ CA-1(a)(1)[1][c]
+ roles;
+
+
+ CA-1(a)(1)[1][d]
+ responsibilities;
+
+
+ CA-1(a)(1)[1][e]
+ management commitment;
+
+
+ CA-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ CA-1(a)(1)[1][g]
+ compliance;
+
+
+
+ CA-1(a)(1)[2]
+ defines personnel or roles to whom the security assessment and authorization policy is to be disseminated;
+
+
+ CA-1(a)(1)[3]
+ disseminates the security assessment and authorization policy to organization-defined personnel or roles;
+
+
+
+ CA-1(a)(2)
+
+ CA-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the security assessment and authorization policy and associated assessment and authorization controls;
+
+
+ CA-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ CA-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ CA-1(b)(1)
+
+ CA-1(b)(1)[1]
+ defines the frequency to review and update the current security assessment and authorization policy;
+
+
+ CA-1(b)(1)[2]
+ reviews and updates the current security assessment and authorization policy with the organization-defined frequency;
+
+
+
+ CA-1(b)(2)
+
+ CA-1(b)(2)[1]
+ defines the frequency to review and update the current security assessment and authorization procedures; and
+
+
+ CA-1(b)(2)[2]
+ reviews and updates the current security assessment and authorization procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Security assessment and authorization policy and procedures
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security assessment and authorization responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-53A
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ SECURITY ASSESSMENTS
+ CA-2
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CA-2a.
+
Develops a security assessment plan that describes the scope of the assessment including:
+
+ CA-2a.1.
+
Security controls and control enhancements under assessment;
+
+
+ CA-2a.2.
+
Assessment procedures to be used to determine security control effectiveness; and
+
+
+ CA-2a.3.
+
Assessment environment, assessment team, and assessment roles and responsibilities;
+
+
+
+ CA-2b.
+
Assesses the security controls in the information system and its environment of operation organization-defined frequency to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;
+
+
+ CA-2c.
+
Produces a security assessment report that documents the results of the assessment; and
+
+
+ CA-2d.
+
Provides the results of the security control assessment to organization-defined individuals or roles.
+
+
+
+
Organizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F (main catalog) and Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives.
+To satisfy annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control.
The organization employs assessors or assessment teams with organization-defined level of independence to conduct security control assessments.
+
+
+
Independent assessors or assessment teams are individuals or groups who conduct impartial assessments of organizational information systems. Impartiality implies that assessors are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the organizational information systems under assessment or to the determination of security control effectiveness. To achieve impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of information systems and/or the ultimate risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. This includes determining whether contracted security assessment services have sufficient independence, for example, when information system owners are not directly involved in contracting processes or cannot unduly influence the impartiality of assessors conducting assessments. In special situations, for example, when organizations that own the information systems are small or organizational structures require that assessments are conducted by individuals that are in the developmental, operational, or management chain of system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Organizations recognize that assessments performed for purposes other than direct support to authorization decisions are, when performed by assessors with sufficient independence, more likely to be useable for such decisions, thereby reducing the need to repeat assessments.
+
+
+ Determine if the organization:
+
+ CA-2(1)[1]
+ defines the level of independence to be employed to conduct security control assessments; and
+
+
+ CA-2(1)[2]
+ employs assessors or assessment teams with the organization-defined level of independence to conduct security control assessments.
+
+
+
+ EXAMINE
+ Security assessment and authorization policy
+ procedures addressing security assessments
+ security authorization package (including security plan, security assessment plan, security assessment report, plan of action and milestones, authorization statement)
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security assessment responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ SPECIALIZED ASSESSMENTS
+ CA-2 (2)
+ HIGH
+
+
The organization includes as part of security control assessments, organization-defined frequency, [Selection: announced; unannounced], [Selection (one or more): in-depth monitoring; vulnerability scanning; malicious user testing; insider threat assessment; performance/load testing; organization-defined other forms of security assessment].
+
+
+
Organizations can employ information system monitoring, insider threat assessments, malicious user testing, and other forms of testing (e.g., verification and validation) to improve readiness by exercising organizational capabilities and indicating current performance levels as a means of focusing actions to improve security. Organizations conduct assessment activities in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can incorporate vulnerabilities uncovered during assessments into vulnerability remediation processes.
+ PE-3
+ SI-2
+
+
+ Determine if the organization:
+
+ CA-2(2)[1]
+ selects one or more of the following forms of specialized security assessment to be included as part of security control assessments:
+
+ CA-2(2)[1][a]
+ in-depth monitoring;
+
+
+ CA-2(2)[1][b]
+ vulnerability scanning;
+
+
+ CA-2(2)[1][c]
+ malicious user testing;
+
+
+ CA-2(2)[1][d]
+ insider threat assessment;
+
+
+ CA-2(2)[1][e]
+ performance/load testing; and/or
+
+
+ CA-2(2)[1][f]
+ other forms of organization-defined specialized security assessment;
+
+
+
+ CA-2(2)[2]
+ defines the frequency for conducting the selected form(s) of specialized security assessment;
+
+
+ CA-2(2)[3]
+ defines whether the specialized security assessment will be announced or unannounced; and
+
+
+ CA-2(2)[4]
+ conducts announced or unannounced organization-defined forms of specialized security assessments with the organization-defined frequency as part of security control assessments.
+
+
+
+ EXAMINE
+ Security assessment and authorization policy
+ procedures addressing security assessments
+ security plan
+ security assessment plan
+ security assessment report
+ security assessment evidence
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security assessment responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting security control assessment
+
+
+
+ EXTERNAL ORGANIZATIONS
+ CA-2 (3)
+
+
The organization accepts the results of an assessment of organization-defined information system performed by organization-defined external organization when the assessment meets organization-defined requirements.
+
+
+
Organizations may often rely on assessments of specific information systems by other (external) organizations. Utilizing such existing assessments (i.e., reusing existing assessment evidence) can significantly decrease the time and resources required for organizational assessments by limiting the amount of independent assessment activities that organizations need to perform. The factors that organizations may consider in determining whether to accept assessment results from external organizations can vary. Determinations for accepting assessment results can be based on, for example, past assessment experiences one organization has had with another organization, the reputation that organizations have with regard to assessments, the level of detail of supporting assessment documentation provided, or mandates imposed upon organizations by federal legislation, policies, or directives.
+
+
+ Determine if the organization:
+
+ CA-2(3)[1]
+ defines an information system for which the results of a security assessment performed by an external organization are to be accepted;
+
+
+ CA-2(3)[2]
+ defines an external organization from which to accept a security assessment performed on an organization-defined information system;
+
+
+ CA-2(3)[3]
+ defines the requirements to be met by a security assessment performed by organization-defined external organization on organization-defined information system; and
+
+
+ CA-2(3)[4]
+ accepts the results of an assessment of an organization-defined information system performed by an organization-defined external organization when the assessment meets organization-defined requirements.
+
+
+
+ EXAMINE
+ Security assessment and authorization policy
+ procedures addressing security assessments
+ security plan
+ security assessment requirements
+ security assessment plan
+ security assessment report
+ security assessment evidence
+ plan of action and milestones
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security assessment responsibilities
+ organizational personnel with information security responsibilities
+ personnel performing security assessments for the specified external organization
+
+
+
+ Determine if the organization:
+
+ CA-2(a)
+ develops a security assessment plan that describes the scope of the assessment including:
+
+ CA-2(a)(1)
+ security controls and control enhancements under assessment;
+
+
+ CA-2(a)(2)
+ assessment procedures to be used to determine security control effectiveness;
+
+
+ CA-2(a)(3)
+
+ CA-2(a)(3)[1]
+ assessment environment;
+
+
+ CA-2(a)(3)[2]
+ assessment team;
+
+
+ CA-2(a)(3)[3]
+ assessment roles and responsibilities;
+
+
+
+
+ CA-2(b)
+
+ CA-2(b)[1]
+ defines the frequency to assess the security controls in the information system and its environment of operation;
+
+
+ CA-2(b)[2]
+ assesses the security controls in the information system with the organization-defined frequency to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;
+
+
+
+ CA-2(c)
+ produces a security assessment report that documents the results of the assessment;
+
+
+ CA-2(d)
+
+ CA-2(d)[1]
+ defines individuals or roles to whom the results of the security control assessment are to be provided; and
+
+
+ CA-2(d)[2]
+ provides the results of the security control assessment to organization-defined individuals or roles.
+
+
+
+
+ EXAMINE
+ Security assessment and authorization policy
+ procedures addressing security assessment planning
+ procedures addressing security assessments
+ security assessment plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security assessment responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting security assessment, security assessment plan development, and/or security assessment reporting
+
+
+
+ Executive Order 13587
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-39
+
+
+ NIST Special Publication 800-53A
+
+
+ NIST Special Publication 800-115
+
+
+ NIST Special Publication 800-137
+
+
+
+
+ SYSTEM INTERCONNECTIONS
+ CA-3
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CA-3a.
+
Authorizes connections from the information system to other information systems through the use of Interconnection Security Agreements;
+
+
+ CA-3b.
+
Documents, for each interconnection, the interface characteristics, security requirements, and the nature of the information communicated; and
+
+
+ CA-3c.
+
Reviews and updates Interconnection Security Agreements organization-defined frequency.
+
+
+
+
This control applies to dedicated connections between information systems (i.e., system interconnections) and does not apply to transitory, user-controlled connections such as email and website browsing. Organizations carefully consider the risks that may be introduced when information systems are connected to other systems with different security requirements and security controls, both within organizations and external to organizations. Authorizing officials determine the risk associated with information system connections and the appropriate controls employed. If interconnecting systems have the same authorizing official, organizations do not need to develop Interconnection Security Agreements. Instead, organizations can describe the interface characteristics between those interconnecting systems in their respective security plans. If interconnecting systems have different authorizing officials within the same organization, organizations can either develop Interconnection Security Agreements or describe the interface characteristics between systems in the security plans for the respective systems. Organizations may also incorporate Interconnection Security Agreement information into formal contracts, especially for interconnections established between federal agencies and nonfederal (i.e., private sector) organizations. Risk considerations also include information systems sharing the same networks. For certain technologies (e.g., space, unmanned aerial vehicles, and medical devices), there may be specialized connections in place during preoperational testing. Such connections may require Interconnection Security Agreements and be subject to additional security controls.
The organization prohibits the direct connection of an organization-defined unclassified, national security system to an external network without the use of organization-defined boundary protection device.
+
+
+
Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).
+
+
+ Determine if the organization:
+
+ CA-3(1)[1]
+ defines an unclassified, national security system whose direct connection to an external network is to be prohibited without the use of approved boundary protection device;
+
+
+ CA-3(1)[2]
+ defines a boundary protection device to be used to establish the direct connection of an organization-defined unclassified, national security system to an external network; and
+
+
+ CA-3(1)[3]
+ prohibits the direct connection of an organization-defined unclassified, national security system to an external network without the use of an organization-defined boundary protection device.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing information system connections
+ system and communications protection policy
+ information system interconnection security agreements
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ security assessment report
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for managing direct connections to external networks
+ network administrators
+ organizational personnel with information security responsibilities
+ personnel managing directly connected external networks
+
+
+ TEST
+ Automated mechanisms supporting the management of external network connections
+
+
+
+ CLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS
+ CA-3 (2)
+
+
The organization prohibits the direct connection of a classified, national security system to an external network without the use of organization-defined boundary protection device.
+
+
+
Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between classified national security systems and external networks. In addition, approved boundary protection devices (typically managed interface/cross-domain systems) provide information flow enforcement from information systems to external networks.
+
+
+ Determine if the organization:
+
+ CA-3(2)[1]
+ defines a boundary protection device to be used to establish the direct connection of a classified, national security system to an external network; and
+
+
+ CA-3(2)[2]
+ prohibits the direct connection of a classified, national security system to an external network without the use of an organization-defined boundary protection device.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing information system connections
+ system and communications protection policy
+ information system interconnection security agreements
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ security assessment report
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for managing direct connections to external networks
+ network administrators
+ organizational personnel with information security responsibilities
+ personnel managing directly connected external networks
+
+
+ TEST
+ Automated mechanisms supporting the management of external network connections
+
+
+
+ UNCLASSIFIED NON-NATIONAL SECURITY SYSTEM CONNECTIONS
+ CA-3 (3)
+
+
The organization prohibits the direct connection of an organization-defined unclassified, non-national security system to an external network without the use of Assignment; organization-defined boundary protection device.
+
+
+
Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified non-national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).
+
+
+ Determine if the organization:
+
+ CA-3(3)[1]
+ defines an unclassified, non-national security system whose direct connection to an external network is to be prohibited without the use of approved boundary protection device;
+
+
+ CA-3(3)[2]
+ defines a boundary protection device to be used to establish the direct connection of an organization-defined unclassified, non-national security system to an external network; and
+
+
+ CA-3(3)[3]
+ prohibits the direct connection of an organization-defined unclassified, non-national security system to an external network without the use of an organization-defined boundary protection device.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing information system connections
+ system and communications protection policy
+ information system interconnection security agreements
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ security assessment report
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for managing direct connections to external networks
+ network administrators
+ organizational personnel with information security responsibilities
+ personnel managing directly connected external networks
+
+
+ TEST
+ Automated mechanisms supporting the management of external network connections
+
+
+
+ CONNECTIONS TO PUBLIC NETWORKS
+ CA-3 (4)
+
+
The organization prohibits the direct connection of an organization-defined information system to a public network.
+
+
+
A public network is any network accessible to the general public including, for example, the Internet and organizational extranets with public access.
+
+
+ Determine if the organization:
+
+ CA-3(4)[1]
+ defines an information system whose direct connection to a public network is to be prohibited; and
+
+
+ CA-3(4)[2]
+ prohibits the direct connection of an organization-defined information system to a public network.
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing information system connections
+ system and communications protection policy
+ information system interconnection security agreements
+ security plan
+ information system design documentation
+
+ information system configuration settings and associated documentation
+ security assessment report
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting the management of public network connections
+
+
+
+ RESTRICTIONS ON EXTERNAL SYSTEM CONNECTIONS
+ CA-3 (5)
+ MODERATE
+ HIGH
+
+
The organization employs [Selection: allow-all, deny-by-exception; deny-all, permit-by-exception] policy for allowing organization-defined information systems to connect to external information systems.
+
+
+
Organizations can constrain information system connectivity to external domains (e.g., websites) by employing one of two policies with regard to such connectivity: (i) allow-all, deny by exception, also known as blacklisting (the weaker of the two policies); or (ii) deny-all, allow by exception, also known as whitelisting (the stronger of the two policies). For either policy, organizations determine what exceptions, if any, are acceptable.
+ CM-7
+
+
+ Determine if the organization:
+
+ CA-3(5)[1]
+ defines information systems to be allowed to connect to external information systems;
+
+
+ CA-3(5)[2]
+ employs one of the following policies for allowing organization-defined information systems to connect to external information systems:
+
+ CA-3(5)[2][a]
+ allow-all policy;
+
+
+ CA-3(5)[2][b]
+ deny-by-exception policy;
+
+
+ CA-3(5)[2][c]
+ deny-all policy; or
+
+
+ CA-3(5)[2][d]
+ permit-by-exception policy.
+
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing information system connections
+ system and communications protection policy
+ information system interconnection agreements
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ security assessment report
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for managing connections to external information systems
+ network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing restrictions on external system connections
+
+
+
+ Determine if the organization:
+
+ CA-3(a)
+ authorizes connections from the information system to other information systems through the use of Interconnection Security Agreements;
+
+
+ CA-3(b)
+ documents, for each interconnection:
+
+ CA-3(b)[1]
+ the interface characteristics;
+
+
+ CA-3(b)[2]
+ the security requirements;
+
+
+ CA-3(b)[3]
+ the nature of the information communicated;
+
+
+
+ CA-3(c)
+
+ CA-3(c)[1]
+ defines the frequency to review and update Interconnection Security Agreements; and
+
+
+ CA-3(c)[2]
+ reviews and updates Interconnection Security Agreements with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing information system connections
+ system and communications protection policy
+ information system Interconnection Security Agreements
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for developing, implementing, or approving information system interconnection agreements
+ organizational personnel with information security responsibilities
+ personnel managing the system(s) to which the Interconnection Security Agreement applies
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-47
+
+
+
+
+ SECURITY CERTIFICATION
+ CA-4
+ CA-2
+
+
+ Incorporated into CA-2.
+
+
+
+ PLAN OF ACTION AND MILESTONES
+ CA-5
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CA-5a.
+
Develops a plan of action and milestones for the information system to document the organization�s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system; and
+
+
+ CA-5b.
+
Updates existing plan of action and milestones organization-defined frequency based on the findings from security controls assessments, security impact analyses, and continuous monitoring activities.
+
+
+
+
Plans of action and milestones are key documents in security authorization packages and are subject to federal reporting requirements established by OMB.
The organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is accurate, up to date, and readily available.
+
+
+ Determine if the organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is:
+
+ CA-5(1)[1]
+ accurate;
+
+
+ CA-5(1)[2]
+ up to date; and
+
+
+ CA-5(1)[3]
+ readily available.
+
+
+
+ EXAMINE
+ Security assessment and authorization policy
+ procedures addressing plan of action and milestones
+ information system design documentation, information system configuration settings and associated documentation
+ information system audit records
+ plan of action and milestones
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with plan of action and milestones development and implementation responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms for developing, implementing and maintaining plan of action and milestones
+
+
+
+ Determine if the organization:
+
+ CA-5(a)
+ develops a plan of action and milestones for the information system to:
+
+ CA-5(a)[1]
+ document the organization’s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls;
+
+
+ CA-5(a)[2]
+ reduce or eliminate known vulnerabilities in the system;
+
+
+
+ CA-5(b)
+
+ CA-5(b)[1]
+ defines the frequency to update the existing plan of action and milestones;
+
+
+ CA-5(b)[2]
+ updates the existing plan of action and milestones with the organization-defined frequency based on the findings from:
+
+ CA-5(b)[2][a]
+ security controls assessments;
+
+
+ CA-5(b)[2][b]
+ security impact analyses; and
+
+
+ CA-5(b)[2][c]
+ continuous monitoring activities.
+
+
+
+
+
+ EXAMINE
+ Security assessment and authorization policy
+ procedures addressing plan of action and milestones
+ security plan
+ security assessment plan
+ security assessment report
+ security assessment evidence
+ plan of action and milestones
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with plan of action and milestones development and implementation responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms for developing, implementing, and maintaining plan of action and milestones
+
+
+
+ OMB Memorandum 02-01
+
+
+ NIST Special Publication 800-37
+
+
+
+
+ SECURITY AUTHORIZATION
+ CA-6
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CA-6a.
+
Assigns a senior-level executive or manager as the authorizing official for the information system;
+
+
+ CA-6b.
+
Ensures that the authorizing official authorizes the information system for processing before commencing operations; and
+
+
+ CA-6c.
+
Updates the security authorization organization-defined frequency.
+
+
+
+
Security authorizations are official management decisions, conveyed through authorization decision documents, by senior organizational officials or executives (i.e., authorizing officials) to authorize operation of information systems and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon security controls. Authorizing officials provide budgetary oversight for organizational information systems or assume responsibility for the mission/business operations supported by those systems. The security authorization process is an inherently federal responsibility and therefore, authorizing officials must be federal employees. Through the security authorization process, authorizing officials assume responsibility and are accountable for security risks associated with the operation and use of organizational information systems. Accordingly, authorizing officials are in positions with levels of authority commensurate with understanding and accepting such information security-related risks. OMB policy requires that organizations conduct ongoing authorizations of information systems by implementing continuous monitoring programs. Continuous monitoring programs can satisfy three-year reauthorization requirements, so separate reauthorization processes are not necessary. Through the employment of comprehensive continuous monitoring processes, critical information contained in authorization packages (i.e., security plans, security assessment reports, and plans of action and milestones) is updated on an ongoing basis, providing authorizing officials and information system owners with an up-to-date status of the security state of organizational information systems and environments of operation. To reduce the administrative cost of security reauthorization, authorizing officials use the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.
+ CA-2
+ CA-7
+ PM-9
+ PM-10
+
+
+ Determine if the organization:
+
+ CA-6(a)
+ assigns a senior-level executive or manager as the authorizing official for the information system;
+
+
+ CA-6(b)
+ ensures that the authorizing official authorizes the information system for processing before commencing operations;
+
+
+ CA-6(c)
+
+ CA-6(c)[1]
+ defines the frequency to update the security authorization; and
+
+
+ CA-6(c)[2]
+ updates the security authorization with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Security assessment and authorization policy
+ procedures addressing security authorization
+ security authorization package (including security plan
+ security assessment report
+ plan of action and milestones
+ authorization statement)
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security authorization responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms that facilitate security authorizations and updates
+
+
+
+ OMB Circular A-130
+
+
+ OMB Memorandum 11-33
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-137
+
+
+
+
+ CONTINUOUS MONITORING
+ CA-7
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes:
+
+ CA-7a.
+
Establishment of organization-defined metrics to be monitored;
+
+
+ CA-7b.
+
Establishment of organization-defined frequencies for monitoring and organization-defined frequencies for assessments supporting such monitoring;
+
+
+ CA-7c.
+
Ongoing security control assessments in accordance with the organizational continuous monitoring strategy;
+
+
+ CA-7d.
+
Ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;
+
+
+ CA-7e.
+
Correlation and analysis of security-related information generated by assessments and monitoring;
+
+
+ CA-7f.
+
Response actions to address results of the analysis of security-related information; and
+
+
+ CA-7g.
+
Reporting the security status of organization and the information system to organization-defined personnel or roles
+ organization-defined frequency.
+
+
+
+
Continuous monitoring programs facilitate ongoing awareness of threats, vulnerabilities, and information security to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess/analyze security controls and information security-related risks at a frequency sufficient to support organizational risk-based decisions. The results of continuous monitoring programs generate appropriate risk response actions by organizations. Continuous monitoring programs also allow organizations to maintain the security authorizations of information systems and common controls over time in highly dynamic environments of operation with changing mission/business needs, threats, vulnerabilities, and technologies. Having access to security-related information on a continuing basis through reports/dashboards gives organizational officials the capability to make more effective and timely risk management decisions, including ongoing security authorization decisions. Automation supports more frequent updates to security authorization packages, hardware/software/firmware inventories, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of information systems.
The organization employs assessors or assessment teams with organization-defined level of independence to monitor the security controls in the information system on an ongoing basis.
+
+
+
Organizations can maximize the value of assessments of security controls during the continuous monitoring process by requiring that such assessments be conducted by assessors or assessment teams with appropriate levels of independence based on continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in advocacy positions for the organizations acquiring their services.
+
+
+ Determine if the organization:
+
+ CA-7(1)[1]
+ defines a level of independence to be employed to monitor the security controls in the information system on an ongoing basis; and
+
+
+ CA-7(1)[2]
+ employs assessors or assessment teams with the organization-defined level of independence to monitor the security controls in the information system on an ongoing basis.
+
+
+
+ EXAMINE
+ Security assessment and authorization policy
+ procedures addressing continuous monitoring of information system security controls
+ security plan
+ security assessment report
+ plan of action and milestones
+ information system monitoring records
+ security impact analyses
+ status reports
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with continuous monitoring responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ TYPES OF ASSESSMENTS
+ CA-7 (2)
+ CA-2
+
+
+ Incorporated into CA-2.
+
+
+
+ TREND ANALYSES
+ CA-7 (3)
+
+
The organization employs trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/or the types of activities used in the continuous monitoring process need to be modified based on empirical data.
+
+
+
Trend analyses can include, for example, examining recent threat information regarding the types of threat events that have occurred within the organization or across the federal government, success rates of certain types of cyber attacks, emerging vulnerabilities in information technologies, evolving social engineering techniques, results from multiple security control assessments, the effectiveness of configuration settings, and findings from Inspectors General or auditors.
+
+
+ Determine if the organization employs trend analyses to determine if the following items need to be modified based on empirical data:
+
+ CA-7(3)[1]
+ security control implementations;
+
+
+ CA-7(3)[2]
+ the frequency of continuous monitoring activities; and/or
+
+
+ CA-7(3)[3]
+ the types of activities used in the continuous monitoring process.
+
+
+
+ EXAMINE
+ Continuous monitoring strategy
+ Security assessment and authorization policy
+ procedures addressing continuous monitoring of information system security controls
+ security plan
+ security assessment report
+ plan of action and milestones
+ information system monitoring records
+ security impact analyses
+ status reports
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with continuous monitoring responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ Determine if the organization:
+
+ CA-7(a)
+
+ CA-7(a)[1]
+ develops a continuous monitoring strategy that defines metrics to be monitored;
+
+
+ CA-7(a)[2]
+ develops a continuous monitoring strategy that includes monitoring of organization-defined metrics;
+
+
+ CA-7(a)[3]
+ implements a continuous monitoring program that includes monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;
+
+
+
+ CA-7(b)
+
+ CA-7(b)[1]
+ develops a continuous monitoring strategy that defines frequencies for monitoring;
+
+
+ CA-7(b)[2]
+ defines frequencies for assessments supporting monitoring;
+
+
+ CA-7(b)[3]
+ develops a continuous monitoring strategy that includes establishment of the organization-defined frequencies for monitoring and for assessments supporting monitoring;
+
+
+ CA-7(b)[4]
+ implements a continuous monitoring program that includes establishment of organization-defined frequencies for monitoring and for assessments supporting such monitoring in accordance with the organizational continuous monitoring strategy;
+
+
+
+ CA-7(c)
+
+ CA-7(c)[1]
+ develops a continuous monitoring strategy that includes ongoing security control assessments;
+
+
+ CA-7(c)[2]
+ implements a continuous monitoring program that includes ongoing security control assessments in accordance with the organizational continuous monitoring strategy;
+
+
+
+ CA-7(d)
+
+ CA-7(d)[1]
+ develops a continuous monitoring strategy that includes ongoing security status monitoring of organization-defined metrics;
+
+
+ CA-7(d)[2]
+ implements a continuous monitoring program that includes ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;
+
+
+
+ CA-7(e)
+
+ CA-7(e)[1]
+ develops a continuous monitoring strategy that includes correlation and analysis of security-related information generated by assessments and monitoring;
+
+
+ CA-7(e)[2]
+ implements a continuous monitoring program that includes correlation and analysis of security-related information generated by assessments and monitoring in accordance with the organizational continuous monitoring strategy;
+
+
+
+ CA-7(f)
+
+ CA-7(f)[1]
+ develops a continuous monitoring strategy that includes response actions to address results of the analysis of security-related information;
+
+
+ CA-7(f)[2]
+ implements a continuous monitoring program that includes response actions to address results of the analysis of security-related information in accordance with the organizational continuous monitoring strategy;
+
+
+
+ CA-7(g)
+
+ CA-7(g)[1]
+ develops a continuous monitoring strategy that defines the personnel or roles to whom the security status of the organization and information system are to be reported;
+
+
+ CA-7(g)[2]
+ develops a continuous monitoring strategy that defines the frequency to report the security status of the organization and information system to organization-defined personnel or roles;
+
+
+ CA-7(g)[3]
+ develops a continuous monitoring strategy that includes reporting the security status of the organization or information system to organizational-defined personnel or roles with the organization-defined frequency; and
+
+
+ CA-7(g)[4]
+ implements a continuous monitoring program that includes reporting the security status of the organization and information system to organization-defined personnel or roles with the organization-defined frequency in accordance with the organizational continuous monitoring strategy.
+
+
+
+
+ EXAMINE
+ Security assessment and authorization policy
+ procedures addressing continuous monitoring of information system security controls
+ procedures addressing configuration management
+ security plan
+ security assessment report
+ plan of action and milestones
+ information system monitoring records
+ configuration management records, security impact analyses
+ status reports
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with continuous monitoring responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Mechanisms implementing continuous monitoring
+
+
+
+ OMB Memorandum 11-33
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-39
+
+
+ NIST Special Publication 800-53A
+
+
+ NIST Special Publication 800-115
+
+
+ NIST Special Publication 800-137
+
+
+ US-CERT Technical Cyber Security Alerts
+
+
+ DoD Information Assurance Vulnerability Alerts
+
+
+
+
+ PENETRATION TESTING
+ CA-8
+ P2
+ HIGH
+
+
The organization conducts penetration testing organization-defined frequency on organization-defined information systems or system components.
+
+
+
Penetration testing is a specialized type of assessment conducted on information systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Such testing can be used to either validate vulnerabilities or determine the degree of resistance organizational information systems have to adversaries within a set of specified constraints (e.g., time, resources, and/or skills). Penetration testing attempts to duplicate the actions of adversaries in carrying out hostile cyber attacks against organizations and provides a more in-depth analysis of security-related weaknesses/deficiencies. Organizations can also use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted on the hardware, software, or firmware components of an information system and can exercise both physical and technical security controls. A standard method for penetration testing includes, for example: (i) pretest analysis based on full knowledge of the target system; (ii) pretest identification of potential vulnerabilities based on pretest analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. All parties agree to the rules of engagement before the commencement of penetration testing scenarios. Organizations correlate the penetration testing rules of engagement with the tools, techniques, and procedures that are anticipated to be employed by adversaries carrying out attacks. Organizational risk assessments guide decisions on the level of independence required for personnel conducting penetration testing.
+ SA-12
+
+
+ INDEPENDENT PENETRATION AGENT OR TEAM
+ CA-8 (1)
+
+
The organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components.
+
+
+
Independent penetration agents or teams are individuals or groups who conduct impartial penetration testing of organizational information systems. Impartiality implies that penetration agents or teams are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the information systems that are the targets of the penetration testing. Supplemental guidance for CA-2 (1) provides additional information regarding independent assessments that can be applied to penetration testing.
+ CA-2
+
+
+ Determine if the organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components.
+
+
+ EXAMINE
+ Security assessment and authorization policy
+ procedures addressing penetration testing
+ security plan
+ security assessment plan
+ penetration test report
+ security assessment report
+ security assessment evidence
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security assessment responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ RED TEAM EXERCISES
+ CA-8 (2)
+
+
The organization employs organization-defined red team exercises to simulate attempts by adversaries to compromise organizational information systems in accordance with organization-defined rules of engagement.
+
+
+
Red team exercises extend the objectives of penetration testing by examining the security posture of organizations and their ability to implement effective cyber defenses. As such, red team exercises reflect simulated adversarial attempts to compromise organizational mission/business functions and provide a comprehensive assessment of the security state of information systems and organizations. Simulated adversarial attempts to compromise organizational missions/business functions and the information systems that support those missions/functions may include technology-focused attacks (e.g., interactions with hardware, software, or firmware components and/or mission/business processes) and social engineering-based attacks (e.g., interactions via email, telephone, shoulder surfing, or personal conversations). While penetration testing may be largely laboratory-based testing, organizations use red team exercises to provide more comprehensive assessments that reflect real-world conditions. Red team exercises can be used to improve security awareness and training and to assess levels of security control effectiveness.
+
+
+ Determine if the organization:
+
+ CA-8(2)[1]
+ defines red team exercises to be employed to simulate attempts by adversaries to compromise organizational information systems;
+
+
+ CA-8(2)[2]
+ defines rules of engagement for employing organization-defined red team exercises; and
+
+
+ CA-8(2)[3]
+ employs organization-defined red team exercises to simulate attempts by adversaries to compromise organizational information systems in accordance with organization-defined rules of engagement.
+
+
+
+ EXAMINE
+ Security assessment and authorization policy
+ procedures addressing penetration testing
+ procedures addressing red team exercises
+ security plan
+ security assessment plan
+ results of red team exercise
+ penetration test report
+ security assessment report
+ rules of engagement
+ security assessment evidence
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security assessment responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms supporting employment of red team exercises
+
+
+
+ Determine if the organization:
+
+ CA-8[1]
+ defines information systems or system components on which penetration testing is to be conducted;
+
+
+ CA-8[2]
+ defines the frequency to conduct penetration testing on organization-defined information systems or system components; and
+
+
+ CA-8[3]
+ conducts penetration testing on organization-defined information systems or system components with the organization-defined frequency.
+
+
+
+ EXAMINE
+ Security assessment and authorization policy
+ procedures addressing penetration testing
+ security plan
+ security assessment plan
+ penetration test report
+ security assessment report
+ security assessment evidence
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security assessment responsibilities
+ organizational personnel with information security responsibilities, system/network administrators
+
+
+ TEST
+ Automated mechanisms supporting penetration testing
+
+
+
+ INTERNAL SYSTEM CONNECTIONS
+ CA-9
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CA-9a.
+
Authorizes internal connections of organization-defined information system components or classes of components to the information system; and
+
+
+ CA-9b.
+
Documents, for each internal connection, the interface characteristics, security requirements, and the nature of the information communicated.
+
+
+
+
This control applies to connections between organizational information systems and (separate) constituent system components (i.e., intra-system connections) including, for example, system connections with mobile devices, notebook/desktop computers, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal connection, organizations can authorize internal connections for a class of components with common characteristics and/or configurations, for example, all digital printers, scanners, and copiers with a specified processing, storage, and transmission capability or all smart phones with a specific baseline configuration.
The information system performs security compliance checks on constituent system components prior to the establishment of the internal connection.
+
+
+
Security compliance checks may include, for example, verification of the relevant baseline configuration.
+ CM-6
+
+
+ Determine if the information system performs security compliance checks on constituent system components prior to the establishment of the internal connection.
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing information system connections
+ system and communications protection policy
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of components or classes of components authorized as internal system connections
+ security assessment report
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for developing, implementing, or authorizing internal system connections
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting compliance checks
+
+
+
+ Determine if the organization:
+
+ CA-9(a)
+
+ CA-9(a)[1]
+ defines information system components or classes of components to be authorized as internal connections to the information system;
+
+
+ CA-9(a)[2]
+ authorizes internal connections of organization-defined information system components or classes of components to the information system;
+
+
+
+ CA-9(b)
+ documents, for each internal connection:
+
+ CA-9(b)[1]
+ the interface characteristics;
+
+
+ CA-9(b)[2]
+ the security requirements; and
+
+
+ CA-9(b)[3]
+ the nature of the information communicated.
+
+
+
+
+ EXAMINE
+ Access control policy
+ procedures addressing information system connections
+ system and communications protection policy
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of components or classes of components authorized as internal system connections
+ security assessment report
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for developing, implementing, or authorizing internal system connections
+ organizational personnel with information security responsibilities
+
+
+
+
+ CONFIGURATION MANAGEMENT
+
+ CONFIGURATION MANAGEMENT POLICY AND PROCEDURES
+ CM-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CM-1a.
+
Develops, documents, and disseminates to organization-defined personnel or roles:
+
+ CM-1a.1.
+
A configuration management policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ CM-1a.2.
+
Procedures to facilitate the implementation of the configuration management policy and associated configuration management controls; and
+
+
+
+ CM-1b.
+
Reviews and updates the current:
+
+ CM-1b.1.
+
Configuration management policy organization-defined frequency; and
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CM family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+ Determine if the organization:
+
+ CM-1(a)(1)
+
+ CM-1(a)(1)[1]
+ develops and documents a configuration management policy that addresses:
+
+ CM-1(a)(1)[1][a]
+ purpose;
+
+
+ CM-1(a)(1)[1][b]
+ scope;
+
+
+ CM-1(a)(1)[1][c]
+ roles;
+
+
+ CM-1(a)(1)[1][d]
+ responsibilities;
+
+
+ CM-1(a)(1)[1][e]
+ management commitment;
+
+
+ CM-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ CM-1(a)(1)[1][g]
+ compliance;
+
+
+
+ CM-1(a)(1)[2]
+ defines personnel or roles to whom the configuration management policy is to be disseminated;
+
+
+ CM-1(a)(1)[3]
+ disseminates the configuration management policy to organization-defined personnel or roles;
+
+
+
+ CM-1(a)(2)
+
+ CM-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the configuration management policy and associated configuration management controls;
+
+
+ CM-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ CM-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ CM-1(b)(1)
+
+ CM-1(b)(1)[1]
+ defines the frequency to review and update the current configuration management policy;
+
+
+ CM-1(b)(1)[2]
+ reviews and updates the current configuration management policy with the organization-defined frequency;
+
+
+
+ CM-1(b)(2)
+
+ CM-1(b)(2)[1]
+ defines the frequency to review and update the current configuration management procedures; and
+
+
+ CM-1(b)(2)[2]
+ reviews and updates the current configuration management procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Configuration management policy and procedures
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with configuration management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ BASELINE CONFIGURATION
+ CM-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system.
+
+
+
This control establishes baseline configurations for information systems and system components including communications and connectivity-related aspects of systems. Baseline configurations are documented, formally reviewed and agreed-upon sets of specifications for information systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, and/or changes to information systems. Baseline configurations include information about information system components (e.g., standard software packages installed on workstations, notebook computers, servers, network components, or mobile devices; current version numbers and patch information on operating systems and applications; and configuration settings/parameters), network topology, and the logical placement of those components within the system architecture. Maintaining baseline configurations requires creating new baselines as organizational information systems change over time. Baseline configurations of information systems reflect the current enterprise architecture.
The organization reviews and updates the baseline configuration of the information system:
+
+ CM-2 (1)(a)
+
+ organization-defined frequency;
+
+
+ CM-2 (1)(b)
+
When required due to Assignment organization-defined circumstances; and
+
+
+ CM-2 (1)(c)
+
As an integral part of information system component installations and upgrades.
+
+
+
+ CM-5
+
+
+ Determine if the organization:
+
+ CM-2(1)(a)
+
+ CM-2(1)(a)[1]
+ defines the frequency to review and update the baseline configuration of the information system;
+
+
+ CM-2(1)(a)[2]
+ reviews and updates the baseline configuration of the information system with the organization-defined frequency;
+
+
+
+ CM-2(1)(b)
+
+ CM-2(1)(b)[1]
+ defines circumstances that require the baseline configuration of the information system to be reviewed and updated;
+
+
+ CM-2(1)(b)[2]
+ reviews and updates the baseline configuration of the information system when required due to organization-defined circumstances; and
+
+
+
+ CM-2(1)(c)
+ reviews and updates the baseline configuration of the information system as an integral part of information system component installations and upgrades.
+
+
+
+ EXAMINE
+ Configuration management policy
+ configuration management plan
+ procedures addressing the baseline configuration of the information system
+ procedures addressing information system component installations and upgrades
+ information system architecture and configuration documentation
+ information system configuration settings and associated documentation
+ records of information system baseline configuration reviews and updates
+ information system component installations/upgrades and associated records
+ change control records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with configuration management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for managing baseline configurations
+ automated mechanisms supporting review and update of the baseline configuration
+
+
+
+ AUTOMATION SUPPORT FOR ACCURACY / CURRENCY
+ CM-2 (2)
+ HIGH
+
+
The organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the information system.
+
+
+
Automated mechanisms that help organizations maintain consistent baseline configurations for information systems include, for example, hardware and software inventory tools, configuration management tools, and network management tools. Such tools can be deployed and/or allocated as common controls, at the information system level, or at the operating system or component level (e.g., on workstations, servers, notebook computers, network components, or mobile devices). Tools can be used, for example, to track version numbers on operating system applications, types of software installed, and current patch levels. This control enhancement can be satisfied by the implementation of CM-8 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.
+ CM-7
+ RA-5
+
+
+ Determine if the organization employs automated mechanisms to maintain:
+
+ CM-2(2)[1]
+ an up-to-date baseline configuration of the information system;
+
+
+ CM-2(2)[2]
+ a complete baseline configuration of the information system;
+
+
+ CM-2(2)[3]
+ an accurate baseline configuration of the information system; and
+
+
+ CM-2(2)[4]
+ a readily available baseline configuration of the information system.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing the baseline configuration of the information system
+ configuration management plan
+ information system design documentation
+ information system architecture and configuration documentation
+ information system configuration settings and associated documentation
+ configuration change control records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with configuration management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for managing baseline configurations
+ automated mechanisms implementing baseline configuration maintenance
+
+
+
+ RETENTION OF PREVIOUS CONFIGURATIONS
+ CM-2 (3)
+ MODERATE
+ HIGH
+
+
The organization retains organization-defined previous versions of baseline configurations of the information system to support rollback.
+
+
+
Retaining previous versions of baseline configurations to support rollback may include, for example, hardware, software, firmware, configuration files, and configuration records.
+
+
+ Determine if the organization:
+
+ CM-2(3)[1]
+ defines previous versions of baseline configurations of the information system to be retained to support rollback; and
+
+
+ CM-2(3)[2]
+ retains organization-defined previous versions of baseline configurations of the information system to support rollback.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing the baseline configuration of the information system
+ configuration management plan
+ information system architecture and configuration documentation
+ information system configuration settings and associated documentation
+ copies of previous baseline configuration versions
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with configuration management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for managing baseline configurations
+
+
+
+ UNAUTHORIZED SOFTWARE
+ CM-2 (4)
+ CM-7
+
+
+ Incorporated into CM-7.
+
+
+
+ AUTHORIZED SOFTWARE
+ CM-2 (5)
+ CM-7
+
+
+ Incorporated into CM-7.
+
+
+
+ DEVELOPMENT AND TEST ENVIRONMENTS
+ CM-2 (6)
+
+
The organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration.
+
+
+
Establishing separate baseline configurations for development, testing, and operational environments helps protect information systems from unplanned/unexpected events related to development and testing activities. Separate baseline configurations allow organizations to apply the configuration management that is most appropriate for each type of configuration. For example, management of operational configurations typically emphasizes the need for stability, while management of development/test configurations requires greater flexibility. Configurations in the test environment mirror the configurations in the operational environment to the extent practicable so that the results of the testing are representative of the proposed changes to the operational systems. This control enhancement requires separate configurations but not necessarily separate physical environments.
+ CM-4
+ SC-3
+ SC-7
+
+
+ Determine if the organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration.
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing the baseline configuration of the information system
+ configuration management plan
+ information system design documentation
+ information system architecture and configuration documentation
+ information system configuration settings and associated documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with configuration management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for managing baseline configurations
+ automated mechanisms implementing separate baseline configurations for development, test, and operational environments
+
+
+
+ CONFIGURE SYSTEMS, COMPONENTS, OR DEVICES FOR HIGH-RISK AREAS
+ CM-2 (7)
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CM-2 (7)(a)
+
Issues organization-defined information systems, system components, or devices with organization-defined configurations to individuals traveling to locations that the organization deems to be of significant risk; and
+
+
+ CM-2 (7)(b)
+
Applies organization-defined security safeguards to the devices when the individuals return.
+
+
+
+
When it is known that information systems, system components, or devices (e.g., notebook computers, mobile devices) will be located in high-risk areas, additional security controls may be implemented to counter the greater threat in such areas coupled with the lack of physical security relative to organizational-controlled areas. For example, organizational policies and procedures for notebook computers used by individuals departing on and returning from travel include, for example, determining which locations are of concern, defining required configurations for the devices, ensuring that the devices are configured as intended before travel is initiated, and applying specific safeguards to the device after travel is completed. Specially configured notebook computers include, for example, computers with sanitized hard drives, limited applications, and additional hardening (e.g., more stringent configuration settings). Specified safeguards applied to mobile devices upon return from travel include, for example, examining the device for signs of physical tampering and purging/reimaging the hard disk drive. Protecting information residing on mobile devices is covered in the media protection family.
+
+
+ Determine if the organization:
+
+ CM-2(7)(a)
+
+ CM-2(7)(a)[1]
+ defines information systems, system components, or devices to be issued to individuals traveling to locations that the organization deems to be of significant risk;
+
+
+ CM-2(7)(a)[2]
+ defines configurations to be employed on organization-defined information systems, system components, or devices issued to individuals traveling to such locations;
+
+
+ CM-2(7)(a)[3]
+ issues organization-defined information systems, system components, or devices with organization-defined configurations to individuals traveling to locations that the organization deems to be of significant risk;
+
+
+
+ CM-2(7)(b)
+
+ CM-2(7)(b)[1]
+ defines security safeguards to be applied to the devices when the individuals return; and
+
+
+ CM-2(7)(b)[2]
+ applies organization-defined safeguards to the devices when the individuals return.
+
+
+
+
+ EXAMINE
+ Configuration management policy
+ configuration management plan
+ procedures addressing the baseline configuration of the information system
+ procedures addressing information system component installations and upgrades
+ information system architecture and configuration documentation
+ information system configuration settings and associated documentation
+ records of information system baseline configuration reviews and updates
+ information system component installations/upgrades and associated records
+ change control records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with configuration management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for managing baseline configurations
+
+
+
+ Determine if the organization:
+
+ CM-2[1]
+ develops and documents a current baseline configuration of the information system; and
+
+
+ CM-2[2]
+ maintains, under configuration control, a current baseline configuration of the information system.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing the baseline configuration of the information system
+ configuration management plan
+ enterprise architecture documentation
+ information system design documentation
+ information system architecture and configuration documentation
+ information system configuration settings and associated documentation
+ change control records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with configuration management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for managing baseline configurations
+ automated mechanisms supporting configuration control of the baseline configuration
+
+
+
+ NIST Special Publication 800-128
+
+
+
+
+ CONFIGURATION CHANGE CONTROL
+ CM-3
+ P1
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CM-3a.
+
Determines the types of changes to the information system that are configuration-controlled;
+
+
+ CM-3b.
+
Reviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses;
+
+
+ CM-3c.
+
Documents configuration change decisions associated with the information system;
+
+
+ CM-3d.
+
Implements approved configuration-controlled changes to the information system;
+
+
+ CM-3e.
+
Retains records of configuration-controlled changes to the information system for organization-defined time period;
+
+
+ CM-3f.
+
Audits and reviews activities associated with configuration-controlled changes to the information system; and
+
+
+ CM-3g.
+
Coordinates and provides oversight for configuration change control activities through organization-defined configuration change control element (e.g., committee, board) that convenes [Selection (one or more): organization-defined frequency; organization-defined configuration change conditions].
+
+
+
+
Configuration change controls for organizational information systems involve the systematic proposal, justification, implementation, testing, review, and disposition of changes to the systems, including system upgrades and modifications. Configuration change control includes changes to baseline configurations for components and configuration items of information systems, changes to configuration settings for information technology products (e.g., operating systems, applications, firewalls, routers, and mobile devices), unscheduled/unauthorized changes, and changes to remediate vulnerabilities. Typical processes for managing configuration changes to information systems include, for example, Configuration Control Boards that approve proposed changes to systems. For new development information systems or systems undergoing major upgrades, organizations consider including representatives from development organizations on the Configuration Control Boards. Auditing of changes includes activities before and after changes are made to organizational information systems and the auditing activities required to implement such changes.
Document proposed changes to the information system;
+
+
+ CM-3 (1)(b)
+
Notify organized-defined approval authorities of proposed changes to the information system and request change approval;
+
+
+ CM-3 (1)(c)
+
Highlight proposed changes to the information system that have not been approved or disapproved by organization-defined time period;
+
+
+ CM-3 (1)(d)
+
Prohibit changes to the information system until designated approvals are received;
+
+
+ CM-3 (1)(e)
+
Document all changes to the information system; and
+
+
+ CM-3 (1)(f)
+
Notify organization-defined personnel when approved changes to the information system are completed.
+
+
+
+ Determine if the organization:
+
+ CM-3(1)(a)
+ employs automated mechanisms to document proposed changes to the information system;
+
+
+ CM-3(1)(b)
+
+ CM-3(1)(b)[1]
+ defines approval authorities to be notified of proposed changes to the information system and request change approval;
+
+
+ CM-3(1)(b)[2]
+ employs automated mechanisms to notify organization-defined approval authorities of proposed changes to the information system and request change approval;
+
+
+
+ CM-3(1)(c)
+
+ CM-3(1)(c)[1]
+ defines the time period within which proposed changes to the information system that have not been approved or disapproved must be highlighted;
+
+
+ CM-3(1)(c)[2]
+ employs automated mechanisms to highlight proposed changes to the information system that have not been approved or disapproved by organization-defined time period;
+
+
+
+ CM-3(1)(d)
+ employs automated mechanisms to prohibit changes to the information system until designated approvals are received;
+
+
+ CM-3(1)(e)
+ employs automated mechanisms to document all changes to the information system;
+
+
+ CM-3(1)(f)
+
+ CM-3(1)(f)[1]
+ defines personnel to be notified when approved changes to the information system are completed; and
+
+
+ CM-3(1)(f)[2]
+ employs automated mechanisms to notify organization-defined personnel when approved changes to the information system are completed.
+
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing information system configuration change control
+ configuration management plan
+ information system design documentation
+ information system architecture and configuration documentation
+ automated configuration control mechanisms
+ information system configuration settings and associated documentation
+ change control records
+ information system audit records
+ change approval requests
+ change approvals
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with configuration change control responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Organizational processes for configuration change control
+ automated mechanisms implementing configuration change control activities
+
+
+
+ TEST / VALIDATE / DOCUMENT CHANGES
+ CM-3 (2)
+ MODERATE
+ HIGH
+
+
The organization tests, validates, and documents changes to the information system before implementing the changes on the operational system.
+
+
+
Changes to information systems include modifications to hardware, software, or firmware components and configuration settings defined in CM-6. Organizations ensure that testing does not interfere with information system operations. Individuals/groups conducting tests understand organizational security policies and procedures, information system security policies and procedures, and the specific health, safety, and environmental risks associated with particular facilities/processes. Operational systems may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If information systems must be taken off-line for testing, the tests are scheduled to occur during planned system outages whenever possible. If testing cannot be conducted on operational systems, organizations employ compensating controls (e.g., testing on replicated systems).
+
+
+ Determine if the organization, before implementing changes on the operational system:
+
+ CM-3(2)[1]
+ tests changes to the information system;
+
+
+ CM-3(2)[2]
+ validates changes to the information system; and
+
+
+ CM-3(2)[3]
+ documents changes to the information system.
+
+
+
+ EXAMINE
+ Configuration management policy
+ configuration management plan
+ procedures addressing information system configuration change control
+ information system design documentation
+ information system architecture and configuration documentation
+ information system configuration settings and associated documentation
+ test records
+ validation records
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with configuration change control responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for configuration change control
+ automated mechanisms supporting and/or implementing testing, validating, and documenting information system changes
+
+
+
+ AUTOMATED CHANGE IMPLEMENTATION
+ CM-3 (3)
+
+
The organization employs automated mechanisms to implement changes to the current information system baseline and deploys the updated baseline across the installed base.
+
+
+ Determine if the organization:
+
+ CM-3(3)[1]
+ employs automated mechanisms to implement changes to the current information system baseline; and
+
+
+ CM-3(3)[2]
+ deploys the updated baseline across the installed base.
+
+
+
+ EXAMINE
+ Configuration management policy
+ configuration management plan
+ procedures addressing information system configuration change control
+ information system design documentation
+ information system architecture and configuration documentation
+ automated configuration control mechanisms
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with configuration change control responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Organizational processes for configuration change control
+ automated mechanisms implementing changes to current information system baseline
+
+
+
+ SECURITY REPRESENTATIVE
+ CM-3 (4)
+
+
The organization requires an information security representative to be a member of the organization-defined configuration change control element.
+
+
+
Information security representatives can include, for example, senior agency information security officers, information system security officers, or information system security managers. Representation by personnel with information security expertise is important because changes to information system configurations can have unintended side effects, some of which may be security-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security state of organizational information systems. The configuration change control element in this control enhancement reflects the change control elements defined by organizations in CM-3.
+
+
+ Determine if the organization:
+
+ CM-3(4)[1]
+ specifies the configuration change control elements (as defined in CM-3g) of which an information security representative is to be a member; and
+
+
+ CM-3(4)[2]
+ requires an information security representative to be a member of the specified configuration control element.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing information system configuration change control
+ configuration management plan
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with configuration change control responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for configuration change control
+
+
+
+ AUTOMATED SECURITY RESPONSE
+ CM-3 (5)
+
+
The information system implements organization-defined security responses automatically if baseline configurations are changed in an unauthorized manner.
+
+
+
Security responses include, for example, halting information system processing, halting selected system functions, or issuing alerts/notifications to organizational personnel when there is an unauthorized modification of a configuration item.
+
+
+ Determine if:
+
+ CM-3(5)[1]
+ the organization defines security responses to be implemented automatically if baseline configurations are changed in an unauthorized manner; and
+
+
+ CM-3(5)[2]
+ the information system implements organization-defined security responses automatically if baseline configurations are changed in an unauthorized manner.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing information system configuration change control
+ configuration management plan
+ security plan
+ information system design documentation
+ information system architecture and configuration documentation
+ information system configuration settings and associated documentation
+ alerts/notifications of unauthorized baseline configuration changes
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with configuration change control responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Organizational processes for configuration change control
+ automated mechanisms implementing security responses to changes to the baseline configurations
+
+
+
+ CRYPTOGRAPHY MANAGEMENT
+ CM-3 (6)
+
+
The organization ensures that cryptographic mechanisms used to provide organization-defined security safeguards are under configuration management.
+
+
+
Regardless of the cryptographic means employed (e.g., public key, private key, shared secrets), organizations ensure that there are processes and procedures in place to effectively manage those means. For example, if devices use certificates as a basis for identification and authentication, there needs to be a process in place to address the expiration of those certificates.
+ SC-13
+
+
+ Determine if the organization:
+
+ CM-3(6)[1]
+ defines security safeguards provided by cryptographic mechanisms that are to be under configuration management; and
+
+
+ CM-3(6)[2]
+ ensures that cryptographic mechanisms used to provide organization-defined security safeguards are under configuration management.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing information system configuration change control
+ configuration management plan
+ security plan
+ information system design documentation
+ information system architecture and configuration documentation
+ information system configuration settings and associated documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with configuration change control responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for configuration change control
+ cryptographic mechanisms implementing organizational security safeguards
+
+
+
+ Determine if the organization:
+
+ CM-3(a)
+ determines the type of changes to the information system that must be configuration-controlled;
+
+
+ CM-3(b)
+ reviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses;
+
+
+ CM-3(c)
+ documents configuration change decisions associated with the information system;
+
+
+ CM-3(d)
+ implements approved configuration-controlled changes to the information system;
+
+
+ CM-3(e)
+
+ CM-3(e)[1]
+ defines a time period to retain records of configuration-controlled changes to the information system;
+
+
+ CM-3(e)[2]
+ retains records of configuration-controlled changes to the information system for the organization-defined time period;
+
+
+
+ CM-3(f)
+ audits and reviews activities associated with configuration-controlled changes to the information system;
+
+
+ CM-3(g)
+
+ CM-3(g)[1]
+ defines a configuration change control element (e.g., committee, board) responsible for coordinating and providing oversight for configuration change control activities;
+
+
+ CM-3(g)[2]
+ defines the frequency with which the configuration change control element must convene; and/or
+
+
+ CM-3(g)[3]
+ defines configuration change conditions that prompt the configuration change control element to convene; and
+
+
+ CM-3(g)[4]
+ coordinates and provides oversight for configuration change control activities through organization-defined configuration change control element that convenes at organization-defined frequency and/or for any organization-defined configuration change conditions.
+
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing information system configuration change control
+ configuration management plan
+ information system architecture and configuration documentation
+ security plan
+ change control records
+ information system audit records
+ change control audit and review reports
+ agenda /minutes from configuration change control oversight meetings
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with configuration change control responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ members of change control board or similar
+
+
+ TEST
+ Organizational processes for configuration change control
+ automated mechanisms that implement configuration change control
+
+
+
+ NIST Special Publication 800-128
+
+
+
+
+ SECURITY IMPACT ANALYSIS
+ CM-4
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization analyzes changes to the information system to determine potential security impacts prior to change implementation.
+
+
+
Organizational personnel with information security responsibilities (e.g., Information System Administrators, Information System Security Officers, Information System Security Managers, and Information System Security Engineers) conduct security impact analyses. Individuals conducting security impact analyses possess the necessary skills/technical expertise to analyze the changes to information systems and the associated security ramifications. Security impact analysis may include, for example, reviewing security plans to understand security control requirements and reviewing system design documentation to understand control implementation and how specific changes might affect the controls. Security impact analyses may also include assessments of risk to better understand the impact of the changes and to determine if additional security controls are required. Security impact analyses are scaled in accordance with the security categories of the information systems.
+ CA-2
+ CA-7
+ CM-3
+ CM-9
+ SA-4
+ SA-5
+ SA-10
+ SI-2
+
+
+ SEPARATE TEST ENVIRONMENTS
+ CM-4 (1)
+ HIGH
+
+
The organization analyzes changes to the information system in a separate test environment before implementation in an operational environment, looking for security impacts due to flaws, weaknesses, incompatibility, or intentional malice.
+
+
+
Separate test environment in this context means an environment that is physically or logically isolated and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment, and information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not used, organizations determine the strength of mechanism required when implementing logical separation (e.g., separation achieved through virtual machines).
+ SA-11
+ SC-3
+ SC-7
+
+
+ Determine if the organization:
+
+ CM-4(1)[1]
+ analyzes changes to the information system in a separate test environment before implementation in an operational environment;
+
+
+ CM-4(1)[2]
+ when analyzing changes to the information system in a separate test environment, looks for security impacts due to:
+
+ CM-4(1)[2][a]
+ flaws;
+
+
+ CM-4(1)[2][b]
+ weaknesses;
+
+
+ CM-4(1)[2][c]
+ incompatibility; and
+
+
+ CM-4(1)[2][d]
+ intentional malice.
+
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing security impact analysis for changes to the information system
+ configuration management plan
+ security impact analysis documentation
+ analysis tools and associated outputs information system design documentation
+ information system architecture and configuration documentation
+ change control records
+ information system audit records
+ documentation evidence of separate test and operational environments
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for conducting security impact analysis
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for security impact analysis
+ automated mechanisms supporting and/or implementing security impact analysis of changes
+
+
+
+ VERIFICATION OF SECURITY FUNCTIONS
+ CM-4 (2)
+
+
The organization, after the information system is changed, checks the security functions to verify that the functions are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security requirements for the system.
+
+
+
Implementation is this context refers to installing changed code in the operational information system.
+ SA-11
+
+
+ Determine if the organization, after the information system is changed, checks the security functions to verify that the functions are:
+
+ CM-4(2)[1]
+ implemented correctly;
+
+
+ CM-4(2)[2]
+ operating as intended; and
+
+
+ CM-4(2)[3]
+ producing the desired outcome with regard to meeting the security requirements for the system.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing security impact analysis for changes to the information system
+ configuration management plan
+ security impact analysis documentation
+ analysis tools and associated outputs
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for conducting security impact analysis
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for security impact analysis
+ automated mechanisms supporting and/or implementing verification of security functions
+
+
+
+ Determine if the organization analyzes changes to the information system to determine potential security impacts prior to change implementation.
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing security impact analysis for changes to the information system
+ configuration management plan
+ security impact analysis documentation
+ analysis tools and associated outputs
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for conducting security impact analysis
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for security impact analysis
+
+
+
+ NIST Special Publication 800-128
+
+
+
+
+ ACCESS RESTRICTIONS FOR CHANGE
+ CM-5
+ P1
+ MODERATE
+ HIGH
+
+
The organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system.
+
+
+
Any changes to the hardware, software, and/or firmware components of information systems can potentially have significant effects on the overall security of the systems. Therefore, organizations permit only qualified and authorized individuals to access information systems for purposes of initiating changes, including upgrades and modifications. Organizations maintain records of access to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes. Access restrictions for change also include software libraries. Access restrictions include, for example, physical and logical access controls (see AC-3 and PE-3), workflow automation, media libraries, abstract layers (e.g., changes implemented into third-party interfaces rather than directly into information systems), and change windows (e.g., changes occur only during specified times, making unauthorized changes easy to discover).
The information system enforces access restrictions and supports auditing of the enforcement actions.
+
+
+ AU-2
+ AU-12
+ AU-6
+ CM-3
+ CM-6
+
+
+ Determine if the information system:
+
+ CM-5(1)[1]
+ enforces access restrictions for change; and
+
+
+ CM-5(1)[2]
+ supports auditing of the enforcement actions.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing access restrictions for changes to the information system
+ information system design documentation
+ information system architecture and configuration documentation
+ information system configuration settings and associated documentation
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Organizational processes for managing access restrictions to change
+ automated mechanisms implementing enforcement of access restrictions for changes to the information system
+ automated mechanisms supporting auditing of enforcement actions
+
+
+
+ REVIEW SYSTEM CHANGES
+ CM-5 (2)
+ HIGH
+
+
The organization reviews information system changes organization-defined frequency and organization-defined circumstances to determine whether unauthorized changes have occurred.
+
+
+
Indications that warrant review of information system changes and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process.
+ AU-6
+ AU-7
+ CM-3
+ CM-5
+ PE-6
+ PE-8
+
+
+ Determine if the organization, in an effort to ascertain whether unauthorized changes have occurred:
+
+ CM-5(2)[1]
+ defines the frequency to review information system changes;
+
+
+ CM-5(2)[2]
+ defines circumstances that warrant review of information system changes;
+
+
+ CM-5(2)[3]
+ reviews information system changes with the organization-defined frequency; and
+
+
+ CM-5(2)[4]
+ reviews information system changes with the organization-defined circumstances.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing access restrictions for changes to the information system
+ configuration management plan
+ security plan
+ reviews of information system changes
+ audit and review reports
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for managing access restrictions to change
+ automated mechanisms supporting/implementing information system reviews to determine whether unauthorized changes have occurred
+
+
+
+ SIGNED COMPONENTS
+ CM-5 (3)
+ HIGH
+
+
The information system prevents the installation of organization-defined software and firmware components without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization.
+
+
+
Software and firmware components prevented from installation unless signed with recognized and approved certificates include, for example, software and firmware version updates, patches, service packs, device drivers, and basic input output system (BIOS) updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures, is a method of code authentication.
+ CM-7
+ SC-13
+ SI-7
+
+
+ Determine if:
+
+ CM-5(3)[1]
+ the organization defines software and firmware components that the information system will prevent from being installed without verification that such components have been digitally signed using a certificate that is recognized and approved by the organization; and
+
+
+ CM-5(3)[2]
+ the information system prevents the installation of organization-defined software and firmware components without verification that such components have been digitally signed using a certificate that is recognized and approved by the organization.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing access restrictions for changes to the information system
+ configuration management plan
+ security plan
+ list of software and firmware components to be prohibited from installation without a recognized and approved certificate
+ information system design documentation
+ information system architecture and configuration documentation
+ information system configuration settings and associated documentation
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Organizational processes for managing access restrictions to change
+ automated mechanisms preventing installation of software and firmware components not signed with an organization-recognized and approved certificate
+
+
+
+ DUAL AUTHORIZATION
+ CM-5 (4)
+
+
The organization enforces dual authorization for implementing changes to organization-defined information system components and system-level information.
+
+
+
Organizations employ dual authorization to ensure that any changes to selected information system components and information cannot occur unless two qualified individuals implement such changes. The two individuals possess sufficient skills/expertise to determine if the proposed changes are correct implementations of approved changes. Dual authorization may also be known as two-person control.
+ AC-5
+ CM-3
+
+
+ Determine if the organization:
+
+ CM-5(4)[1]
+ defines information system components and system-level information requiring dual authorization to be enforced when implementing changes; and
+
+
+ CM-5(4)[2]
+ enforces dual authorization for implementing changes to organization-defined information system components and system-level information.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing access restrictions for changes to the information system
+ configuration management plan
+ security plan
+ information system design documentation
+ information system architecture and configuration documentation
+ information system configuration settings and associated documentation
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with dual authorization enforcement responsibilities for implementing information system changes
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for managing access restrictions to change
+ automated mechanisms implementing dual authorization enforcement
+
+
+
+ LIMIT PRODUCTION / OPERATIONAL PRIVILEGES
+ CM-5 (5)
+
+
The organization:
+
+ CM-5 (5)(a)
+
Limits privileges to change information system components and system-related information within a production or operational environment; and
+
+
+ CM-5 (5)(b)
+
Reviews and reevaluates privileges organization-defined frequency.
+
+
+
+
In many organizations, information systems support multiple core missions/business functions. Limiting privileges to change information system components with respect to operational systems is necessary because changes to a particular information system component may have far-reaching effects on mission/business processes supported by the system where the component resides. The complex, many-to-many relationships between systems and mission/business processes are in some cases, unknown to developers.
+ AC-2
+
+
+ Determine if the organization:
+
+ CM-5(5)(a)
+ limits privileges to change information system components and system-related information within a production or operational environment;
+
+
+ CM-5(5)(b)
+
+ CM-5(5)(b)[1]
+ defines the frequency to review and reevaluate privileges; and
+
+
+ CM-5(5)(b)[2]
+ reviews and reevaluates privileges with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing access restrictions for changes to the information system
+ configuration management plan
+ security plan
+ information system design documentation
+ information system architecture and configuration documentation
+ information system configuration settings and associated documentation
+ user privilege reviews
+ user privilege recertifications
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for managing access restrictions to change
+ automated mechanisms supporting and/or implementing access restrictions for change
+
+
+
+ LIMIT LIBRARY PRIVILEGES
+ CM-5 (6)
+
+
The organization limits privileges to change software resident within software libraries.
+
+
+
Software libraries include privileged programs.
+ AC-2
+
+
+ Determine if the organization limits privileges to change software resident within software libraries.
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing access restrictions for changes to the information system
+ configuration management plan
+ information system design documentation
+ information system architecture and configuration documentation
+ information system configuration settings and associated documentation
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for managing access restrictions to change
+ automated mechanisms supporting and/or implementing access restrictions for change
+
+
+
+ AUTOMATIC IMPLEMENTATION OF SECURITY SAFEGUARDS
+ CM-5 (7)
+ SI-7
+
+
+ Incorporated into SI-7.
+
+
+
+ Determine if the organization:
+
+ CM-5[1]
+ defines physical access restrictions associated with changes to the information system;
+
+
+ CM-5[2]
+ documents physical access restrictions associated with changes to the information system;
+
+
+ CM-5[3]
+ approves physical access restrictions associated with changes to the information system;
+
+
+ CM-5[4]
+ enforces physical access restrictions associated with changes to the information system;
+
+
+ CM-5[5]
+ defines logical access restrictions associated with changes to the information system;
+
+
+ CM-5[6]
+ documents logical access restrictions associated with changes to the information system;
+
+
+ CM-5[7]
+ approves logical access restrictions associated with changes to the information system; and
+
+
+ CM-5[8]
+ enforces logical access restrictions associated with changes to the information system.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing access restrictions for changes to the information system
+ configuration management plan
+ information system design documentation
+ information system architecture and configuration documentation
+ information system configuration settings and associated documentation
+ logical access approvals
+ physical access approvals
+ access credentials
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with logical access control responsibilities
+ organizational personnel with physical access control responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for managing access restrictions to change
+ automated mechanisms supporting/implementing/enforcing access restrictions associated with changes to the information system
+
+
+
+ CONFIGURATION SETTINGS
+ CM-6
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CM-6a.
+
Establishes and documents configuration settings for information technology products employed within the information system using organization-defined security configuration checklists that reflect the most restrictive mode consistent with operational requirements;
+
+
+ CM-6b.
+
Implements the configuration settings;
+
+
+ CM-6c.
+
Identifies, documents, and approves any deviations from established configuration settings for organization-defined information system components based on organization-defined operational requirements; and
+
+
+ CM-6d.
+
Monitors and controls changes to the configuration settings in accordance with organizational policies and procedures.
+
+
+
+
Configuration settings are the set of parameters that can be changed in hardware, software, or firmware components of the information system that affect the security posture and/or functionality of the system. Information technology products for which security-related configuration settings can be defined include, for example, mainframe computers, servers (e.g., database, electronic mail, authentication, web, proxy, file, domain name), workstations, input/output devices (e.g., scanners, copiers, and printers), network components (e.g., firewalls, routers, gateways, voice and data switches, wireless access points, network appliances, sensors), operating systems, middleware, and applications. Security-related parameters are those parameters impacting the security state of information systems including the parameters required to satisfy other security control requirements. Security-related parameters include, for example: (i) registry settings; (ii) account, file, directory permission settings; and (iii) settings for functions, ports, protocols, services, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific settings for information systems. The established settings become part of the systems configuration baseline.
+Common secure configurations (also referred to as security configuration checklists, lockdown and hardening guides, security reference guides, security technical implementation guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for specific information technology platforms/products and instructions for configuring those information system components to meet operational requirements. Common secure configurations can be developed by a variety of organizations including, for example, information technology product developers, manufacturers, vendors, consortia, academia, industry, federal agencies, and other organizations in the public and private sectors. Common secure configurations include the United States Government Configuration Baseline (USGCB) which affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and the defined standards within the protocol (e.g., Common Configuration Enumeration) provide an effective method to uniquely identify, track, and control configuration settings. OMB establishes federal policy on configuration requirements for federal information systems.
The organization employs automated mechanisms to centrally manage, apply, and verify configuration settings for organization-defined information system components.
+
+
+ CA-7
+ CM-4
+
+
+ Determine if the organization:
+
+ CM-6(1)[1]
+ defines information system components for which automated mechanisms are to be employed to:
+
+ CM-6(1)[1][a]
+ centrally manage configuration settings of such components;
+
+
+ CM-6(1)[1][b]
+ apply configuration settings of such components;
+
+
+ CM-6(1)[1][c]
+ verify configuration settings of such components;
+
+
+
+ CM-6(1)[2]
+ employs automated mechanisms to:
+
+ CM-6(1)[2][a]
+ centrally manage configuration settings for organization-defined information system components;
+
+
+ CM-6(1)[2][b]
+ apply configuration settings for organization-defined information system components; and
+
+
+ CM-6(1)[2][c]
+ verify configuration settings for organization-defined information system components.
+
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing configuration settings for the information system
+ configuration management plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ security configuration checklists
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security configuration management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Organizational processes for managing configuration settings
+ automated mechanisms implemented to centrally manage, apply, and verify information system configuration settings
+
+
+
+ RESPOND TO UNAUTHORIZED CHANGES
+ CM-6 (2)
+ HIGH
+
+
The organization employs organization-defined security safeguards to respond to unauthorized changes to organization-defined configuration settings.
+
+
+
Responses to unauthorized changes to configuration settings can include, for example, alerting designated organizational personnel, restoring established configuration settings, or in extreme cases, halting affected information system processing.
+ IR-4
+ SI-7
+
+
+ Determine if the organization:
+
+ CM-6(2)[1]
+ defines configuration settings that, if modified by unauthorized changes, result in organizational security safeguards being employed to respond to such changes;
+
+
+ CM-6(2)[2]
+ defines security safeguards to be employed to respond to unauthorized changes to organization-defined configuration settings; and
+
+
+ CM-6(2)[3]
+ employs organization-defined security safeguards to respond to unauthorized changes to organization-defined configuration settings.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing configuration settings for the information system
+ configuration management plan
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ alerts/notifications of unauthorized changes to information system configuration settings
+ documented responses to unauthorized changes to information system configuration settings
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security configuration management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational process for responding to unauthorized changes to information system configuration settings
+ automated mechanisms supporting and/or implementing security safeguards for response to unauthorized changes
+
+
+
+ UNAUTHORIZED CHANGE DETECTION
+ CM-6 (3)
+ SI-7
+
+
+
+
+
+ Determine if the organization:
+
+ CM-6(a)
+
+ CM-6(a)[1]
+ defines security configuration checklists to be used to establish and document configuration settings for the information technology products employed;
+
+
+ CM-6(a)[2]
+ ensures the defined security configuration checklists reflect the most restrictive mode consistent with operational requirements;
+
+
+ CM-6(a)[3]
+ establishes and documents configuration settings for information technology products employed within the information system using organization-defined security configuration checklists;
+
+
+
+ CM-6(b)
+ implements the configuration settings established/documented in CM-6(a);;
+
+
+ CM-6(c)
+
+ CM-6(c)[1]
+ defines information system components for which any deviations from established configuration settings must be:
+
+ CM-6(c)[1][a]
+ identified;
+
+
+ CM-6(c)[1][b]
+ documented;
+
+
+ CM-6(c)[1][c]
+ approved;
+
+
+
+ CM-6(c)[2]
+ defines operational requirements to support:
+
+ CM-6(c)[2][a]
+ the identification of any deviations from established configuration settings;
+
+
+ CM-6(c)[2][b]
+ the documentation of any deviations from established configuration settings;
+
+
+ CM-6(c)[2][c]
+ the approval of any deviations from established configuration settings;
+
+
+
+ CM-6(c)[3]
+ identifies any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;
+
+
+ CM-6(c)[4]
+ documents any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;
+
+
+ CM-6(c)[5]
+ approves any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;
+
+
+
+ CM-6(d)
+
+ CM-6(d)[1]
+ monitors changes to the configuration settings in accordance with organizational policies and procedures; and
+
+
+ CM-6(d)[2]
+ controls changes to the configuration settings in accordance with organizational policies and procedures.
+
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing configuration settings for the information system
+ configuration management plan
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ security configuration checklists
+ evidence supporting approved deviations from established configuration settings
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security configuration management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for managing configuration settings
+ automated mechanisms that implement, monitor, and/or control information system configuration settings
+ automated mechanisms that identify and/or document deviations from established configuration settings
+
+
+
+ OMB Memorandum 07-11
+
+
+ OMB Memorandum 07-18
+
+
+ OMB Memorandum 08-22
+
+
+ NIST Special Publication 800-70
+
+
+ NIST Special Publication 800-128
+
+
+ http://nvd.nist.gov
+
+
+ http://checklists.nist.gov
+
+
+ http://www.nsa.gov
+
+
+
+
+ LEAST FUNCTIONALITY
+ CM-7
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CM-7a.
+
Configures the information system to provide only essential capabilities; and
+
+
+ CM-7b.
+
Prohibits or restricts the use of the following functions, ports, protocols, and/or services: organization-defined prohibited or restricted functions, ports, protocols, and/or services.
+
+
+
+
Information systems can provide a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions). Additionally, it is sometimes convenient to provide multiple services from single information system components, but doing so increases risk over limiting the services provided by any one component. Where feasible, organizations limit component functionality to a single function per device (e.g., email servers or web servers, but not both). Organizations review functions and services provided by information systems or individual components of information systems, to determine which functions and services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant Messaging, auto-execute, and file sharing). Organizations consider disabling unused or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize network scanning tools, intrusion detection and prevention systems, and end-point protections such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, ports, protocols, and services.
Reviews the information system organization-defined frequency to identify unnecessary and/or nonsecure functions, ports, protocols, and services; and
+
+
+ CM-7 (1)(b)
+
Disables organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure.
+
+
+
+
The organization can either make a determination of the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are examples of less than secure protocols.
+ AC-18
+ CM-7
+ IA-2
+
+
+ Determine if the organization:
+
+ CM-7(1)(a)
+
+ CM-7(1)(a)[1]
+ defines the frequency to review the information system to identify unnecessary and/or nonsecure:
+
+ CM-7(1)(a)[1][a]
+ functions;
+
+
+ CM-7(1)(a)[1][b]
+ ports;
+
+
+ CM-7(1)(a)[1][c]
+ protocols; and/or
+
+
+ CM-7(1)(a)[1][d]
+ services;
+
+
+
+ CM-7(1)(a)[2]
+ reviews the information system with the organization-defined frequency to identify unnecessary and/or nonsecure:
+
+ CM-7(1)(a)[2][a]
+ functions;
+
+
+ CM-7(1)(a)[2][b]
+ ports;
+
+
+ CM-7(1)(a)[2][c]
+ protocols; and/or
+
+
+ CM-7(1)(a)[2][d]
+ services;
+
+
+
+
+ CM-7(1)(b)
+
+ CM-7(1)(b)[1]
+ defines, within the information system, unnecessary and/or nonsecure:
+
+ CM-7(1)(b)[1][a]
+ functions;
+
+
+ CM-7(1)(b)[1][b]
+ ports;
+
+
+ CM-7(1)(b)[1][c]
+ protocols; and/or
+
+
+ CM-7(1)(b)[1][d]
+ services;
+
+
+
+ CM-7(1)(b)[2]
+ disables organization-defined unnecessary and/or nonsecure:
+
+ CM-7(1)(b)[2][a]
+ functions;
+
+
+ CM-7(1)(b)[2][b]
+ ports;
+
+
+ CM-7(1)(b)[2][c]
+ protocols; and/or
+
+
+ CM-7(1)(b)[2][d]
+ services.
+
+
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing least functionality in the information system
+ configuration management plan
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ security configuration checklists
+ documented reviews of functions, ports, protocols, and/or services
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the information system
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for reviewing/disabling nonsecure functions, ports, protocols, and/or services
+ automated mechanisms implementing review and disabling of nonsecure functions, ports, protocols, and/or services
+
+
+
+ PREVENT PROGRAM EXECUTION
+ CM-7 (2)
+ MODERATE
+ HIGH
+
+
The information system prevents program execution in accordance with [Selection (one or more): organization-defined policies regarding software program usage and restrictions; rules authorizing the terms and conditions of software program usage].
+
+
+ CM-8
+ PM-5
+
+
+ Determine if:
+
+ CM-7(2)[1]
+ the organization defines policies regarding software program usage and restrictions;
+
+
+ CM-7(2)[2]
+ the information system prevents program execution in accordance with one or more of the following:
+
+ CM-7(2)[2][a]
+ organization-defined policies regarding program usage and restrictions; and/or
+
+
+ CM-7(2)[2][b]
+ rules authorizing the terms and conditions of software program usage.
+
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing least functionality in the information system
+ configuration management plan
+ security plan
+ information system design documentation
+ specifications for preventing software program execution
+ information system configuration settings and associated documentation
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Organizational processes preventing program execution on the information system
+ organizational processes for software program usage and restrictions
+ automated mechanisms preventing program execution on the information system
+ automated mechanisms supporting and/or implementing software program usage and restrictions
+
+
+
+ REGISTRATION COMPLIANCE
+ CM-7 (3)
+
+
The organization ensures compliance with organization-defined registration requirements for functions, ports, protocols, and services.
+
+
+
Organizations use the registration process to manage, track, and provide oversight for information systems and implemented functions, ports, protocols, and services.
+
+
+ Determine if the organization:
+
+ CM-7(3)[1]
+ defines registration requirements for:
+
+ CM-7(3)[1][a]
+ functions;
+
+
+ CM-7(3)[1][b]
+ ports;
+
+
+ CM-7(3)[1][c]
+ protocols; and/or
+
+
+ CM-7(3)[1][d]
+ services;
+
+
+
+ CM-7(3)[2]
+ ensures compliance with organization-defined registration requirements for:
+
+ CM-7(3)[2][a]
+ functions;
+
+
+ CM-7(3)[2][b]
+ ports;
+
+
+ CM-7(3)[2][c]
+ protocols; and/or
+
+
+ CM-7(3)[2][d]
+ services.
+
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing least functionality in the information system
+ configuration management plan
+ security plan
+ information system configuration settings and associated documentation
+ audit and compliance reviews
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes ensuring compliance with registration requirements for functions, ports, protocols, and/or services
+ automated mechanisms implementing compliance with registration requirements for functions, ports, protocols, and/or services
+
+
+
+ UNAUTHORIZED SOFTWARE / BLACKLISTING
+ CM-7 (4)
+ MODERATE
+
+
The organization:
+
+ CM-7 (4)(a)
+
Identifies organization-defined software programs not authorized to execute on the information system;
+
+
+ CM-7 (4)(b)
+
Employs an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the information system; and
+
+
+ CM-7 (4)(c)
+
Reviews and updates the list of unauthorized software programs organization-defined frequency.
+
+
+
+
The process used to identify software programs that are not authorized to execute on organizational information systems is commonly referred to as blacklisting. Organizations can implement CM-7 (5) instead of this control enhancement if whitelisting (the stronger of the two policies) is the preferred approach for restricting software program execution.
+ CM-6
+ CM-8
+ PM-5
+
+
+ Determine if the organization:
+
+ CM-7(4)(a)
+ Identifies/defines software programs not authorized to execute on the information system;
+
+
+ CM-7(4)(b)
+ employs an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the information system;
+
+
+ CM-7(4)(c)
+
+ CM-7(4)(c)[1]
+ defines the frequency to review and update the list of unauthorized software programs on the information system; and
+
+
+ CM-7(4)(c)[2]
+ reviews and updates the list of unauthorized software programs with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing least functionality in the information system
+ configuration management plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of software programs not authorized to execute on the information system
+ security configuration checklists
+ review and update records associated with list of unauthorized software programs
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for identifying software not authorized to execute on the information system
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational process for identifying, reviewing, and updating programs not authorized to execute on the information system
+ organizational process for implementing blacklisting
+ automated mechanisms supporting and/or implementing blacklisting
+
+
+
+ AUTHORIZED SOFTWARE / WHITELISTING
+ CM-7 (5)
+ HIGH
+
+
The organization:
+
+ CM-7 (5)(a)
+
Identifies organization-defined software programs authorized to execute on the information system;
+
+
+ CM-7 (5)(b)
+
Employs a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system; and
+
+
+ CM-7 (5)(c)
+
Reviews and updates the list of authorized software programs organization-defined frequency.
+
+
+
+
The process used to identify software programs that are authorized to execute on organizational information systems is commonly referred to as whitelisting. In addition to whitelisting, organizations consider verifying the integrity of white-listed software programs using, for example, cryptographic checksums, digital signatures, or hash functions. Verification of white-listed software can occur either prior to execution or at system startup.
+ CM-2
+ CM-6
+ CM-8
+ PM-5
+ SA-10
+ SC-34
+ SI-7
+
+
+ Determine if the organization:
+
+ CM-7(5)(a)
+ Identifies/defines software programs authorized to execute on the information system;
+
+
+ CM-7(5)(b)
+ employs a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system;
+
+
+ CM-7(5)(c)
+
+ CM-7(5)(c)[1]
+ defines the frequency to review and update the list of authorized software programs on the information system; and
+
+
+ CM-7(5)(c)[2]
+ reviews and updates the list of authorized software programs with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing least functionality in the information system
+ configuration management plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of software programs authorized to execute on the information system
+ security configuration checklists
+ review and update records associated with list of authorized software programs
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for identifying software authorized to execute on the information system
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational process for identifying, reviewing, and updating programs authorized to execute on the information system
+ organizational process for implementing whitelisting
+ automated mechanisms implementing whitelisting
+
+
+
+ Determine if the organization:
+
+ CM-7(a)
+ configures the information system to provide only essential capabilities;
+
+
+ CM-7(b)
+
+ CM-7(b)[1]
+ defines prohibited or restricted:
+
+ CM-7(b)[1][a]
+ functions;
+
+
+ CM-7(b)[1][b]
+ ports;
+
+
+ CM-7(b)[1][c]
+ protocols; and/or
+
+
+ CM-7(b)[1][d]
+ services;
+
+
+
+ CM-7(b)[2]
+ prohibits or restricts the use of organization-defined:
+
+ CM-7(b)[2][a]
+ functions;
+
+
+ CM-7(b)[2][b]
+ ports;
+
+
+ CM-7(b)[2][c]
+ protocols; and/or
+
+
+ CM-7(b)[2][d]
+ services.
+
+
+
+
+
+ EXAMINE
+ Configuration management policy
+ configuration management plan
+ procedures addressing least functionality in the information system
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ security configuration checklists
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security configuration management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes prohibiting or restricting functions, ports, protocols, and/or services
+ automated mechanisms implementing restrictions or prohibition of functions, ports, protocols, and/or services
+
+
+
+ DoD Instruction 8551.01
+
+
+
+
+ INFORMATION SYSTEM COMPONENT INVENTORY
+ CM-8
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CM-8a.
+
Develops and documents an inventory of information system components that:
+
+ CM-8a.1.
+
Accurately reflects the current information system;
+
+
+ CM-8a.2.
+
Includes all components within the authorization boundary of the information system;
+
+
+ CM-8a.3.
+
Is at the level of granularity deemed necessary for tracking and reporting; and
+
+
+ CM-8a.4.
+
Includes organization-defined information deemed necessary to achieve effective information system component accountability; and
+
+
+
+ CM-8b.
+
Reviews and updates the information system component inventory organization-defined frequency.
+
+
+
+
Organizations may choose to implement centralized information system component inventories that include components from all organizational information systems. In such situations, organizations ensure that the resulting inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner). Information deemed necessary for effective accountability of information system components includes, for example, hardware inventory specifications, software license information, software version numbers, component owners, and for networked components or devices, machine names and network addresses. Inventory specifications include, for example, manufacturer, device type, model, serial number, and physical location.
The organization updates the inventory of information system components as an integral part of component installations, removals, and information system updates.
+
+
+ Determine if the organization updates the inventory of information system components as an integral part of:
+
+ CM-8(1)[1]
+ component installations;
+
+
+ CM-8(1)[2]
+ component removals; and
+
+
+ CM-8(1)[3]
+ information system updates.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing information system component inventory
+ configuration management plan
+ security plan
+ information system inventory records
+ inventory reviews and update records
+ component installation records
+ component removal records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for updating the information system component inventory
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for updating inventory of information system components
+ automated mechanisms implementing updating of the information system component inventory
+
+
+
+ AUTOMATED MAINTENANCE
+ CM-8 (2)
+ HIGH
+
+
The organization employs automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of information system components.
+
+
+
Organizations maintain information system inventories to the extent feasible. Virtual machines, for example, can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. This control enhancement can be satisfied by the implementation of CM-2 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.
+ SI-7
+
+
+ Determine if the organization employs automated mechanisms to maintain an inventory of information system components that is:
+
+ CM-8(2)[1]
+ up-to-date;
+
+
+ CM-8(2)[2]
+ complete;
+
+
+ CM-8(2)[3]
+ accurate; and
+
+
+ CM-8(2)[4]
+ readily available.
+
+
+
+ EXAMINE
+ Configuration management policy
+ configuration management plan
+ procedures addressing information system component inventory
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system inventory records
+ change control records
+ information system maintenance records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for managing the automated mechanisms implementing the information system component inventory
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Organizational processes for maintaining the inventory of information system components
+ automated mechanisms implementing the information system component inventory
+
+
+
+ AUTOMATED UNAUTHORIZED COMPONENT DETECTION
+ CM-8 (3)
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CM-8 (3)(a)
+
Employs automated mechanisms organization-defined frequency to detect the presence of unauthorized hardware, software, and firmware components within the information system; and
+
+
+ CM-8 (3)(b)
+
Takes the following actions when unauthorized components are detected: [Selection (one or more): disables network access by such components; isolates the components; notifies organization-defined personnel or roles].
+
+
+
+
This control enhancement is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms can be implemented within information systems or in other separate devices. Isolation can be achieved, for example, by placing unauthorized information system components in separate domains or subnets or otherwise quarantining such components. This type of component isolation is commonly referred to as sandboxing.
+ AC-17
+ AC-18
+ AC-19
+ CA-7
+ SI-3
+ SI-4
+ SI-7
+ RA-5
+
+
+ Determine if the organization:
+
+ CM-8(3)(a)
+
+ CM-8(3)(a)[1]
+ defines the frequency to employ automated mechanisms to detect the presence of unauthorized:
+
+ CM-8(3)(a)[1][a]
+ hardware components within the information system;
+
+
+ CM-8(3)(a)[1][b]
+ software components within the information system;
+
+
+ CM-8(3)(a)[1][c]
+ firmware components within the information system;
+
+
+
+ CM-8(3)(a)[2]
+ employs automated mechanisms with the organization-defined frequency to detect the presence of unauthorized:
+
+ CM-8(3)(a)[2][a]
+ hardware components within the information system;
+
+
+ CM-8(3)(a)[2][b]
+ software components within the information system;
+
+
+ CM-8(3)(a)[2][c]
+ firmware components within the information system;
+
+
+
+
+ CM-8(3)(b)
+
+ CM-8(3)(b)[1]
+ defines personnel or roles to be notified when unauthorized components are detected;
+
+
+ CM-8(3)(b)[2]
+ takes one or more of the following actions when unauthorized components are detected:
+
+ CM-8(3)(b)[2][a]
+ disables network access by such components;
+
+
+ CM-8(3)(b)[2][b]
+ isolates the components; and/or
+
+
+ CM-8(3)(b)[2][c]
+ notifies organization-defined personnel or roles.
+
+
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing information system component inventory
+ configuration management plan
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system inventory records
+ alerts/notifications of unauthorized components within the information system
+ information system monitoring records
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized information system component detection
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Organizational processes for detection of unauthorized information system components
+ automated mechanisms implementing the detection of unauthorized information system components
+
+
+
+ ACCOUNTABILITY INFORMATION
+ CM-8 (4)
+ HIGH
+
+
The organization includes in the information system component inventory information, a means for identifying by [Selection (one or more): name; position; role], individuals responsible/accountable for administering those components.
+
+
+
Identifying individuals who are both responsible and accountable for administering information system components helps to ensure that the assigned components are properly administered and organizations can contact those individuals if some action is required (e.g., component is determined to be the source of a breach/compromise, component needs to be recalled/replaced, or component needs to be relocated).
+
+
+ Determine if the organization includes in the information system component inventory for information system components, a means for identifying the individuals responsible and accountable for administering those components by one or more of the following:
+
+ CM-8(4)[1]
+ name;
+
+
+ CM-8(4)[2]
+ position; and/or
+
+
+ CM-8(4)[3]
+ role.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing information system component inventory
+ configuration management plan
+ security plan
+ information system inventory records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for managing the information system component inventory
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for maintaining the inventory of information system components
+ automated mechanisms implementing the information system component inventory
+
+
+
+ NO DUPLICATE ACCOUNTING OF COMPONENTS
+ CM-8 (5)
+ MODERATE
+ HIGH
+
+
The organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system component inventories.
+
+
+
This control enhancement addresses the potential problem of duplicate accounting of information system components in large or complex interconnected systems.
+
+
+ Determine if the organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system inventories.
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing information system component inventory
+ configuration management plan
+ security plan
+ information system inventory records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system inventory responsibilities
+ organizational personnel with responsibilities for defining information system components within the authorization boundary of the system
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for maintaining the inventory of information system components
+ automated mechanisms implementing the information system component inventory
+
+
+
+ ASSESSED CONFIGURATIONS / APPROVED DEVIATIONS
+ CM-8 (6)
+
+
The organization includes assessed component configurations and any approved deviations to current deployed configurations in the information system component inventory.
+
+
+
This control enhancement focuses on configuration settings established by organizations for information system components, the specific components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings.
+ CM-2
+ CM-6
+
+
+ Determine if the organization includes in the information system component inventory:
+
+ CM-8(6)[1]
+ assessed component configurations; and
+
+
+ CM-8(6)[2]
+ any approved deviations to current deployed configurations.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing information system component inventory
+ configuration management plan
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system inventory records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with inventory management and assessment responsibilities for information system components
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for maintaining the inventory of information system components
+ automated mechanisms implementing the information system component inventory
+
+
+
+ CENTRALIZED REPOSITORY
+ CM-8 (7)
+
+
The organization provides a centralized repository for the inventory of information system components.
+
+
+
Organizations may choose to implement centralized information system component inventories that include components from all organizational information systems. Centralized repositories of information system component inventories provide opportunities for efficiencies in accounting for organizational hardware, software, and firmware assets. Such repositories may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions. Organizations ensure that the resulting centralized inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner).
+
+
+ Determine if the organization provides a centralized repository for the inventory of information system components.
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing information system component inventory
+ configuration management plan
+ information system design documentation
+ information system inventory repository
+ information system inventory records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with inventory management responsibilities for information system components
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms implementing the information system component inventory in a centralized repository
+
+
+
+ AUTOMATED LOCATION TRACKING
+ CM-8 (8)
+
+
The organization employs automated mechanisms to support tracking of information system components by geographic location.
+
+
+
The use of automated mechanisms to track the location of information system components can increase the accuracy of component inventories. Such capability may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions.
+
+
+ Determine if the organization employs automated mechanisms to support tracking of information system components by geographic location.
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing information system component inventory
+ configuration management plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system inventory records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with inventory management responsibilities for information system components
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing the information system component inventory
+ automated mechanisms supporting tracking of information system components by geographic location
+
+
+
+ ASSIGNMENT OF COMPONENTS TO SYSTEMS
+ CM-8 (9)
+
+
The organization:
+
+ CM-8 (9)(a)
+
Assigns organization-defined acquired information system components to an information system; and
+
+
+ CM-8 (9)(b)
+
Receives an acknowledgement from the information system owner of this assignment.
+
+
+
+
Organizations determine the criteria for or types of information system components (e.g., microprocessors, motherboards, software, programmable logic controllers, and network devices) that are subject to this control enhancement.
+ SA-4
+
+
+ Determine if the organization:
+
+ CM-8(9)(a)
+
+ CM-8(9)(a)[1]
+ defines acquired information system components to be assigned to an information system; and
+
+
+ CM-8(9)(a)[2]
+ assigns organization-defined acquired information system components to an information system; and
+
+
+
+ CM-8(9)(b)
+ receives an acknowledgement from the information system owner of the assignment.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing information system component inventory
+ configuration management plan
+ security plan
+ information system design documentation
+ acknowledgements of information system component assignments
+ information system inventory records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with inventory management responsibilities for information system components
+ information system owner
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for assigning components to systems
+ organizational processes for acknowledging assignment of components to systems
+ automated mechanisms implementing assignment of acquired components to the information system
+ automated mechanisms implementing acknowledgment of assignment of acquired components to the information system
+
+
+
+ Determine if the organization:
+
+ CM-8(a)
+
+ CM-8(a)(1)
+ develops and documents an inventory of information system components that accurately reflects the current information system;
+
+
+ CM-8(a)(2)
+ develops and documents an inventory of information system components that includes all components within the authorization boundary of the information system;
+
+
+ CM-8(a)(3)
+ develops and documents an inventory of information system components that is at the level of granularity deemed necessary for tracking and reporting;
+
+
+ CM-8(a)(4)
+
+ CM-8(a)(4)[1]
+ defines the information deemed necessary to achieve effective information system component accountability;
+
+
+ CM-8(a)(4)[2]
+ develops and documents an inventory of information system components that includes organization-defined information deemed necessary to achieve effective information system component accountability;
+
+
+
+
+ CM-8(b)
+
+ CM-8(b)[1]
+ defines the frequency to review and update the information system component inventory; and
+
+
+ CM-8(b)[2]
+ reviews and updates the information system component inventory with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing information system component inventory
+ configuration management plan
+ security plan
+ information system inventory records
+ inventory reviews and update records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for information system component inventory
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for developing and documenting an inventory of information system components
+ automated mechanisms supporting and/or implementing the information system component inventory
+
+
+
+ NIST Special Publication 800-128
+
+
+
+
+ CONFIGURATION MANAGEMENT PLAN
+ CM-9
+ P1
+ MODERATE
+ HIGH
+
+
The organization develops, documents, and implements a configuration management plan for the information system that:
+
+ CM-9a.
+
Addresses roles, responsibilities, and configuration management processes and procedures;
+
+
+ CM-9b.
+
Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;
+
+
+ CM-9c.
+
Defines the configuration items for the information system and places the configuration items under configuration management; and
+
+
+ CM-9d.
+
Protects the configuration management plan from unauthorized disclosure and modification.
+
+
+
+
Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual information systems. Such plans define detailed processes and procedures for how configuration management is used to support system development life cycle activities at the information system level. Configuration management plans are typically developed during the development/acquisition phase of the system development life cycle. The plans describe how to move changes through change management processes, how to update configuration settings and baselines, how to maintain information system component inventories, how to control development, test, and operational environments, and how to develop, release, and update key documents. Organizations can employ templates to help ensure consistent and timely development and implementation of configuration management plans. Such templates can represent a master configuration management plan for the organization at large with subsets of the plan implemented on a system by system basis. Configuration management approval processes include designation of key management stakeholders responsible for reviewing and approving proposed changes to information systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the information system items (hardware, software, firmware, and documentation) to be configuration-managed. As information systems continue through the system development life cycle, new configuration items may be identified and some existing configuration items may no longer need to be under configuration control.
The organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in information system development.
+
+
+
In the absence of dedicated configuration management teams assigned within organizations, system developers may be tasked to develop configuration management processes using personnel who are not directly involved in system development or integration. This separation of duties ensures that organizations establish and maintain a sufficient degree of independence between the information system development and integration processes and configuration management processes to facilitate quality control and more effective oversight.
+
+
+ Determine if the organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in information system development.
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing responsibilities for configuration management process development
+ configuration management plan
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for configuration management process development
+ organizational personnel with information security responsibilities
+
+
+
+ Determine if the organization develops, documents, and implements a configuration management plan for the information system that:
+
+ CM-9(a)
+
+ CM-9(a)[1]
+ addresses roles;
+
+
+ CM-9(a)[2]
+ addresses responsibilities;
+
+
+ CM-9(a)[3]
+ addresses configuration management processes and procedures;
+
+
+
+ CM-9(b)
+ establishes a process for:
+
+ CM-9(b)[1]
+ identifying configuration items throughout the SDLC;
+
+
+ CM-9(b)[2]
+ managing the configuration of the configuration items;
+
+
+
+ CM-9(c)
+
+ CM-9(c)[1]
+ defines the configuration items for the information system;
+
+
+ CM-9(c)[2]
+ places the configuration items under configuration management;
+
+
+
+ CM-9(d)
+ protects the configuration management plan from unauthorized:
+
+ CM-9(d)[1]
+ disclosure; and
+
+
+ CM-9(d)[2]
+ modification.
+
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing configuration management planning
+ configuration management plan
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for developing the configuration management plan
+ organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan
+ organizational personnel with responsibilities for protecting the configuration management plan
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for developing and documenting the configuration management plan
+ organizational processes for identifying and managing configuration items
+ organizational processes for protecting the configuration management plan
+ automated mechanisms implementing the configuration management plan
+ automated mechanisms for managing configuration items
+ automated mechanisms for protecting the configuration management plan
+
+
+
+ NIST Special Publication 800-128
+
+
+
+
+ SOFTWARE USAGE RESTRICTIONS
+ CM-10
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CM-10a.
+
Uses software and associated documentation in accordance with contract agreements and copyright laws;
+
+
+ CM-10b.
+
Tracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and
+
+
+ CM-10c.
+
Controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.
+
+
+
+
Software license tracking can be accomplished by manual methods (e.g., simple spreadsheets) or automated methods (e.g., specialized tracking applications) depending on organizational needs.
The organization establishes the following restrictions on the use of open source software: organization-defined restrictions.
+
+
+
Open source software refers to software that is available in source code form. Certain software rights normally reserved for copyright holders are routinely provided under software license agreements that permit individuals to study, change, and improve the software. From a security perspective, the major advantage of open source software is that it provides organizations with the ability to examine the source code. However, there are also various licensing issues associated with open source software including, for example, the constraints on derivative use of such software.
+
+
+ Determine if the organization:
+
+ CM-10(1)[1]
+ defines restrictions on the use of open source software; and
+
+
+ CM-10(1)[2]
+ establishes organization-defined restrictions on the use of open source software.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing restrictions on use of open source software
+ configuration management plan
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for establishing and enforcing restrictions on use of open source software
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational process for restricting the use of open source software
+ automated mechanisms implementing restrictions on the use of open source software
+
+
+
+ Determine if the organization:
+
+ CM-10(a)
+ uses software and associated documentation in accordance with contract agreements and copyright laws;
+
+
+ CM-10(b)
+ tracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and
+
+
+ CM-10(c)
+ controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing software usage restrictions
+ configuration management plan
+ security plan
+ software contract agreements and copyright laws
+ site license documentation
+ list of software usage restrictions
+ software license tracking reports
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+ organizational personnel operating, using, and/or maintaining the information system
+ organizational personnel with software license management responsibilities
+
+
+ TEST
+ Organizational process for tracking the use of software protected by quantity licenses
+ organization process for controlling/documenting the use of peer-to-peer file sharing technology
+ automated mechanisms implementing software license tracking
+ automated mechanisms implementing and controlling the use of peer-to-peer files sharing technology
+
+
+
+ USER-INSTALLED SOFTWARE
+ CM-11
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CM-11a.
+
Establishes organization-defined policies governing the installation of software by users;
+
+
+ CM-11b.
+
Enforces software installation policies through organization-defined methods; and
+
+
+ CM-11c.
+
Monitors policy compliance at organization-defined frequency.
+
+
+
+
If provided the necessary privileges, users have the ability to install software in organizational information systems. To maintain control over the types of software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations may include, for example, updates and security patches to existing software and downloading applications from organization-approved �app stores.� Prohibited software installations may include, for example, software with unknown or suspect pedigrees or software that organizations consider potentially malicious. The policies organizations select governing user-installed software may be organization-developed or provided by some external entity. Policy enforcement methods include procedural methods (e.g., periodic examination of user accounts), automated methods (e.g., configuration settings implemented on organizational information systems), or both.
The information system alerts organization-defined personnel or roles when the unauthorized installation of software is detected.
+
+
+ CA-7
+ SI-4
+
+
+ Determine if:
+
+ CM-11(1)[1]
+ the organization defines personnel or roles to be alerted when the unauthorized installation of software is detected; and
+
+
+ CM-11(1)[2]
+ the information system alerts organization-defined personnel or roles when the unauthorized installation of software is detected.
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing user installed software
+ configuration management plan
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for governing user-installed software
+ organizational personnel operating, using, and/or maintaining the information system
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Organizational processes governing user-installed software on the information system
+ automated mechanisms for alerting personnel/roles when unauthorized installation of software is detected
+
+
+
+ PROHIBIT INSTALLATION WITHOUT PRIVILEGED STATUS
+ CM-11 (2)
+
+
The information system prohibits user installation of software without explicit privileged status.
+
+
+
Privileged status can be obtained, for example, by serving in the role of system administrator.
+ AC-6
+
+
+ Determine if the information system prohibits user installation of software without explicit privileged status.
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing user installed software
+ configuration management plan
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ alerts/notifications of unauthorized software installations
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for governing user-installed software
+ organizational personnel operating, using, and/or maintaining the information system
+
+
+ TEST
+ Organizational processes governing user-installed software on the information system
+ automated mechanisms for prohibiting installation of software without privileged status (e.g., access controls)
+
+
+
+ Determine if the organization:
+
+ CM-11(a)
+
+ CM-11(a)[1]
+ defines policies to govern the installation of software by users;
+
+
+ CM-11(a)[2]
+ establishes organization-defined policies governing the installation of software by users;
+
+
+
+ CM-11(b)
+
+ CM-11(b)[1]
+ defines methods to enforce software installation policies;
+
+
+ CM-11(b)[2]
+ enforces software installation policies through organization-defined methods;
+
+
+
+ CM-11(c)
+
+ CM-11(c)[1]
+ defines frequency to monitor policy compliance; and
+
+
+ CM-11(c)[2]
+ monitors policy compliance at organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Configuration management policy
+ procedures addressing user installed software
+ configuration management plan
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of rules governing user installed software
+ information system monitoring records
+ information system audit records
+ other relevant documents or records
+ continuous monitoring strategy
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for governing user-installed software
+ organizational personnel operating, using, and/or maintaining the information system
+ organizational personnel monitoring compliance with user-installed software policy
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes governing user-installed software on the information system
+ automated mechanisms enforcing rules/methods for governing the installation of software by users
+ automated mechanisms monitoring policy compliance
+
+
+
+
+ CONTINGENCY PLANNING
+
+ CONTINGENCY PLANNING POLICY AND PROCEDURES
+ CP-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CP-1a.
+
Develops, documents, and disseminates to organization-defined personnel or roles:
+
+ CP-1a.1.
+
A contingency planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ CP-1a.2.
+
Procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls; and
+
+
+
+ CP-1b.
+
Reviews and updates the current:
+
+ CP-1b.1.
+
Contingency planning policy organization-defined frequency; and
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+ Determine if:
+
+ CP-1(a)(1)
+
+ CP-1(a)(1)[1]
+ the organization develops and documents a contingency planning policy that addresses:
+
+ CP-1(a)(1)[1][a]
+ purpose;
+
+
+ CP-1(a)(1)[1][b]
+ scope;
+
+
+ CP-1(a)(1)[1][c]
+ roles;
+
+
+ CP-1(a)(1)[1][d]
+ responsibilities;
+
+
+ CP-1(a)(1)[1][e]
+ management commitment;
+
+
+ CP-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ CP-1(a)(1)[1][g]
+ compliance;
+
+
+
+ CP-1(a)(1)[2]
+ the organization defines personnel or roles to whom the contingency planning policy is to be disseminated;
+
+
+ CP-1(a)(1)[3]
+ the organization disseminates the contingency planning policy to organization-defined personnel or roles;
+
+
+
+ CP-1(a)(2)
+
+ CP-1(a)(2)[1]
+ the organization develops and documents procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls;
+
+
+ CP-1(a)(2)[2]
+ the organization defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ CP-1(a)(2)[3]
+ the organization disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ CP-1(b)(1)
+
+ CP-1(b)(1)[1]
+ the organization defines the frequency to review and update the current contingency planning policy;
+
+
+ CP-1(b)(1)[2]
+ the organization reviews and updates the current contingency planning with the organization-defined frequency;
+
+
+
+ CP-1(b)(2)
+
+ CP-1(b)(2)[1]
+ the organization defines the frequency to review and update the current contingency planning procedures; and
+
+
+ CP-1(b)(2)[2]
+ the organization reviews and updates the current contingency planning procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Contingency planning policy and procedures
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency planning responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ Federal Continuity Directive 1
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-34
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ CONTINGENCY PLAN
+ CP-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CP-2a.
+
Develops a contingency plan for the information system that:
+
+ CP-2a.1.
+
Identifies essential missions and business functions and associated contingency requirements;
+
+
+ CP-2a.2.
+
Provides recovery objectives, restoration priorities, and metrics;
+
+
+ CP-2a.3.
+
Addresses contingency roles, responsibilities, assigned individuals with contact information;
+
+
+ CP-2a.4.
+
Addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;
+
+
+ CP-2a.5.
+
Addresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented; and
+
+
+ CP-2a.6.
+
Is reviewed and approved by organization-defined personnel or roles;
+
+
+
+ CP-2b.
+
Distributes copies of the contingency plan to organization-defined key contingency personnel (identified by name and/or by role) and organizational elements;
+
+
+ CP-2c.
+
Coordinates contingency planning activities with incident handling activities;
+
+
+ CP-2d.
+
Reviews the contingency plan for the information system organization-defined frequency;
+
+
+ CP-2e.
+
Updates the contingency plan to address changes to the organization, information system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;
+
+
+ CP-2f.
+
Communicates contingency plan changes to organization-defined key contingency personnel (identified by name and/or by role) and organizational elements; and
+
+
+ CP-2g.
+
Protects the contingency plan from unauthorized disclosure and modification.
+
+
+
+
Contingency planning for information systems is part of an overall organizational program for achieving continuity of operations for mission/business functions. Contingency planning addresses both information system restoration and implementation of alternative mission/business processes when systems are compromised. The effectiveness of contingency planning is maximized by considering such planning throughout the phases of the system development life cycle. Performing contingency planning on hardware, software, and firmware development can be an effective means of achieving information system resiliency. Contingency plans reflect the degree of restoration required for organizational information systems since not all systems may need to fully recover to achieve the level of continuity of operations desired. Information system recovery objectives reflect applicable laws, Executive Orders, directives, policies, standards, regulations, and guidelines. In addition to information system availability, contingency plans also address other security-related events resulting in a reduction in mission and/or business effectiveness, such as malicious attacks compromising the confidentiality or integrity of information systems. Actions addressed in contingency plans include, for example, orderly/graceful degradation, information system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By closely coordinating contingency planning with incident handling activities, organizations can ensure that the necessary contingency planning activities are in place and activated in the event of a security incident.
The organization coordinates contingency plan development with organizational elements responsible for related plans.
+
+
+
Plans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant Emergency Plans.
+
+
+ Determine if the organization coordinates contingency plan development with organizational elements responsible for related plans.
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing contingency operations for the information system
+ contingency plan
+ business contingency plans
+ disaster recovery plans
+ continuity of operations plans
+ crisis communications plans
+ critical infrastructure plans
+ cyber incident response plan
+ insider threat implementation plans
+ occupant emergency plans
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency planning and plan implementation responsibilities
+ organizational personnel with information security responsibilities
+ personnel with responsibility for related plans
+
+
+
+ CAPACITY PLANNING
+ CP-2 (2)
+ HIGH
+
+
The organization conducts capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.
+
+
+
Capacity planning is needed because different types of threats (e.g., natural disasters, targeted cyber attacks) can result in a reduction of the available processing, telecommunications, and support services originally intended to support the organizational missions/business functions. Organizations may need to anticipate degraded operations during contingency operations and factor such degradation into capacity planning.
+
+
+ Determine if the organization conducts capacity planning so that necessary capacity exists during contingency operations for:
+
+ CP-2(2)[1]
+ information processing;
+
+
+ CP-2(2)[2]
+ telecommunications; and
+
+
+ CP-2(2)[3]
+ environmental support.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing contingency operations for the information system
+ contingency plan
+ capacity planning documents
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency planning and plan implementation responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ RESUME ESSENTIAL MISSIONS / BUSINESS FUNCTIONS
+ CP-2 (3)
+ MODERATE
+ HIGH
+
+
The organization plans for the resumption of essential missions and business functions within organization-defined time period of contingency plan activation.
+
+
+
Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time period for resumption of essential missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.
+ PE-12
+
+
+ Determine if the organization:
+
+ CP-2(3)[1]
+ defines the time period to plan for the resumption of essential missions and business functions as a result of contingency plan activation; and
+
+
+ CP-2(3)[2]
+ plans for the resumption of essential missions and business functions within organization-defined time period of contingency plan activation.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing contingency operations for the information system
+ contingency plan
+ security plan
+ business impact assessment
+ other related plans
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency planning and plan implementation responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for resumption of missions and business functions
+
+
+
+ RESUME ALL MISSIONS / BUSINESS FUNCTIONS
+ CP-2 (4)
+ HIGH
+
+
The organization plans for the resumption of all missions and business functions within organization-defined time period of contingency plan activation.
+
+
+
Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time period for resumption of all missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.
+ PE-12
+
+
+ Determine if the organization:
+
+ CP-2(4)[1]
+ defines the time period to plan for the resumption of all missions and business functions as a result of contingency plan activation; and
+
+
+ CP-2(4)[2]
+ plans for the resumption of all missions and business functions within organization-defined time period of contingency plan activation.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing contingency operations for the information system
+ contingency plan
+ security plan
+ business impact assessment
+ other related plans
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency planning and plan implementation responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for resumption of missions and business functions
+
+
+
+ CONTINUE ESSENTIAL MISSIONS / BUSINESS FUNCTIONS
+ CP-2 (5)
+ HIGH
+
+
The organization plans for the continuance of essential missions and business functions with little or no loss of operational continuity and sustains that continuity until full information system restoration at primary processing and/or storage sites.
+
+
+
Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency (e.g., backup sites may become primary sites).
+ PE-12
+
+
+ Determine if the organization:
+
+ CP-2(5)[1]
+ plans for the continuance of essential missions and business functions with little or no loss of operational continuity; and
+
+
+ CP-2(5)[2]
+ sustains that operational continuity until full information system restoration at primary processing and/or storage sites.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing contingency operations for the information system
+ contingency plan
+ business impact assessment
+ primary processing site agreements
+ primary storage site agreements
+ alternate processing site agreements
+ alternate storage site agreements
+ contingency plan test documentation
+ contingency plan test results
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency planning and plan implementation responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for continuing missions and business functions
+
+
+
+ ALTERNATE PROCESSING / STORAGE SITE
+ CP-2 (6)
+
+
The organization plans for the transfer of essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity and sustains that continuity through information system restoration to primary processing and/or storage sites.
+
+
+
Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency (e.g., backup sites may become primary sites).
+ PE-12
+
+
+ Determine if the organization:
+
+ CP-2(6)[1]
+ plans for the transfer of essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity; and
+
+
+ CP-2(6)[2]
+ sustains that operational continuity through information system restoration to primary processing and/or storage sites.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing contingency operations for the information system
+ contingency plan
+ business impact assessment
+ alternate processing site agreements
+ alternate storage site agreements
+ contingency plan testing documentation
+ contingency plan test results
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency planning and plan implementation responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for transfer of essential missions and business functions to alternate processing/storage sites
+
+
+
+ COORDINATE WITH EXTERNAL SERVICE PROVIDERS
+ CP-2 (7)
+
+
The organization coordinates its contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.
+
+
+
When the capability of an organization to successfully carry out its core missions/business functions is dependent on external service providers, developing a timely and comprehensive contingency plan may become more challenging. In this situation, organizations coordinate contingency planning activities with the external entities to ensure that the individual plans reflect the overall contingency needs of the organization.
+ SA-9
+
+
+ Determine if the organization coordinates its contingency plan with the contingency plans of external service provides to ensure contingency requirements can be satisfied.
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing contingency operations for the information system
+ contingency plan
+ contingency plans of external
+ service providers
+ service level agreements
+ security plan
+ contingency plan requirements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency planning and plan implementation responsibilities
+ external service providers
+ organizational personnel with information security responsibilities
+
+
+
+ IDENTIFY CRITICAL ASSETS
+ CP-2 (8)
+ MODERATE
+ HIGH
+
+
The organization identifies critical information system assets supporting essential missions and business functions.
+
+
+
Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Organizations identify critical information system assets so that additional safeguards and countermeasures can be employed (above and beyond those safeguards and countermeasures routinely implemented) to help ensure that organizational missions/business functions can continue to be conducted during contingency operations. In addition, the identification of critical information assets facilitates the prioritization of organizational resources. Critical information system assets include technical and operational aspects. Technical aspects include, for example, information technology services, information system components, information technology products, and mechanisms. Operational aspects include, for example, procedures (manually executed operations) and personnel (individuals operating technical safeguards and/or executing manual procedures). Organizational program protection plans can provide assistance in identifying critical assets.
+ SA-14
+ SA-15
+
+
+ Determine if the organization identifies critical information system assets supporting essential missions and business functions.
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing contingency operations for the information system
+ contingency plan
+ business impact assessment
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency planning and plan implementation responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ Determine if the organization:
+
+ CP-2(a)
+ develops and documents a contingency plan for the information system that:
+
+ CP-2(a)(1)
+ identifies essential missions and business functions and associated contingency requirements;
+
+
+ CP-2(a)(2)
+
+ CP-2(a)(2)[1]
+ provides recovery objectives;
+
+
+ CP-2(a)(2)[2]
+ provides restoration priorities;
+
+
+ CP-2(a)(2)[3]
+ provides metrics;
+
+
+
+ CP-2(a)(3)
+
+ CP-2(a)(3)[1]
+ addresses contingency roles;
+
+
+ CP-2(a)(3)[2]
+ addresses contingency responsibilities;
+
+
+ CP-2(a)(3)[3]
+ addresses assigned individuals with contact information;
+
+
+
+ CP-2(a)(4)
+ addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;
+
+
+ CP-2(a)(5)
+ addresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented;
+
+
+ CP-2(a)(6)
+
+ CP-2(a)(6)[1]
+ defines personnel or roles to review and approve the contingency plan for the information system;
+
+
+ CP-2(a)(6)[2]
+ is reviewed and approved by organization-defined personnel or roles;
+
+
+
+
+ CP-2(b)
+
+ CP-2(b)[1]
+ defines key contingency personnel (identified by name and/or by role) and organizational elements to whom copies of the contingency plan are to be distributed;
+
+
+ CP-2(b)[2]
+ distributes copies of the contingency plan to organization-defined key contingency personnel and organizational elements;
+
+
+
+ CP-2(c)
+ coordinates contingency planning activities with incident handling activities;
+
+
+ CP-2(d)
+
+ CP-2(d)[1]
+ defines a frequency to review the contingency plan for the information system;
+
+
+ CP-2(d)[2]
+ reviews the contingency plan with the organization-defined frequency;
+
+
+
+ CP-2(e)
+ updates the contingency plan to address:
+
+ CP-2(e)[1]
+ changes to the organization, information system, or environment of operation;
+
+
+ CP-2(e)[2]
+ problems encountered during plan implementation, execution, and testing;
+
+
+
+ CP-2(f)
+
+ CP-2(f)[1]
+ defines key contingency personnel (identified by name and/or by role) and organizational elements to whom contingency plan changes are to be communicated;
+
+
+ CP-2(f)[2]
+ communicates contingency plan changes to organization-defined key contingency personnel and organizational elements; and
+
+
+
+ CP-2(g)
+ protects the contingency plan from unauthorized disclosure and modification.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing contingency operations for the information system
+ contingency plan
+ security plan
+ evidence of contingency plan reviews and updates
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency planning and plan implementation responsibilities
+ organizational personnel with incident handling responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for contingency plan development, review, update, and protection
+ automated mechanisms for developing, reviewing, updating and/or protecting the contingency plan
+
+
+
+ Federal Continuity Directive 1
+
+
+ NIST Special Publication 800-34
+
+
+
+
+ CONTINGENCY TRAINING
+ CP-3
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization provides contingency training to information system users consistent with assigned roles and responsibilities:
+
+ CP-3a.
+
Within organization-defined time period of assuming a contingency role or responsibility;
+
+
+ CP-3b.
+
When required by information system changes; and
+
+
+ CP-3c.
+
+ organization-defined frequency thereafter.
+
+
+
+
Contingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, regular users may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to set up information systems at alternate processing and storage sites; and managers/senior leaders may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles/responsibilities reflects the specific continuity requirements in the contingency plan.
The organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.
+
+
+ Determine if the organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing contingency training
+ contingency plan
+ contingency training curriculum
+ contingency training material
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency planning, plan implementation, and training responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for contingency training
+ automated mechanisms for simulating contingency events
+
+
+
+ AUTOMATED TRAINING ENVIRONMENTS
+ CP-3 (2)
+
+
The organization employs automated mechanisms to provide a more thorough and realistic contingency training environment.
+
+
+ Determine if the organization employs automated mechanisms to provide a more thorough and realistic contingency training environment.
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing contingency training
+ contingency plan
+ contingency training curriculum
+ contingency training material
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency planning, plan implementation, and training responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for contingency training
+ automated mechanisms for providing contingency training environments
+
+
+
+ Determine if the organization:
+
+ CP-3(a)
+
+ CP-3(a)[1]
+ defines a time period within which contingency training is to be provided to information system users assuming a contingency role or responsibility;
+
+
+ CP-3(a)[2]
+ provides contingency training to information system users consistent with assigned roles and responsibilities within the organization-defined time period of assuming a contingency role or responsibility;
+
+
+
+ CP-3(b)
+ provides contingency training to information system users consistent with assigned roles and responsibilities when required by information system changes;
+
+
+ CP-3(c)
+
+ CP-3(c)[1]
+ defines the frequency for contingency training thereafter; and
+
+
+ CP-3(c)[2]
+ provides contingency training to information system users consistent with assigned roles and responsibilities with the organization-defined frequency thereafter.
+
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing contingency training
+ contingency plan
+ contingency training curriculum
+ contingency training material
+ security plan
+ contingency training records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency planning, plan implementation, and training responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for contingency training
+
+
+
+ Federal Continuity Directive 1
+
+
+ NIST Special Publication 800-16
+
+
+ NIST Special Publication 800-50
+
+
+
+
+ CONTINGENCY PLAN TESTING
+ CP-4
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CP-4a.
+
Tests the contingency plan for the information system organization-defined frequency using organization-defined tests to determine the effectiveness of the plan and the organizational readiness to execute the plan;
+
+
+ CP-4b.
+
Reviews the contingency plan test results; and
+
+
+ CP-4c.
+
Initiates corrective actions, if needed.
+
+
+
+
Methods for testing contingency plans to determine the effectiveness of the plans and to identify potential weaknesses in the plans include, for example, walk-through and tabletop exercises, checklists, simulations (parallel, full interrupt), and comprehensive exercises. Organizations conduct testing based on the continuity requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals arising due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions.
+ CP-2
+ CP-3
+ IR-3
+
+
+ COORDINATE WITH RELATED PLANS
+ CP-4 (1)
+ MODERATE
+ HIGH
+
+
The organization coordinates contingency plan testing with organizational elements responsible for related plans.
+
+
+
Plans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. This control enhancement does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. It does require, however, that if such organizational elements are responsible for related plans, organizations should coordinate with those elements.
+ IR-8
+ PM-8
+
+
+ Determine if the organization coordinates contingency plan testing with organizational elements responsible for related plans.
+
+
+ EXAMINE
+ Contingency planning policy
+ incident response policy
+ procedures addressing contingency plan testing
+ contingency plan testing documentation
+ contingency plan
+ business continuity plans
+ disaster recovery plans
+ continuity of operations plans
+ crisis communications plans
+ critical infrastructure plans
+ cyber incident response plans
+ occupant emergency plans
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency plan testing responsibilities
+ organizational personnel
+ personnel with responsibilities for related plans
+ organizational personnel with information security responsibilities
+
+
+
+ ALTERNATE PROCESSING SITE
+ CP-4 (2)
+ HIGH
+
+
The organization tests the contingency plan at the alternate processing site:
+
+ CP-4 (2)(a)
+
To familiarize contingency personnel with the facility and available resources; and
+
+
+ CP-4 (2)(b)
+
To evaluate the capabilities of the alternate processing site to support contingency operations.
+
+
+
+ CP-7
+
+
+ Determine if the organization tests the contingency plan at the alternate processing site to:
+
+ CP-4(2)(a)
+ familiarize contingency personnel with the facility and available resources; and
+
+
+ CP-4(2)(b)
+ evaluate the capabilities of the alternate processing site to support contingency operations.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing contingency plan testing
+ contingency plan
+ contingency plan test documentation
+ contingency plan test results
+ alternate processing site agreements
+ service-level agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency planning and plan implementation responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for contingency plan testing
+ automated mechanisms supporting the contingency plan and/or contingency plan testing
+
+
+
+ AUTOMATED TESTING
+ CP-4 (3)
+
+
The organization employs automated mechanisms to more thoroughly and effectively test the contingency plan.
+
+
+
Automated mechanisms provide more thorough and effective testing of contingency plans, for example: (i) by providing more complete coverage of contingency issues; (ii) by selecting more realistic test scenarios and environments; and (iii) by effectively stressing the information system and supported missions.
+
+
+ Determine if the organization employs automated mechanisms to more thoroughly and effectively test the contingency plan.
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing contingency plan testing
+ contingency plan
+ automated mechanisms supporting contingency plan testing
+ contingency plan test documentation
+ contingency plan test results
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency plan testing responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for contingency plan testing
+ automated mechanisms supporting contingency plan testing
+
+
+
+ FULL RECOVERY / RECONSTITUTION
+ CP-4 (4)
+
+
The organization includes a full recovery and reconstitution of the information system to a known state as part of contingency plan testing.
+
+
+ CP-10
+ SC-24
+
+
+ Determine if the organization:
+
+ CP-4(4)[1]
+ includes a full recovery of the information system to a known state as part of contingency plan testing; and
+
+
+ CP-4(4)[2]
+ includes a full reconstitution of the information system to a known state as part of contingency plan testing.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing information system recovery and reconstitution
+ contingency plan
+ contingency plan test documentation
+ contingency plan test results
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency plan testing responsibilities
+ organizational personnel with information system recovery and reconstitution responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for contingency plan testing
+ automated mechanisms supporting contingency plan testing
+ automated mechanisms supporting recovery and reconstitution of the information system
+
+
+
+ Determine if the organization:
+
+ CP-4(a)
+
+ CP-4(a)[1]
+ defines tests to determine the effectiveness of the contingency plan and the organizational readiness to execute the plan;
+
+
+ CP-4(a)[2]
+ defines a frequency to test the contingency plan for the information system;
+
+
+ CP-4(a)[3]
+ tests the contingency plan for the information system with the organization-defined frequency, using organization-defined tests to determine the effectiveness of the plan and the organizational readiness to execute the plan;
+
+
+
+ CP-4(b)
+ reviews the contingency plan test results; and
+
+
+ CP-4(c)
+ initiates corrective actions, if needed.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing contingency plan testing
+ contingency plan
+ security plan
+ contingency plan test documentation
+ contingency plan test results
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for contingency plan testing, reviewing or responding to contingency plan tests
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for contingency plan testing
+ automated mechanisms supporting the contingency plan and/or contingency plan testing
+
+
+
+ Federal Continuity Directive 1
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-34
+
+
+ NIST Special Publication 800-84
+
+
+
+
+ CONTINGENCY PLAN UPDATE
+ CP-5
+ CP-2
+
+
+ Incorporated into CP-2.
+
+
+
+ ALTERNATE STORAGE SITE
+ CP-6
+ P1
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CP-6a.
+
Establishes an alternate storage site including necessary agreements to permit the storage and retrieval of information system backup information; and
+
+
+ CP-6b.
+
Ensures that the alternate storage site provides information security safeguards equivalent to that of the primary site.
+
+
+
+
Alternate storage sites are sites that are geographically distinct from primary storage sites. An alternate storage site maintains duplicate copies of information and data in the event that the primary storage site is not available. Items covered by alternate storage site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination of delivery/retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.
+ CP-2
+ CP-7
+ CP-9
+ CP-10
+ MP-4
+
+
+ SEPARATION FROM PRIMARY SITE
+ CP-6 (1)
+ MODERATE
+ HIGH
+
+
The organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats.
+
+
+
Threats that affect alternate storage sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant.
+ RA-3
+
+
+ Determine if the organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats.
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing alternate storage sites
+ contingency plan
+ alternate storage site
+ alternate storage site agreements
+ primary storage site agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency plan alternate storage site responsibilities
+ organizational personnel with information system recovery responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ RECOVERY TIME / POINT OBJECTIVES
+ CP-6 (2)
+ HIGH
+
+
The organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.
+
+
+ Determine if the organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time objectives and recovery point objectives (as specified in the information system contingency plan).
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing alternate storage sites
+ contingency plan
+ alternate storage site
+ alternate storage site agreements
+ alternate storage site configurations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency plan testing responsibilities
+ organizational personnel with responsibilities for testing related plans
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for contingency plan testing
+ automated mechanisms supporting recovery time/point objectives
+
+
+
+ ACCESSIBILITY
+ CP-6 (3)
+ MODERATE
+ HIGH
+
+
The organization identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.
+
+
+
Area-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include, for example: (i) duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites; or (ii) planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted.
+ RA-3
+
+
+ Determine if the organization:
+
+ CP-6(3)[1]
+ identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster; and
+
+
+ CP-6(3)[2]
+ outlines explicit mitigation actions for such potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing alternate storage sites
+ contingency plan
+ alternate storage site
+ list of potential accessibility problems to alternate storage site
+ mitigation actions for accessibility problems to alternate storage site
+ organizational risk assessments
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency plan alternate storage site responsibilities
+ organizational personnel with information system recovery responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ Determine if the organization:
+
+ CP-6[1]
+ establishes an alternate storage site including necessary agreements to permit the storage and retrieval of information system backup information; and
+
+
+ CP-6[2]
+ ensures that the alternate storage site provides information security safeguards equivalent to that of the primary site.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing alternate storage sites
+ contingency plan
+ alternate storage site agreements
+ primary storage site agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency plan alternate storage site responsibilities
+ organizational personnel with information system recovery responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for storing and retrieving information system backup information at the alternate storage site
+ automated mechanisms supporting and/or implementing storage and retrieval of information system backup information at the alternate storage site
+
+
+
+ NIST Special Publication 800-34
+
+
+
+
+ ALTERNATE PROCESSING SITE
+ CP-7
+ P1
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CP-7a.
+
Establishes an alternate processing site including necessary agreements to permit the transfer and resumption of organization-defined information system operations for essential missions/business functions within organization-defined time period consistent with recovery time and recovery point objectives when the primary processing capabilities are unavailable;
+
+
+ CP-7b.
+
Ensures that equipment and supplies required to transfer and resume operations are available at the alternate processing site or contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption; and
+
+
+ CP-7c.
+
Ensures that the alternate processing site provides information security safeguards equivalent to those of the primary site.
+
+
+
+
Alternate processing sites are sites that are geographically distinct from primary processing sites. An alternate processing site provides processing capability in the event that the primary processing site is not available. Items covered by alternate processing site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination for the transfer/assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.
+ CP-2
+ CP-6
+ CP-8
+ CP-9
+ CP-10
+ MA-6
+
+
+ SEPARATION FROM PRIMARY SITE
+ CP-7 (1)
+ MODERATE
+ HIGH
+
+
The organization identifies an alternate processing site that is separated from the primary processing site to reduce susceptibility to the same threats.
+
+
+
Threats that affect alternate processing sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant.
+ RA-3
+
+
+ Determine if the organization identifies an alternate processing site that is separated from the primary storage site to reduce susceptibility to the same threats.
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing alternate processing sites
+ contingency plan
+ alternate processing site
+ alternate processing site agreements
+ primary processing site agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency plan alternate processing site responsibilities
+ organizational personnel with information system recovery responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ ACCESSIBILITY
+ CP-7 (2)
+ MODERATE
+ HIGH
+
+
The organization identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.
+
+
+
Area-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk.
+ RA-3
+
+
+ Determine if the organization:
+
+ CP-7(2)[1]
+ identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster; and
+
+
+ CP-7(2)[2]
+ outlines explicit mitigation actions for such potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing alternate processing sites
+ contingency plan
+ alternate processing site
+ alternate processing site agreements
+ primary processing site agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency plan alternate processing site responsibilities
+ organizational personnel with information system recovery responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ PRIORITY OF SERVICE
+ CP-7 (3)
+ MODERATE
+ HIGH
+
+
The organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives).
+
+
+
Priority-of-service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources at the alternate processing site.
+
+
+ Determine if the organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives as specified in the information system contingency plan).
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing alternate processing sites
+ contingency plan
+ alternate processing site agreements
+ service-level agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency plan alternate processing site responsibilities
+ organizational personnel with information system recovery responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for acquisitions/contractual agreements
+
+
+
+ PREPARATION FOR USE
+ CP-7 (4)
+ HIGH
+
+
The organization prepares the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.
+
+
+
Site preparation includes, for example, establishing configuration settings for information system components at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and other logistical considerations are in place.
+ CM-2
+ CM-6
+
+
+ Determine if the organization prepares the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing alternate processing sites
+ contingency plan
+ alternate processing site
+ alternate processing site agreements
+ alternate processing site configurations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency plan alternate processing site responsibilities
+ organizational personnel with information system recovery responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing recovery at the alternate processing site
+
+
+
+ EQUIVALENT INFORMATION SECURITY SAFEGUARDS
+ CP-7 (5)
+ CP-7
+
+
+ Incorporated into CP-7.
+
+
+
+ INABILITY TO RETURN TO PRIMARY SITE
+ CP-7 (6)
+
+
The organization plans and prepares for circumstances that preclude returning to the primary processing site.
+
+
+ Determine if the organization plans and prepares for circumstances that preclude returning to the primary processing site.
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing alternate processing sites
+ contingency plan
+ alternate processing site
+ alternate processing site agreements
+ alternate processing site configurations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system reconstitution responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ Determine if the organization:
+
+ CP-7(a)
+
+ CP-7(a)[1]
+ defines information system operations requiring an alternate processing site to be established to permit the transfer and resumption of such operations;
+
+
+ CP-7(a)[2]
+ defines the time period consistent with recovery time objectives and recovery point objectives (as specified in the information system contingency plan) for transfer/resumption of organization-defined information system operations for essential missions/business functions;
+
+
+ CP-7(a)[3]
+ establishes an alternate processing site including necessary agreements to permit the transfer and resumption of organization-defined information system operations for essential missions/business functions, within the organization-defined time period, when the primary processing capabilities are unavailable;
+
+
+
+ CP-7(b)
+
+ CP-7(b)[1]
+ ensures that equipment and supplies required to transfer and resume operations are available at the alternate processing site; or
+
+
+ CP-7(b)[2]
+ ensures that contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption; and
+
+
+
+ CP-7(c)
+ ensures that the alternate processing site provides information security safeguards equivalent to those of the primary site.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing alternate processing sites
+ contingency plan
+ alternate processing site agreements
+ primary processing site agreements
+ spare equipment and supplies inventory at alternate processing site
+ equipment and supply contracts
+ service-level agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for contingency planning and/or alternate site arrangements
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for recovery at the alternate site
+ automated mechanisms supporting and/or implementing recovery at the alternate processing site
+
+
+
+ NIST Special Publication 800-34
+
+
+
+
+ TELECOMMUNICATIONS SERVICES
+ CP-8
+ P1
+ MODERATE
+ HIGH
+
+
The organization establishes alternate telecommunications services including necessary agreements to permit the resumption of organization-defined information system operations for essential missions and business functions within organization-defined time period when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.
+
+
+
This control applies to telecommunications services (data and voice) for primary and alternate processing and storage sites. Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential missions/business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary/alternate sites. Alternate telecommunications services include, for example, additional organizational or commercial ground-based circuits/lines or satellites in lieu of ground-based communications. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements.
+ CP-2
+ CP-6
+ CP-7
+
+
+ PRIORITY OF SERVICE PROVISIONS
+ CP-8 (1)
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CP-8 (1)(a)
+
Develops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives); and
+
+
+ CP-8 (1)(b)
+
Requests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.
+
+
+
+
Organizations consider the potential mission/business impact in situations where telecommunications service providers are servicing other organizations with similar priority-of-service provisions.
+
+
+ Determine if the organization:
+
+ CP-8(1)[1]
+ develops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives as specified in the information system contingency plan); and
+
+
+ CP-8(1)[2]
+ requests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing primary and alternate telecommunications services
+ contingency plan
+ primary and alternate telecommunications service agreements
+ Telecommunications Service Priority documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency plan telecommunications responsibilities
+ organizational personnel with information system recovery responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for acquisitions/contractual agreements
+
+
+ TEST
+ Automated mechanisms supporting telecommunications
+
+
+
+ SINGLE POINTS OF FAILURE
+ CP-8 (2)
+ MODERATE
+ HIGH
+
+
The organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.
+
+
+ Determine if the organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing primary and alternate telecommunications services
+ contingency plan
+ primary and alternate telecommunications service agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency plan telecommunications responsibilities
+ organizational personnel with information system recovery responsibilities
+ primary and alternate telecommunications service providers
+ organizational personnel with information security responsibilities
+
+
+
+ SEPARATION OF PRIMARY / ALTERNATE PROVIDERS
+ CP-8 (3)
+ HIGH
+
+
The organization obtains alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.
+
+
+
Threats that affect telecommunications services are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber/physical attacks, and errors of omission/commission. Organizations seek to reduce common susceptibilities by, for example, minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services meeting the separation needs addressed in the risk assessment.
+
+
+ Determine if the organization obtains alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing primary and alternate telecommunications services
+ contingency plan
+ primary and alternate telecommunications service agreements
+ alternate telecommunications service provider site
+ primary telecommunications service provider site
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency plan telecommunications responsibilities
+ organizational personnel with information system recovery responsibilities
+ primary and alternate telecommunications service providers
+ organizational personnel with information security responsibilities
+
+
+
+ PROVIDER CONTINGENCY PLAN
+ CP-8 (4)
+ HIGH
+
+
The organization:
+
+ CP-8 (4)(a)
+
Requires primary and alternate telecommunications service providers to have contingency plans;
+
+
+ CP-8 (4)(b)
+
Reviews provider contingency plans to ensure that the plans meet organizational contingency requirements; and
+
+
+ CP-8 (4)(c)
+
Obtains evidence of contingency testing/training by providers organization-defined frequency.
+
+
+
+
Reviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with the Department of Homeland Security, state, and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training.
+
+
+ Determine if the organization:
+
+ CP-8(4)(a)
+
+ CP-8(4)(a)[1]
+ requires primary telecommunications service provider to have contingency plans;
+
+
+ CP-8(4)(a)[2]
+ requires alternate telecommunications service provider(s) to have contingency plans;
+
+
+
+ CP-8(4)(b)
+ reviews provider contingency plans to ensure that the plans meet organizational contingency requirements;
+
+
+ CP-8(4)(c)
+
+ CP-8(4)(c)[1]
+ defines the frequency to obtain evidence of contingency testing/training by providers; and
+
+
+ CP-8(4)(c)[2]
+ obtains evidence of contingency testing/training by providers with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing primary and alternate telecommunications services
+ contingency plan
+ provider contingency plans
+ evidence of contingency testing/training by providers
+ primary and alternate telecommunications service agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency planning, plan implementation, and testing responsibilities
+ primary and alternate telecommunications service providers
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for acquisitions/contractual agreements
+
+
+
+ ALTERNATE TELECOMMUNICATION SERVICE TESTING
+ CP-8 (5)
+
+
The organization tests alternate telecommunication services organization-defined frequency.
+
+
+ Determine if the organization:
+
+ CP-8(5)[1]
+ defines the frequency to test alternate telecommunication services; and
+
+
+ CP-8(5)[2]
+ tests alternate telecommunication services with the organization-defined frequency.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing alternate telecommunications services
+ contingency plan
+ evidence of testing alternate telecommunications services
+ alternate telecommunications service agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency planning, plan implementation, and testing responsibilities
+ alternate telecommunications service providers
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting testing alternate telecommunications services
+
+
+
+ Determine if the organization:
+
+ CP-8[1]
+ defines information system operations requiring alternate telecommunications services to be established to permit the resumption of such operations;
+
+
+ CP-8[2]
+ defines the time period to permit resumption of organization-defined information system operations for essential missions and business functions; and
+
+
+ CP-8[3]
+ establishes alternate telecommunications services including necessary agreements to permit the resumption of organization-defined information system operations for essential missions and business functions, within the organization-defined time period, when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing alternate telecommunications services
+ contingency plan
+ primary and alternate telecommunications service agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency plan telecommunications responsibilities
+ organizational personnel with information system recovery responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for acquisitions/contractual agreements
+
+
+ TEST
+ Automated mechanisms supporting telecommunications
+
+
+
+ NIST Special Publication 800-34
+
+
+ National Communications Systems Directive 3-10
+
+
+ http://www.dhs.gov/telecommunications-service-priority-tsp
+
+
+
+
+ INFORMATION SYSTEM BACKUP
+ CP-9
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CP-9a.
+
Conducts backups of user-level information contained in the information system organization-defined frequency consistent with recovery time and recovery point objectives;
+
+
+ CP-9b.
+
Conducts backups of system-level information contained in the information system organization-defined frequency consistent with recovery time and recovery point objectives;
+
+
+ CP-9c.
+
Conducts backups of information system documentation including security-related documentation organization-defined frequency consistent with recovery time and recovery point objectives; and
+
+
+ CP-9d.
+
Protects the confidentiality, integrity, and availability of backup information at storage locations.
+
+
+
+
System-level information includes, for example, system-state information, operating system and application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed by organizations to protect the integrity of information system backups include, for example, digital signatures and cryptographic hashes. Protection of system backup information while in transit is beyond the scope of this control. Information system backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information.
The organization tests backup information organization-defined frequency to verify media reliability and information integrity.
+
+
+ CP-4
+
+
+ Determine if the organization:
+
+ CP-9(1)[1]
+ defines the frequency to test backup information to verify media reliability and information integrity; and
+
+
+ CP-9(1)[2]
+ tests backup information with the organization-defined frequency to verify media reliability and information integrity.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing information system backup
+ contingency plan
+ information system backup test results
+ contingency plan test documentation
+ contingency plan test results
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system backup responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for conducting information system backups
+ automated mechanisms supporting and/or implementing information system backups
+
+
+
+ TEST RESTORATION USING SAMPLING
+ CP-9 (2)
+ HIGH
+
+
The organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing.
+
+
+ CP-4
+
+
+ Determine if the organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing.
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing information system backup
+ contingency plan
+ information system backup test results
+ contingency plan test documentation
+ contingency plan test results
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system backup responsibilities
+ organizational personnel with contingency planning/contingency plan testing responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for conducting information system backups
+ automated mechanisms supporting and/or implementing information system backups
+
+
+
+ SEPARATE STORAGE FOR CRITICAL INFORMATION
+ CP-9 (3)
+ HIGH
+
+
The organization stores backup copies of organization-defined critical information system software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the operational system.
+
+
+
Critical information system software includes, for example, operating systems, cryptographic key management systems, and intrusion detection/prevention systems. Security-related information includes, for example, organizational inventories of hardware, software, and firmware components. Alternate storage sites typically serve as separate storage facilities for organizations.
+ CM-2
+ CM-8
+
+
+ Determine if the organization:
+
+ CP-9(3)[1]
+
+ CP-9(3)[1][a]
+ defines critical information system software and other security-related information requiring backup copies to be stored in a separate facility; or
+
+
+ CP-9(3)[1][b]
+ defines critical information system software and other security-related information requiring backup copies to be stored in a fire-rated container that is not collocated with the operational system; and
+
+
+
+ CP-9(3)[2]
+ stores backup copies of organization-defined critical information system software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the operational system.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing information system backup
+ contingency plan
+ backup storage location(s)
+ information system backup configurations and associated documentation
+ information system backup logs or records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency planning and plan implementation responsibilities
+ organizational personnel with information system backup responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ PROTECTION FROM UNAUTHORIZED MODIFICATION
+ CP-9 (4)
+ CP-9
+
+
+ Incorporated into CP-9.
+
+
+
+ TRANSFER TO ALTERNATE STORAGE SITE
+ CP-9 (5)
+ HIGH
+
+
The organization transfers information system backup information to the alternate storage site organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives.
+
+
+
Information system backup information can be transferred to alternate storage sites either electronically or by physical shipment of storage media.
+
+
+ Determine if the organization:
+
+ CP-9(5)[1]
+ defines a time period, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to transfer information system backup information to the alternate storage site;
+
+
+ CP-9(5)[2]
+ defines a transfer rate, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to transfer information system backup information to the alternate storage site; and
+
+
+ CP-9(5)[3]
+ transfers information system backup information to the alternate storage site with the organization-defined time period and transfer rate.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing information system backup
+ contingency plan
+ information system backup logs or records
+ evidence of system backup information transferred to alternate storage site
+ alternate storage site agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system backup responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for transferring information system backups to the alternate storage site
+ automated mechanisms supporting and/or implementing information system backups
+ automated mechanisms supporting and/or implementing information transfer to the alternate storage site
+
+
+
+ REDUNDANT SECONDARY SYSTEM
+ CP-9 (6)
+
+
The organization accomplishes information system backup by maintaining a redundant secondary system that is not collocated with the primary system and that can be activated without loss of information or disruption to operations.
+
+
+ CP-7
+ CP-10
+
+
+ Determine if the organization accomplishes information system backup by maintaining a redundant secondary system that:
+
+ CP-9(6)[1]
+ is not collocated with the primary system; and
+
+
+ CP-9(6)[2]
+ can be activated without loss of information or disruption to operations.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing information system backup
+ contingency plan
+ information system backup test results
+ contingency plan test results
+ contingency plan test documentation
+ redundant secondary system for information system backups
+ location(s) of redundant secondary backup system(s)
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system backup responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for the redundant secondary system
+
+
+ TEST
+ Organizational processes for maintaining redundant secondary systems
+ automated mechanisms supporting and/or implementing information system backups
+ automated mechanisms supporting and/or implementing information transfer to a redundant secondary system
+
+
+
+ DUAL AUTHORIZATION
+ CP-9 (7)
+
+
The organization enforces dual authorization for the deletion or destruction of organization-defined backup information.
+
+
+
Dual authorization ensures that the deletion or destruction of backup information cannot occur unless two qualified individuals carry out the task. Individuals deleting/destroying backup information possess sufficient skills/expertise to determine if the proposed deletion/destruction of backup information reflects organizational policies and procedures. Dual authorization may also be known as two-person control.
+ AC-3
+ MP-2
+
+
+ Determine if the organization:
+
+ CP-9(7)[1]
+ defines backup information that requires dual authorization to be enforced for the deletion or destruction of such information; and
+
+
+ CP-9(7)[2]
+ enforces dual authorization for the deletion or destruction of organization-defined backup information.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing information system backup
+ contingency plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ system generated list of dual authorization credentials or rules
+ logs or records of deletion or destruction of backup information
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system backup responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing dual authorization
+ automated mechanisms supporting and/or implementing deletion/destruction of backup information
+
+
+
+ Determine if the organization:
+
+ CP-9(a)
+
+ CP-9(a)[1]
+ defines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of user-level information contained in the information system;
+
+
+ CP-9(a)[2]
+ conducts backups of user-level information contained in the information system with the organization-defined frequency;
+
+
+
+ CP-9(b)
+
+ CP-9(b)[1]
+ defines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of system-level information contained in the information system;
+
+
+ CP-9(b)[2]
+ conducts backups of system-level information contained in the information system with the organization-defined frequency;
+
+
+
+ CP-9(c)
+
+ CP-9(c)[1]
+ defines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of information system documentation including security-related documentation;
+
+
+ CP-9(c)[2]
+ conducts backups of information system documentation, including security-related documentation, with the organization-defined frequency; and
+
+
+
+ CP-9(d)
+ protects the confidentiality, integrity, and availability of backup information at storage locations.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing information system backup
+ contingency plan
+ backup storage location(s)
+ information system backup logs or records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system backup responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for conducting information system backups
+ automated mechanisms supporting and/or implementing information system backups
+
+
+
+ NIST Special Publication 800-34
+
+
+
+
+ INFORMATION SYSTEM RECOVERY AND RECONSTITUTION
+ CP-10
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization provides for the recovery and reconstitution of the information system to a known state after a disruption, compromise, or failure.
+
+
+
Recovery is executing information system contingency plan activities to restore organizational missions/business functions. Reconstitution takes place following recovery and includes activities for returning organizational information systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities, recovery point/time and reconstitution objectives, and established organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of any interim information system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored information system capabilities, reestablishment of continuous monitoring activities, potential information system reauthorizations, and activities to prepare the systems against future disruptions, compromises, or failures. Recovery/reconstitution capabilities employed by organizations can include both automated mechanisms and manual procedures.
The information system implements transaction recovery for systems that are transaction-based.
+
+
+
Transaction-based information systems include, for example, database management systems and transaction processing systems. Mechanisms supporting transaction recovery include, for example, transaction rollback and transaction journaling.
+
+
+ Determine if the information system implements transaction recovery for systems that are transaction-based.
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing information system recovery and reconstitution
+ contingency plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ contingency plan test documentation
+ contingency plan test results
+ information system transaction recovery records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for transaction recovery
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing transaction recovery capability
+
+
+
+ COMPENSATING SECURITY CONTROLS
+ CP-10 (3)
+ Chapter 3
+
+
+ Addressed through tailoring procedures.
+
+
+
+ RESTORE WITHIN TIME PERIOD
+ CP-10 (4)
+ HIGH
+
+
The organization provides the capability to restore information system components within organization-defined restoration time-periods from configuration-controlled and integrity-protected information representing a known, operational state for the components.
+
+
+
Restoration of information system components includes, for example, reimaging which restores components to known, operational states.
+ CM-2
+
+
+ Determine if the organization:
+
+ CP-10(4)[1]
+ defines a time period to restore information system components from configuration-controlled and integrity-protected information representing a known, operational state for the components; and
+
+
+ CP-10(4)[2]
+ provides the capability to restore information system components within the organization-defined time period from configuration-controlled and integrity-protected information representing a known, operational state for the components.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing information system recovery and reconstitution
+ contingency plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ contingency plan test documentation
+ contingency plan test results
+ evidence of information system recovery and reconstitution operations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system recovery and reconstitution responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing recovery/reconstitution of information system information
+
+
+
+ FAILOVER CAPABILITY
+ CP-10 (5)
+ SI-13
+
+
+ Incorporated into SI-13.
+
+
+
+ COMPONENT PROTECTION
+ CP-10 (6)
+
+
The organization protects backup and restoration hardware, firmware, and software.
+
+
+
Protection of backup and restoration hardware, firmware, and software components includes both physical and technical safeguards. Backup and restoration software includes, for example, router tables, compilers, and other security-relevant system software.
+ AC-3
+ AC-6
+ PE-3
+
+
+ Determine if the organization protects backup and restoration:
+
+ CP-10(6)[1]
+ hardware;
+
+
+ CP-10(6)[2]
+ firmware; and
+
+
+ CP-10(6)[3]
+ software.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing information system recovery and reconstitution
+ contingency plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ logical access credentials
+ physical access credentials
+ logical access authorization records
+ physical access authorization records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system recovery and reconstitution responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for protecting backup and restoration hardware, firmware, and software
+ automated mechanisms supporting and/or implementing protection of backup and restoration hardware, firmware, and software
+
+
+
+ Determine if the organization provides for:
+
+ CP-10[1]
+ the recovery of the information system to a known state after:
+
+ CP-10[1][a]
+ a disruption;
+
+
+ CP-10[1][b]
+ a compromise; or
+
+
+ CP-10[1][c]
+ a failure;
+
+
+
+ CP-10[2]
+ the reconstitution of the information system to a known state after:
+
+ CP-10[2][a]
+ a disruption;
+
+
+ CP-10[2][b]
+ a compromise; or
+
+
+ CP-10[2][c]
+ a failure.
+
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing information system backup
+ contingency plan
+ information system backup test results
+ contingency plan test results
+ contingency plan test documentation
+ redundant secondary system for information system backups
+ location(s) of redundant secondary backup system(s)
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency planning, recovery, and/or reconstitution responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes implementing information system recovery and reconstitution operations
+ automated mechanisms supporting and/or implementing information system recovery and reconstitution operations
+
+
+
+ Federal Continuity Directive 1
+
+
+ NIST Special Publication 800-34
+
+
+
+
+ ALTERNATE COMMUNICATIONS PROTOCOLS
+ CP-11
+ P0
+
+
The information system provides the capability to employ organization-defined alternative communications protocols in support of maintaining continuity of operations.
+
+
+
Contingency plans and the associated training and testing for those plans, incorporate an alternate communications protocol capability as part of increasing the resilience of organizational information systems. Alternate communications protocols include, for example, switching from Transmission Control Protocol/Internet Protocol (TCP/IP) Version 4 to TCP/IP Version 6. Switching communications protocols may affect software applications and therefore, the potential side effects of introducing alternate communications protocols are analyzed prior to implementation.
+
+
+ Determine if:
+
+ CP-11[1]
+ the organization defines alternative communications protocols to be employed in support of maintaining continuity of operations; and
+
+
+ CP-11[2]
+ the information system provides the capability to employ organization-defined alternative communications protocols in support of maintaining continuity of operations.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing alternative communications protocols
+ contingency plan
+ continuity of operations plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of alternative communications protocols supporting continuity of operations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with contingency planning and plan implementation responsibilities
+ organizational personnel with continuity of operations planning and plan implementation responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms employing alternative communications protocols
+
+
+
+ SAFE MODE
+ CP-12
+ P0
+
+
The information system, when organization-defined conditions are detected, enters a safe mode of operation with organization-defined restrictions of safe mode of operation.
+
+
+
For information systems supporting critical missions/business functions including, for example, military operations and weapons systems, civilian space operations, nuclear power plant operations, and air traffic control operations (especially real-time operational environments), organizations may choose to identify certain conditions under which those systems revert to a predefined safe mode of operation. The safe mode of operation, which can be activated automatically or manually, restricts the types of activities or operations information systems could execute when those conditions are encountered. Restriction includes, for example, allowing only certain functions that could be carried out under limited power or with reduced communications bandwidth.
+
+
+ Determine if:
+
+ CP-12[1]
+ the organization defines conditions that, when detected, requires the information system to enter a safe mode of operation;
+
+
+ CP-12[2]
+ the organization defines restrictions of safe mode of operation; and
+
+
+ CP-12[3]
+ the information system, when organization-defined conditions are detected, enters a safe mode of operation with organization-defined restrictions of safe mode of operation.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing safe mode of operation for the information system
+ contingency plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system administration manuals
+ information system operation manuals
+ information system installation manuals
+ contingency plan test records
+ incident handling records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operation responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms implementing safe mode of operation
+
+
+
+ ALTERNATIVE SECURITY MECHANISMS
+ CP-13
+ P0
+
+
The organization employs organization-defined alternative or supplemental security mechanisms for satisfying organization-defined security functions when the primary means of implementing the security function is unavailable or compromised.
+
+
+
This control supports information system resiliency and contingency planning/continuity of operations. To ensure mission/business continuity, organizations can implement alternative or supplemental security mechanisms. These mechanisms may be less effective than the primary mechanisms (e.g., not as easy to use, not as scalable, or not as secure). However, having the capability to readily employ these alternative/supplemental mechanisms enhances overall mission/business continuity that might otherwise be adversely impacted if organizational operations had to be curtailed until the primary means of implementing the functions was restored. Given the cost and level of effort required to provide such alternative capabilities, this control would typically be applied only to critical security capabilities provided by information systems, system components, or information system services. For example, an organization may issue to senior executives and system administrators one-time pads in case multifactor tokens, the organization�s standard means for secure remote authentication, is compromised.
+ CP-2
+
+
+ Determine if the organization:
+
+ CP-13[1]
+ defines alternative or supplemental security mechanisms to be employed when the primary means of implementing the security function is unavailable or compromised;
+
+
+ CP-13[2]
+ defines security functions to be satisfied using organization-defined alternative or supplemental security mechanisms when the primary means of implementing the security function is unavailable or compromised; and
+
+
+ CP-13[3]
+ employs organization-defined alternative or supplemental security mechanisms satisfying organization-defined security functions when the primary means of implementing the security function is unavailable or compromised.
+
+
+
+ EXAMINE
+ Contingency planning policy
+ procedures addressing alternate security mechanisms
+ contingency plan
+ continuity of operations plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ contingency plan test records
+ contingency plan test results
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operation responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Information system capability implementing alternative security mechanisms
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+
+ IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES
+ IA-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ IA-1a.
+
Develops, documents, and disseminates to organization-defined personnel or roles:
+
+ IA-1a.1.
+
An identification and authentication policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ IA-1a.2.
+
Procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls; and
+
+
+
+ IA-1b.
+
Reviews and updates the current:
+
+ IA-1b.1.
+
Identification and authentication policy organization-defined frequency; and
+
+
+ IA-1b.2.
+
Identification and authentication procedures organization-defined frequency.
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+ Determine if the organization:
+
+ IA-1(a)(1)
+
+ IA-1(a)(1)[1]
+ develops and documents an identification and authentication policy that addresses:
+
+ IA-1(a)(1)[1][a]
+ purpose;
+
+
+ IA-1(a)(1)[1][b]
+ scope;
+
+
+ IA-1(a)(1)[1][c]
+ roles;
+
+
+ IA-1(a)(1)[1][d]
+ responsibilities;
+
+
+ IA-1(a)(1)[1][e]
+ management commitment;
+
+
+ IA-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ IA-1(a)(1)[1][g]
+ compliance;
+
+
+
+ IA-1(a)(1)[2]
+ defines personnel or roles to whom the identification and authentication policy is to be disseminated; and
+
+
+ IA-1(a)(1)[3]
+ disseminates the identification and authentication policy to organization-defined personnel or roles;
+
+
+
+ IA-1(a)(2)
+
+ IA-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls;
+
+
+ IA-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ IA-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ IA-1(b)(1)
+
+ IA-1(b)(1)[1]
+ defines the frequency to review and update the current identification and authentication policy;
+
+
+ IA-1(b)(1)[2]
+ reviews and updates the current identification and authentication policy with the organization-defined frequency; and
+
+
+
+ IA-1(b)(2)
+
+ IA-1(b)(2)[1]
+ defines the frequency to review and update the current identification and authentication procedures; and
+
+
+ IA-1(b)(2)[2]
+ reviews and updates the current identification and authentication procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Identification and authentication policy and procedures
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with identification and authentication responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-63
+
+
+ NIST Special Publication 800-73
+
+
+ NIST Special Publication 800-76
+
+
+ NIST Special Publication 800-78
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
+ IA-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).
+
+
+
Organizational users include employees or individuals that organizations deem to have equivalent status of employees (e.g., contractors, guest researchers). This control applies to all accesses other than: (i) accesses that are explicitly identified and documented in AC-14; and (ii) accesses that occur through authorized use of group authenticators without individual authentication. Organizations may require unique identification of individuals in group accounts (e.g., shared privilege accounts) or for detailed accountability of individual activity. Organizations employ passwords, tokens, or biometrics to authenticate user identities, or in the case multifactor authentication, or some combination thereof. Access to organizational information systems is defined as either local access or network access. Local access is any access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained by direct connections without the use of networks. Network access is access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks (e.g., the Internet). Internal networks include local area networks and wide area networks. In addition, the use of encrypted virtual private networks (VPNs) for network connections between organization-controlled endpoints and non-organization controlled endpoints may be treated as internal networks from the perspective of protecting the confidentiality and integrity of information traversing the network.
+Organizations can satisfy the identification and authentication requirements in this control by complying with the requirements in Homeland Security Presidential Directive 12 consistent with the specific organizational implementation plans. Multifactor authentication requires the use of two or more different factors to achieve authentication. The factors are defined as: (i) something you know (e.g., password, personal identification number [PIN]); (ii) something you have (e.g., cryptographic identification device, token); or (iii) something you are (e.g., biometric). Multifactor solutions that require devices separate from information systems gaining access include, for example, hardware tokens providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card and the DoD common access card. In addition to identifying and authenticating users at the information system level (i.e., at logon), organizations also employ identification and authentication mechanisms at the application level, when necessary, to provide increased information security. Identification and authentication requirements for other than organizational users are described in IA-8.
The information system implements multifactor authentication for network access to privileged accounts.
+
+
+ AC-6
+
+
+ Determine if the information system implements multifactor authentication for network access to privileged accounts.
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing user identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of information system accounts
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with account management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing multifactor authentication capability
+
+
+
+ NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS
+ IA-2 (2)
+ MODERATE
+ HIGH
+
+
The information system implements multifactor authentication for network access to non-privileged accounts.
+
+
+ Determine if the information system implements multifactor authentication for network access to non-privileged accounts.
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing user identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of information system accounts
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with account management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing multifactor authentication capability
+
+
+
+ LOCAL ACCESS TO PRIVILEGED ACCOUNTS
+ IA-2 (3)
+ MODERATE
+ HIGH
+
+
The information system implements multifactor authentication for local access to privileged accounts.
+
+
+ AC-6
+
+
+ Determine if the information system implements multifactor authentication for local access to privileged accounts.
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing user identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of information system accounts
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with account management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing multifactor authentication capability
+
+
+
+ LOCAL ACCESS TO NON-PRIVILEGED ACCOUNTS
+ IA-2 (4)
+ HIGH
+
+
The information system implements multifactor authentication for local access to non-privileged accounts.
+
+
+ Determine if the information system implements multifactor authentication for local access to non-privileged accounts.
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing user identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of information system accounts
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with account management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing multifactor authentication capability
+
+
+
+ GROUP AUTHENTICATION
+ IA-2 (5)
+
+
The organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed.
+
+
+
Requiring individuals to use individual authenticators as a second level of authentication helps organizations to mitigate the risk of using group authenticators.
+
+
+ Determine if the organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed.
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing user identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of information system accounts
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with account management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing authentication capability for group accounts
+
+
+
+ NETWORK ACCESS TO PRIVILEGED ACCOUNTS - SEPARATE DEVICE
+ IA-2 (6)
+
+
The information system implements multifactor authentication for network access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets organization-defined strength of mechanism requirements.
+
+
+ AC-6
+
+
+ Determine if:
+
+ IA-2(6)[1]
+ the information system implements multifactor authentication for network access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access;
+
+
+ IA-2(6)[2]
+ the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining network access to privileged accounts; and
+
+
+ IA-2(6)[3]
+ the information system implements multifactor authentication for network access to privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing user identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of information system accounts
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with account management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing multifactor authentication capability
+
+
+
+ NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - SEPARATE DEVICE
+ IA-2 (7)
+
+
The information system implements multifactor authentication for network access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets organization-defined strength of mechanism requirements.
+
+
+ Determine if:
+
+ IA-2(7)[1]
+ the information system implements multifactor authentication for network access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access;
+
+
+ IA-2(7)[2]
+ the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining network access to non-privileged accounts; and
+
+
+ IA-2(7)[3]
+ the information system implements multifactor authentication for network access to non-privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing user identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of information system accounts
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with account management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing multifactor authentication capability
+
+
+
+ NETWORK ACCESS TO PRIVILEGED ACCOUNTS - REPLAY RESISTANT
+ IA-2 (8)
+ MODERATE
+ HIGH
+
+
The information system implements replay-resistant authentication mechanisms for network access to privileged accounts.
+
+
+
Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.
+
+
+ Determine if the information system implements replay-resistant authentication mechanisms for network access to privileged accounts.
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing user identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of privileged information system accounts
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with account management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing identification and authentication capability
+ automated mechanisms supporting and/or implementing replay resistant authentication mechanisms
+
+
+
+ NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - REPLAY RESISTANT
+ IA-2 (9)
+ HIGH
+
+
The information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts.
+
+
+
Authentication processes resist replay attacks if it is impractical to achieve successful authentications by recording/replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.
+
+
+ Determine if the information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts.
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing user identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of non-privileged information system accounts
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with account management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing identification and authentication capability
+ automated mechanisms supporting and/or implementing replay resistant authentication mechanisms
+
+
+
+ SINGLE SIGN-ON
+ IA-2 (10)
+
+
The information system provides a single sign-on capability for organization-defined information system accounts and services.
+
+
+
Single sign-on enables users to log in once and gain access to multiple information system resources. Organizations consider the operational efficiencies provided by single sign-on capabilities with the increased risk from disclosures of single authenticators providing access to multiple system resources.
+
+
+ Determine if:
+
+ IA-2(10)[1]
+ the organization defines a list of information system accounts and services for which a single sign-on capability must be provided; and
+
+
+ IA-2(10)[2]
+ the information system provides a single sign-on capability for organization-defined information system accounts and services.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing single sign-on capability for information system accounts and services
+ procedures addressing identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of information system accounts and services requiring single sign-on capability
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with account management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing identification and authentication capability
+ automated mechanisms supporting and/or implementing single sign-on capability for information system accounts and services
+
+
+
+ REMOTE ACCESS - SEPARATE DEVICE
+ IA-2 (11)
+ MODERATE
+ HIGH
+
+
The information system implements multifactor authentication for remote access to privileged and non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets organization-defined strength of mechanism requirements.
+
+
+
For remote access to privileged/non-privileged accounts, the purpose of requiring a device that is separate from the information system gaining access for one of the factors during multifactor authentication is to reduce the likelihood of compromising authentication credentials stored on the system. For example, adversaries deploying malicious code on organizational information systems can potentially compromise such credentials resident on the system and subsequently impersonate authorized users.
+ AC-6
+
+
+ Determine if:
+
+ IA-2(11)[1]
+ the information system implements multifactor authentication for remote access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access;
+
+
+ IA-2(11)[2]
+ the information system implements multifactor authentication for remote access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access;
+
+
+ IA-2(11)[3]
+ the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining remote access to privileged accounts;
+
+
+ IA-2(11)[4]
+ the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining remote access to non-privileged accounts;
+
+
+ IA-2(11)[5]
+ the information system implements multifactor authentication for remote access to privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements; and
+
+
+ IA-2(11)[6]
+ the information system implements multifactor authentication for remote access to non-privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing user identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of privileged and non-privileged information system accounts
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with account management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing identification and authentication capability
+
+
+
+ ACCEPTANCE OF PIV CREDENTIALS
+ IA-2 (12)
+ LOW
+ MODERATE
+ HIGH
+
+
The information system accepts and electronically verifies Personal Identity Verification (PIV) credentials.
+
+
+
This control enhancement applies to organizations implementing logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.
+ AU-2
+ PE-3
+ SA-4
+
+
+ Determine if the information system:
+
+ IA-2(12)[1]
+ accepts Personal Identity Verification (PIV) credentials; and
+
+
+ IA-2(12)[2]
+ electronically verifies Personal Identity Verification (PIV) credentials.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing user identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ PIV verification records
+ evidence of PIV credentials
+ PIV credential authorizations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with account management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing acceptance and verification of PIV credentials
+
+
+
+ OUT-OF-BAND AUTHENTICATION
+ IA-2 (13)
+
+
The information system implements organization-defined out-of-band authentication under organization-defined conditions.
+
+
+
Out-of-band authentication (OOBA) refers to the use of two separate communication paths to identify and authenticate users or devices to an information system. The first path (i.e., the in-band path), is used to identify and authenticate users or devices, and generally is the path through which information flows. The second path (i.e., the out-of-band path) is used to independently verify the authentication and/or requested action. For example, a user authenticates via a notebook computer to a remote server to which the user desires access, and requests some action of the server via that communication path. Subsequently, the server contacts the user via the user�s cell phone to verify that the requested action originated from the user. The user may either confirm the intended action to an individual on the telephone or provide an authentication code via the telephone. This type of authentication can be employed by organizations to mitigate actual or suspected man-in the-middle attacks. The conditions for activation can include, for example, suspicious activities, new threat indicators or elevated threat levels, or the impact level or classification level of information in requested transactions.
+ IA-10
+ IA-11
+ SC-37
+
+
+ Determine if:
+
+ IA-2(13)[1]
+ the organization defines out-of-band authentication to be implemented by the information system;
+
+
+ IA-2(13)[2]
+ the organization defines conditions under which the information system implements organization-defined out-of-band authentication; and
+
+
+ IA-2(13)[3]
+ the information system implements organization-defined out-of-band authentication under organization-defined conditions.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing user identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ system-generated list of out-of-band authentication paths
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with account management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing out-of-band authentication capability
+
+
+
+ Determine if the information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing user identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of information system accounts
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ organizational personnel with account management responsibilities
+ system developers
+
+
+ TEST
+ Organizational processes for uniquely identifying and authenticating users
+ automated mechanisms supporting and/or implementing identification and authentication capability
+
+
+
+ HSPD-12
+
+
+ OMB Memorandum 04-04
+
+
+ OMB Memorandum 06-16
+
+
+ OMB Memorandum 11-11
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-63
+
+
+ NIST Special Publication 800-73
+
+
+ NIST Special Publication 800-76
+
+
+ NIST Special Publication 800-78
+
+
+ FICAM Roadmap and Implementation Guidance
+
+
+ http://idmanagement.gov
+
+
+
+
+ DEVICE IDENTIFICATION AND AUTHENTICATION
+ IA-3
+ P1
+ MODERATE
+ HIGH
+
+
The information system uniquely identifies and authenticates organization-defined specific and/or types of devices before establishing a [Selection (one or more): local; remote; network] connection.
+
+
+
Organizational devices requiring unique device-to-device identification and authentication may be defined by type, by device, or by a combination of type/device. Information systems typically use either shared known information (e.g., Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on local and/or wide area networks. Organizations determine the required strength of authentication mechanisms by the security categories of information systems. Because of the challenges of applying this control on large scale, organizations are encouraged to only apply the control to those limited number (and type) of devices that truly need to support this capability.
The information system authenticates organization-defined specific devices and/or types of devices before establishing [Selection (one or more): local; remote; network] connection using bidirectional authentication that is cryptographically based.
+
+
+
A local connection is any connection with a device communicating without the use of a network. A network connection is any connection with a device that communicates through a network (e.g., local area or wide area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Bidirectional authentication provides stronger safeguards to validate the identity of other devices for connections that are of greater risk (e.g., remote connections).
+ SC-8
+ SC-12
+ SC-13
+
+
+ Determine if:
+
+ IA-3(1)[1]
+ the organization defines specific and/or types of devices requiring use of cryptographically based, bidirectional authentication to authenticate before establishing one or more of the following:
+
+ IA-3(1)[1][a]
+ a local connection;
+
+
+ IA-3(1)[1][b]
+ a remote connection; and/or
+
+
+ IA-3(1)[1][c]
+ a network connection;
+
+
+
+ IA-3(1)[2]
+ the information system uses cryptographically based bidirectional authentication to authenticate organization-defined devices before establishing one or more of the following:
+
+ IA-3(1)[2][a]
+ a local connection;
+
+
+ IA-3(1)[2][b]
+ a remote connection; and/or
+
+
+ IA-3(1)[2][c]
+ a network connection.
+
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing device identification and authentication
+ information system design documentation
+ list of devices requiring unique identification and authentication
+ device connection reports
+ information system configuration settings and associated documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with operational responsibilities for device identification and authentication
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing device authentication capability
+ cryptographically based bidirectional authentication mechanisms
+
+
+
+ CRYPTOGRAPHIC BIDIRECTIONAL NETWORK AUTHENTICATION
+ IA-3 (2)
+ IA-3 (1)
+
+
+ Incorporated into IA-3 (1).
+
+
+
+ DYNAMIC ADDRESS ALLOCATION
+ IA-3 (3)
+
+
The organization:
+
+ IA-3 (3)(a)
+
Standardizes dynamic address allocation lease information and the lease duration assigned to devices in accordance with organization-defined lease information and lease duration; and
+
+
+ IA-3 (3)(b)
+
Audits lease information when assigned to a device.
+
+
+
+
DHCP-enabled clients obtaining leases for IP addresses from DHCP servers, is a typical example of dynamic address allocation for devices.
+ AU-2
+ AU-3
+ AU-6
+ AU-12
+
+
+ Determine if the organization:
+
+ IA-3(3)(a)
+
+ IA-3(3)(a)[1]
+ defines lease information to be employed to standardize dynamic address allocation for devices;
+
+
+ IA-3(3)(a)[2]
+ defines lease duration to be employed to standardize dynamic address allocation for devices;
+
+
+ IA-3(3)(a)[3]
+ standardizes dynamic address allocation of lease information assigned to devices in accordance with organization-defined lease information;
+
+
+ IA-3(3)(a)[4]
+ standardizes dynamic address allocation of the lease duration assigned to devices in accordance with organization-defined lease duration; and
+
+
+
+ IA-3(3)(b)
+ audits lease information when assigned to a device.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing device identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ evidence of lease information and lease duration assigned to devices
+ device connection reports
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with operational responsibilities for device identification and authentication
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing device identification and authentication capability
+ automated mechanisms supporting and/or implementing dynamic address allocation
+ automated mechanisms supporting and/or implanting auditing of lease information
+
+
+
+ DEVICE ATTESTATION
+ IA-3 (4)
+
+
The organization ensures that device identification and authentication based on attestation is handled by organization-defined configuration management process.
+
+
+
Device attestation refers to the identification and authentication of a device based on its configuration and known operating state. This might be determined via some cryptographic hash of the device. If device attestation is the means of identification and authentication, then it is important that patches and updates to the device are handled via a configuration management process such that the those patches/updates are done securely and at the same time do not disrupt the identification and authentication to other devices.
+
+
+ Determine if the organization:
+
+ IA-3(4)[1]
+ defines configuration management process to be employed to handle device identification and authentication based on attestation; and
+
+
+ IA-3(4)[2]
+ ensures that device identification and authentication based on attestation is handled by organization-defined configuration management process.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing device identification and authentication
+ procedures addressing device configuration management
+ information system design documentation
+ information system configuration settings and associated documentation
+ configuration management records
+ change control records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with operational responsibilities for device identification and authentication
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing device identification and authentication capability
+ automated mechanisms supporting and/or implementing configuration management
+ cryptographic mechanisms supporting device attestation
+
+
+
+ Determine if:
+
+ IA-3[1]
+ the organization defines specific and/or types of devices that the information system uniquely identifies and authenticates before establishing one or more of the following:
+
+ IA-3[1][a]
+ a local connection;
+
+
+ IA-3[1][b]
+ a remote connection; and/or
+
+
+ IA-3[1][c]
+ a network connection; and
+
+
+
+ IA-3[2]
+ the information system uniquely identifies and authenticates organization-defined devices before establishing one or more of the following:
+
+ IA-3[2][a]
+ a local connection;
+
+
+ IA-3[2][b]
+ a remote connection; and/or
+
+
+ IA-3[2][c]
+ a network connection.
+
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing device identification and authentication
+ information system design documentation
+ list of devices requiring unique identification and authentication
+ device connection reports
+ information system configuration settings and associated documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with operational responsibilities for device identification and authentication
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing device identification and authentication capability
+
+
+
+ IDENTIFIER MANAGEMENT
+ IA-4
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization manages information system identifiers by:
+
+ IA-4a.
+
Receiving authorization from organization-defined personnel or roles to assign an individual, group, role, or device identifier;
+
+
+ IA-4b.
+
Selecting an identifier that identifies an individual, group, role, or device;
+
+
+ IA-4c.
+
Assigning the identifier to the intended individual, group, role, or device;
+
+
+ IA-4d.
+
Preventing reuse of identifiers for organization-defined time period; and
+
+
+ IA-4e.
+
Disabling the identifier after organization-defined time period of inactivity.
+
+
+
+
Common device identifiers include, for example, media access control (MAC), Internet protocol (IP) addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared information system accounts (e.g., guest and anonymous accounts). Typically, individual identifiers are the user names of the information system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4. This control also addresses individual identifiers not necessarily associated with information system accounts (e.g., identifiers used in physical security control databases accessed by badge reader systems for access to information systems). Preventing reuse of identifiers implies preventing the assignment of previously used individual, group, role, or device identifiers to different individuals, groups, roles, or devices.
The organization prohibits the use of information system account identifiers that are the same as public identifiers for individual electronic mail accounts.
+
+
+
Prohibiting the use of information systems account identifiers that are the same as some public identifier such as the individual identifier section of an electronic mail address, makes it more difficult for adversaries to guess user identifiers on organizational information systems.
+ AT-2
+
+
+ Determine if the organization prohibits the use of information system account identifiers that are the same as public identifiers for individual electronic mail accounts.
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing identifier management
+ procedures addressing account management
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with identifier management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing identifier management
+
+
+
+ SUPERVISOR AUTHORIZATION
+ IA-4 (2)
+
+
The organization requires that the registration process to receive an individual identifier includes supervisor authorization.
+
+
+ Determine if the organization requires that the registration process to receive an individual identifier includes supervisor authorization.
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing identifier management
+ procedures addressing account management
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with identifier management responsibilities
+ supervisors responsible for authorizing identifier registration
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing identifier management
+
+
+
+ MULTIPLE FORMS OF CERTIFICATION
+ IA-4 (3)
+
+
The organization requires multiple forms of certification of individual identification be presented to the registration authority.
+
+
+
Requiring multiple forms of identification, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity, or at least increases the work factor of potential adversaries.
+
+
+ Determine if the organization requires multiple forms of certification of individual identification such as documentary evidence or a combination of documents and biometrics be presented to the registration authority.
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing identifier management
+ procedures addressing account management
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with identifier management responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing identifier management
+
+
+
+ IDENTIFY USER STATUS
+ IA-4 (4)
+
+
The organization manages individual identifiers by uniquely identifying each individual as organization-defined characteristic identifying individual status.
+
+
+
Characteristics identifying the status of individuals include, for example, contractors and foreign nationals. Identifying the status of individuals by specific characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor.
+ AT-2
+
+
+ Determine if the organization:
+
+ IA-4(4)[1]
+ defines a characteristic to be used to identify individual status; and
+
+
+ IA-4(4)[2]
+ manages individual identifiers by uniquely identifying each individual as the organization-defined characteristic identifying individual status.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing identifier management
+ procedures addressing account management
+ list of characteristics identifying individual status
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with identifier management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing identifier management
+
+
+
+ DYNAMIC MANAGEMENT
+ IA-4 (5)
+
+
The information system dynamically manages identifiers.
+
+
+
In contrast to conventional approaches to identification which presume static accounts for preregistered users, many distributed information systems including, for example, service-oriented architectures, rely on establishing identifiers at run time for entities that were previously unknown. In these situations, organizations anticipate and provision for the dynamic establishment of identifiers. Preestablished trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.
+ AC-16
+
+
+ Determine if the information system dynamically manages identifiers.
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing identifier management
+ procedures addressing account management
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with identifier management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing dynamic identifier management
+
+
+
+ CROSS-ORGANIZATION MANAGEMENT
+ IA-4 (6)
+
+
The organization coordinates with organization-defined external organizations for cross-organization management of identifiers.
+
+
+
Cross-organization identifier management provides the capability for organizations to appropriately identify individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.
+
+
+ Determine if the organization:
+
+ IA-4(6)[1]
+ defines external organizations with whom to coordinate cross-organization management of identifiers; and
+
+
+ IA-4(6)[2]
+ coordinates with organization-defined external organizations for cross-organization management of identifiers.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing identifier management
+ procedures addressing account management
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with identifier management responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing identifier management
+
+
+
+ IN-PERSON REGISTRATION
+ IA-4 (7)
+
+
The organization requires that the registration process to receive an individual identifier be conducted in person before a designated registration authority.
+
+
+
In-person registration reduces the likelihood of fraudulent identifiers being issued because it requires the physical presence of individuals and actual face-to-face interactions with designated registration authorities.
+
+
+ Determine if the organization requires that the registration process to receive an individual identifier be conducted in person before a designated registration authority.
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing identifier management
+ procedures addressing account management
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with identifier management responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ Determine if the organization manages information system identifiers by:
+
+ IA-4(a)
+
+ IA-4(a)[1]
+ defining personnel or roles from whom authorization must be received to assign:
+
+ IA-4(a)[1][a]
+ an individual identifier;
+
+
+ IA-4(a)[1][b]
+ a group identifier;
+
+
+ IA-4(a)[1][c]
+ a role identifier; and/or
+
+
+ IA-4(a)[1][d]
+ a device identifier;
+
+
+
+ IA-4(a)[2]
+ receiving authorization from organization-defined personnel or roles to assign:
+
+ IA-4(a)[2][a]
+ an individual identifier;
+
+
+ IA-4(a)[2][b]
+ a group identifier;
+
+
+ IA-4(a)[2][c]
+ a role identifier; and/or
+
+
+ IA-4(a)[2][d]
+ a device identifier;
+
+
+
+
+ IA-4(b)
+ selecting an identifier that identifies:
+
+ IA-4(b)[1]
+ an individual;
+
+
+ IA-4(b)[2]
+ a group;
+
+
+ IA-4(b)[3]
+ a role; and/or
+
+
+ IA-4(b)[4]
+ a device;
+
+
+
+ IA-4(c)
+ assigning the identifier to the intended:
+
+ IA-4(c)[1]
+ individual;
+
+
+ IA-4(c)[2]
+ group;
+
+
+ IA-4(c)[3]
+ role; and/or
+
+
+ IA-4(c)[4]
+ device;
+
+
+
+ IA-4(d)
+
+ IA-4(d)[1]
+ defining a time period for preventing reuse of identifiers;
+
+
+ IA-4(d)[2]
+ preventing reuse of identifiers for the organization-defined time period;
+
+
+
+ IA-4(e)
+
+ IA-4(e)[1]
+ defining a time period of inactivity to disable the identifier; and
+
+
+ IA-4(e)[2]
+ disabling the identifier after the organization-defined time period of inactivity.
+
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing identifier management
+ procedures addressing account management
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of information system accounts
+ list of identifiers generated from physical access control devices
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with identifier management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing identifier management
+
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-73
+
+
+ NIST Special Publication 800-76
+
+
+ NIST Special Publication 800-78
+
+
+
+
+ AUTHENTICATOR MANAGEMENT
+ IA-5
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization manages information system authenticators by:
+
+ IA-5a.
+
Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, or device receiving the authenticator;
+
+
+ IA-5b.
+
Establishing initial authenticator content for authenticators defined by the organization;
+
+
+ IA-5c.
+
Ensuring that authenticators have sufficient strength of mechanism for their intended use;
+
+
+ IA-5d.
+
Establishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators;
+
+
+ IA-5e.
+
Changing default content of authenticators prior to information system installation;
+
+
+ IA-5f.
+
Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators;
+
+
+ IA-5g.
+
Changing/refreshing authenticators organization-defined time period by authenticator type;
+
+
+ IA-5h.
+
Protecting authenticator content from unauthorized disclosure and modification;
+
+
+ IA-5i.
+
Requiring individuals to take, and having devices implement, specific security safeguards to protect authenticators; and
+
+
+ IA-5j.
+
Changing authenticators for group/role accounts when membership to those accounts changes.
+
+
+
+
Individual authenticators include, for example, passwords, tokens, biometrics, PKI certificates, and key cards. Initial authenticator content is the actual content (e.g., the initial password) as opposed to requirements about authenticator content (e.g., minimum password length). In many cases, developers ship information system components with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant security risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 for authenticators stored within organizational information systems (e.g., passwords stored in hashed or encrypted formats, files containing encrypted or hashed passwords accessible with administrator privileges). Information systems support individual authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, password composition, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication. Specific actions that can be taken to safeguard authenticators include, for example, maintaining possession of individual authenticators, not loaning or sharing individual authenticators with others, and reporting lost, stolen, or compromised authenticators immediately. Authenticator management includes issuing and revoking, when no longer needed, authenticators for temporary access such as that required for remote maintenance. Device authenticators include, for example, certificates and passwords.
The information system, for password-based authentication:
+
+ IA-5 (1)(a)
+
Enforces minimum password complexity of organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type;
+
+
+ IA-5 (1)(b)
+
Enforces at least the following number of changed characters when new passwords are created: organization-defined number;
+
+
+ IA-5 (1)(c)
+
Stores and transmits only cryptographically-protected passwords;
+
+
+ IA-5 (1)(d)
+
Enforces password minimum and maximum lifetime restrictions of organization-defined numbers for lifetime minimum, lifetime maximum;
+
+
+ IA-5 (1)(e)
+
Prohibits password reuse for organization-defined number generations; and
+
+
+ IA-5 (1)(f)
+
Allows the use of a temporary password for system logons with an immediate change to a permanent password.
+
+
+
+
This control enhancement applies to single-factor authentication of individuals using passwords as individual or group authenticators, and in a similar manner, when passwords are part of multifactor authenticators. This control enhancement does not apply when passwords are used to unlock hardware authenticators (e.g., Personal Identity Verification cards). The implementation of such password mechanisms may not meet all of the requirements in the enhancement. Cryptographically-protected passwords include, for example, encrypted versions of passwords and one-way cryptographic hashes of passwords. The number of changed characters refers to the number of changes required with respect to the total number of positions in the current password. Password lifetime restrictions do not apply to temporary passwords. To mitigate certain brute force attacks against passwords, organizations may also consider salting passwords.
+ IA-6
+
+
+ Determine if, for password-based authentication:
+
+ IA-5(1)(a)
+
+ IA-5(1)(a)[1]
+ the organization defines requirements for case sensitivity;
+
+
+ IA-5(1)(a)[2]
+ the organization defines requirements for number of characters;
+
+
+ IA-5(1)(a)[3]
+ the organization defines requirements for the mix of upper-case letters, lower-case letters, numbers and special characters;
+
+
+ IA-5(1)(a)[4]
+ the organization defines minimum requirements for each type of character;
+
+
+ IA-5(1)(a)[5]
+ the information system enforces minimum password complexity of organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type;
+
+
+
+ IA-5(1)(b)
+
+ IA-5(1)(b)[1]
+ the organization defines a minimum number of changed characters to be enforced when new passwords are created;
+
+
+ IA-5(1)(b)[2]
+ the information system enforces at least the organization-defined minimum number of characters that must be changed when new passwords are created;
+
+
+
+ IA-5(1)(c)
+ the information system stores and transmits only encrypted representations of passwords;
+
+
+ IA-5(1)(d)
+
+ IA-5(1)(d)[1]
+ the organization defines numbers for password minimum lifetime restrictions to be enforced for passwords;
+
+
+ IA-5(1)(d)[2]
+ the organization defines numbers for password maximum lifetime restrictions to be enforced for passwords;
+
+
+ IA-5(1)(d)[3]
+ the information system enforces password minimum lifetime restrictions of organization-defined numbers for lifetime minimum;
+
+
+ IA-5(1)(d)[4]
+ the information system enforces password maximum lifetime restrictions of organization-defined numbers for lifetime maximum;
+
+
+
+ IA-5(1)(e)
+
+ IA-5(1)(e)[1]
+ the organization defines the number of password generations to be prohibited from password reuse;
+
+
+ IA-5(1)(e)[2]
+ the information system prohibits password reuse for the organization-defined number of generations; and
+
+
+
+ IA-5(1)(f)
+ the information system allows the use of a temporary password for system logons with an immediate change to a permanent password.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ password policy
+ procedures addressing authenticator management
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ password configurations and associated documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with authenticator management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing password-based authenticator management capability
+
+
+
+ PKI-BASED AUTHENTICATION
+ IA-5 (2)
+ MODERATE
+ HIGH
+
+
The information system, for PKI-based authentication:
+
+ IA-5 (2)(a)
+
Validates certifications by constructing and verifying a certification path to an accepted trust anchor including checking certificate status information;
+
+
+ IA-5 (2)(b)
+
Enforces authorized access to the corresponding private key;
+
+
+ IA-5 (2)(c)
+
Maps the authenticated identity to the account of the individual or group; and
+
+
+ IA-5 (2)(d)
+
Implements a local cache of revocation data to support path discovery and validation in case of inability to access revocation information via the network.
+
+
+
+
Status information for certification paths includes, for example, certificate revocation lists or certificate status protocol responses. For PIV cards, validation of certifications involves the construction and verification of a certification path to the Common Policy Root trust anchor including certificate policy processing.
+ IA-6
+
+
+ Determine if the information system, for PKI-based authentication:
+
+ IA-5(2)(a)
+
+ IA-5(2)(a)[1]
+ validates certifications by constructing a certification path to an accepted trust anchor;
+
+
+ IA-5(2)(a)[2]
+ validates certifications by verifying a certification path to an accepted trust anchor;
+
+
+ IA-5(2)(a)[3]
+ includes checking certificate status information when constructing and verifying the certification path;
+
+
+
+ IA-5(2)(b)
+ enforces authorized access to the corresponding private key;
+
+
+ IA-5(2)(c)
+ maps the authenticated identity to the account of the individual or group; and
+
+
+ IA-5(2)(d)
+ implements a local cache of revocation data to support path discovery and validation in case of inability to access revocation information via the network.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing authenticator management
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ PKI certification validation records
+ PKI certification revocation lists
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with PKI-based, authenticator management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing PKI-based, authenticator management capability
+
+
+
+ IN-PERSON OR TRUSTED THIRD-PARTY REGISTRATION
+ IA-5 (3)
+ MODERATE
+ HIGH
+
+
The organization requires that the registration process to receive organization-defined types of and/or specific authenticators be conducted [Selection: in person; by a trusted third party] before organization-defined registration authority with authorization by organization-defined personnel or roles.
+
+
+ Determine if the organization:
+
+ IA-5(3)[1]
+ defines types of and/or specific authenticators to be received in person or by a trusted third party;
+
+
+ IA-5(3)[2]
+ defines the registration authority with oversight of the registration process for receipt of organization-defined types of and/or specific authenticators;
+
+
+ IA-5(3)[3]
+ defines personnel or roles responsible for authorizing organization-defined registration authority;
+
+
+ IA-5(3)[4]
+ defines if the registration process is to be conducted:
+
+ IA-5(3)[4][a]
+ in person; or
+
+
+ IA-5(3)[4][b]
+ by a trusted third party; and
+
+
+
+ IA-5(3)[5]
+ requires that the registration process to receive organization-defined types of and/or specific authenticators be conducted in person or by a trusted third party before organization-defined registration authority with authorization by organization-defined personnel or roles.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing authenticator management
+ registration process for receiving information system authenticators
+ list of authenticators requiring in-person registration
+ list of authenticators requiring trusted third party registration
+ authenticator registration documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with authenticator management responsibilities
+ registration authority
+ organizational personnel with information security responsibilities
+
+
+
+ AUTOMATED SUPPORT FOR PASSWORD STRENGTH DETERMINATION
+ IA-5 (4)
+
+
The organization employs automated tools to determine if password authenticators are sufficiently strong to satisfy organization-defined requirements.
+
+
+
This control enhancement focuses on the creation of strong passwords and the characteristics of such passwords (e.g., complexity) prior to use, the enforcement of which is carried out by organizational information systems in IA-5 (1).
+ CA-2
+ CA-7
+ RA-5
+
+
+ Determine if the organization:
+
+ IA-5(4)[1]
+ defines requirements to be satisfied by password authenticators; and
+
+
+ IA-5(4)[2]
+ employs automated tools to determine if password authenticators are sufficiently strong to satisfy organization-defined requirements.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing authenticator management
+ information system design documentation
+ information system configuration settings and associated documentation
+ automated tools for evaluating password authenticators
+ password strength assessment results
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with authenticator management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing password-based authenticator management capability
+ automated tools for determining password strength
+
+
+
+ CHANGE AUTHENTICATORS PRIOR TO DELIVERY
+ IA-5 (5)
+
+
The organization requires developers/installers of information system components to provide unique authenticators or change default authenticators prior to delivery/installation.
+
+
+
This control enhancement extends the requirement for organizations to change default authenticators upon information system installation, by requiring developers and/or installers to provide unique authenticators or change default authenticators for system components prior to delivery and/or installation. However, it typically does not apply to the developers of commercial off-the-shelve information technology products. Requirements for unique authenticators can be included in acquisition documents prepared by organizations when procuring information systems or system components.
+
+
+ Determine if the organization requires developers/installers of information system components to:
+
+ IA-5(5)[1]
+ provide unique authenticators prior to delivery/installation; or
+
+
+ IA-5(5)[2]
+ change default authenticators prior to delivery/installation.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ system and services acquisition policy
+ procedures addressing authenticator management
+ procedures addressing the integration of security requirements into the acquisition process
+ acquisition documentation
+ acquisition contracts for information system procurements or services
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with authenticator management responsibilities
+ organizational personnel with information system security, acquisition, and contracting responsibilities
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing authenticator management capability
+
+
+
+ PROTECTION OF AUTHENTICATORS
+ IA-5 (6)
+
+
The organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access.
+
+
+
For information systems containing multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems.
+
+
+ Determine if the organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access.
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing authenticator management
+ security categorization documentation for the information system
+ security assessments of authenticator protections
+ risk assessment results
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with authenticator management responsibilities
+ organizational personnel implementing and/or maintaining authenticator protections
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing authenticator management capability
+ automated mechanisms protecting authenticators
+
+
+
+ NO EMBEDDED UNENCRYPTED STATIC AUTHENTICATORS
+ IA-5 (7)
+
+
The organization ensures that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys.
+
+
+
Organizations exercise caution in determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators. This is irrespective of whether that representation is perhaps an encrypted version of something else (e.g., a password).
+
+
+ Determine if the organization ensures that unencrypted static authenticators are not:
+
+ IA-5(7)[1]
+ embedded in applications;
+
+
+ IA-5(7)[2]
+ embedded in access scripts; or
+
+
+ IA-5(7)[3]
+ stored on function keys.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing authenticator management
+ information system design documentation
+ information system configuration settings and associated documentation
+ logical access scripts
+ application code reviews for detecting unencrypted static authenticators
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with authenticator management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing authenticator management capability
+ automated mechanisms implementing authentication in applications
+
+
+
+ MULTIPLE INFORMATION SYSTEM ACCOUNTS
+ IA-5 (8)
+
+
The organization implements organization-defined security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems.
+
+
+
When individuals have accounts on multiple information systems, there is the risk that the compromise of one account may lead to the compromise of other accounts if individuals use the same authenticators. Possible alternatives include, for example: (i) having different authenticators on all systems; (ii) employing some form of single sign-on mechanism; or (iii) including some form of one-time passwords on all systems.
+
+
+ Determine if the organization:
+
+ IA-5(8)[1]
+ defines security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems; and
+
+
+ IA-5(8)[2]
+ implements organization-defined security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing authenticator management
+ security plan
+ list of individuals having accounts on multiple information systems
+ list of security safeguards intended to manage risk of compromise due to individuals having accounts on multiple information systems
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with authenticator management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing safeguards for authenticator management
+
+
+
+ CROSS-ORGANIZATION CREDENTIAL MANAGEMENT
+ IA-5 (9)
+
+
The organization coordinates with organization-defined external organizations for cross-organization management of credentials.
+
+
+
Cross-organization management of credentials provides the capability for organizations to appropriately authenticate individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.
+
+
+ Determine if the organization:
+
+ IA-5(9)[1]
+ defines external organizations with whom to coordinate cross-organizational management of credentials; and
+
+
+ IA-5(9)[2]
+ coordinates with organization-defined external organizations for cross-organizational management of credentials.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing authenticator management
+ procedures addressing account management
+ security plan
+ information security agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with authenticator management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing safeguards for authenticator management
+
+
+
+ DYNAMIC CREDENTIAL ASSOCIATION
+ IA-5 (10)
+
+
The information system dynamically provisions identities.
+
+
+
Authentication requires some form of binding between an identity and the authenticator used to confirm the identity. In conventional approaches, this binding is established by pre-provisioning both the identity and the authenticator to the information system. For example, the binding between a username (i.e., identity) and a password (i.e., authenticator) is accomplished by provisioning the identity and authenticator as a pair in the information system. New authentication techniques allow the binding between the identity and the authenticator to be implemented outside an information system. For example, with smartcard credentials, the identity and the authenticator are bound together on the card. Using these credentials, information systems can authenticate identities that have not been pre-provisioned, dynamically provisioning the identity after authentication. In these situations, organizations can anticipate the dynamic provisioning of identities. Preestablished trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.
+
+
+ Determine if the information system dynamically provisions identifiers.
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing identifier management
+ security plan
+ information system design documentation
+ automated mechanisms providing dynamic binding of identifiers and authenticators
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with identifier management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms implementing identifier management capability
+ automated mechanisms implementing dynamic provisioning of identifiers
+
+
+
+ HARDWARE TOKEN-BASED AUTHENTICATION
+ IA-5 (11)
+ LOW
+ MODERATE
+ HIGH
+
+
The information system, for hardware token-based authentication, employs mechanisms that satisfy organization-defined token quality requirements.
+
+
+
Hardware token-based authentication typically refers to the use of PKI-based tokens, such as the U.S. Government Personal Identity Verification (PIV) card. Organizations define specific requirements for tokens, such as working with a particular PKI.
+
+
+ Determine if, for hardware token-based authentication:
+
+ IA-5(11)[1]
+ the organization defines token quality requirements to be satisfied; and
+
+
+ IA-5(11)[2]
+ the information system employs mechanisms that satisfy organization-defined token quality requirements.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing authenticator management
+ security plan
+ information system design documentation
+ automated mechanisms employing hardware token-based authentication for the information system
+ list of token quality requirements
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with authenticator management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing hardware token-based authenticator management capability
+
+
+
+ BIOMETRIC-BASED AUTHENTICATION
+ IA-5 (12)
+
+
The information system, for biometric-based authentication, employs mechanisms that satisfy organization-defined biometric quality requirements.
+
+
+
Unlike password-based authentication which provides exact matches of user-input passwords to stored passwords, biometric authentication does not provide such exact matches. Depending upon the type of biometric and the type of collection mechanism, there is likely to be some divergence from the presented biometric and stored biometric which serves as the basis of comparison. There will likely be both false positives and false negatives when making such comparisons. The rate at which the false accept and false reject rates are equal is known as the crossover rate. Biometric quality requirements include, for example, acceptable crossover rates, as that essentially reflects the accuracy of the biometric.
+
+
+ Determine if, for biometric-based authentication:
+
+ IA-5(12)[1]
+ the organization defines biometric quality requirements to be satisfied; and
+
+
+ IA-5(12)[2]
+ the information system employs mechanisms that satisfy organization-defined biometric quality requirements.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing authenticator management
+ security plan
+ information system design documentation
+ automated mechanisms employing biometric-based authentication for the information system
+ list of biometric quality requirements
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with authenticator management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing biometric-based authenticator management capability
+
+
+
+ EXPIRATION OF CACHED AUTHENTICATORS
+ IA-5 (13)
+
+
The information system prohibits the use of cached authenticators after organization-defined time period.
+
+
+ Determine if:
+
+ IA-5(13)[1]
+ the organization defines the time period after which the information system is to prohibit the use of cached authenticators; and
+
+
+ IA-5(13)[2]
+ the information system prohibits the use of cached authenticators after the organization-defined time period.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing authenticator management
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with authenticator management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing authenticator management capability
+
+
+
+ MANAGING CONTENT OF PKI TRUST STORES
+ IA-5 (14)
+
+
The organization, for PKI-based authentication, employs a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including networks, operating systems, browsers, and applications.
+
+
+ Determine if the organization, for PKI-based authentication, employs a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including:
+
+ IA-5(14)[1]
+ networks;
+
+
+ IA-5(14)[2]
+ operating systems;
+
+
+ IA-5(14)[3]
+ browsers; and
+
+
+ IA-5(14)[4]
+ applications.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing authenticator management
+ security plan
+ organizational methodology for managing content of PKI trust stores across installed all platforms
+ information system design documentation
+ information system configuration settings and associated documentation
+ enterprise security architecture documentation
+ enterprise architecture documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with authenticator management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing PKI-based authenticator management capability
+ automated mechanisms supporting and/or implementing the PKI trust store capability
+
+
+
+ FICAM-APPROVED PRODUCTS AND SERVICES
+ IA-5 (15)
+
+
The organization uses only FICAM-approved path discovery and validation products and services.
+
+
+
Federal Identity, Credential, and Access Management (FICAM)-approved path discovery and validation products and services are those products and services that have been approved through the FICAM conformance program, where applicable.
+
+
+ Determine if the organization uses only FICAM-approved path discovery and validation products and services.
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing identifier management
+ security plan
+ information system design documentation
+ automated mechanisms providing dynamic binding of identifiers and authenticators
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with identification and authentication management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing account management capability
+ automated mechanisms supporting and/or implementing identification and authentication management capability for the information system
+
+
+
+ Determine if the organization manages information system authenticators by:
+
+ IA-5(a)
+ verifying, as part of the initial authenticator distribution, the identity of:
+
+ IA-5(a)[1]
+ the individual receiving the authenticator;
+
+
+ IA-5(a)[2]
+ the group receiving the authenticator;
+
+
+ IA-5(a)[3]
+ the role receiving the authenticator; and/or
+
+
+ IA-5(a)[4]
+ the device receiving the authenticator;
+
+
+
+ IA-5(b)
+ establishing initial authenticator content for authenticators defined by the organization;
+
+
+ IA-5(c)
+ ensuring that authenticators have sufficient strength of mechanism for their intended use;
+
+
+ IA-5(d)
+
+ IA-5(d)[1]
+ establishing and implementing administrative procedures for initial authenticator distribution;
+
+
+ IA-5(d)[2]
+ establishing and implementing administrative procedures for lost/compromised or damaged authenticators;
+
+
+ IA-5(d)[3]
+ establishing and implementing administrative procedures for revoking authenticators;
+
+
+
+ IA-5(e)
+ changing default content of authenticators prior to information system installation;
+
+
+ IA-5(f)
+
+ IA-5(f)[1]
+ establishing minimum lifetime restrictions for authenticators;
+
+
+ IA-5(f)[2]
+ establishing maximum lifetime restrictions for authenticators;
+
+
+ IA-5(f)[3]
+ establishing reuse conditions for authenticators;
+
+
+
+ IA-5(g)
+
+ IA-5(g)[1]
+ defining a time period (by authenticator type) for changing/refreshing authenticators;
+
+
+ IA-5(g)[2]
+ changing/refreshing authenticators with the organization-defined time period by authenticator type;
+
+
+
+ IA-5(h)
+ protecting authenticator content from unauthorized:
+
+ IA-5(h)[1]
+ disclosure;
+
+
+ IA-5(h)[2]
+ modification;
+
+
+
+ IA-5(i)
+
+ IA-5(i)[1]
+ requiring individuals to take specific security safeguards to protect authenticators;
+
+
+ IA-5(i)[2]
+ having devices implement specific security safeguards to protect authenticators; and
+
+
+
+ IA-5(j)
+ changing authenticators for group/role accounts when membership to those accounts changes.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing authenticator management
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of information system authenticator types
+ change control records associated with managing information system authenticators
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with authenticator management responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing authenticator management capability
+
+
+
+ OMB Memorandum 04-04
+
+
+ OMB Memorandum 11-11
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-73
+
+
+ NIST Special Publication 800-63
+
+
+ NIST Special Publication 800-76
+
+
+ NIST Special Publication 800-78
+
+
+ FICAM Roadmap and Implementation Guidance
+
+
+ http://idmanagement.gov
+
+
+
+
+ AUTHENTICATOR FEEDBACK
+ IA-6
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.
+
+
+
The feedback from information systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of information systems or system components, for example, desktops/notebooks with relatively large monitors, the threat (often referred to as shoulder surfing) may be significant. For other types of systems or components, for example, mobile devices with 2-4 inch screens, this threat may be less significant, and may need to be balanced against the increased likelihood of typographic input errors due to the small keyboards. Therefore, the means for obscuring the authenticator feedback is selected accordingly. Obscuring the feedback of authentication information includes, for example, displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before fully obscuring it.
+ PE-18
+
+
+ Determine if the information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing authenticator feedback
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing the obscuring of feedback of authentication information during authentication
+
+
+
+ CRYPTOGRAPHIC MODULE AUTHENTICATION
+ IA-7
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.
+
+
+
Authentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role.
+ SC-12
+ SC-13
+
+
+ Determine if the information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing cryptographic module authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for cryptographic module authentication
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing cryptographic module authentication
+
+
+
+ FIPS Publication 140
+
+
+ http://csrc.nist.gov/groups/STM/cmvp/index.html
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)
+ IA-8
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).
+
+
+
Non-organizational users include information system users other than organizational users explicitly covered by IA-2. These individuals are uniquely identified and authenticated for accesses other than those accesses explicitly identified and documented in AC-14. In accordance with the E-Authentication E-Government initiative, authentication of non-organizational users accessing federal information systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations use risk assessments to determine authentication needs and consider scalability, practicality, and security in balancing the need to ensure ease of use for access to federal information and information systems with the need to protect and adequately mitigate risk. IA-2 addresses identification and authentication requirements for access to information systems by organizational users.
The information system accepts and electronically verifies Personal Identity Verification (PIV) credentials from other federal agencies.
+
+
+
This control enhancement applies to logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.
+ AU-2
+ PE-3
+ SA-4
+
+
+ Determine if the information system:
+
+ IA-8(1)[1]
+ accepts Personal Identity Verification (PIV) credentials from other agencies; and
+
+
+ IA-8(1)[2]
+ electronically verifies Personal Identity Verification (PIV) credentials from other agencies.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing user identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ PIV verification records
+ evidence of PIV credentials
+ PIV credential authorizations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+ organizational personnel with account management responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing identification and authentication capability
+ automated mechanisms that accept and verify PIV credentials
+
+
+
+ ACCEPTANCE OF THIRD-PARTY CREDENTIALS
+ IA-8 (2)
+ LOW
+ MODERATE
+ HIGH
+
+
The information system accepts only FICAM-approved third-party credentials.
+
+
+
This control enhancement typically applies to organizational information systems that are accessible to the general public, for example, public-facing websites. Third-party credentials are those credentials issued by nonfederal government entities approved by the Federal Identity, Credential, and Access Management (FICAM) Trust Framework Solutions initiative. Approved third-party credentials meet or exceed the set of minimum federal government-wide technical, security, privacy, and organizational maturity requirements. This allows federal government relying parties to trust such credentials at their approved assurance levels.
+ AU-2
+
+
+ Determine if the information system accepts only FICAM-approved third-party credentials.
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing user identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of FICAM-approved, third-party credentialing products, components, or services procured and implemented by organization
+ third-party credential verification records
+ evidence of FICAM-approved third-party credentials
+ third-party credential authorizations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+ organizational personnel with account management responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing identification and authentication capability
+ automated mechanisms that accept FICAM-approved credentials
+
+
+
+ USE OF FICAM-APPROVED PRODUCTS
+ IA-8 (3)
+ LOW
+ MODERATE
+ HIGH
+
+
The organization employs only FICAM-approved information system components in organization-defined information systems to accept third-party credentials.
+
+
+
This control enhancement typically applies to information systems that are accessible to the general public, for example, public-facing websites. FICAM-approved information system components include, for example, information technology products and software libraries that have been approved by the Federal Identity, Credential, and Access Management conformance program.
+ SA-4
+
+
+ Determine if the organization:
+
+ IA-8(3)[1]
+ defines information systems in which only FICAM-approved information system components are to be employed to accept third-party credentials; and
+
+
+ IA-8(3)[2]
+ employs only FICAM-approved information system components in organization-defined information systems to accept third-party credentials.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ system and services acquisition policy
+ procedures addressing user identification and authentication
+ procedures addressing the integration of security requirements into the acquisition process
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ third-party credential validations
+ third-party credential authorizations
+ third-party credential records
+ list of FICAM-approved information system components procured and implemented by organization
+ acquisition documentation
+ acquisition contracts for information system procurements or services
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ system/network administrators
+ organizational personnel with account management responsibilities
+ organizational personnel with information system security, acquisition, and contracting responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing identification and authentication capability
+
+
+
+ USE OF FICAM-ISSUED PROFILES
+ IA-8 (4)
+ LOW
+ MODERATE
+ HIGH
+
+
The information system conforms to FICAM-issued profiles.
+
+
+
This control enhancement addresses open identity management standards. To ensure that these standards are viable, robust, reliable, sustainable (e.g., available in commercial information technology products), and interoperable as documented, the United States Government assesses and scopes identity management standards and technology implementations against applicable federal legislation, directives, policies, and requirements. The result is FICAM-issued implementation profiles of approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute Exchange).
+ SA-4
+
+
+ Determine if the information system conforms to FICAM-issued profiles.
+
+
+ EXAMINE
+ Identification and authentication policy
+ system and services acquisition policy
+ procedures addressing user identification and authentication
+ procedures addressing the integration of security requirements into the acquisition process
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of FICAM-issued profiles and associated, approved protocols
+ acquisition documentation
+ acquisition contracts for information system procurements or services
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+ organizational personnel with account management responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing identification and authentication capability
+ automated mechanisms supporting and/or implementing conformance with FICAM-issued profiles
+
+
+
+ ACCEPTANCE OF PIV-I CREDENTIALS
+ IA-8 (5)
+
+
The information system accepts and electronically verifies Personal Identity Verification-I (PIV-I) credentials.
+
+
+
This control enhancement: (i) applies to logical and physical access control systems; and (ii) addresses Non-Federal Issuers (NFIs) of identity cards that desire to interoperate with United States Government Personal Identity Verification (PIV) information systems and that can be trusted by federal government-relying parties. The X.509 certificate policy for the Federal Bridge Certification Authority (FBCA) addresses PIV-I requirements. The PIV-I card is suitable for Assurance Level 4 as defined in OMB Memorandum 04-04 and NIST Special Publication 800-63, and multifactor authentication as defined in NIST Special Publication 800-116. PIV-I credentials are those credentials issued by a PIV-I provider whose PIV-I certificate policy maps to the Federal Bridge PIV-I Certificate Policy. A PIV-I provider is cross-certified (directly or through another PKI bridge) with the FBCA with policies that have been mapped and approved as meeting the requirements of the PIV-I policies defined in the FBCA certificate policy.
+ AU-2
+
+
+ Determine if the information system:
+
+ IA-8(5)[1]
+ accepts Personal Identity Verification-I (PIV-I) credentials; and
+
+
+ IA-8(5)[2]
+ electronically verifies Personal Identity Verification-I (PIV-I) credentials.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing user identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ PIV-I verification records
+ evidence of PIV-I credentials
+ PIV-I credential authorizations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+ organizational personnel with account management responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing identification and authentication capability
+ automated mechanisms that accept and verify PIV-I credentials
+
+
+
+ Determine if the information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing user identification and authentication
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of information system accounts
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ organizational personnel with account management responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing identification and authentication capability
+
+
+
+ OMB Memorandum 04-04
+
+
+ OMB Memorandum 11-11
+
+
+ OMB Memorandum 10-06-2011
+
+
+ FICAM Roadmap and Implementation Guidance
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-63
+
+
+ NIST Special Publication 800-116
+
+
+ National Strategy for Trusted Identities in Cyberspace
+
+
+ http://idmanagement.gov
+
+
+
+
+ SERVICE IDENTIFICATION AND AUTHENTICATION
+ IA-9
+ P0
+
+
The organization identifies and authenticates organization-defined information system services using organization-defined security safeguards.
+
+
+
This control supports service-oriented architectures and other distributed architectural approaches requiring the identification and authentication of information system services. In such architectures, external services often appear dynamically. Therefore, information systems should be able to determine in a dynamic manner, if external providers and associated services are authentic. Safeguards implemented by organizational information systems to validate provider and service authenticity include, for example, information or code signing, provenance graphs, and/or electronic signatures indicating or including the sources of services.
+
+
+ INFORMATION EXCHANGE
+ IA-9 (1)
+
+
The organization ensures that service providers receive, validate, and transmit identification and authentication information.
+
+
+ Determine if the organization ensures that service providers:
+
+ IA-9(1)[1]
+ receive identification and authentication information;
+
+
+ IA-9(1)[2]
+ validate identification and authentication information; and
+
+
+ IA-9(1)[3]
+ transmit identification and authentication information.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing service identification and authentication
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with identification and authentication responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ service providers
+
+
+ TEST
+ Automated mechanisms implementing service identification and authentication capabilities
+
+
+
+ TRANSMISSION OF DECISIONS
+ IA-9 (2)
+
+
The organization ensures that identification and authentication decisions are transmitted between organization-defined services consistent with organizational policies.
+
+
+
For distributed architectures (e.g., service-oriented architectures), the decisions regarding the validation of identification and authentication claims may be made by services separate from the services acting on those decisions. In such situations, it is necessary to provide the identification and authentication decisions (as opposed to the actual identifiers and authenticators) to the services that need to act on those decisions.
+ SC-8
+
+
+ Determine if the organization:
+
+ IA-9(2)[1]
+ defines services for which identification and authentication decisions transmitted between such services are to be consistent with organizational policies; and
+
+
+ IA-9(2)[2]
+ ensures that identification and authentication decisions are transmitted between organization-defined services consistent with organizational policies.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing service identification and authentication
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ transmission records
+ transmission verification records
+ rules for identification and authentication transmission decisions between organizational services
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with identification and authentication responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms implementing service identification and authentication capabilities
+
+
+
+ Determine if the organization:
+
+ IA-9[1]
+ defines information system services to be identified and authenticated using security safeguards;
+
+
+ IA-9[2]
+ defines security safeguards to be used to identify and authenticate organization-defined information system services; and
+
+
+ IA-9[3]
+ identifies and authenticates organization-defined information system services using organization-defined security safeguards.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing service identification and authentication
+ security plan
+ information system design documentation
+ security safeguards used to identify and authenticate information system services
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+ organizational personnel with identification and authentication responsibilities
+
+
+ TEST
+ Security safeguards implementing service identification and authentication capability
+
+
+
+ ADAPTIVE IDENTIFICATION AND AUTHENTICATION
+ IA-10
+ P0
+
+
The organization requires that individuals accessing the information system employ organization-defined supplemental authentication techniques or mechanisms under specific organization-defined circumstances or situations.
+
+
+
Adversaries may compromise individual authentication mechanisms and subsequently attempt to impersonate legitimate users. This situation can potentially occur with any authentication mechanisms employed by organizations. To address this threat, organizations may employ specific techniques/mechanisms and establish protocols to assess suspicious behavior (e.g., individuals accessing information that they do not typically access as part of their normal duties, roles, or responsibilities, accessing greater quantities of information than the individuals would routinely access, or attempting to access information from suspicious network addresses). In these situations when certain preestablished conditions or triggers occur, organizations can require selected individuals to provide additional authentication information. Another potential use for adaptive identification and authentication is to increase the strength of mechanism based on the number and/or types of records being accessed.
+ AU-6
+ SI-4
+
+
+ Determine if the organization:
+
+ IA-10[1]
+ defines specific circumstances or situations that require individuals accessing the information system to employ supplemental authentication techniques or mechanisms;
+
+
+ IA-10[2]
+ defines supplemental authentication techniques or mechanisms to be employed when accessing the information system under specific organization-defined circumstances or situations; and
+
+
+ IA-10[3]
+ requires that individuals accessing the information system employ organization-defined supplemental authentication techniques or mechanisms under specific organization-defined circumstances or situations.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing adaptive/ supplemental identification and authentication techniques or mechanisms
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ supplemental identification and authentication techniques or mechanisms
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+ organizational personnel with identification and authentication responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing identification and authentication capability
+
+
+
+ RE-AUTHENTICATION
+ IA-11
+ P0
+
+
The organization requires users and devices to re-authenticate when organization-defined circumstances or situations requiring re-authentication.
+
+
+
In addition to the re-authentication requirements associated with session locks, organizations may require re-authentication of individuals and/or devices in other situations including, for example: (i) when authenticators change; (ii), when roles change; (iii) when security categories of information systems change; (iv), when the execution of privileged functions occurs; (v) after a fixed period of time; or (vi) periodically.
+ AC-11
+
+
+ Determine if the organization:
+
+ IA-11[1]
+ defines circumstances or situations requiring re-authentication;
+
+
+ IA-11[2]
+ requires users to re-authenticate when organization-defined circumstances or situations require re-authentication; and
+
+
+ IA-11[3]
+ requires devices to re-authenticate when organization-defined circumstances or situations require re-authentication.
+
+
+
+ EXAMINE
+ Identification and authentication policy
+ procedures addressing user and device re-authentication
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of circumstances or situations requiring re-authentication
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system operations responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+ organizational personnel with identification and authentication responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing identification and authentication capability
+
+
+
+
+ INCIDENT RESPONSE
+
+ INCIDENT RESPONSE POLICY AND PROCEDURES
+ IR-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ IR-1a.
+
Develops, documents, and disseminates to organization-defined personnel or roles:
+
+ IR-1a.1.
+
An incident response policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ IR-1a.2.
+
Procedures to facilitate the implementation of the incident response policy and associated incident response controls; and
+
+
+
+ IR-1b.
+
Reviews and updates the current:
+
+ IR-1b.1.
+
Incident response policy organization-defined frequency; and
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IR family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+ Determine if the organization:
+
+ IR-1(a)(1)
+
+ IR-1(a)(1)[1]
+ develops and documents an incident response policy that addresses:
+
+ IR-1(a)(1)[1][a]
+ purpose;
+
+
+ IR-1(a)(1)[1][b]
+ scope;
+
+
+ IR-1(a)(1)[1][c]
+ roles;
+
+
+ IR-1(a)(1)[1][d]
+ responsibilities;
+
+
+ IR-1(a)(1)[1][e]
+ management commitment;
+
+
+ IR-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ IR-1(a)(1)[1][g]
+ compliance;
+
+
+
+ IR-1(a)(1)[2]
+ defines personnel or roles to whom the incident response policy is to be disseminated;
+
+
+ IR-1(a)(1)[3]
+ disseminates the incident response policy to organization-defined personnel or roles;
+
+
+
+ IR-1(a)(2)
+
+ IR-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the incident response policy and associated incident response controls;
+
+
+ IR-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ IR-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ IR-1(b)(1)
+
+ IR-1(b)(1)[1]
+ defines the frequency to review and update the current incident response policy;
+
+
+ IR-1(b)(1)[2]
+ reviews and updates the current incident response policy with the organization-defined frequency;
+
+
+
+ IR-1(b)(2)
+
+ IR-1(b)(2)[1]
+ defines the frequency to review and update the current incident response procedures; and
+
+
+ IR-1(b)(2)[2]
+ reviews and updates the current incident response procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Incident response policy and procedures
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident response responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-61
+
+
+ NIST Special Publication 800-83
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ INCIDENT RESPONSE TRAINING
+ IR-2
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization provides incident response training to information system users consistent with assigned roles and responsibilities:
+
+ IR-2a.
+
Within organization-defined time period of assuming an incident response role or responsibility;
+
+
+ IR-2b.
+
When required by information system changes; and
+
+
+ IR-2c.
+
+ organization-defined frequency thereafter.
+
+
+
+
Incident response training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, regular users may only need to know who to call or how to recognize an incident on the information system; system administrators may require additional training on how to handle/remediate incidents; and incident responders may receive more specific training on forensics, reporting, system recovery, and restoration. Incident response training includes user training in the identification and reporting of suspicious activities, both from external and internal sources.
The organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations.
+
+
+ Determine if the organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations.
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident response training
+ incident response training curriculum
+ incident response training materials
+ incident response plan
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident response training and operational responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms that support and/or implement simulated events for incident response training
+
+
+
+ AUTOMATED TRAINING ENVIRONMENTS
+ IR-2 (2)
+ HIGH
+
+
The organization employs automated mechanisms to provide a more thorough and realistic incident response training environment.
+
+
+ Determine if the organization employs automated mechanisms to provide a more thorough and realistic incident response training environment.
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident response training
+ incident response training curriculum
+ incident response training materials
+ automated mechanisms supporting incident response training
+ incident response plan
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident response training and operational responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms that provide a thorough and realistic incident response training environment
+
+
+
+ Determine if the organization:
+
+ IR-2(a)
+
+ IR-2(a)[1]
+ defines a time period within which incident response training is to be provided to information system users assuming an incident response role or responsibility;
+
+
+ IR-2(a)[2]
+ provides incident response training to information system users consistent with assigned roles and responsibilities within the organization-defined time period of assuming an incident response role or responsibility;
+
+
+
+ IR-2(b)
+ provides incident response training to information system users consistent with assigned roles and responsibilities when required by information system changes;
+
+
+ IR-2(c)
+
+ IR-2(c)[1]
+ defines the frequency to provide refresher incident response training to information system users consistent with assigned roles or responsibilities; and
+
+
+ IR-2(c)[2]
+ after the initial incident response training, provides refresher incident response training to information system users consistent with assigned roles and responsibilities in accordance with the organization-defined frequency to provide refresher training.
+
+
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident response training
+ incident response training curriculum
+ incident response training materials
+ security plan
+ incident response plan
+ security plan
+ incident response training records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident response training and operational responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-16
+
+
+ NIST Special Publication 800-50
+
+
+
+
+ INCIDENT RESPONSE TESTING
+ IR-3
+ P2
+ MODERATE
+ HIGH
+
+
The organization tests the incident response capability for the information system organization-defined frequency using organization-defined tests to determine the incident response effectiveness and documents the results.
+
+
+
Organizations test incident response capabilities to determine the overall effectiveness of the capabilities and to identify potential weaknesses or deficiencies. Incident response testing includes, for example, the use of checklists, walk-through or tabletop exercises, simulations (parallel/full interrupt), and comprehensive exercises. Incident response testing can also include a determination of the effects on organizational operations (e.g., reduction in mission capabilities), organizational assets, and individuals due to incident response.
The organization employs automated mechanisms to more thoroughly and effectively test the incident response capability.
+
+
+
Organizations use automated mechanisms to more thoroughly and effectively test incident response capabilities, for example: (i) by providing more complete coverage of incident response issues; (ii) by selecting more realistic test scenarios and test environments; and (iii) by stressing the response capability.
+ AT-2
+
+
+ Determine if the organization employs automated mechanisms to more thoroughly and effectively test the incident response capability.
+
+
+ EXAMINE
+ Incident response policy
+ contingency planning policy
+ procedures addressing incident response testing
+ procedures addressing contingency plan testing
+ incident response testing documentation
+ incident response test results
+ incident response test plan
+ incident response plan
+ contingency plan
+ security plan
+ automated mechanisms supporting incident response tests
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident response testing responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms that more thoroughly and effectively test the incident response capability
+
+
+
+ COORDINATION WITH RELATED PLANS
+ IR-3 (2)
+ MODERATE
+ HIGH
+
+
The organization coordinates incident response testing with organizational elements responsible for related plans.
+
+
+
Organizational plans related to incident response testing include, for example, Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, and Occupant Emergency Plans.
+
+
+ Determine if the organization coordinates incident response testing with organizational elements responsible for related plans.
+
+
+ EXAMINE
+ Incident response policy
+ contingency planning policy
+ procedures addressing incident response testing
+ incident response testing documentation
+ incident response plan
+ business continuity plans
+ contingency plans
+ disaster recovery plans
+ continuity of operations plans
+ crisis communications plans
+ critical infrastructure plans
+ occupant emergency plans
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident response testing responsibilities
+ organizational personnel with responsibilities for testing organizational plans related to incident response testing
+ organizational personnel with information security responsibilities
+
+
+
+ Determine if the organization:
+
+ IR-3[1]
+ defines incident response tests to test the incident response capability for the information system;
+
+
+ IR-3[2]
+ defines the frequency to test the incident response capability for the information system; and
+
+
+ IR-3[3]
+ tests the incident response capability for the information system with the organization-defined frequency, using organization-defined tests to determine the incident response effectiveness and documents the results.
+
+
+
+ EXAMINE
+ Incident response policy
+ contingency planning policy
+ procedures addressing incident response testing
+ procedures addressing contingency plan testing
+ incident response testing material
+ incident response test results
+ incident response test plan
+ incident response plan
+ contingency plan
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident response testing responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-84
+
+
+ NIST Special Publication 800-115
+
+
+
+
+ INCIDENT HANDLING
+ IR-4
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ IR-4a.
+
Implements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery;
+
+
+ IR-4b.
+
Coordinates incident handling activities with contingency planning activities; and
+
+
+ IR-4c.
+
Incorporates lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implements the resulting changes accordingly.
+
+
+
+
Organizations recognize that incident response capability is dependent on the capabilities of organizational information systems and the mission/business processes being supported by those systems. Therefore, organizations consider incident response as part of the definition, design, and development of mission/business processes and information systems. Incident-related information can be obtained from a variety of sources including, for example, audit monitoring, network monitoring, physical access monitoring, user/administrator reports, and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities including, for example, mission/business owners, information system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive (function).
The organization employs automated mechanisms to support the incident handling process.
+
+
+
Automated mechanisms supporting incident handling processes include, for example, online incident management systems.
+
+
+ Determine if the organization employs automated mechanisms to support the incident handling process.
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident handling
+ automated mechanisms supporting incident handling
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ incident response plan
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident handling responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms that support and/or implement the incident handling process
+
+
+
+ DYNAMIC RECONFIGURATION
+ IR-4 (2)
+
+
The organization includes dynamic reconfiguration of organization-defined information system components as part of the incident response capability.
+
+
+
Dynamic reconfiguration includes, for example, changes to router rules, access control lists, intrusion detection/prevention system parameters, and filter rules for firewalls and gateways. Organizations perform dynamic reconfiguration of information systems, for example, to stop attacks, to misdirect attackers, and to isolate components of systems, thus limiting the extent of the damage from breaches or compromises. Organizations include time frames for achieving the reconfiguration of information systems in the definition of the reconfiguration capability, considering the potential need for rapid response in order to effectively address sophisticated cyber threats.
+ AC-2
+ AC-4
+ AC-16
+ CM-2
+ CM-3
+ CM-4
+
+
+ Determine if the organization:
+
+ IR-4(2)[1]
+ defines information system components to be dynamically reconfigured as part of the incident response capability; and
+
+
+ IR-4(2)[2]
+ includes dynamic reconfiguration of organization-defined information system components as part of the incident response capability.
+
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident handling
+ automated mechanisms supporting incident handling
+ list of system components to be dynamically reconfigured as part of incident response capability
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ incident response plan
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident handling responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms that support and/or implement dynamic reconfiguration of components as part of incident response
+
+
+
+ CONTINUITY OF OPERATIONS
+ IR-4 (3)
+
+
The organization identifies organization-defined classes of incidents and organization-defined actions to take in response to classes of incidents to ensure continuation of organizational missions and business functions.
+
+
+
Classes of incidents include, for example, malfunctions due to design/implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Appropriate incident response actions include, for example, graceful degradation, information system shutdown, fall back to manual mode/alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved solely for when systems are under attack.
+
+
+ Determine if the organization:
+
+ IR-4(3)[1]
+ defines classes of incidents requiring an organization-defined action to be taken;
+
+
+ IR-4(3)[2]
+ defines actions to be taken in response to organization-defined classes of incidents; and
+
+
+ IR-4(3)[3]
+ identifies organization-defined classes of incidents and organization-defined actions to take in response to classes of incidents to ensure continuation of organizational missions and business functions.
+
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident handling
+ incident response plan
+ security plan
+ list of classes of incidents
+ list of appropriate incident response actions
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident handling responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms that support and/or implement continuity of operations
+
+
+
+ INFORMATION CORRELATION
+ IR-4 (4)
+ HIGH
+
+
The organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.
+
+
+
Sometimes the nature of a threat event, for example, a hostile cyber attack, is such that it can only be observed by bringing together information from different sources including various reports and reporting procedures established by organizations.
+
+
+ Determine if the organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident handling
+ incident response plan
+ security plan
+ automated mechanisms supporting incident and event correlation
+ information system design documentation
+ information system configuration settings and associated documentation
+ incident management correlation logs
+ event management correlation logs
+ security information and event management logs
+ incident management correlation reports
+ event management correlation reports
+ security information and event management reports
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident handling responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with whom incident information and individual incident responses are to be correlated
+
+
+ TEST
+ Organizational processes for correlating incident information and individual incident responses
+ automated mechanisms that support and or implement correlation of incident response information with individual incident responses
+
+
+
+ AUTOMATIC DISABLING OF INFORMATION SYSTEM
+ IR-4 (5)
+
+
The organization implements a configurable capability to automatically disable the information system if organization-defined security violations are detected.
+
+
+ Determine if the organization:
+
+ IR-4(5)[1]
+ defines security violations that, if detected, initiate a configurable capability to automatically disable the information system; and
+
+
+ IR-4(5)[2]
+ implements a configurable capability to automatically disable the information system if any of the organization-defined security violations are detected.
+
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident handling
+ automated mechanisms supporting incident handling
+ information system design documentation
+ information system configuration settings and associated documentation
+ incident response plan
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident handling responsibilities
+ organizational personnel with information security responsibilities
+ system developers
+
+
+ TEST
+ Incident handling capability for the organization
+ automated mechanisms supporting and/or implementing automatic disabling of the information system
+
+
+
+ INSIDER THREATS - SPECIFIC CAPABILITIES
+ IR-4 (6)
+
+
The organization implements incident handling capability for insider threats.
+
+
+
While many organizations address insider threat incidents as an inherent part of their organizational incident response capability, this control enhancement provides additional emphasis on this type of threat and the need for specific incident handling capabilities (as defined within organizations) to provide appropriate and timely responses.
+
+
+ Determine if the organization implements incident handling capability for insider threats.
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident handling
+ automated mechanisms supporting incident handling
+ information system design documentation
+ information system configuration settings and associated documentation
+ incident response plan
+ security plan
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident handling responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Incident handling capability for the organization
+
+
+
+ INSIDER THREATS - INTRA-ORGANIZATION COORDINATION
+ IR-4 (7)
+
+
The organization coordinates incident handling capability for insider threats across organization-defined components or elements of the organization.
+
+
+
Incident handling for insider threat incidents (including preparation, detection and analysis, containment, eradication, and recovery) requires close coordination among a variety of organizational components or elements to be effective. These components or elements include, for example, mission/business owners, information system owners, human resources offices, procurement offices, personnel/physical security offices, operations personnel, and risk executive (function). In addition, organizations may require external support from federal, state, and local law enforcement agencies.
+
+
+ Determine if the organization:
+
+ IR-4(7)[1]
+ defines components or elements of the organization with whom the incident handling capability for insider threats is to be coordinated; and
+
+
+ IR-4(7)[2]
+ coordinates incident handling capability for insider threats across organization-defined components or elements of the organization.
+
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident handling
+ incident response plan
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident handling responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel/elements with whom incident handling capability is to be coordinated
+
+
+ TEST
+ Organizational processes for coordinating incident handling
+
+
+
+ CORRELATION WITH EXTERNAL ORGANIZATIONS
+ IR-4 (8)
+
+
The organization coordinates with organization-defined external organizations to correlate and share organization-defined incident information to achieve a cross-organization perspective on incident awareness and more effective incident responses.
+
+
+
The coordination of incident information with external organizations including, for example, mission/business partners, military/coalition partners, customers, and multitiered developers, can provide significant benefits. Cross-organizational coordination with respect to incident handling can serve as an important risk management capability. This capability allows organizations to leverage critical information from a variety of sources to effectively respond to information security-related incidents potentially affecting the organization�s operations, assets, and individuals.
+
+
+ Determine if the organization:
+
+ IR-4(8)[1]
+ defines external organizations with whom organizational incident information is to be coordinated;
+
+
+ IR-4(8)[2]
+ defines incident information to be correlated and shared with organization-defined external organizations; and
+
+
+ IR-4(8)[3]
+ the organization coordinates with organization-defined external organizations to correlate and share organization-defined information to achieve a cross-organization perspective on incident awareness and more effective incident responses.
+
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident handling
+ list of external organizations
+ records of incident handling coordination with external organizations
+ incident response plan
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident handling responsibilities
+ organizational personnel with information security responsibilities
+ personnel from external organizations with whom incident response information is to be coordinated/shared/correlated
+
+
+ TEST
+ Organizational processes for coordinating incident handling information with external organizations
+
+
+
+ DYNAMIC RESPONSE CAPABILITY
+ IR-4 (9)
+
+
The organization employs organization-defined dynamic response capabilities to effectively respond to security incidents.
+
+
+
This control enhancement addresses the deployment of replacement or new capabilities in a timely manner in response to security incidents (e.g., adversary actions during hostile cyber attacks). This includes capabilities implemented at the mission/business process level (e.g., activating alternative mission/business processes) and at the information system level.
+ CP-10
+
+
+ Determine if the organization:
+
+ IR-4(9)[1]
+ defines dynamic response capabilities to be employed to effectively respond to security incidents; and
+
+
+ IR-4(9)[2]
+ employs organization-defined dynamic response capabilities to effectively respond to security incidents.
+
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident handling
+ automated mechanisms supporting dynamic response capabilities
+ information system design documentation
+ information system configuration settings and associated documentation
+ incident response plan
+ security plan
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident handling responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for dynamic response capability
+ automated mechanisms supporting and/or implementing the dynamic response capability for the organization
+
+
+
+ SUPPLY CHAIN COORDINATION
+ IR-4 (10)
+
+
The organization coordinates incident handling activities involving supply chain events with other organizations involved in the supply chain.
+
+
+
Organizations involved in supply chain activities include, for example, system/product developers, integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include, for example, compromises/breaches involving information system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities.
+
+
+ Determine if the organization coordinates incident handling activities involving supply chain events with other organizations involved in the supply chain.
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing supply chain coordination
+ acquisition contracts
+ service-level agreements
+ incident response plan
+ security plan
+ incident response plans of other organization involved in supply chain activities
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident handling responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with supply chain responsibilities
+
+
+
+ Determine if the organization:
+
+ IR-4(a)
+ implements an incident handling capability for security incidents that includes:
+
+ IR-4(a)[1]
+ preparation;
+
+
+ IR-4(a)[2]
+ detection and analysis;
+
+
+ IR-4(a)[3]
+ containment;
+
+
+ IR-4(a)[4]
+ eradication;
+
+
+ IR-4(a)[5]
+ recovery;
+
+
+
+ IR-4(b)
+ coordinates incident handling activities with contingency planning activities;
+
+
+ IR-4(c)
+
+ IR-4(c)[1]
+ incorporates lessons learned from ongoing incident handling activities into:
+
+ IR-4(c)[1][a]
+ incident response procedures;
+
+
+ IR-4(c)[1][b]
+ training;
+
+
+ IR-4(c)[1][c]
+ testing/exercises;
+
+
+
+ IR-4(c)[2]
+ implements the resulting changes accordingly to:
+
+ IR-4(c)[2][a]
+ incident response procedures;
+
+
+ IR-4(c)[2][b]
+ training; and
+
+
+ IR-4(c)[2][c]
+ testing/exercises.
+
+
+
+
+
+ EXAMINE
+ Incident response policy
+ contingency planning policy
+ procedures addressing incident handling
+ incident response plan
+ contingency plan
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident handling responsibilities
+ organizational personnel with contingency planning responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Incident handling capability for the organization
+
+
+
+ Executive Order 13587
+
+
+ NIST Special Publication 800-61
+
+
+
+
+ INCIDENT MONITORING
+ IR-5
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization tracks and documents information system security incidents.
+
+
+
Documenting information system security incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics, evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources including, for example, incident reports, incident response teams, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports.
The organization employs automated mechanisms to assist in the tracking of security incidents and in the collection and analysis of incident information.
+
+
+
Automated mechanisms for tracking security incidents and collecting/analyzing incident information include, for example, the Einstein network monitoring device and monitoring online Computer Incident Response Centers (CIRCs) or other electronic databases of incidents.
+ AU-7
+ IR-4
+
+
+ Determine if the organization employs automated mechanisms to assist in:
+
+ IR-5(1)[1]
+ the tracking of security incidents;
+
+
+ IR-5(1)[2]
+ the collection of incident information; and
+
+
+ IR-5(1)[3]
+ the analysis of incident information.
+
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident monitoring
+ automated mechanisms supporting incident monitoring
+ information system design documentation
+ information system configuration settings and associated documentation
+ incident response plan
+ security plan
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident monitoring responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms assisting in tracking of security incidents and in the collection and analysis of incident information
+
+
+
+ Determine if the organization:
+
+ IR-5[1]
+ tracks information system security incidents; and
+
+
+ IR-5[2]
+ documents information system security incidents.
+
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident monitoring
+ incident response records and documentation
+ incident response plan
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident monitoring responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Incident monitoring capability for the organization
+ automated mechanisms supporting and/or implementing tracking and documenting of system security incidents
+
+
+
+ NIST Special Publication 800-61
+
+
+
+
+ INCIDENT REPORTING
+ IR-6
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ IR-6a.
+
Requires personnel to report suspected security incidents to the organizational incident response capability within organization-defined time period; and
+
+
+ IR-6b.
+
Reports security incident information to organization-defined authorities.
+
+
+
+
The intent of this control is to address both specific incident reporting requirements within an organization and the formal incident reporting requirements for federal agencies and their subordinate organizations. Suspected security incidents include, for example, the receipt of suspicious email communications that can potentially contain malicious code. The types of security incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Current federal policy requires that all federal agencies (unless specifically exempted from such requirements) report security incidents to the United States Computer Emergency Readiness Team (US-CERT) within specified time frames designated in the US-CERT Concept of Operations for Federal Cyber Security Incident Handling.
The organization employs automated mechanisms to assist in the reporting of security incidents.
+
+
+ IR-7
+
+
+ Determine if the organization employs automated mechanisms to assist in the reporting of security incidents.
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident reporting
+ automated mechanisms supporting incident reporting
+ information system design documentation
+ information system configuration settings and associated documentation
+ incident response plan
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident reporting responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for incident reporting
+ automated mechanisms supporting and/or implementing reporting of security incidents
+
+
+
+ VULNERABILITIES RELATED TO INCIDENTS
+ IR-6 (2)
+
+
The organization reports information system vulnerabilities associated with reported security incidents to organization-defined personnel or roles.
+
+
+ Determine if the organization:
+
+ IR-6(2)[1]
+ defines personnel or roles to whom information system vulnerabilities associated with reported security incidents are to be reported; and
+
+
+ IR-6(2)[2]
+ reports information system vulnerabilities associated with reported security incidents to organization-defined personnel or roles.
+
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident reporting
+ incident response plan
+ security plan
+ security incident reports and associated information system vulnerabilities
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident reporting responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ personnel to whom vulnerabilities associated with security incidents are to be reported
+
+
+ TEST
+ Organizational processes for incident reporting
+ automated mechanisms supporting and/or implementing reporting of vulnerabilities associated with security incidents
+
+
+
+ COORDINATION WITH SUPPLY CHAIN
+ IR-6 (3)
+
+
The organization provides security incident information to other organizations involved in the supply chain for information systems or information system components related to the incident.
+
+
+
Organizations involved in supply chain activities include, for example, system/product developers, integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include, for example, compromises/breaches involving information system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities. Organizations determine the appropriate information to share considering the value gained from support by external organizations with the potential for harm due to sensitive information being released to outside organizations of perhaps questionable trustworthiness.
+
+
+ Determine if the organization provides security incident information to other organizations involved in the supply chain for information systems or information system components related to the incident.
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing supply chain coordination
+ acquisition contracts
+ service-level agreements
+ incident response plan
+ security plan
+ plans of other organization involved in supply chain activities
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident reporting responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with supply chain responsibilities
+
+
+ TEST
+ Organizational processes for incident reporting
+ automated mechanisms supporting and/or implementing reporting of incident information involved in the supply chain
+
+
+
+ Determine if the organization:
+
+ IR-6(a)
+
+ IR-6(a)[1]
+ defines the time period within which personnel report suspected security incidents to the organizational incident response capability;
+
+
+ IR-6(a)[2]
+ requires personnel to report suspected security incidents to the organizational incident response capability within the organization-defined time period;
+
+
+
+ IR-6(b)
+
+ IR-6(b)[1]
+ defines authorities to whom security incident information is to be reported; and
+
+
+ IR-6(b)[2]
+ reports security incident information to organization-defined authorities.
+
+
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident reporting
+ incident reporting records and documentation
+ incident response plan
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident reporting responsibilities
+ organizational personnel with information security responsibilities
+ personnel who have/should have reported incidents
+ personnel (authorities) to whom incident information is to be reported
+
+
+ TEST
+ Organizational processes for incident reporting
+ automated mechanisms supporting and/or implementing incident reporting
+
+
+
+ NIST Special Publication 800-61
+
+
+ http://www.us-cert.gov
+
+
+
+
+ INCIDENT RESPONSE ASSISTANCE
+ IR-7
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization provides an incident response support resource, integral to the organizational incident response capability that offers advice and assistance to users of the information system for the handling and reporting of security incidents.
+
+
+
Incident response support resources provided by organizations include, for example, help desks, assistance groups, and access to forensics services, when required.
+ AT-2
+ IR-4
+ IR-6
+ IR-8
+ SA-9
+
+
+ AUTOMATION SUPPORT FOR AVAILABILITY OF INFORMATION / SUPPORT
+ IR-7 (1)
+ MODERATE
+ HIGH
+
+
The organization employs automated mechanisms to increase the availability of incident response-related information and support.
+
+
+
Automated mechanisms can provide a push and/or pull capability for users to obtain incident response assistance. For example, individuals might have access to a website to query the assistance capability, or conversely, the assistance capability may have the ability to proactively send information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.
+
+
+ Determine if the organization employs automated mechanisms to increase the availability of incident response-related information and support.
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident response assistance
+ automated mechanisms supporting incident response support and assistance
+ information system design documentation
+ information system configuration settings and associated documentation
+ incident response plan
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident response support and assistance responsibilities
+ organizational personnel with access to incident response support and assistance capability
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for incident response assistance
+ automated mechanisms supporting and/or implementing an increase in the availability of incident response information and support
+
+
+
+ COORDINATION WITH EXTERNAL PROVIDERS
+ IR-7 (2)
+
+
The organization:
+
+ IR-7 (2)(a)
+
Establishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and
+
+
+ IR-7 (2)(b)
+
Identifies organizational incident response team members to the external providers.
+
+
+
+
External providers of information system protection capability include, for example, the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks.
+
+
+ Determine if the organization:
+
+ IR-7(2)(a)
+ establishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and
+
+
+ IR-7(2)(b)
+ identifies organizational incident response team members to the external providers.
+
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident response assistance
+ incident response plan
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident response support and assistance responsibilities
+ external providers of information system protection capability
+ organizational personnel with information security responsibilities
+
+
+
+ Determine if the organization provides an incident response support resource:
+
+ IR-7[1]
+ that is integral to the organizational incident response capability; and
+
+
+ IR-7[2]
+ that offers advice and assistance to users of the information system for the handling and reporting of security incidents.
+
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident response assistance
+ incident response plan
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident response assistance and support responsibilities
+ organizational personnel with access to incident response support and assistance capability
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for incident response assistance
+ automated mechanisms supporting and/or implementing incident response assistance
+
+
+
+ INCIDENT RESPONSE PLAN
+ IR-8
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ IR-8a.
+
Develops an incident response plan that:
+
+ IR-8a.1.
+
Provides the organization with a roadmap for implementing its incident response capability;
+
+
+ IR-8a.2.
+
Describes the structure and organization of the incident response capability;
+
+
+ IR-8a.3.
+
Provides a high-level approach for how the incident response capability fits into the overall organization;
+
+
+ IR-8a.4.
+
Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;
+
+
+ IR-8a.5.
+
Defines reportable incidents;
+
+
+ IR-8a.6.
+
Provides metrics for measuring the incident response capability within the organization;
+
+
+ IR-8a.7.
+
Defines the resources and management support needed to effectively maintain and mature an incident response capability; and
+
+
+ IR-8a.8.
+
Is reviewed and approved by organization-defined personnel or roles;
+
+
+
+ IR-8b.
+
Distributes copies of the incident response plan to organization-defined incident response personnel (identified by name and/or by role) and organizational elements;
+
+
+ IR-8c.
+
Reviews the incident response plan organization-defined frequency;
+
+
+ IR-8d.
+
Updates the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing;
+
+
+ IR-8e.
+
Communicates incident response plan changes to organization-defined incident response personnel (identified by name and/or by role) and organizational elements; and
+
+
+ IR-8f.
+
Protects the incident response plan from unauthorized disclosure and modification.
+
+
+
+
It is important that organizations develop and implement a coordinated approach to incident response. Organizational missions, business functions, strategies, goals, and objectives for incident response help to determine the structure of incident response capabilities. As part of a comprehensive incident response capability, organizations consider the coordination and sharing of information with external organizations, including, for example, external service providers and organizations involved in the supply chain for organizational information systems.
+ MP-2
+ MP-4
+ MP-5
+
+
+ Determine if the organization:
+
+ IR-8(a)
+ develops an incident response plan that:
+
+ IR-8(a)(1)
+ provides the organization with a roadmap for implementing its incident response capability;
+
+
+ IR-8(a)(2)
+ describes the structure and organization of the incident response capability;
+
+
+ IR-8(a)(3)
+ provides a high-level approach for how the incident response capability fits into the overall organization;
+
+
+ IR-8(a)(4)
+ meets the unique requirements of the organization, which relate to:
+
+ IR-8(a)(4)[1]
+ mission;
+
+
+ IR-8(a)(4)[2]
+ size;
+
+
+ IR-8(a)(4)[3]
+ structure;
+
+
+ IR-8(a)(4)[4]
+ functions;
+
+
+
+ IR-8(a)(5)
+ defines reportable incidents;
+
+
+ IR-8(a)(6)
+ provides metrics for measuring the incident response capability within the organization;
+
+
+ IR-8(a)(7)
+ defines the resources and management support needed to effectively maintain and mature an incident response capability;
+
+
+ IR-8(a)(8)
+
+ IR-8(a)(8)[1]
+ defines personnel or roles to review and approve the incident response plan;
+
+
+ IR-8(a)(8)[2]
+ is reviewed and approved by organization-defined personnel or roles;
+
+
+
+
+ IR-8(b)
+
+ IR-8(b)[1]
+
+ IR-8(b)[1][a]
+ defines incident response personnel (identified by name and/or by role) to whom copies of the incident response plan are to be distributed;
+
+
+ IR-8(b)[1][b]
+ defines organizational elements to whom copies of the incident response plan are to be distributed;
+
+
+
+ IR-8(b)[2]
+ distributes copies of the incident response plan to organization-defined incident response personnel (identified by name and/or by role) and organizational elements;
+
+
+
+ IR-8(c)
+
+ IR-8(c)[1]
+ defines the frequency to review the incident response plan;
+
+
+ IR-8(c)[2]
+ reviews the incident response plan with the organization-defined frequency;
+
+
+
+ IR-8(d)
+ updates the incident response plan to address system/organizational changes or problems encountered during plan:
+
+ IR-8(d)[1]
+ implementation;
+
+
+ IR-8(d)[2]
+ execution; or
+
+
+ IR-8(d)[3]
+ testing;
+
+
+
+ IR-8(e)
+
+ IR-8(e)[1]
+
+ IR-8(e)[1][a]
+ defines incident response personnel (identified by name and/or by role) to whom incident response plan changes are to be communicated;
+
+
+ IR-8(e)[1][b]
+ defines organizational elements to whom incident response plan changes are to be communicated;
+
+
+
+ IR-8(e)[2]
+ communicates incident response plan changes to organization-defined incident response personnel (identified by name and/or by role) and organizational elements; and
+
+
+
+ IR-8(f)
+ protects the incident response plan from unauthorized disclosure and modification.
+
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident response planning
+ incident response plan
+ records of incident response plan reviews and approvals
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident response planning responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational incident response plan and related organizational processes
+
+
+
+ NIST Special Publication 800-61
+
+
+
+
+ INFORMATION SPILLAGE RESPONSE
+ IR-9
+ P0
+
+
The organization responds to information spills by:
+
+ IR-9a.
+
Identifying the specific information involved in the information system contamination;
+
+
+ IR-9b.
+
Alerting organization-defined personnel or roles of the information spill using a method of communication not associated with the spill;
+
+
+ IR-9c.
+
Isolating the contaminated information system or system component;
+
+
+ IR-9d.
+
Eradicating the information from the contaminated information system or component;
+
+
+ IR-9e.
+
Identifying other information systems or system components that may have been subsequently contaminated; and
+
+
+ IR-9f.
+
Performing other organization-defined actions.
+
+
+
+
Information spillage refers to instances where either classified or sensitive information is inadvertently placed on information systems that are not authorized to process such information. Such information spills often occur when information that is initially thought to be of lower sensitivity is transmitted to an information system and then is subsequently determined to be of higher sensitivity. At that point, corrective action is required. The nature of the organizational response is generally based upon the degree of sensitivity of the spilled information (e.g., security category or classification level), the security capabilities of the information system, the specific nature of contaminated storage media, and the access authorizations (e.g., security clearances) of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated.
+
+
+ RESPONSIBLE PERSONNEL
+ IR-9 (1)
+
+
The organization assigns organization-defined personnel or roles with responsibility for responding to information spills.
+
+
+ Determine if the organization:
+
+ IR-9(1)[1]
+ defines personnel with responsibility for responding to information spills; and
+
+
+ IR-9(1)[2]
+ assigns organization-defined personnel with responsibility for responding to information spills.
+
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing information spillage
+ incident response plan
+ list of personnel responsible for responding to information spillage
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident response responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ TRAINING
+ IR-9 (2)
+
+
The organization provides information spillage response training organization-defined frequency.
+
+
+ Determine if the organization:
+
+ IR-9(2)[1]
+ defines the frequency to provide information spillage response training; and
+
+
+ IR-9(2)[2]
+ provides information spillage response training with the organization-defined frequency.
+
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing information spillage response training
+ information spillage response training curriculum
+ information spillage response training materials
+ incident response plan
+ information spillage response training records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident response training responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ POST-SPILL OPERATIONS
+ IR-9 (3)
+
+
The organization implements organization-defined procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.
+
+
+
Correction actions for information systems contaminated due to information spillages may be very time-consuming. During those periods, personnel may not have access to the contaminated systems, which may potentially affect their ability to conduct organizational business.
+
+
+ Determine if the organization:
+
+ IR-9(3)[1]
+ defines procedures that ensure organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions; and
+
+
+ IR-9(3)[2]
+ implements organization-defined procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.
+
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident handling
+ procedures addressing information spillage
+ incident response plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident response responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for post-spill operations
+
+
+
+ EXPOSURE TO UNAUTHORIZED PERSONNEL
+ IR-9 (4)
+
+
The organization employs organization-defined security safeguards for personnel exposed to information not within assigned access authorizations.
+
+
+
Security safeguards include, for example, making personnel exposed to spilled information aware of the federal laws, directives, policies, and/or regulations regarding the information and the restrictions imposed based on exposure to such information.
+
+
+ Determine if the organization:
+
+ IR-9(4)[1]
+ defines security safeguards to be employed for personnel exposed to information not within assigned access authorizations; and
+
+
+ IR-9(4)[2]
+ employs organization-defined security safeguards for personnel exposed to information not within assigned access authorizations.
+
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident handling
+ procedures addressing information spillage
+ incident response plan
+ security safeguards regarding information spillage/exposure to unauthorized personnel
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident response responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for dealing with information exposed to unauthorized personnel
+ automated mechanisms supporting and/or implementing safeguards for personnel exposed to information not within assigned access authorizations
+
+
+
+ Determine if the organization:
+
+ IR-9(a)
+ responds to information spills by identifying the specific information causing the information system contamination;
+
+
+ IR-9(b)
+
+ IR-9(b)[1]
+ defines personnel to be alerted of the information spillage;
+
+
+ IR-9(b)[2]
+ identifies a method of communication not associated with the information spill to use to alert organization-defined personnel of the spill;
+
+
+ IR-9(b)[3]
+ responds to information spills by alerting organization-defined personnel of the information spill using a method of communication not associated with the spill;
+
+
+
+ IR-9(c)
+ responds to information spills by isolating the contaminated information system;
+
+
+ IR-9(d)
+ responds to information spills by eradicating the information from the contaminated information system;
+
+
+ IR-9(e)
+ responds to information spills by identifying other information systems that may have been subsequently contaminated;
+
+
+ IR-9(f)
+
+ IR-9(f)[1]
+ defines other actions to be performed in response to information spills; and
+
+
+ IR-9(f)[2]
+ responds to information spills by performing other organization-defined actions.
+
+
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing information spillage
+ incident response plan
+ records of information spillage alerts/notifications, list of personnel who should receive alerts of information spillage
+ list of actions to be performed regarding information spillage
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident response responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for information spillage response
+ automated mechanisms supporting and/or implementing information spillage response actions and related communications
+
+
+
+ INTEGRATED INFORMATION SECURITY ANALYSIS TEAM
+ IR-10
+ P0
+
+
The organization establishes an integrated team of forensic/malicious code analysts, tool developers, and real-time operations personnel.
+
+
+
Having an integrated team for incident response facilitates information sharing. Such capability allows organizational personnel, including developers, implementers, and operators, to leverage the team knowledge of the threat in order to implement defensive measures that will enable organizations to deter intrusions more effectively. Moreover, it promotes the rapid detection of intrusions, development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated security analysis team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing intelligence development. This enables the team to identify adversary TTPs that are linked to the operations tempo or to specific missions/business functions, and to define responsive actions in a way that does not disrupt the mission/business operations. Ideally, information security analysis teams are distributed within organizations to make the capability more resilient.
+
+
+ Determine if the organization establishes an integrated team of forensic/malicious code analyst, tool developers, and real-time operations personnel.
+
+
+ EXAMINE
+ Incident response policy
+ procedures addressing incident response planning and security analysis team integration
+ incident response plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with incident response and information security analysis responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel participating on integrated security analysis teams
+
+
+
+
+ MAINTENANCE
+
+ SYSTEM MAINTENANCE POLICY AND PROCEDURES
+ MA-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ MA-1a.
+
Develops, documents, and disseminates to organization-defined personnel or roles:
+
+ MA-1a.1.
+
A system maintenance policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ MA-1a.2.
+
Procedures to facilitate the implementation of the system maintenance policy and associated system maintenance controls; and
+
+
+
+ MA-1b.
+
Reviews and updates the current:
+
+ MA-1b.1.
+
System maintenance policy organization-defined frequency; and
+
+
+ MA-1b.2.
+
System maintenance procedures organization-defined frequency.
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+ Determine if the organization:
+
+ MA-1(a)(1)
+
+ MA-1(a)(1)[1]
+ develops and documents a system maintenance policy that addresses:
+
+ MA-1(a)(1)[1][a]
+ purpose;
+
+
+ MA-1(a)(1)[1][b]
+ scope;
+
+
+ MA-1(a)(1)[1][c]
+ roles;
+
+
+ MA-1(a)(1)[1][d]
+ responsibilities;
+
+
+ MA-1(a)(1)[1][e]
+ management commitment;
+
+
+ MA-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ MA-1(a)(1)[1][g]
+ compliance;
+
+
+
+ MA-1(a)(1)[2]
+ defines personnel or roles to whom the system maintenance policy is to be disseminated;
+
+
+ MA-1(a)(1)[3]
+ disseminates the system maintenance policy to organization-defined personnel or roles;
+
+
+
+ MA-1(a)(2)
+
+ MA-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the maintenance policy and associated system maintenance controls;
+
+
+ MA-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ MA-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ MA-1(b)(1)
+
+ MA-1(b)(1)[1]
+ defines the frequency to review and update the current system maintenance policy;
+
+
+ MA-1(b)(1)[2]
+ reviews and updates the current system maintenance policy with the organization-defined frequency;
+
+
+
+ MA-1(b)(2)
+
+ MA-1(b)(2)[1]
+ defines the frequency to review and update the current system maintenance procedures; and
+
+
+ MA-1(b)(2)[2]
+ reviews and updates the current system maintenance procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Maintenance policy and procedures
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with maintenance responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ CONTROLLED MAINTENANCE
+ MA-2
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ MA-2a.
+
Schedules, performs, documents, and reviews records of maintenance and repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements;
+
+
+ MA-2b.
+
Approves and monitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;
+
+
+ MA-2c.
+
Requires that organization-defined personnel or roles explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;
+
+
+ MA-2d.
+
Sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs;
+
+
+ MA-2e.
+
Checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions; and
+
+
+ MA-2f.
+
Includes organization-defined maintenance-related information in organizational maintenance records.
+
+
+
+
This control addresses the information security aspects of the information system maintenance program and applies to all types of maintenance to any system component (including applications) conducted by any local or nonlocal entity (e.g., in-contract, warranty, in-house, software maintenance agreement). System maintenance also includes those components not directly associated with information processing and/or data/information retention such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes, for example: (i) date and time of maintenance; (ii) name of individuals or group performing the maintenance; (iii) name of escort, if necessary; (iv) a description of the maintenance performed; and (v) information system components/equipment removed or replaced (including identification numbers, if applicable). The level of detail included in maintenance records can be informed by the security categories of organizational information systems. Organizations consider supply chain issues associated with replacement components for information systems.
Employs automated mechanisms to schedule, conduct, and document maintenance and repairs; and
+
+
+ MA-2 (2)(b)
+
Produces up-to date, accurate, and complete records of all maintenance and repair actions requested, scheduled, in process, and completed.
+
+
+
+ CA-7
+ MA-3
+
+
+ Determine if the organization:
+
+ MA-2(2)(a)
+ employs automated mechanisms to:
+
+ MA-2(2)(a)[1]
+ schedule maintenance and repairs;
+
+
+ MA-2(2)(a)[2]
+ conduct maintenance and repairs;
+
+
+ MA-2(2)(a)[3]
+ document maintenance and repairs;
+
+
+
+ MA-2(2)(b)
+ produces up-to-date, accurate, and complete records of all maintenance and repair actions:
+
+ MA-2(2)(b)[1]
+ requested;
+
+
+ MA-2(2)(b)[2]
+ scheduled;
+
+
+ MA-2(2)(b)[3]
+ in process; and
+
+
+ MA-2(2)(b)[4]
+ completed.
+
+
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing controlled information system maintenance
+ automated mechanisms supporting information system maintenance activities
+ information system configuration settings and associated documentation
+ maintenance records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing controlled maintenance
+ automated mechanisms supporting and/or implementing production of records of maintenance and repair actions
+
+
+
+ Determine if the organization:
+
+ MA-2(a)
+
+ MA-2(a)[1]
+ schedules maintenance and repairs on information system components in accordance with:
+
+ MA-2(a)[1][a]
+ manufacturer or vendor specifications; and/or
+
+
+ MA-2(a)[1][b]
+ organizational requirements;
+
+
+
+ MA-2(a)[2]
+ performs maintenance and repairs on information system components in accordance with:
+
+ MA-2(a)[2][a]
+ manufacturer or vendor specifications; and/or
+
+
+ MA-2(a)[2][b]
+ organizational requirements;
+
+
+
+ MA-2(a)[3]
+ documents maintenance and repairs on information system components in accordance with:
+
+ MA-2(a)[3][a]
+ manufacturer or vendor specifications; and/or
+
+
+ MA-2(a)[3][b]
+ organizational requirements;
+
+
+
+ MA-2(a)[4]
+ reviews records of maintenance and repairs on information system components in accordance with:
+
+ MA-2(a)[4][a]
+ manufacturer or vendor specifications; and/or
+
+
+ MA-2(a)[4][b]
+ organizational requirements;
+
+
+
+
+ MA-2(b)
+
+ MA-2(b)[1]
+ approves all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;
+
+
+ MA-2(b)[2]
+ monitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;
+
+
+
+ MA-2(c)
+
+ MA-2(c)[1]
+ defines personnel or roles required to explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;
+
+
+ MA-2(c)[2]
+ requires that organization-defined personnel or roles explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;
+
+
+
+ MA-2(d)
+ sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs;
+
+
+ MA-2(e)
+ checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions;
+
+
+ MA-2(f)
+
+ MA-2(f)[1]
+ defines maintenance-related information to be included in organizational maintenance records; and
+
+
+ MA-2(f)[2]
+ includes organization-defined maintenance-related information in organizational maintenance records.
+
+
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing controlled information system maintenance
+ maintenance records
+ manufacturer/vendor maintenance specifications
+ equipment sanitization records
+ media sanitization records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel responsible for media sanitization
+ system/network administrators
+
+
+ TEST
+ Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the information system
+ organizational processes for sanitizing information system components
+ automated mechanisms supporting and/or implementing controlled maintenance
+ automated mechanisms implementing sanitization of information system components
+
+
+
+ MAINTENANCE TOOLS
+ MA-3
+ P3
+ MODERATE
+ HIGH
+
+
The organization approves, controls, and monitors information system maintenance tools.
+
+
+
This control addresses security-related issues associated with maintenance tools used specifically for diagnostic and repair actions on organizational information systems. Maintenance tools can include hardware, software, and firmware items. Maintenance tools are potential vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into organizational information systems. Maintenance tools can include, for example, hardware/software diagnostic test equipment and hardware/software packet sniffers. This control does not cover hardware/software components that may support information system maintenance, yet are a part of the system, for example, the software implementing �ping,� �ls,� �ipconfig,� or the hardware and software implementing the monitoring port of an Ethernet switch.
The organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications.
+
+
+
If, upon inspection of maintenance tools, organizations determine that the tools have been modified in an improper/unauthorized manner or contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling.
+ SI-7
+
+
+ Determine if the organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications.
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing information system maintenance tools
+ information system maintenance tools and associated documentation
+ maintenance tool inspection records
+ maintenance records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for inspecting maintenance tools
+ automated mechanisms supporting and/or implementing inspection of maintenance tools
+
+
+
+ INSPECT MEDIA
+ MA-3 (2)
+ MODERATE
+ HIGH
+
+
The organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system.
+
+
+
If, upon inspection of media containing maintenance diagnostic and test programs, organizations determine that the media contain malicious code, the incident is handled consistent with organizational incident handling policies and procedures.
+ SI-3
+
+
+ Determine if the organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system.
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing information system maintenance tools
+ information system maintenance tools and associated documentation
+ maintenance records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational process for inspecting media for malicious code
+ automated mechanisms supporting and/or implementing inspection of media used for maintenance
+
+
+
+ PREVENT UNAUTHORIZED REMOVAL
+ MA-3 (3)
+ HIGH
+
+
The organization prevents the unauthorized removal of maintenance equipment containing organizational information by:
+
+ MA-3 (3)(a)
+
Verifying that there is no organizational information contained on the equipment;
+
+
+ MA-3 (3)(b)
+
Sanitizing or destroying the equipment;
+
+
+ MA-3 (3)(c)
+
Retaining the equipment within the facility; or
+
+
+ MA-3 (3)(d)
+
Obtaining an exemption from organization-defined personnel or roles explicitly authorizing removal of the equipment from the facility.
+
+
+
+
Organizational information includes all information specifically owned by organizations and information provided to organizations in which organizations serve as information stewards.
+
+
+ Determine if the organization prevents the unauthorized removal of maintenance equipment containing organizational information by:
+
+ MA-3(3)(a)
+ verifying that there is no organizational information contained on the equipment;
+
+
+ MA-3(3)(b)
+ sanitizing or destroying the equipment;
+
+
+ MA-3(3)(c)
+ retaining the equipment within the facility; or
+
+
+ MA-3(3)(d)
+
+ MA-3(3)(d)[1]
+ defining personnel or roles that can grant an exemption from explicitly authorizing removal of the equipment from the facility; and
+
+
+ MA-3(3)(d)[2]
+ obtaining an exemption from organization-defined personnel or roles explicitly authorizing removal of the equipment from the facility.
+
+
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing information system maintenance tools
+ information system maintenance tools and associated documentation
+ maintenance records
+ equipment sanitization records
+ media sanitization records
+ exemptions for equipment removal
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel responsible for media sanitization
+
+
+ TEST
+ Organizational process for preventing unauthorized removal of information
+ automated mechanisms supporting media sanitization or destruction of equipment
+ automated mechanisms supporting verification of media sanitization
+
+
+
+ RESTRICTED TOOL USE
+ MA-3 (4)
+
+
The information system restricts the use of maintenance tools to authorized personnel only.
+
+
+
This control enhancement applies to information systems that are used to carry out maintenance functions.
+ AC-2
+ AC-3
+ AC-5
+ AC-6
+
+
+ Determine if the organization restricts the use of maintenance tools to authorized personnel only.
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing information system maintenance tools
+ information system maintenance tools and associated documentation
+ list of personnel authorized to use maintenance tools
+ maintenance tool usage records
+ maintenance records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational process for restricting use of maintenance tools
+ automated mechanisms supporting and/or implementing restricted use of maintenance tools
+
+
+
+ Determine if the organization:
+
+ MA-3[1]
+ approves information system maintenance tools;
+
+
+ MA-3[2]
+ controls information system maintenance tools; and
+
+
+ MA-3[3]
+ monitors information system maintenance tools.
+
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing information system maintenance tools
+ information system maintenance tools and associated documentation
+ maintenance records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for approving, controlling, and monitoring maintenance tools
+ automated mechanisms supporting and/or implementing approval, control, and/or monitoring of maintenance tools
+
+
+
+ NIST Special Publication 800-88
+
+
+
+
+ NONLOCAL MAINTENANCE
+ MA-4
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ MA-4a.
+
Approves and monitors nonlocal maintenance and diagnostic activities;
+
+
+ MA-4b.
+
Allows the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the information system;
+
+
+ MA-4c.
+
Employs strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;
+
+
+ MA-4d.
+
Maintains records for nonlocal maintenance and diagnostic activities; and
+
+
+ MA-4e.
+
Terminates session and network connections when nonlocal maintenance is completed.
+
+
+
+
Nonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. Authentication techniques used in the establishment of nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2. Typically, strong authentication requires authenticators that are resistant to replay attacks and employ multifactor authentication. Strong authenticators include, for example, PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by other controls.
Audits nonlocal maintenance and diagnostic sessions organization-defined audit events; and
+
+
+ MA-4 (1)(b)
+
Reviews the records of the maintenance and diagnostic sessions.
+
+
+
+ AU-2
+ AU-6
+ AU-12
+
+
+ Determine if the organization:
+
+ MA-4(1)(a)
+
+ MA-4(1)(a)[1]
+ defines audit events to audit nonlocal maintenance and diagnostic sessions;
+
+
+ MA-4(1)(a)[2]
+ audits organization-defined audit events for non-local maintenance and diagnostic sessions; and
+
+
+
+ MA-4(1)(b)
+ reviews records of the maintenance and diagnostic sessions.
+
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing nonlocal information system maintenance
+ list of audit events
+ information system configuration settings and associated documentation
+ maintenance records
+ diagnostic records
+ audit records
+ reviews of maintenance and diagnostic session records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with audit and review responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for audit and review of nonlocal maintenance
+ automated mechanisms supporting and/or implementing audit and review of nonlocal maintenance
+
+
+
+ DOCUMENT NONLOCAL MAINTENANCE
+ MA-4 (2)
+ MODERATE
+ HIGH
+
+
The organization documents in the security plan for the information system, the policies and procedures for the establishment and use of nonlocal maintenance and diagnostic connections.
+
+
+ Determine if the organization documents in the security plan for the information system:
+
+ MA-4(2)[1]
+ the policies for the establishment and use of nonlocal maintenance and diagnostic connections; and
+
+
+ MA-4(2)[2]
+ the procedures for the establishment and use of nonlocal maintenance and diagnostic connections.
+
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing non-local information system maintenance
+ security plan
+ maintenance records
+ diagnostic records
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ COMPARABLE SECURITY / SANITIZATION
+ MA-4 (3)
+ HIGH
+
+
The organization:
+
+ MA-4 (3)(a)
+
Requires that nonlocal maintenance and diagnostic services be performed from an information system that implements a security capability comparable to the capability implemented on the system being serviced; or
+
+
+ MA-4 (3)(b)
+
Removes the component to be serviced from the information system prior to nonlocal maintenance or diagnostic services, sanitizes the component (with regard to organizational information) before removal from organizational facilities, and after the service is performed, inspects and sanitizes the component (with regard to potentially malicious software) before reconnecting the component to the information system.
+
+
+
+
Comparable security capability on information systems, diagnostic tools, and equipment providing maintenance services implies that the implemented security controls on those systems, tools, and equipment are at least as comprehensive as the controls on the information system being serviced.
+ MA-3
+ SA-12
+ SI-3
+ SI-7
+
+
+ Determine if the organization:
+
+ MA-4(3)(a)
+ requires that nonlocal maintenance and diagnostic services be performed from an information system that implements a security capability comparable to the capability implemented on the system being serviced; or
+
+
+ MA-4(3)(b)
+
+ MA-4(3)(b)[1]
+ removes the component to be serviced from the information system;
+
+
+ MA-4(3)(b)[2]
+ sanitizes the component (with regard to organizational information) prior to nonlocal maintenance or diagnostic services and/or before removal from organizational facilities; and
+
+
+ MA-4(3)(b)[3]
+ inspects and sanitizes the component (with regard to potentially malicious software) after service is performed on the component and before reconnecting the component to the information system.
+
+
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing nonlocal information system maintenance
+ service provider contracts and/or service-level agreements
+ maintenance records
+ inspection records
+ audit records
+ equipment sanitization records
+ media sanitization records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ information system maintenance provider
+ organizational personnel with information security responsibilities
+ organizational personnel responsible for media sanitization
+ system/network administrators
+
+
+ TEST
+ Organizational processes for comparable security and sanitization for nonlocal maintenance
+ organizational processes for removal, sanitization, and inspection of components serviced via nonlocal maintenance
+ automated mechanisms supporting and/or implementing component sanitization and inspection
+
+
+
+ AUTHENTICATION / SEPARATION OF MAINTENANCE SESSIONS
+ MA-4 (4)
+
+
The organization protects nonlocal maintenance sessions by:
+
+ MA-4 (4)(a)
+
Employing organization-defined authenticators that are replay resistant; and
+
+
+ MA-4 (4)(b)
+
Separating the maintenance sessions from other network sessions with the information system by either:
+
+ MA-4 (4)(b)(1)
+
Physically separated communications paths; or
+
+
+ MA-4 (4)(b)(2)
+
Logically separated communications paths based upon encryption.
+
+
+
+
+ SC-13
+
+
+ Determine if the organization protects nonlocal maintenance sessions by:
+
+ MA-4(4)(a)
+
+ MA-4(4)(a)[1]
+ defining replay resistant authenticators to be employed to protect nonlocal maintenance sessions;
+
+
+ MA-4(4)(a)[2]
+ employing organization-defined authenticators that are replay resistant;
+
+
+
+ MA-4(4)(b)
+ separating the maintenance sessions from other network sessions with the information system by either:
+
+ MA-4(4)(b)(1)
+ physically separated communications paths; or
+
+
+ MA-4(4)(b)(2)
+ logically separated communications paths based upon encryption.
+
+
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing nonlocal information system maintenance
+ information system design documentation
+ information system configuration settings and associated documentation
+ maintenance records
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ network engineers
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for protecting nonlocal maintenance sessions
+ automated mechanisms implementing replay resistant authenticators
+ automated mechanisms implementing logically separated/encrypted communications paths
+
+
+
+ APPROVALS AND NOTIFICATIONS
+ MA-4 (5)
+
+
The organization:
+
+ MA-4 (5)(a)
+
Requires the approval of each nonlocal maintenance session by organization-defined personnel or roles; and
+
+
+ MA-4 (5)(b)
+
Notifies organization-defined personnel or roles of the date and time of planned nonlocal maintenance.
+
+
+
+
Notification may be performed by maintenance personnel. Approval of nonlocal maintenance sessions is accomplished by organizational personnel with sufficient information security and information system knowledge to determine the appropriateness of the proposed maintenance.
+
+
+ Determine if the organization:
+
+ MA-4(5)(a)
+
+ MA-4(5)(a)[1]
+ defines personnel or roles required to approve each nonlocal maintenance session;
+
+
+ MA-4(5)(a)[2]
+ requires the approval of each nonlocal maintenance session by organization-defined personnel or roles;
+
+
+
+ MA-4(5)(b)
+
+ MA-4(5)(b)[1]
+ defines personnel or roles to be notified of the date and time of planned nonlocal maintenance; and
+
+
+ MA-4(5)(b)[2]
+ notifies organization-defined personnel roles of the date and time of planned nonlocal maintenance.
+
+
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing non-local information system maintenance
+ security plan
+ notifications supporting nonlocal maintenance sessions
+ maintenance records
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with notification responsibilities
+ organizational personnel with approval responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for approving and notifying personnel regarding nonlocal maintenance
+ automated mechanisms supporting notification and approval of nonlocal maintenance
+
+
+
+ CRYPTOGRAPHIC PROTECTION
+ MA-4 (6)
+
+
The information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications.
+
+
+ SC-8
+ SC-13
+
+
+ Determine if the information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications.
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing non-local information system maintenance
+ information system design documentation
+ information system configuration settings and associated documentation
+ cryptographic mechanisms protecting nonlocal maintenance activities
+ maintenance records
+ diagnostic records
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ network engineers
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Cryptographic mechanisms protecting nonlocal maintenance and diagnostic communications
+
+
+
+ REMOTE DISCONNECT VERIFICATION
+ MA-4 (7)
+
+
The information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions.
+
+
+
Remote disconnect verification ensures that remote connections from nonlocal maintenance sessions have been terminated and are no longer available for use.
+ SC-13
+
+
+ Determine if the information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions.
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing non-local information system maintenance
+ information system design documentation
+ information system configuration settings and associated documentation
+ cryptographic mechanisms protecting nonlocal maintenance activities
+ maintenance records
+ diagnostic records
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ network engineers
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms implementing remote disconnect verifications of terminated nonlocal maintenance and diagnostic sessions
+
+
+
+ Determine if the organization:
+
+ MA-4(a)
+
+ MA-4(a)[1]
+ approves nonlocal maintenance and diagnostic activities;
+
+
+ MA-4(a)[2]
+ monitors nonlocal maintenance and diagnostic activities;
+
+
+
+ MA-4(b)
+ allows the use of nonlocal maintenance and diagnostic tools only:
+
+ MA-4(b)[1]
+ as consistent with organizational policy;
+
+
+ MA-4(b)[2]
+ as documented in the security plan for the information system;
+
+
+
+ MA-4(c)
+ employs strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;
+
+
+ MA-4(d)
+ maintains records for nonlocal maintenance and diagnostic activities;
+
+
+ MA-4(e)
+
+ MA-4(e)[1]
+ terminates sessions when nonlocal maintenance or diagnostics is completed; and
+
+
+ MA-4(e)[2]
+ terminates network connections when nonlocal maintenance or diagnostics is completed.
+
+
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing nonlocal information system maintenance
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ maintenance records
+ diagnostic records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for managing nonlocal maintenance
+ automated mechanisms implementing, supporting, and/or managing nonlocal maintenance
+ automated mechanisms for strong authentication of nonlocal maintenance diagnostic sessions
+ automated mechanisms for terminating nonlocal maintenance sessions and network connections
+
+
+
+ FIPS Publication 140-2
+
+
+ FIPS Publication 197
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-63
+
+
+ NIST Special Publication 800-88
+
+
+ CNSS Policy 15
+
+
+
+
+ MAINTENANCE PERSONNEL
+ MA-5
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ MA-5a.
+
Establishes a process for maintenance personnel authorization and maintains a list of authorized maintenance organizations or personnel;
+
+
+ MA-5b.
+
Ensures that non-escorted personnel performing maintenance on the information system have required access authorizations; and
+
+
+ MA-5c.
+
Designates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.
+
+
+
+
This control applies to individuals performing hardware or software maintenance on organizational information systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems (e.g., custodial staff, physical plant maintenance personnel). Technical competence of supervising individuals relates to the maintenance performed on the information systems while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel, such as information technology manufacturers, vendors, systems integrators, and consultants, may require privileged access to organizational information systems, for example, when required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods.
Implements procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:
+
+ MA-5 (1)(a)(1)
+
Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;
+
+
+ MA-5 (1)(a)(2)
+
Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the information system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and
+
+
+
+ MA-5 (1)(b)
+
Develops and implements alternate security safeguards in the event an information system component cannot be sanitized, removed, or disconnected from the system.
+
+
+
+
This control enhancement denies individuals who lack appropriate security clearances (i.e., individuals who do not possess security clearances or possess security clearances at a lower level than required) or who are not U.S. citizens, visual and electronic access to any classified information, Controlled Unclassified Information (CUI), or any other sensitive information contained on organizational information systems. Procedures for the use of maintenance personnel can be documented in security plans for the information systems.
+ MP-6
+ PL-2
+
+
+ Determine if the organization:
+
+ MA-5(1)(a)
+ implements procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:
+
+ MA-5(1)(a)(1)
+ maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who:
+
+ MA-5(1)(a)(1)[1]
+ are fully cleared;
+
+
+ MA-5(1)(a)(1)[2]
+ have appropriate access authorizations;
+
+
+ MA-5(1)(a)(1)[3]
+ are technically qualified;
+
+
+
+ MA-5(1)(a)(2)
+ prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances, or formal access approvals:
+
+ MA-5(1)(a)(2)[1]
+ all volatile information storage components within the information system are sanitized; and
+
+
+ MA-5(1)(a)(2)[2]
+ all nonvolatile storage media are removed; or
+
+
+ MA-5(1)(a)(2)[3]
+ all nonvolatile storage media are physically disconnected from the system and secured; and
+
+
+
+
+ MA-5(1)(b)
+ develops and implements alternative security safeguards in the event an information system component cannot be sanitized, removed, or disconnected from the system.
+
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing maintenance personnel
+ information system media protection policy
+ physical and environmental protection policy
+ security plan
+ list of maintenance personnel requiring escort/supervision
+ maintenance records
+ access control records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with personnel security responsibilities
+ organizational personnel with physical access control responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel responsible for media sanitization
+ system/network administrators
+
+
+ TEST
+ Organizational processes for managing maintenance personnel without appropriate access
+ automated mechanisms supporting and/or implementing alternative security safeguards
+ automated mechanisms supporting and/or implementing information storage component sanitization
+
+
+
+ SECURITY CLEARANCES FOR CLASSIFIED SYSTEMS
+ MA-5 (2)
+
+
The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information possess security clearances and formal access approvals for at least the highest classification level and for all compartments of information on the system.
+
+
+ PS-3
+
+
+ Determine if the organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information possess:
+
+ MA-5(2)[1]
+ security clearances for at least the highest classification level on the system;
+
+
+ MA-5(2)[2]
+ security clearances for all compartments of information on the system;
+
+
+ MA-5(2)[3]
+ formal access approvals for at least the highest classification level on the system; and
+
+
+ MA-5(2)[4]
+ formal access approvals for all compartments of information on the system.
+
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing maintenance personnel
+ personnel records
+ maintenance records
+ access control records
+ access credentials
+ access authorizations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with personnel security responsibilities
+ organizational personnel with physical access control responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for managing security clearances for maintenance personnel
+
+
+
+ CITIZENSHIP REQUIREMENTS FOR CLASSIFIED SYSTEMS
+ MA-5 (3)
+
+
The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens.
+
+
+ PS-3
+
+
+ Determine if the organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens.
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing maintenance personnel
+ personnel records
+ maintenance records
+ access control records
+ access credentials
+ access authorizations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with personnel security responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ FOREIGN NATIONALS
+ MA-5 (4)
+
+
The organization ensures that:
+
+ MA-5 (4)(a)
+
Cleared foreign nationals (i.e., foreign nationals with appropriate security clearances), are used to conduct maintenance and diagnostic activities on classified information systems only when the systems are jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and
+
+
+ MA-5 (4)(b)
+
Approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified information systems are fully documented within Memoranda of Agreements.
+
+
+
+ PS-3
+
+
+ Determine if the organization ensures that:
+
+ MA-5(4)(a)
+ cleared foreign nationals (i.e., foreign nationals with appropriate security clearances) are used to conduct maintenance and diagnostic activities on classified information systems only when the systems are:
+
+ MA-5(4)(a)[1]
+ jointly owned and operated by the United States and foreign allied governments; or
+
+
+ MA-5(4)(a)[2]
+ owned and operated solely by foreign allied governments; and
+
+
+
+ MA-5(4)(b)
+ approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified information systems are fully documented within Memoranda of Agreements.
+
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing maintenance personnel
+ information system media protection policy
+ access control policy and procedures
+ physical and environmental protection policy and procedures
+ memorandum of agreement
+ maintenance records
+ access control records
+ access credentials
+ access authorizations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities, organizational personnel with personnel security responsibilities
+ organizational personnel managing memoranda of agreements
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for managing foreign national maintenance personnel
+
+
+
+ NONSYSTEM-RELATED MAINTENANCE
+ MA-5 (5)
+
+
The organization ensures that non-escorted personnel performing maintenance activities not directly associated with the information system but in the physical proximity of the system, have required access authorizations.
+
+
+
Personnel performing maintenance activities in other capacities not directly related to the information system include, for example, physical plant personnel and janitorial personnel.
+
+
+ Determine if the organization ensures that non-escorted personnel performing maintenance activities not directly associated with the information system but in the physical proximity of the system, have required access authorizations.
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing maintenance personnel
+ information system media protection policy
+ access control policy and procedures
+ physical and environmental protection policy and procedures
+ maintenance records
+ access control records
+ access authorizations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with personnel security responsibilities
+ organizational personnel with physical access control responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ Determine if the organization:
+
+ MA-5(a)
+
+ MA-5(a)[1]
+ establishes a process for maintenance personnel authorization;
+
+
+ MA-5(a)[2]
+ maintains a list of authorized maintenance organizations or personnel;
+
+
+
+ MA-5(b)
+ ensures that non-escorted personnel performing maintenance on the information system have required access authorizations; and
+
+
+ MA-5(c)
+ designates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.
+
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing maintenance personnel
+ service provider contracts
+ service-level agreements
+ list of authorized personnel
+ maintenance records
+ access control records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for authorizing and managing maintenance personnel
+ automated mechanisms supporting and/or implementing authorization of maintenance personnel
+
+
+
+ TIMELY MAINTENANCE
+ MA-6
+ P2
+ MODERATE
+ HIGH
+
+
The organization obtains maintenance support and/or spare parts for organization-defined information system components within organization-defined time period of failure.
+
+
+
Organizations specify the information system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support typically include having appropriate contracts in place.
The organization performs preventive maintenance on organization-defined information system components at organization-defined time intervals.
+
+
+
Preventive maintenance includes proactive care and servicing of organizational information systems components for the purpose of maintaining equipment and facilities in satisfactory operating condition. Such maintenance provides for the systematic inspection, tests, measurements, adjustments, parts replacement, detection, and correction of incipient failures either before they occur or before they develop into major defects. The primary goal of preventive maintenance is to avoid/mitigate the consequences of equipment failures. Preventive maintenance is designed to preserve and restore equipment reliability by replacing worn components before they actually fail. Methods of determining what preventive (or other) failure management policies to apply include, for example, original equipment manufacturer (OEM) recommendations, statistical failure records, requirements of codes, legislation, or regulations within a jurisdiction, expert opinion, maintenance that has already been conducted on similar equipment, or measured values and performance indications.
+
+
+ Determine if the organization:
+
+ MA-6(1)[1]
+ defines information system components on which preventive maintenance is to be performed;
+
+
+ MA-6(1)[2]
+ defines time intervals within which preventive maintenance is to be performed on organization-defined information system components; and
+
+
+ MA-6(1)[3]
+ performs preventive maintenance on organization-defined information system components at organization-defined time intervals.
+
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing information system maintenance
+ service provider contracts
+ service-level agreements
+ security plan
+ maintenance records
+ list of system components requiring preventive maintenance
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for preventive maintenance
+ automated mechanisms supporting and/or implementing preventive maintenance
+
+
+
+ PREDICTIVE MAINTENANCE
+ MA-6 (2)
+
+
The organization performs predictive maintenance on organization-defined information system components at organization-defined time intervals.
+
+
+
Predictive maintenance, or condition-based maintenance, attempts to evaluate the condition of equipment by performing periodic or continuous (online) equipment condition monitoring. The goal of predictive maintenance is to perform maintenance at a scheduled point in time when the maintenance activity is most cost-effective and before the equipment loses performance within a threshold. The predictive component of predictive maintenance stems from the goal of predicting the future trend of the equipment's condition. This approach uses principles of statistical process control to determine at what point in the future maintenance activities will be appropriate. Most predictive maintenance inspections are performed while equipment is in service, thereby minimizing disruption of normal system operations. Predictive maintenance can result in substantial cost savings and higher system reliability. Predictive maintenance tends to include measurement of the item. To evaluate equipment condition, predictive maintenance utilizes nondestructive testing technologies such as infrared, acoustic (partial discharge and airborne ultrasonic), corona detection, vibration analysis, sound level measurements, oil analysis, and other specific online tests.
+
+
+ Determine if the organization:
+
+ MA-6(2)[1]
+ defines information system components on which predictive maintenance is to be performed;
+
+
+ MA-6(2)[2]
+ defines time intervals within which predictive maintenance is to be performed on organization-defined information system components; and
+
+
+ MA-6(2)[3]
+ performs predictive maintenance on organization-defined information system components at organization-defined time intervals.
+
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing information system maintenance
+ service provider contracts
+ service-level agreements
+ security plan
+ maintenance records
+ list of system components requiring predictive maintenance
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for predictive maintenance
+ automated mechanisms supporting and/or implementing predictive maintenance
+
+
+
+ AUTOMATED SUPPORT FOR PREDICTIVE MAINTENANCE
+ MA-6 (3)
+
+
The organization employs automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.
+
+
+
A computerized maintenance management system maintains a computer database of information about the maintenance operations of organizations and automates processing equipment condition data in order to trigger maintenance planning, execution, and reporting.
+
+
+ Determine if the organization employs automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing information system maintenance
+ service provider contracts
+ service-level agreements
+ security plan
+ maintenance records
+ list of system components requiring predictive maintenance
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms implementing the transfer of predictive maintenance data to a computerized maintenance management system
+ operations of the computer maintenance management system
+
+
+
+ Determine if the organization:
+
+ MA-6[1]
+ defines information system components for which maintenance support and/or spare parts are to be obtained;
+
+
+ MA-6[2]
+ defines the time period within which maintenance support and/or spare parts are to be obtained after a failure;
+
+
+ MA-6[3]
+
+ MA-6[3][a]
+ obtains maintenance support for organization-defined information system components within the organization-defined time period of failure; and/or
+
+
+ MA-6[3][b]
+ obtains spare parts for organization-defined information system components within the organization-defined time period of failure.
+
+
+
+
+ EXAMINE
+ Information system maintenance policy
+ procedures addressing information system maintenance
+ service provider contracts
+ service-level agreements
+ inventory and availability of spare parts
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system maintenance responsibilities
+ organizational personnel with acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for ensuring timely maintenance
+
+
+
+
+ MEDIA PROTECTION
+
+ MEDIA PROTECTION POLICY AND PROCEDURES
+ MP-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ MP-1a.
+
Develops, documents, and disseminates to organization-defined personnel or roles:
+
+ MP-1a.1.
+
A media protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ MP-1a.2.
+
Procedures to facilitate the implementation of the media protection policy and associated media protection controls; and
+
+
+
+ MP-1b.
+
Reviews and updates the current:
+
+ MP-1b.1.
+
Media protection policy organization-defined frequency; and
+
+
+ MP-1b.2.
+
Media protection procedures organization-defined frequency.
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+ Determine if the organization:
+
+ MP-1(a)(1)
+
+ MP-1(a)(1)[1]
+ develops and documents a media protection policy that addresses:
+
+ MP-1(a)(1)[1][a]
+ purpose;
+
+
+ MP-1(a)(1)[1][b]
+ scope;
+
+
+ MP-1(a)(1)[1][c]
+ roles;
+
+
+ MP-1(a)(1)[1][d]
+ responsibilities;
+
+
+ MP-1(a)(1)[1][e]
+ management commitment;
+
+
+ MP-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ MP-1(a)(1)[1][g]
+ compliance;
+
+
+
+ MP-1(a)(1)[2]
+ defines personnel or roles to whom the media protection policy is to be disseminated;
+
+
+ MP-1(a)(1)[3]
+ disseminates the media protection policy to organization-defined personnel or roles;
+
+
+
+ MP-1(a)(2)
+
+ MP-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the media protection policy and associated media protection controls;
+
+
+ MP-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ MP-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ MP-1(b)(1)
+
+ MP-1(b)(1)[1]
+ defines the frequency to review and update the current media protection policy;
+
+
+ MP-1(b)(1)[2]
+ reviews and updates the current media protection policy with the organization-defined frequency;
+
+
+
+ MP-1(b)(2)
+
+ MP-1(b)(2)[1]
+ defines the frequency to review and update the current media protection procedures; and
+
+
+ MP-1(b)(2)[2]
+ reviews and updates the current media protection procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Media protection policy and procedures
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with media protection responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ MEDIA ACCESS
+ MP-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization restricts access to organization-defined types of digital and/or non-digital media to organization-defined personnel or roles.
+
+
+
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Restricting non-digital media access includes, for example, denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers. Restricting access to digital media includes, for example, limiting access to design specifications stored on compact disks in the media library to the project leader and the individuals on the development team.
+
+
+
+ Determine if the organization:
+
+ MP-2[1]
+ defines types of digital and/or non-digital media requiring restricted access;
+
+
+ MP-2[2]
+ defines personnel or roles authorized to access organization-defined types of digital and/or non-digital media; and
+
+
+ MP-2[3]
+ restricts access to organization-defined types of digital and/or non-digital media to organization-defined personnel or roles.
+
+
+
+ EXAMINE
+ Information system media protection policy
+ procedures addressing media access restrictions
+ access control policy and procedures
+ physical and environmental protection policy and procedures
+ media storage facilities
+ access control records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media protection responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for restricting information media
+ automated mechanisms supporting and/or implementing media access restrictions
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-111
+
+
+
+
+ MEDIA MARKING
+ MP-3
+ P2
+ MODERATE
+ HIGH
+
+
The organization:
+
+ MP-3a.
+
Marks information system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and
+
+
+ MP-3b.
+
Exempts organization-defined types of information system media from marking as long as the media remain within organization-defined controlled areas.
+
+
+
+
The term security marking refers to the application/use of human-readable security attributes. The term security labeling refers to the application/use of security attributes with regard to internal data structures within information systems (see AC-16). Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Security marking is generally not required for media containing information determined by organizations to be in the public domain or to be publicly releasable. However, some organizations may require markings for public information indicating that the information is publicly releasable. Marking of information system media reflects applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+ AC-16
+ PL-2
+ RA-3
+
+
+ Determine if the organization:
+
+ MP-3(a)
+ marks information system media indicating the:
+
+ MP-3(a)[1]
+ distribution limitations of the information;
+
+
+ MP-3(a)[2]
+ handling caveats of the information;
+
+
+ MP-3(a)[3]
+ applicable security markings (if any) of the information;
+
+
+
+ MP-3(b)
+
+ MP-3(b)[1]
+ defines types of information system media to be exempted from marking as long as the media remain in designated controlled areas;
+
+
+ MP-3(b)[2]
+ defines controlled areas where organization-defined types of information system media exempt from marking are to be retained; and
+
+
+ MP-3(b)[3]
+ exempts organization-defined types of information system media from marking as long as the media remain within organization-defined controlled areas.
+
+
+
+
+ EXAMINE
+ Information system media protection policy
+ procedures addressing media marking
+ physical and environmental protection policy and procedures
+ security plan
+ list of information system media marking security attributes
+ designated controlled areas
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media protection and marking responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for marking information media
+ automated mechanisms supporting and/or implementing media marking
+
+
+
+ FIPS Publication 199
+
+
+
+
+ MEDIA STORAGE
+ MP-4
+ P1
+ MODERATE
+ HIGH
+
+
The organization:
+
+ MP-4a.
+
Physically controls and securely stores organization-defined types of digital and/or non-digital media within organization-defined controlled areas; and
+
+
+ MP-4b.
+
Protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.
+
+
+
+
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Physically controlling information system media includes, for example, conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the media library, and maintaining accountability for all stored media. Secure storage includes, for example, a locked drawer, desk, or cabinet, or a controlled media library. The type of media storage is commensurate with the security category and/or classification of the information residing on the media. Controlled areas are areas for which organizations provide sufficient physical and procedural safeguards to meet the requirements established for protecting information and/or information systems. For media containing information determined by organizations to be in the public domain, to be publicly releasable, or to have limited or no adverse impact on organizations or individuals if accessed by other than authorized personnel, fewer safeguards may be needed. In these situations, physical access controls provide adequate protection.
The organization employs automated mechanisms to restrict access to media storage areas and to audit access attempts and access granted.
+
+
+
Automated mechanisms can include, for example, keypads on the external entries to media storage areas.
+ AU-2
+ AU-9
+ AU-6
+ AU-12
+
+
+ Determine if the organization employs automated mechanisms to:
+
+ MP-4(2)[1]
+ restrict access to media storage areas;
+
+
+ MP-4(2)[2]
+ audit access attempts; and
+
+
+ MP-4(2)[3]
+ audit access granted.
+
+
+
+ EXAMINE
+ Information system media protection policy
+ procedures addressing media storage
+ access control policy and procedures
+ physical and environmental protection policy and procedures
+ information system design documentation
+ information system configuration settings and associated documentation
+ media storage facilities
+ access control devices
+ access control records
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media protection and storage responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Automated mechanisms restricting access to media storage areas
+ automated mechanisms auditing access attempts and access granted to media storage areas
+
+
+
+ Determine if the organization:
+
+ MP-4(a)
+
+ MP-4(a)[1]
+ defines types of digital and/or non-digital media to be physically controlled and securely stored within designated controlled areas;
+
+
+ MP-4(a)[2]
+ defines controlled areas designated to physically control and securely store organization-defined types of digital and/or non-digital media;
+
+
+ MP-4(a)[3]
+ physically controls organization-defined types of digital and/or non-digital media within organization-defined controlled areas;
+
+
+ MP-4(a)[4]
+ securely stores organization-defined types of digital and/or non-digital media within organization-defined controlled areas; and
+
+
+
+ MP-4(b)
+ protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.
+
+
+
+ EXAMINE
+ Information system media protection policy
+ procedures addressing media storage
+ physical and environmental protection policy and procedures
+ access control policy and procedures
+ security plan
+ information system media
+ designated controlled areas
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media protection and storage responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for storing information media
+ automated mechanisms supporting and/or implementing secure media storage/media protection
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-56
+
+
+ NIST Special Publication 800-57
+
+
+ NIST Special Publication 800-111
+
+
+
+
+ MEDIA TRANSPORT
+ MP-5
+ P1
+ MODERATE
+ HIGH
+
+
The organization:
+
+ MP-5a.
+
Protects and controls organization-defined types of information system media during transport outside of controlled areas using organization-defined security safeguards;
+
+
+ MP-5b.
+
Maintains accountability for information system media during transport outside of controlled areas;
+
+
+ MP-5c.
+
Documents activities associated with the transport of information system media; and
+
+
+ MP-5d.
+
Restricts the activities associated with the transport of information system media to authorized personnel.
+
+
+
+
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers), that are transported outside of controlled areas. Controlled areas are areas or spaces for which organizations provide sufficient physical and/or procedural safeguards to meet the requirements established for protecting information and/or information systems.
+Physical and technical safeguards for media are commensurate with the security category or classification of the information residing on the media. Safeguards to protect media during transport include, for example, locked containers and cryptography. Cryptographic mechanisms can provide confidentiality and integrity protections depending upon the mechanisms used. Activities associated with transport include the actual transport as well as those activities such as releasing media for transport and ensuring that media enters the appropriate transport processes. For the actual transport, authorized transport and courier personnel may include individuals from outside the organization (e.g., U.S. Postal Service or a commercial transport or delivery service). Maintaining accountability of media during transport includes, for example, restricting transport activities to authorized personnel, and tracking and/or obtaining explicit records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of information system media in accordance with organizational assessments of risk to include the flexibility to define different record-keeping methods for the different types of media transport as part of an overall system of transport-related records.
The organization employs an identified custodian during transport of information system media outside of controlled areas.
+
+
+
Identified custodians provide organizations with specific points of contact during the media transport process and facilitate individual accountability. Custodial responsibilities can be transferred from one individual to another as long as an unambiguous custodian is identified at all times.
+
+
+ Determine if the organization employs an identified custodian during transport of information system media outside of controlled areas.
+
+
+ EXAMINE
+ Information system media protection policy
+ procedures addressing media transport
+ physical and environmental protection policy and procedures
+ information system media transport records
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media transport responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ CRYPTOGRAPHIC PROTECTION
+ MP-5 (4)
+ MODERATE
+ HIGH
+
+
The information system implements cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.
+
+
+
This control enhancement applies to both portable storage devices (e.g., USB memory sticks, compact disks, digital video disks, external/removable hard disk drives) and mobile devices with storage capability (e.g., smart phones, tablets, E-readers).
+ MP-2
+
+
+ Determine if the organization employs cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.
+
+
+ EXAMINE
+ Information system media protection policy
+ procedures addressing media transport
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system media transport records
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media transport responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Cryptographic mechanisms protecting information on digital media during transportation outside controlled areas
+
+
+
+ Determine if the organization:
+
+ MP-5(a)
+
+ MP-5(a)[1]
+ defines types of information system media to be protected and controlled during transport outside of controlled areas;
+
+
+ MP-5(a)[2]
+ defines security safeguards to protect and control organization-defined information system media during transport outside of controlled areas;
+
+
+ MP-5(a)[3]
+ protects and controls organization-defined information system media during transport outside of controlled areas using organization-defined security safeguards;
+
+
+
+ MP-5(b)
+ maintains accountability for information system media during transport outside of controlled areas;
+
+
+ MP-5(c)
+ documents activities associated with the transport of information system media; and
+
+
+ MP-5(d)
+ restricts the activities associated with transport of information system media to authorized personnel.
+
+
+
+ EXAMINE
+ Information system media protection policy
+ procedures addressing media storage
+ physical and environmental protection policy and procedures
+ access control policy and procedures
+ security plan
+ information system media
+ designated controlled areas
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media protection and storage responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for storing information media
+ automated mechanisms supporting and/or implementing media storage/media protection
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-60
+
+
+
+
+ MEDIA SANITIZATION
+ MP-6
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ MP-6a.
+
Sanitizes organization-defined information system media prior to disposal, release out of organizational control, or release for reuse using organization-defined sanitization techniques and procedures in accordance with applicable federal and organizational standards and policies; and
+
+
+ MP-6b.
+
Employs sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.
+
+
+
+
This control applies to all information system media, both digital and non-digital, subject to disposal or reuse, whether or not the media is considered removable. Examples include media found in scanners, copiers, printers, notebook computers, workstations, network components, and mobile devices. The sanitization process removes information from the media such that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, cryptographic erase, and destruction, prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable, or deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes, for example, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections/words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media containing classified information.
The organization reviews, approves, tracks, documents, and verifies media sanitization and disposal actions.
+
+
+
Organizations review and approve media to be sanitized to ensure compliance with records-retention policies. Tracking/documenting actions include, for example, listing personnel who reviewed and approved sanitization and disposal actions, types of media sanitized, specific files stored on the media, sanitization methods used, date and time of the sanitization actions, personnel who performed the sanitization, verification actions taken, personnel who performed the verification, and disposal action taken. Organizations verify that the sanitization of the media was effective prior to disposal.
+ SI-12
+
+
+ Determine if the organization:
+
+ MP-6(1)[1]
+ reviews media sanitization and disposal actions;
+
+
+ MP-6(1)[2]
+ approves media sanitization and disposal actions;
+
+
+ MP-6(1)[3]
+ tracks media sanitization and disposal actions;
+
+
+ MP-6(1)[4]
+ documents media sanitization and disposal actions; and
+
+
+ MP-6(1)[5]
+ verifies media sanitization and disposal actions.
+
+
+
+ EXAMINE
+ Information system media protection policy
+ procedures addressing media sanitization and disposal
+ media sanitization and disposal records
+ review records for media sanitization and disposal actions
+ approvals for media sanitization and disposal actions
+ tracking records
+ verification records
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media sanitization and disposal responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for media sanitization
+ automated mechanisms supporting and/or implementing media sanitization
+
+
+
+ EQUIPMENT TESTING
+ MP-6 (2)
+ HIGH
+
+
The organization tests sanitization equipment and procedures organization-defined frequency to verify that the intended sanitization is being achieved.
+
+
+
Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities (e.g., other federal agencies or external service providers).
+
+
+ Determine if the organization:
+
+ MP-6(2)[1]
+ defines the frequency for testing sanitization equipment and procedures to verify that the intended sanitization is being achieved; and
+
+
+ MP-6(2)[2]
+ tests sanitization equipment and procedures with the organization-defined frequency to verify that the intended sanitization is being achieved.
+
+
+
+ EXAMINE
+ Information system media protection policy
+ procedures addressing media sanitization and disposal
+ procedures addressing testing of media sanitization equipment
+ results of media sanitization equipment and procedures testing
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media sanitization responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for media sanitization
+ automated mechanisms supporting and/or implementing media sanitization
+
+
+
+ NONDESTRUCTIVE TECHNIQUES
+ MP-6 (3)
+ HIGH
+
+
The organization applies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under the following circumstances: organization-defined circumstances requiring sanitization of portable storage devices.
+
+
+
This control enhancement applies to digital media containing classified information and Controlled Unclassified Information (CUI). Portable storage devices can be the source of malicious code insertions into organizational information systems. Many of these devices are obtained from unknown and potentially untrustworthy sources and may contain malicious code that can be readily transferred to information systems through USB ports or other entry portals. While scanning such storage devices is always recommended, sanitization provides additional assurance that the devices are free of malicious code to include code capable of initiating zero-day attacks. Organizations consider nondestructive sanitization of portable storage devices when such devices are first purchased from the manufacturer or vendor prior to initial use or when organizations lose a positive chain of custody for the devices.
+ SI-3
+
+
+ Determine if the organization:
+
+ MP-6(3)[1]
+ defines circumstances requiring sanitization of portable storage devices; and
+
+
+ MP-6(3)[2]
+ applies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under organization-defined circumstances requiring sanitization of portable storage devices.
+
+
+
+ EXAMINE
+ Information system media protection policy
+ procedures addressing media sanitization and disposal
+ list of circumstances requiring sanitization of portable storage devices
+ media sanitization records
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media sanitization responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for media sanitization of portable storage devices
+ automated mechanisms supporting and/or implementing media sanitization
+
+
+
+ CONTROLLED UNCLASSIFIED INFORMATION
+ MP-6 (4)
+ MP-6
+
+
The organization enforces dual authorization for the sanitization of organization-defined information system media.
+
+
+
Organizations employ dual authorization to ensure that information system media sanitization cannot occur unless two technically qualified individuals conduct the task. Individuals sanitizing information system media possess sufficient skills/expertise to determine if the proposed sanitization reflects applicable federal/organizational standards, policies, and procedures. Dual authorization also helps to ensure that sanitization occurs as intended, both protecting against errors and false claims of having performed the sanitization actions. Dual authorization may also be known as two-person control.
+ AC-3
+ MP-2
+
+
+ Determine if the organization:
+
+ MP-6(7)[1]
+ defines information system media requiring dual authorization to be enforced for sanitization of such media; and
+
+
+ MP-6(7)[2]
+ enforces dual authorization for the sanitization of organization-defined information system media.
+
+
+
+ EXAMINE
+ Information system media protection policy
+ procedures addressing media sanitization and disposal
+ list of information system media requiring dual authorization for sanitization
+ authorization records
+ media sanitization records
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media sanitization responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes requiring dual authorization for media sanitization
+ automated mechanisms supporting and/or implementing media sanitization
+ automated mechanisms supporting and/or implementing dual authorization
+
+
+
+ REMOTE PURGING / WIPING OF INFORMATION
+ MP-6 (8)
+
+
The organization provides the capability to purge/wipe information from organization-defined information systems, system components, or devices either remotely or under the following conditions: organization-defined conditions.
+
+
+
This control enhancement protects data/information on organizational information systems, system components, or devices (e.g., mobile devices) if such systems, components, or devices are obtained by unauthorized individuals. Remote purge/wipe commands require strong authentication to mitigate the risk of unauthorized individuals purging/wiping the system/component/device. The purge/wipe function can be implemented in a variety of ways including, for example, by overwriting data/information multiple times or by destroying the key necessary to decrypt encrypted data.
+
+
+ Determine if the organization:
+
+ MP-6(8)[1]
+ defines information systems, system components, or devices to purge/wipe either remotely or under specific organizational conditions;
+
+
+ MP-6(8)[2]
+ defines conditions under which information is to be purged/wiped from organization-defined information systems, system components, or devices; and
+
+
+ MP-6(8)[3]
+ provides the capability to purge/wipe information from organization-defined information systems, system components, or devices either:
+
+ MP-6(8)[3][a]
+ remotely; or
+
+
+ MP-6(8)[3][b]
+ under organization-defined conditions.
+
+
+
+
+ EXAMINE
+ Information system media protection policy
+ procedures addressing media sanitization and disposal
+ information system design documentation
+ information system configuration settings and associated documentation
+ media sanitization records
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media sanitization responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for purging/wiping media
+ automated mechanisms supporting and/or implementing purge/wipe capabilities
+
+
+
+ Determine if the organization:
+
+ MP-6(a)
+
+ MP-6(a)[1]
+ defines information system media to be sanitized prior to:
+
+ MP-6(a)[1][a]
+ disposal;
+
+
+ MP-6(a)[1][b]
+ release out of organizational control; or
+
+
+ MP-6(a)[1][c]
+ release for reuse;
+
+
+
+ MP-6(a)[2]
+ defines sanitization techniques or procedures to be used for sanitizing organization-defined information system media prior to:
+
+ MP-6(a)[2][a]
+ disposal;
+
+
+ MP-6(a)[2][b]
+ release out of organizational control; or
+
+
+ MP-6(a)[2][c]
+ release for reuse;
+
+
+
+ MP-6(a)[3]
+ sanitizes organization-defined information system media prior to disposal, release out of organizational control, or release for reuse using organization-defined sanitization techniques or procedures in accordance with applicable federal and organizational standards and policies; and
+
+
+
+ MP-6(b)
+ employs sanitization mechanisms with strength and integrity commensurate with the security category or classification of the information.
+
+
+
+ EXAMINE
+ Information system media protection policy
+ procedures addressing media sanitization and disposal
+ applicable federal standards and policies addressing media sanitization
+ media sanitization records
+ audit records
+ information system design documentation
+ information system configuration settings and associated documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with media sanitization responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for media sanitization
+ automated mechanisms supporting and/or implementing media sanitization
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-60
+
+
+ NIST Special Publication 800-88
+
+
+ http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml
+
+
+
+
+ MEDIA USE
+ MP-7
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization [Selection: restricts; prohibits] the use of organization-defined types of information system media on organization-defined information systems or system components using organization-defined security safeguards.
+
+
+
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers). In contrast to MP-2, which restricts user access to media, this control restricts the use of certain types of media on information systems, for example, restricting/prohibiting the use of flash drives or external hard disk drives. Organizations can employ technical and nontechnical safeguards (e.g., policies, procedures, rules of behavior) to restrict the use of information system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports, or disabling/removing the ability to insert, read or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices including, for example, devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, for example, prohibiting the use of writeable, portable storage devices, and implementing this restriction by disabling or removing the capability to write to such devices.
+ AC-19
+ PL-4
+
+
+ PROHIBIT USE WITHOUT OWNER
+ MP-7 (1)
+ MODERATE
+ HIGH
+
+
The organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner.
+
+
+
Requiring identifiable owners (e.g., individuals, organizations, or projects) for portable storage devices reduces the risk of using such technologies by allowing organizations to assign responsibility and accountability for addressing known vulnerabilities in the devices (e.g., malicious code insertion).
+ PL-4
+
+
+ Determine if the organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner.
+
+
+ EXAMINE
+ Information system media protection policy
+ system use policy
+ procedures addressing media usage restrictions
+ security plan
+ rules of behavior
+ information system design documentation
+ information system configuration settings and associated documentation
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media use responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for media use
+ automated mechanisms prohibiting use of media on information systems or system components
+
+
+
+ PROHIBIT USE OF SANITIZATION-RESISTANT MEDIA
+ MP-7 (2)
+
+
The organization prohibits the use of sanitization-resistant media in organizational information systems.
+
+
+
Sanitization-resistance applies to the capability to purge information from media. Certain types of media do not support sanitize commands, or if supported, the interfaces are not supported in a standardized way across these devices. Sanitization-resistant media include, for example, compact flash, embedded flash on boards and devices, solid state drives, and USB removable media.
+ MP-6
+
+
+ Determine if the organization prohibits the use of sanitization-resistant media in organizational information systems.
+
+
+ EXAMINE
+ Information system media protection policy, system use policy
+ procedures addressing media usage restrictions
+ rules of behavior
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media use responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for media use
+ automated mechanisms prohibiting use of media on information systems or system components
+
+
+
+ Determine if the organization:
+
+ MP-7[1]
+ defines types of information system media to be:
+
+ MP-7[1][a]
+ restricted on information systems or system components; or
+
+
+ MP-7[1][b]
+ prohibited from use on information systems or system components;
+
+
+
+ MP-7[2]
+ defines information systems or system components on which the use of organization-defined types of information system media is to be one of the following:
+
+ MP-7[2][a]
+ restricted; or
+
+
+ MP-7[2][b]
+ prohibited;
+
+
+
+ MP-7[3]
+ defines security safeguards to be employed to restrict or prohibit the use of organization-defined types of information system media on organization-defined information systems or system components; and
+
+
+ MP-7[4]
+ restricts or prohibits the use of organization-defined information system media on organization-defined information systems or system components using organization-defined security safeguards.
+
+
+
+ EXAMINE
+ Information system media protection policy
+ system use policy
+ procedures addressing media usage restrictions
+ security plan
+ rules of behavior
+ information system design documentation
+ information system configuration settings and associated documentation
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media use responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for media use
+ automated mechanisms restricting or prohibiting use of information system media on information systems or system components
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-111
+
+
+
+
+ MEDIA DOWNGRADING
+ MP-8
+ P0
+
+
The organization:
+
+ MP-8a.
+
Establishes organization-defined information system media downgrading process that includes employing downgrading mechanisms with organization-defined strength and integrity;
+
+
+ MP-8b.
+
Ensures that the information system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downgraded information;
+
+
+ MP-8c.
+
Identifies organization-defined information system media requiring downgrading; and
+
+
+ MP-8d.
+
Downgrades the identified information system media using the established process.
+
+
+
+
This control applies to all information system media, digital and non-digital, subject to release outside of the organization, whether or not the media is considered removable. The downgrading process, when applied to system media, removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. Downgrading of media also ensures that empty space on the media (e.g., slack space within files) is devoid of information.
+
+
+ DOCUMENTATION OF PROCESS
+ MP-8 (1)
+
+
The organization documents information system media downgrading actions.
+
+
+
Organizations can document the media downgrading process by providing information such as the downgrading technique employed, the identification number of the downgraded media, and the identity of the individual that authorized and/or performed the downgrading action.
+
+
+ Determine if the organization documents information system media downgrading actions.
+
+
+ EXAMINE
+ Information system media protection policy
+ procedures addressing media downgrading
+ list of media requiring downgrading
+ records of media downgrading
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media downgrading responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for media downgrading
+ automated mechanisms supporting and/or implementing media downgrading
+
+
+
+ EQUIPMENT TESTING
+ MP-8 (2)
+
+
The organization employs organization-defined tests of downgrading equipment and procedures to verify correct performance organization-defined frequency.
+
+
+ Determine if the organization:
+
+ MP-8(2)[1]
+
+ MP-8(2)[1][a]
+ defines tests to be employed for downgrading equipment;
+
+
+ MP-8(2)[1][b]
+ defines procedures to verify correct performance;
+
+
+
+ MP-8(2)[2]
+ defines the frequency for employing tests of downgrading equipment and procedures to verify correct performance; and
+
+
+ MP-8(2)[3]
+ employs organization-defined tests of downgrading equipment and procedures to verify correct performance with the organization-defined frequency.
+
+
+
+ EXAMINE
+ Information system media protection policy
+ procedures addressing media downgrading
+ procedures addressing testing of media downgrading equipment
+ results of downgrading equipment and procedures testing
+ audit records: other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media downgrading responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for media downgrading
+ automated mechanisms supporting and/or implementing media downgrading
+ automated mechanisms supporting and/or implementing tests for downgrading equipment
+
+
+
+ CONTROLLED UNCLASSIFIED INFORMATION
+ MP-8 (3)
+
+
The organization downgrades information system media containing organization-defined Controlled Unclassified Information (CUI) prior to public release in accordance with applicable federal and organizational standards and policies.
+
+
+ Determine if the organization:
+
+ MP-8(3)[1]
+ defines Controlled Unclassified Information (CUI) contained on information system media that requires downgrading prior to public release; and
+
+
+ MP-8(3)[2]
+ downgrades information system media containing organization-defined CUI prior to public release in accordance with applicable federal and organizational standards and policies.
+
+
+
+ EXAMINE
+ Information system media protection policy
+ access authorization policy
+ procedures addressing downgrading of media containing CUI
+ applicable federal and organizational standards and policies regarding protection of CUI
+ media downgrading records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media downgrading responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for media downgrading
+ automated mechanisms supporting and/or implementing media downgrading
+
+
+
+ CLASSIFIED INFORMATION
+ MP-8 (4)
+
+
The organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies.
+
+
+
Downgrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified information systems to unclassified media.
+
+
+ Determine if the organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies.
+
+
+ EXAMINE
+ Information system media protection policy
+ access authorization policy
+ procedures addressing downgrading of media containing classified information
+ procedures addressing handling of classified information
+ NSA standards and policies regarding protection of classified information
+ media downgrading records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media downgrading responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for media downgrading
+ automated mechanisms supporting and/or implementing media downgrading
+
+
+
+ Determine if the organization:
+
+ MP-8(a)
+
+ MP-8(a)[1]
+ defines the information system media downgrading process;
+
+
+ MP-8(a)[2]
+ defines the strength and integrity with which media downgrading mechanisms are to be employed;
+
+
+ MP-8(a)[3]
+ establishes an organization-defined information system media downgrading process that includes employing downgrading mechanisms with organization-defined strength and integrity;
+
+
+
+ MP-8(b)
+ ensures that the information system media downgrading process is commensurate with the:
+
+ MP-8(b)[1]
+ security category and/or classification level of the information to be removed;
+
+
+ MP-8(b)[2]
+ access authorizations of the potential recipients of the downgraded information;
+
+
+
+ MP-8(c)
+ identifies/defines information system media requiring downgrading; and
+
+
+ MP-8(d)
+ downgrades the identified information system media using the established process.
+
+
+
+ EXAMINE
+ Information system media protection policy
+ procedures addressing media downgrading
+ system categorization documentation
+ list of media requiring downgrading
+ records of media downgrading
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information system media downgrading responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for media downgrading
+ automated mechanisms supporting and/or implementing media downgrading
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES
+ PE-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PE-1a.
+
Develops, documents, and disseminates to organization-defined personnel or roles:
+
+ PE-1a.1.
+
A physical and environmental protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ PE-1a.2.
+
Procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls; and
+
+
+
+ PE-1b.
+
Reviews and updates the current:
+
+ PE-1b.1.
+
Physical and environmental protection policy organization-defined frequency; and
+
+
+ PE-1b.2.
+
Physical and environmental protection procedures organization-defined frequency.
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PE family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+ Determine if the organization:
+
+ PE-1(a)(1)
+
+ PE-1(a)(1)[1]
+ develops and documents a physical and environmental protection policy that addresses:
+
+ PE-1(a)(1)[1][a]
+ purpose;
+
+
+ PE-1(a)(1)[1][b]
+ scope;
+
+
+ PE-1(a)(1)[1][c]
+ roles;
+
+
+ PE-1(a)(1)[1][d]
+ responsibilities;
+
+
+ PE-1(a)(1)[1][e]
+ management commitment;
+
+
+ PE-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ PE-1(a)(1)[1][g]
+ compliance;
+
+
+
+ PE-1(a)(1)[2]
+ defines personnel or roles to whom the physical and environmental protection policy is to be disseminated;
+
+
+ PE-1(a)(1)[3]
+ disseminates the physical and environmental protection policy to organization-defined personnel or roles;
+
+
+
+ PE-1(a)(2)
+
+ PE-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls;
+
+
+ PE-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ PE-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ PE-1(b)(1)
+
+ PE-1(b)(1)[1]
+ defines the frequency to review and update the current physical and environmental protection policy;
+
+
+ PE-1(b)(1)[2]
+ reviews and updates the current physical and environmental protection policy with the organization-defined frequency;
+
+
+
+ PE-1(b)(2)
+
+ PE-1(b)(2)[1]
+ defines the frequency to review and update the current physical and environmental protection procedures; and
+
+
+ PE-1(b)(2)[2]
+ reviews and updates the current physical and environmental protection procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Physical and environmental protection policy and procedures
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical and environmental protection responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ PHYSICAL ACCESS AUTHORIZATIONS
+ PE-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PE-2a.
+
Develops, approves, and maintains a list of individuals with authorized access to the facility where the information system resides;
+
+
+ PE-2b.
+
Issues authorization credentials for facility access;
+
+
+ PE-2c.
+
Reviews the access list detailing authorized facility access by individuals organization-defined frequency; and
+
+
+ PE-2d.
+
Removes individuals from the facility access list when access is no longer required.
+
+
+
+
This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Authorization credentials include, for example, badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed (including level of forge-proof badges, smart cards, or identification cards) consistent with federal standards, policies, and procedures. This control only applies to areas within facilities that have not been designated as publicly accessible.
+ PE-3
+ PE-4
+ PS-3
+
+
+ ACCESS BY POSITION / ROLE
+ PE-2 (1)
+
+
The organization authorizes physical access to the facility where the information system resides based on position or role.
+
+
+ AC-2
+ AC-3
+ AC-6
+
+
+ Determine if the organization authorizes physical access to the facility where the information system resides based on position or role.
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing physical access authorizations
+ physical access control logs or records
+ list of positions/roles and corresponding physical access authorizations
+ information system entry and exit points
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access authorization responsibilities
+ organizational personnel with physical access to information system facility
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for physical access authorizations
+ automated mechanisms supporting and/or implementing physical access authorizations
+
+
+
+ TWO FORMS OF IDENTIFICATION
+ PE-2 (2)
+
+
The organization requires two forms of identification from organization-defined list of acceptable forms of identification for visitor access to the facility where the information system resides.
+
+
+
Acceptable forms of government photo identification include, for example, passports, Personal Identity Verification (PIV) cards, and drivers� licenses. In the case of gaining access to facilities using automated mechanisms, organizations may use PIV cards, key cards, PINs, and biometrics.
+ IA-2
+ IA-4
+ IA-5
+
+
+ Determine if the organization:
+
+ PE-2(2)[1]
+ defines a list of acceptable forms of identification for visitor access to the facility where the information system resides; and
+
+
+ PE-2(2)[2]
+ requires two forms of identification from the organization-defined list of acceptable forms of identification for visitor access to the facility where the information system resides.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing physical access authorizations
+ list of acceptable forms of identification for visitor access to the facility where information system resides
+ access authorization forms
+ access credentials
+ physical access control logs or records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access authorization responsibilities
+ organizational personnel with physical access to information system facility
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for physical access authorizations
+ automated mechanisms supporting and/or implementing physical access authorizations
+
+
+
+ RESTRICT UNESCORTED ACCESS
+ PE-2 (3)
+
+
The organization restricts unescorted access to the facility where the information system resides to personnel with [Selection (one or more): security clearances for all information contained within the system; formal access authorizations for all information contained within the system; need for access to all information contained within the system; organization-defined credentials].
+
+
+
Due to the highly sensitive nature of classified information stored within certain facilities, it is important that individuals lacking sufficient security clearances, access approvals, or need to know, be escorted by individuals with appropriate credentials to ensure that such information is not exposed or otherwise compromised.
+ PS-2
+ PS-6
+
+
+ Determine if the organization:
+
+ PE-2(3)[1]
+ defines credentials to be employed to restrict unescorted access to the facility where the information system resides to authorized personnel;
+
+
+ PE-2(3)[2]
+ restricts unescorted access to the facility where the information system resides to personnel with one or more of the following:
+
+ PE-2(3)[2][a]
+ security clearances for all information contained within the system;
+
+
+ PE-2(3)[2][b]
+ formal access authorizations for all information contained within the system;
+
+
+ PE-2(3)[2][c]
+ need for access to all information contained within the system; and/or
+
+
+ PE-2(3)[2][d]
+ organization-defined credentials.
+
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing physical access authorizations
+ authorized personnel access list
+ security clearances
+ access authorizations
+ access credentials
+ physical access control logs or records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access authorization responsibilities
+ organizational personnel with physical access to information system facility
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for physical access authorizations
+ automated mechanisms supporting and/or implementing physical access authorizations
+
+
+
+ Determine if the organization:
+
+ PE-2(a)
+
+ PE-2(a)[1]
+ develops a list of individuals with authorized access to the facility where the information system resides;
+
+
+ PE-2(a)[2]
+ approves a list of individuals with authorized access to the facility where the information system resides;
+
+
+ PE-2(a)[3]
+ maintains a list of individuals with authorized access to the facility where the information system resides;
+
+
+
+ PE-2(b)
+ issues authorization credentials for facility access;
+
+
+ PE-2(c)
+
+ PE-2(c)[1]
+ defines the frequency to review the access list detailing authorized facility access by individuals;
+
+
+ PE-2(c)[2]
+ reviews the access list detailing authorized facility access by individuals with the organization-defined frequency; and
+
+
+
+ PE-2(d)
+ removes individuals from the facility access list when access is no longer required.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing physical access authorizations
+ security plan
+ authorized personnel access list
+ authorization credentials
+ physical access list reviews
+ physical access termination records and associated documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access authorization responsibilities
+ organizational personnel with physical access to information system facility
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for physical access authorizations
+ automated mechanisms supporting and/or implementing physical access authorizations
+
+
+
+ PHYSICAL ACCESS CONTROL
+ PE-3
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PE-3a.
+
Enforces physical access authorizations at organization-defined entry/exit points to the facility where the information system resides by;
+
+ PE-3a.1.
+
Verifying individual access authorizations before granting access to the facility; and
+
+
+ PE-3a.2.
+
Controlling ingress/egress to the facility using [Selection (one or more): organization-defined physical access control systems/devices; guards];
+
+
+
+ PE-3b.
+
Maintains physical access audit logs for organization-defined entry/exit points;
+
+
+ PE-3c.
+
Provides organization-defined security safeguards to control access to areas within the facility officially designated as publicly accessible;
+
+
+ PE-3d.
+
Escorts visitors and monitors visitor activity organization-defined circumstances requiring visitor escorts and monitoring;
+
+
+ PE-3e.
+
Secures keys, combinations, and other physical access devices;
+
+
+ PE-3f.
+
Inventories organization-defined physical access devices every organization-defined frequency; and
+
+
+ PE-3g.
+
Changes combinations and keys organization-defined frequency and/or when keys are lost, combinations are compromised, or individuals are transferred or terminated.
+
+
+
+
This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of facility guards needed including, for example, professional physical security staff or other personnel such as administrative staff or information system users. Physical access devices include, for example, keys, locks, combinations, and card readers. Safeguards for publicly accessible areas within organizational facilities include, for example, cameras, monitoring by guards, and isolating selected information systems and/or system components in secured areas. Physical access control systems comply with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The Federal Identity, Credential, and Access Management Program provides implementation guidance for identity, credential, and access management capabilities for physical access control systems. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural (e.g., a written log of individuals accessing the facility and when such access occurred), automated (e.g., capturing ID provided by a PIV card), or some combination thereof. Physical access points can include facility access points, interior access points to information systems and/or components requiring supplemental access controls, or both. Components of organizational information systems (e.g., workstations, terminals) may be located in areas designated as publicly accessible with organizations safeguarding access to such devices.
The organization enforces physical access authorizations to the information system in addition to the physical access controls for the facility at organization-defined physical spaces containing one or more components of the information system.
+
+
+
This control enhancement provides additional physical security for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, data and communications centers).
+ PS-2
+
+
+ Determine if the organization:
+
+ PE-3(1)[1]
+ defines physical spaces containing one or more components of the information system; and
+
+
+ PE-3(1)[2]
+ enforces physical access authorizations to the information system in addition to the physical access controls for the facility at organization-defined physical spaces containing one or more components of the information system.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing physical access control
+ physical access control logs or records
+ physical access control devices
+ access authorizations
+ access credentials
+ information system entry and exit points
+ list of areas within the facility containing concentrations of information system components or information system components requiring additional physical protection
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access authorization responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for physical access control to the information system/components
+ automated mechanisms supporting and/or implementing physical access control for facility areas containing information system components
+
+
+
+ FACILITY / INFORMATION SYSTEM BOUNDARIES
+ PE-3 (2)
+
+
The organization performs security checks organization-defined frequency at the physical boundary of the facility or information system for unauthorized exfiltration of information or removal of information system components.
+
+
+
Organizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration.
+ AC-4
+ SC-7
+
+
+ Determine if the organization:
+
+ PE-3(2)[1]
+ defines the frequency to perform security checks at the physical boundary of the facility or information system for:
+
+ PE-3(2)[1][a]
+ unauthorized exfiltration of information; or
+
+
+ PE-3(2)[1][b]
+ removal of information system components; and
+
+
+
+ PE-3(2)[2]
+ performs security checks with the organization-defined frequency at the physical boundary of the facility or information system for:
+
+ PE-3(2)[2][a]
+ unauthorized exfiltration of information; or
+
+
+ PE-3(2)[2][b]
+ removal of information system components.
+
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing physical access control
+ physical access control logs or records
+ records of security checks
+ security audit reports
+ security inspection reports
+ facility layout documentation
+ information system entry and exit points
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access control responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for physical access control to the facility and/or information system
+ automated mechanisms supporting and/or implementing physical access control for the facility or information system
+ automated mechanisms supporting and/or implementing security checks for unauthorized exfiltration of information
+
+
+
+ CONTINUOUS GUARDS / ALARMS / MONITORING
+ PE-3 (3)
+
+
The organization employs guards and/or alarms to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week.
+
+
+ CP-6
+ CP-7
+
+
+ Determine if the organization employs one or more of the following to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week:
+
+ PE-3(3)[1]
+ guards; and/or
+
+
+ PE-3(3)[2]
+ alarms.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing physical access control
+ physical access control logs or records
+ physical access control devices
+ facility surveillance records
+ facility layout documentation
+ information system entry and exit points
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access control responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for physical access control to the facility where the information system resides
+ automated mechanisms supporting and/or implementing physical access control for the facility where the information system resides
+
+
+
+ LOCKABLE CASINGS
+ PE-3 (4)
+
+
The organization uses lockable physical casings to protect organization-defined information system components from unauthorized physical access.
+
+
+ Determine if the organization:
+
+ PE-3(4)[1]
+ defines information system components to be protected from unauthorized physical access using lockable physical casings; and
+
+
+ PE-3(4)[2]
+ uses lockable physical casings to protect organization-defined information system components from unauthorized physical access.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing physical access control
+ security plan
+ list of information system components requiring protection through lockable physical casings
+ lockable physical casings
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access control responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Lockable physical casings
+
+
+
+ TAMPER PROTECTION
+ PE-3 (5)
+
+
The organization employs organization-defined security safeguards to [Selection (one or more): detect; prevent] physical tampering or alteration of organization-defined hardware components within the information system.
+
+
+
Organizations may implement tamper detection/prevention at selected hardware components or tamper detection at some components and tamper prevention at other components. Tamper detection/prevention activities can employ many types of anti-tamper technologies including, for example, tamper-detection seals and anti-tamper coatings. Anti-tamper programs help to detect hardware alterations through counterfeiting and other supply chain-related risks.
+ SA-12
+
+
+ Determine if the organization:
+
+ PE-3(5)[1]
+ defines security safeguards to be employed to detect and/or prevent physical tampering or alteration of organization-defined hardware components within the information system;
+
+
+ PE-3(5)[2]
+ defines hardware components within the information system for which security safeguards are to be employed to detect and/or prevent physical tampering or alteration of such components;
+
+
+ PE-3(5)[3]
+ employs organization-defined security safeguards to do one or more of the following:
+
+ PE-3(5)[3][a]
+ detect physical tampering or alteration of organization-defined hardware components within the information system; and/or
+
+
+ PE-3(5)[3][b]
+ prevent physical tampering or alteration of organization-defined hardware components within the information system.
+
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing physical access control
+ list of security safeguards to detect/prevent physical tampering or alteration of information system hardware components
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access control responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes to detect/prevent physical tampering or alteration of information system hardware components
+ automated mechanisms/security safeguards supporting and/or implementing detection/prevention of physical tampering/alternation of information system hardware components
+
+
+
+ FACILITY PENETRATION TESTING
+ PE-3 (6)
+
+
The organization employs a penetration testing process that includes organization-defined frequency, unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility.
+
+
+ CA-2
+ CA-7
+
+
+ Determine if the organization:
+
+ PE-3(6)[1]
+ defines the frequency of unannounced attempts to be included in a penetration testing process to bypass or circumvent security controls associated with physical access points to the facility; and
+
+
+ PE-3(6)[2]
+ employs a penetration testing process with the organization-defined frequency that includes unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing physical access control
+ procedures addressing penetration testing
+ rules of engagement and associated documentation
+ penetration test results
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access control responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for facility penetration testing
+ automated mechanisms supporting and/or implementing facility penetration testing
+
+
+
+ Determine if the organization:
+
+ PE-3(a)
+
+ PE-3(a)[1]
+ defines entry/exit points to the facility where the information system resides;
+
+
+ PE-3(a)[2]
+ enforces physical access authorizations at organization-defined entry/exit points to the facility where the information system resides by:
+
+ PE-3(a)[2](1)
+ verifying individual access authorizations before granting access to the facility;
+
+
+ PE-3(a)[2](2)
+
+ PE-3(a)[2](2)[a]
+ defining physical access control systems/devices to be employed to control ingress/egress to the facility where the information system resides;
+
+
+ PE-3(a)[2](2)[b]
+ using one or more of the following ways to control ingress/egress to the facility:
+
+ PE-3(a)[2](2)[b][1]
+ organization-defined physical access control systems/devices; and/or
+
+
+ PE-3(a)[2](2)[b][2]
+ guards;
+
+
+
+
+
+
+ PE-3(b)
+
+ PE-3(b)[1]
+ defines entry/exit points for which physical access audit logs are to be maintained;
+
+
+ PE-3(b)[2]
+ maintains physical access audit logs for organization-defined entry/exit points;
+
+
+
+ PE-3(c)
+
+ PE-3(c)[1]
+ defines security safeguards to be employed to control access to areas within the facility officially designated as publicly accessible;
+
+
+ PE-3(c)[2]
+ provides organization-defined security safeguards to control access to areas within the facility officially designated as publicly accessible;
+
+
+
+ PE-3(d)
+
+ PE-3(d)[1]
+ defines circumstances requiring visitor:
+
+ PE-3(d)[1][a]
+ escorts;
+
+
+ PE-3(d)[1][b]
+ monitoring;
+
+
+
+ PE-3(d)[2]
+ in accordance with organization-defined circumstances requiring visitor escorts and monitoring:
+
+ PE-3(d)[2][a]
+ escorts visitors;
+
+
+ PE-3(d)[2][b]
+ monitors visitor activities;
+
+
+
+
+ PE-3(e)
+
+ PE-3(e)[1]
+ secures keys;
+
+
+ PE-3(e)[2]
+ secures combinations;
+
+
+ PE-3(e)[3]
+ secures other physical access devices;
+
+
+
+ PE-3(f)
+
+ PE-3(f)[1]
+ defines physical access devices to be inventoried;
+
+
+ PE-3(f)[2]
+ defines the frequency to inventory organization-defined physical access devices;
+
+
+ PE-3(f)[3]
+ inventories the organization-defined physical access devices with the organization-defined frequency;
+
+
+
+ PE-3(g)
+
+ PE-3(g)[1]
+ defines the frequency to change combinations and keys; and
+
+
+ PE-3(g)[2]
+ changes combinations and keys with the organization-defined frequency and/or when:
+
+ PE-3(g)[2][a]
+ keys are lost;
+
+
+ PE-3(g)[2][b]
+ combinations are compromised;
+
+
+ PE-3(g)[2][c]
+ individuals are transferred or terminated.
+
+
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing physical access control
+ security plan
+ physical access control logs or records
+ inventory records of physical access control devices
+ information system entry and exit points
+ records of key and lock combination changes
+ storage locations for physical access control devices
+ physical access control devices
+ list of security safeguards controlling access to designated publicly accessible areas within facility
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access control responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for physical access control
+ automated mechanisms supporting and/or implementing physical access control
+ physical access control devices
+
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-73
+
+
+ NIST Special Publication 800-76
+
+
+ NIST Special Publication 800-78
+
+
+ NIST Special Publication 800-116
+
+
+ ICD 704
+
+
+ ICD 705
+
+
+ DoD Instruction 5200.39
+
+
+ Personal Identity Verification (PIV) in Enterprise Physical Access Control System (E-PACS)
+
+
+ http://idmanagement.gov
+
+
+ http://fips201ep.cio.gov
+
+
+
+
+ ACCESS CONTROL FOR TRANSMISSION MEDIUM
+ PE-4
+ P1
+ MODERATE
+ HIGH
+
+
The organization controls physical access to organization-defined information system distribution and transmission lines within organizational facilities using organization-defined security safeguards.
+
+
+
Physical security safeguards applied to information system distribution and transmission lines help to prevent accidental damage, disruption, and physical tampering. In addition, physical safeguards may be necessary to help prevent eavesdropping or in transit modification of unencrypted transmissions. Security safeguards to control physical access to system distribution and transmission lines include, for example: (i) locked wiring closets; (ii) disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable trays.
+ MP-2
+ MP-4
+ PE-2
+ PE-3
+ PE-5
+ SC-7
+ SC-8
+
+
+ Determine if the organization:
+
+ PE-4[1]
+ defines information system distribution and transmission lines requiring physical access controls;
+
+
+ PE-4[2]
+ defines security safeguards to be employed to control physical access to organization-defined information system distribution and transmission lines within organizational facilities; and
+
+
+ PE-4[3]
+ controls physical access to organization-defined information system distribution and transmission lines within organizational facilities using organization-defined security safeguards.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing access control for transmission medium
+ information system design documentation
+ facility communications and wiring diagrams
+ list of physical security safeguards applied to information system distribution and transmission lines
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access control responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for access control to distribution and transmission lines
+ automated mechanisms/security safeguards supporting and/or implementing access control to distribution and transmission lines
+
+
+
+ NSTISSI No. 7003
+
+
+
+
+ ACCESS CONTROL FOR OUTPUT DEVICES
+ PE-5
+ P2
+ MODERATE
+ HIGH
+
+
The organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.
+
+
+
Controlling physical access to output devices includes, for example, placing output devices in locked rooms or other secured areas and allowing access to authorized individuals only, and placing output devices in locations that can be monitored by organizational personnel. Monitors, printers, copiers, scanners, facsimile machines, and audio devices are examples of information system output devices.
Controls physical access to output from organization-defined output devices; and
+
+
+ PE-5 (1)(b)
+
Ensures that only authorized individuals receive output from the device.
+
+
+
+
Controlling physical access to selected output devices includes, for example, placing printers, copiers, and facsimile machines in controlled areas with keypad access controls or limiting access to individuals with certain types of badges.
+
+
+ Determine if the organization:
+
+ PE-5(1)(a)
+
+ PE-5(1)(a)[1]
+ defines output devices whose output requires physical access controls;
+
+
+ PE-5(1)(a)[2]
+ controls physical access to output from organization-defined output devices; and
+
+
+
+ PE-5(1)(b)
+ ensures that only authorized individuals receive output from the device.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing physical access control
+ list of output devices and associated outputs requiring physical access controls
+ physical access control logs or records for areas containing output devices and related outputs
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access control responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for access control to output devices
+ automated mechanisms supporting and/or implementing access control to output devices
+
+
+
+ ACCESS TO OUTPUT BY INDIVIDUAL IDENTITY
+ PE-5 (2)
+
+
The information system:
+
+ PE-5 (2)(a)
+
Controls physical access to output from organization-defined output devices; and
+
+
+ PE-5 (2)(b)
+
Links individual identity to receipt of the output from the device.
+
+
+
+
Controlling physical access to selected output devices includes, for example, installing security functionality on printers, copiers, and facsimile machines that allows organizations to implement authentication (e.g., using a PIN or hardware token) on output devices prior to the release of output to individuals.
+
+
+ Determine if:
+
+ PE-5(2)(a)
+
+ PE-5(2)(a)[1]
+ the organization defines output devices whose output requires physical access controls;
+
+
+ PE-5(2)(a)[2]
+ the information system controls physical access to output from organization-defined output devices; and
+
+
+
+ PE-5(2)(b)
+ the information system links individual identity to receipt of the output from the device.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing physical access control
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of output devices and associated outputs requiring physical access controls
+ physical access control logs or records for areas containing output devices and related outputs
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access control responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developers
+
+
+ TEST
+ Organizational processes for access control to output devices
+ automated mechanisms supporting and/or implementing access control to output devices
+
+
+
+ MARKING OUTPUT DEVICES
+ PE-5 (3)
+
+
The organization marks organization-defined information system output devices indicating the appropriate security marking of the information permitted to be output from the device.
+
+
+
Outputs devices include, for example, printers, monitors, facsimile machines, scanners, copiers, and audio devices. This control enhancement is generally applicable to information system output devices other than mobiles devices.
+
+
+ Determine if the organization:
+
+ PE-5(3)[1]
+ defines information system output devices to be marked with appropriate security marking of the information permitted to be output from such devices; and
+
+
+ PE-5(3)[2]
+ marks organization-defined information system output devices indicating the appropriate security marking of the information permitted to be output from the device.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing physical access control
+ security markings for information types permitted as output from information system output devices
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access control responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for marking output devices
+
+
+
+ Determine if the organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing access control for display medium
+ facility layout of information system components
+ actual displays from information system components
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access control responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for access control to output devices
+ automated mechanisms supporting and/or implementing access control to output devices
+
+
+
+ MONITORING PHYSICAL ACCESS
+ PE-6
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PE-6a.
+
Monitors physical access to the facility where the information system resides to detect and respond to physical security incidents;
+
+
+ PE-6b.
+
Reviews physical access logs organization-defined frequency and upon occurrence of organization-defined events or potential indications of events; and
+
+
+ PE-6c.
+
Coordinates results of reviews and investigations with the organizational incident response capability.
+
+
+
+
Organizational incident response capabilities include investigations of and responses to detected physical security incidents. Security incidents include, for example, apparent security violations or suspicious physical access activities. Suspicious physical access activities include, for example: (i) accesses outside of normal work hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for unusual lengths of time; and (iv) out-of-sequence accesses.
The organization monitors physical intrusion alarms and surveillance equipment.
+
+
+ Determine if the organization monitors physical intrusion alarms and surveillance equipment.
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing physical access monitoring
+ security plan
+ physical access logs or records
+ physical access monitoring records
+ physical access log reviews
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access monitoring responsibilities
+ organizational personnel with incident response responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for monitoring physical intrusion alarms and surveillance equipment
+ automated mechanisms supporting and/or implementing physical access monitoring
+ automated mechanisms supporting and/or implementing physical intrusion alarms and surveillance equipment
+
+
+
+ AUTOMATED INTRUSION RECOGNITION / RESPONSES
+ PE-6 (2)
+
+
The organization employs automated mechanisms to recognize organization-defined classes/types of intrusions and initiate organization-defined response actions.
+
+
+ SI-4
+
+
+ Determine if the organization:
+
+ PE-6(2)[1]
+ defines classes/types of intrusions to be recognized by automated mechanisms;
+
+
+ PE-6(2)[2]
+ defines response actions to be initiated by automated mechanisms when organization-defined classes/types of intrusions are recognized; and
+
+
+ PE-6(2)[3]
+ employs automated mechanisms to recognize organization-defined classes/types of intrusions and initiate organization-defined response actions.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing physical access monitoring
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of response actions to be initiated when specific classes/types of intrusions are recognized
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access monitoring responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for monitoring physical access
+ automated mechanisms supporting and/or implementing physical access monitoring
+ automated mechanisms supporting and/or implementing recognition of classes/types of intrusions and initiation of a response
+
+
+
+ VIDEO SURVEILLANCE
+ PE-6 (3)
+
+
The organization employs video surveillance of organization-defined operational areas and retains video recordings for organization-defined time period.
+
+
+
This control enhancement focuses on recording surveillance video for purposes of subsequent review, if circumstances so warrant (e.g., a break-in detected by other means). It does not require monitoring surveillance video although organizations may choose to do so. Note that there may be legal considerations when performing and retaining video surveillance, especially if such surveillance is in a public location.
+
+
+ Determine if the organization:
+
+ PE-6(3)[1]
+ defines operational areas where video surveillance is to be employed;
+
+
+ PE-6(3)[2]
+ defines a time period to retain video recordings of organization-defined operational areas;
+
+
+ PE-6(3)[3]
+
+ PE-6(3)[3][a]
+ employs video surveillance of organization-defined operational areas; and
+
+
+ PE-6(3)[3][b]
+ retains video recordings for the organization-defined time period.
+
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing physical access monitoring
+ video surveillance equipment used to monitor operational areas
+ video recordings of operational areas where video surveillance is employed
+ video surveillance equipment logs or records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access monitoring responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for monitoring physical access
+ automated mechanisms supporting and/or implementing physical access monitoring
+ automated mechanisms supporting and/or implementing video surveillance
+
+
+
+ MONITORING PHYSICAL ACCESS TO INFORMATION SYSTEMS
+ PE-6 (4)
+ HIGH
+
+
The organization monitors physical access to the information system in addition to the physical access monitoring of the facility as organization-defined physical spaces containing one or more components of the information system.
+
+
+
This control enhancement provides additional monitoring for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, communications centers).
+ PS-2
+ PS-3
+
+
+ Determine if the organization:
+
+ PE-6(4)[1]
+ defines physical spaces containing one or more components of the information system; and
+
+
+ PE-6(4)[2]
+ monitors physical access to the information system in addition to the physical access monitoring of the facility at organization-defined physical spaces containing one or more components of the information system.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing physical access monitoring
+ physical access control logs or records
+ physical access control devices
+ access authorizations
+ access credentials
+ list of areas within the facility containing concentrations of information system components or information system components requiring additional physical access monitoring
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access monitoring responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for monitoring physical access to the information system
+ automated mechanisms supporting and/or implementing physical access monitoring for facility areas containing information system components
+
+
+
+ Determine if the organization:
+
+ PE-6(a)
+ monitors physical access to the facility where the information system resides to detect and respond to physical security incidents;
+
+
+ PE-6(b)
+
+ PE-6(b)[1]
+ defines the frequency to review physical access logs;
+
+
+ PE-6(b)[2]
+ defines events or potential indication of events requiring physical access logs to be reviewed;
+
+
+ PE-6(b)[3]
+ reviews physical access logs with the organization-defined frequency and upon occurrence of organization-defined events or potential indications of events; and
+
+
+
+ PE-6(c)
+ coordinates results of reviews and investigations with the organizational incident response capability.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing physical access monitoring
+ security plan
+ physical access logs or records
+ physical access monitoring records
+ physical access log reviews
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with physical access monitoring responsibilities
+ organizational personnel with incident response responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for monitoring physical access
+ automated mechanisms supporting and/or implementing physical access monitoring
+ automated mechanisms supporting and/or implementing reviewing of physical access logs
+
+
+
+ VISITOR CONTROL
+ PE-7
+ PE-2
+ PE-3
+
+
+ Incorporated into PE-2 and PE-3.
+
+
+
+ VISITOR ACCESS RECORDS
+ PE-8
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PE-8a.
+
Maintains visitor access records to the facility where the information system resides for organization-defined time period; and
+
+
+ PE-8b.
+
Reviews visitor access records organization-defined frequency.
+
+
+
+
Visitor access records include, for example, names and organizations of persons visiting, visitor signatures, forms of identification, dates of access, entry and departure times, purposes of visits, and names and organizations of persons visited. Visitor access records are not required for publicly accessible areas.
+
+
+ AUTOMATED RECORDS MAINTENANCE / REVIEW
+ PE-8 (1)
+ HIGH
+
+
The organization employs automated mechanisms to facilitate the maintenance and review of visitor access records.
+
+
+ Determine if the organization employs automated mechanisms to facilitate the maintenance and review of visitor access records.
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing visitor access records
+ automated mechanisms supporting management of visitor access records
+ visitor access control logs or records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with visitor access records responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for maintaining and reviewing visitor access records
+ automated mechanisms supporting and/or implementing maintenance and review of visitor access records
+
+
+
+ PHYSICAL ACCESS RECORDS
+ PE-8 (2)
+ PE-2
+
+
+ Incorporated into PE-2.
+
+
+
+ Determine if the organization:
+
+ PE-8(a)
+
+ PE-8(a)[1]
+ defines the time period to maintain visitor access records to the facility where the information system resides;
+
+
+ PE-8(a)[2]
+ maintains visitor access records to the facility where the information system resides for the organization-defined time period;
+
+
+
+ PE-8(b)
+
+ PE-8(b)[1]
+ defines the frequency to review visitor access records; and
+
+
+ PE-8(b)[2]
+ reviews visitor access records with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing visitor access records
+ security plan
+ visitor access control logs or records
+ visitor access record or log reviews
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with visitor access records responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for maintaining and reviewing visitor access records
+ automated mechanisms supporting and/or implementing maintenance and review of visitor access records
+
+
+
+ POWER EQUIPMENT AND CABLING
+ PE-9
+ P1
+ MODERATE
+ HIGH
+
+
The organization protects power equipment and power cabling for the information system from damage and destruction.
+
+
+
Organizations determine the types of protection necessary for power equipment and cabling employed at different locations both internal and external to organizational facilities and environments of operation. This includes, for example, generators and power cabling outside of buildings, internal cabling and uninterruptable power sources within an office or data center, and power sources for self-contained entities such as vehicles and satellites.
+ PE-4
+
+
+ REDUNDANT CABLING
+ PE-9 (1)
+
+
The organization employs redundant power cabling paths that are physically separated by organization-defined distance.
+
+
+
Physically separate, redundant power cables help to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.
+
+
+ Determine if the organization:
+
+ PE-9(1)[1]
+ defines the distance by which redundant power cabling paths are to be physically separated; and
+
+
+ PE-9(1)[2]
+ employs redundant power cabling paths that are physically separated by organization-defined distance.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing power equipment/cabling protection
+ facilities housing power equipment/cabling
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for protecting power equipment/cabling
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing protection of power equipment/cabling
+
+
+
+ AUTOMATIC VOLTAGE CONTROLS
+ PE-9 (2)
+
+
The organization employs automatic voltage controls for organization-defined critical information system components.
+
+
+ Determine if the organization:
+
+ PE-9(2)[1]
+ defines critical information system components that require automatic voltage controls; and
+
+
+ PE-9(2)[2]
+ employs automatic voltage controls for organization-defined critical information system components.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing voltage control
+ security plan
+ list of critical information system components requiring automatic voltage controls
+ automatic voltage control mechanisms and associated configurations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for environmental protection of information system components
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing automatic voltage controls
+
+
+
+ Determine if the organization protects power equipment and power cabling for the information system from damage and destruction.
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing power equipment/cabling protection
+ facilities housing power equipment/cabling
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for protecting power equipment/cabling
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing protection of power equipment/cabling
+
+
+
+ EMERGENCY SHUTOFF
+ PE-10
+ P1
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PE-10a.
+
Provides the capability of shutting off power to the information system or individual system components in emergency situations;
+
+
+ PE-10b.
+
Places emergency shutoff switches or devices in organization-defined location by information system or system component to facilitate safe and easy access for personnel; and
+
+
+ PE-10c.
+
Protects emergency power shutoff capability from unauthorized activation.
+
+
+
+
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.
+
+
+
+ Determine if the organization:
+
+ PE-10(a)
+ provides the capability of shutting off power to the information system or individual system components in emergency situations;
+
+
+ PE-10(b)
+
+ PE-10(b)[1]
+ defines the location of emergency shutoff switches or devices by information system or system component;
+
+
+ PE-10(b)[2]
+ places emergency shutoff switches or devices in the organization-defined location by information system or system component to facilitate safe and easy access for personnel; and
+
+
+
+ PE-10(c)
+ protects emergency power shutoff capability from unauthorized activation.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing power source emergency shutoff
+ security plan
+ emergency shutoff controls or switches
+ locations housing emergency shutoff switches and devices
+ security safeguards protecting emergency power shutoff capability from unauthorized activation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for emergency power shutoff capability (both implementing and using the capability)
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing emergency power shutoff
+
+
+
+ EMERGENCY POWER
+ PE-11
+ P1
+ MODERATE
+ HIGH
+
+
The organization provides a short-term uninterruptible power supply to facilitate [Selection (one or more): an orderly shutdown of the information system; transition of the information system to long-term alternate power] in the event of a primary power source loss.
The organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source.
+
+
+
This control enhancement can be satisfied, for example, by the use of a secondary commercial power supply or other external power supply. Long-term alternate power supplies for the information system can be either manually or automatically activated.
+
+
+ Determine if the organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source.
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing emergency power
+ alternate power supply
+ alternate power supply documentation
+ alternate power supply test records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for emergency power and/or planning
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing alternate power supply
+ the alternate power supply
+
+
+
+ LONG-TERM ALTERNATE POWER SUPPLY - SELF-CONTAINED
+ PE-11 (2)
+
+
The organization provides a long-term alternate power supply for the information system that is:
+
+ PE-11 (2)(a)
+
Self-contained;
+
+
+ PE-11 (2)(b)
+
Not reliant on external power generation; and
+
+
+ PE-11 (2)(c)
+
Capable of maintaining [Selection: minimally required operational capability; full operational capability] in the event of an extended loss of the primary power source.
+
+
+
+
This control enhancement can be satisfied, for example, by the use of one or more generators with sufficient capacity to meet the needs of the organization. Long-term alternate power supplies for organizational information systems are either manually or automatically activated.
+
+
+ Determine if the organization provides a long-term alternate power supply for the information system that is:
+
+ PE-11(2)(a)
+ self-contained;
+
+
+ PE-11(2)(b)
+ not reliant on external power generation;
+
+
+ PE-11(2)(c)
+ capable of maintaining one of the following in the event of an extended loss of the primary power source:
+
+ PE-11(2)(c)[1]
+ minimally required operational capability; or
+
+
+ PE-11(2)(c)[2]
+ full operational capability.
+
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing emergency power
+ alternate power supply
+ alternate power supply documentation
+ alternate power supply test records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for emergency power and/or planning
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing alternate power supply
+ the alternate power supply
+
+
+
+ Determine if the organization provides a short-term uninterruptible power supply to facilitate one or more of the following in the event of a primary power source loss:
+
+ PE-11[1]
+ an orderly shutdown of the information system; and/or
+
+
+ PE-11[2]
+ transition of the information system to long-term alternate power.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing emergency power
+ uninterruptible power supply
+ uninterruptible power supply documentation
+ uninterruptible power supply test records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for emergency power and/or planning
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing uninterruptible power supply
+ the uninterruptable power supply
+
+
+
+ EMERGENCY LIGHTING
+ PE-12
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.
+
+
+
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.
The organization provides emergency lighting for all areas within the facility supporting essential missions and business functions.
+
+
+ Determine if the organization provides emergency lighting for all areas within the facility supporting essential missions and business functions.
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing emergency lighting
+ emergency lighting documentation
+ emergency lighting test records
+ emergency exits and evacuation routes
+ areas/locations within facility supporting essential missions and business functions
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for emergency lighting and/or planning
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing emergency lighting capability
+
+
+
+ Determine if the organization employs and maintains automatic emergency lighting for the information system that:
+
+ PE-12[1]
+ activates in the event of a power outage or disruption; and
+
+
+ PE-12[2]
+ covers emergency exits and evacuation routes within the facility.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing emergency lighting
+ emergency lighting documentation
+ emergency lighting test records
+ emergency exits and evacuation routes
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for emergency lighting and/or planning
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing emergency lighting capability
+
+
+
+ FIRE PROTECTION
+ PE-13
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.
+
+
+
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Fire suppression and detection devices/systems include, for example, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors.
+
+
+ DETECTION DEVICES / SYSTEMS
+ PE-13 (1)
+ HIGH
+
+
The organization employs fire detection devices/systems for the information system that activate automatically and notify organization-defined personnel or roles and organization-defined emergency responders in the event of a fire.
+
+
+
Organizations can identify specific personnel, roles, and emergency responders in the event that individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.
+
+
+ Determine if the organization:
+
+ PE-13(1)[1]
+ defines personnel or roles to be notified in the event of a fire;
+
+
+ PE-13(1)[2]
+ defines emergency responders to be notified in the event of a fire;
+
+
+ PE-13(1)[3]
+ employs fire detection devices/systems for the information system that, in the event of a fire,:
+
+ PE-13(1)[3][a]
+ activate automatically;
+
+
+ PE-13(1)[3][b]
+ notify organization-defined personnel or roles; and
+
+
+ PE-13(1)[3][c]
+ notify organization-defined emergency responders.
+
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing fire protection
+ facility housing the information system
+ alarm service-level agreements
+ test records of fire suppression and detection devices/systems
+ fire suppression and detection devices/systems documentation
+ alerts/notifications of fire events
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for fire detection and suppression devices/systems
+ organizational personnel with responsibilities for notifying appropriate personnel, roles, and emergency responders of fires
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing fire detection devices/systems
+ activation of fire detection devices/systems (simulated)
+ automated notifications
+
+
+
+ SUPPRESSION DEVICES / SYSTEMS
+ PE-13 (2)
+ HIGH
+
+
The organization employs fire suppression devices/systems for the information system that provide automatic notification of any activation to Assignment: organization-defined personnel or roles] and organization-defined emergency responders.
+
+
+
Organizations can identify specific personnel, roles, and emergency responders in the event that individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.
+
+
+ Determine if the organization:
+
+ PE-13(2)[1]
+ defines personnel or roles to be provided automatic notification of any activation of fire suppression devices/systems for the information system;
+
+
+ PE-13(2)[2]
+ defines emergency responders to be provided automatic notification of any activation of fire suppression devices/systems for the information system;
+
+
+ PE-13(2)[3]
+ employs fire suppression devices/systems for the information system that provide automatic notification of any activation to:
+
+ PE-13(2)[3][a]
+ organization-defined personnel or roles; and
+
+
+ PE-13(2)[3][b]
+ organization-defined emergency responders.
+
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing fire protection
+ fire suppression and detection devices/systems documentation
+ facility housing the information system
+ alarm service-level agreements
+ test records of fire suppression and detection devices/systems
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for fire detection and suppression devices/systems
+ organizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing fire suppression devices/systems
+ activation of fire suppression devices/systems (simulated)
+ automated notifications
+
+
+
+ AUTOMATIC FIRE SUPPRESSION
+ PE-13 (3)
+ MODERATE
+ HIGH
+
+
The organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis.
+
+
+ Determine if the organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis.
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing fire protection
+ fire suppression and detection devices/systems documentation
+ facility housing the information system
+ alarm service-level agreements
+ test records of fire suppression and detection devices/systems
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for fire detection and suppression devices/systems
+ organizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing fire suppression devices/systems
+ activation of fire suppression devices/systems (simulated)
+
+
+
+ INSPECTIONS
+ PE-13 (4)
+
+
The organization ensures that the facility undergoes organization-defined frequency inspections by authorized and qualified inspectors and resolves identified deficiencies within organization-defined time period.
+
+
+ Determine if the organization:
+
+ PE-13(4)[1]
+ defines the frequency of inspections to be conducted on the facility by authorized and qualified inspectors;
+
+
+ PE-13(4)[2]
+ ensures that the facility undergoes inspections by authorized and qualified inspectors with the organization-defined frequency;
+
+
+ PE-13(4)[3]
+ defines a time period to resolve deficiencies identified when the facility undergoes such inspections; and
+
+
+ PE-13(4)[4]
+ resolves identified deficiencies within the organization-defined time period.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing fire protection
+ security plan
+ facility housing the information system
+ inspection plans
+ inspection results
+ inspect reports
+ test records of fire suppression and detection devices/systems
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for planning, approving, and executing fire inspections
+ organizational personnel with information security responsibilities
+
+
+
+ Determine if the organization:
+
+ PE-13[1]
+ employs fire suppression and detection devices/systems for the information system that are supported by an independent energy source; and
+
+
+ PE-13[2]
+ maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing fire protection
+ fire suppression and detection devices/systems
+ fire suppression and detection devices/systems documentation
+ test records of fire suppression and detection devices/systems
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for fire detection and suppression devices/systems
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing fire suppression/detection devices/systems
+
+
+
+ TEMPERATURE AND HUMIDITY CONTROLS
+ PE-14
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PE-14a.
+
Maintains temperature and humidity levels within the facility where the information system resides at organization-defined acceptable levels; and
+
+
+ PE-14b.
+
Monitors temperature and humidity levels organization-defined frequency.
+
+
+
+
This control applies primarily to facilities containing concentrations of information system resources, for example, data centers, server rooms, and mainframe computer rooms.
+ AT-3
+
+
+ AUTOMATIC CONTROLS
+ PE-14 (1)
+
+
The organization employs automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the information system.
+
+
+ Determine if the organization:
+
+ PE-14(1)[1]
+ employs automatic temperature controls in the facility to prevent fluctuations potentially harmful to the information system; and
+
+
+ PE-14(1)[2]
+ employs automatic humidity controls in the facility to prevent fluctuations potentially harmful to the information system.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing temperature and humidity controls
+ facility housing the information system
+ automated mechanisms for temperature and humidity
+ temperature and humidity controls
+ temperature and humidity documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for information system environmental controls
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing temperature and humidity levels
+
+
+
+ MONITORING WITH ALARMS / NOTIFICATIONS
+ PE-14 (2)
+
+
The organization employs temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment.
+
+
+ Determine if the organization:
+
+ PE-14(2)[1]
+ employs temperature monitoring that provides an alarm of changes potentially harmful to personnel or equipment; and/or
+
+
+ PE-14(2)[2]
+ employs temperature monitoring that provides notification of changes potentially harmful to personnel or equipment;
+
+
+ PE-14(2)[3]
+ employs humidity monitoring that provides an alarm of changes potentially harmful to personnel or equipment; and/or
+
+
+ PE-14(2)[4]
+ employs humidity monitoring that provides notification of changes potentially harmful to personnel or equipment.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing temperature and humidity monitoring
+ facility housing the information system
+ logs or records of temperature and humidity monitoring
+ records of changes to temperature and humidity levels that generate alarms or notifications
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for information system environmental controls
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing temperature and humidity monitoring
+
+
+
+ Determine if the organization:
+
+ PE-14(a)
+
+ PE-14(a)[1]
+ defines acceptable temperature levels to be maintained within the facility where the information system resides;
+
+
+ PE-14(a)[2]
+ defines acceptable humidity levels to be maintained within the facility where the information system resides;
+
+
+ PE-14(a)[3]
+ maintains temperature levels within the facility where the information system resides at the organization-defined levels;
+
+
+ PE-14(a)[4]
+ maintains humidity levels within the facility where the information system resides at the organization-defined levels;
+
+
+
+ PE-14(b)
+
+ PE-14(b)[1]
+ defines the frequency to monitor temperature levels;
+
+
+ PE-14(b)[2]
+ defines the frequency to monitor humidity levels;
+
+
+ PE-14(b)[3]
+ monitors temperature levels with the organization-defined frequency; and
+
+
+ PE-14(b)[4]
+ monitors humidity levels with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing temperature and humidity control
+ security plan
+ temperature and humidity controls
+ facility housing the information system
+ temperature and humidity controls documentation
+ temperature and humidity records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for information system environmental controls
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing maintenance and monitoring of temperature and humidity levels
+
+
+
+ WATER DAMAGE PROTECTION
+ PE-15
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.
+
+
+
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern, without affecting entire organizations.
+ AT-3
+
+
+ AUTOMATION SUPPORT
+ PE-15 (1)
+ HIGH
+
+
The organization employs automated mechanisms to detect the presence of water in the vicinity of the information system and alerts organization-defined personnel or roles.
+
+
+
Automated mechanisms can include, for example, water detection sensors, alarms, and notification systems.
+
+
+ Determine if the organization:
+
+ PE-15(1)[1]
+ defines personnel or roles to be alerted when the presence of water is detected in the vicinity of the information system;
+
+
+ PE-15(1)[2]
+ employs automated mechanisms to detect the presence of water in the vicinity of the information system; and
+
+
+ PE-15(1)[3]
+ alerts organization-defined personnel or roles when the presence of water is detected in the vicinity of the information system.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing water damage protection
+ facility housing the information system
+ automated mechanisms for water shutoff valves
+ automated mechanisms detecting presence of water in vicinity of information system
+ alerts/notifications of water detection in information system facility
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for information system environmental controls
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing water detection capability and alerts for the information system
+
+
+
+ Determine if the organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are:
+
+ PE-15[1]
+ accessible;
+
+
+ PE-15[2]
+ working properly; and
+
+
+ PE-15[3]
+ known to key personnel.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing water damage protection
+ facility housing the information system
+ master shutoff valves
+ list of key personnel with knowledge of location and activation procedures for master shutoff valves for the plumbing system
+ master shutoff valve documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for information system environmental controls
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Master water-shutoff valves
+ organizational process for activating master water-shutoff
+
+
+
+ DELIVERY AND REMOVAL
+ PE-16
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization authorizes, monitors, and controls organization-defined types of information system components entering and exiting the facility and maintains records of those items.
+
+
+
Effectively enforcing authorizations for entry and exit of information system components may require restricting access to delivery areas and possibly isolating the areas from the information system and media libraries.
+ CM-3
+ MA-2
+ MA-3
+ MP-5
+ SA-12
+
+
+ Determine if the organization:
+
+ PE-16[1]
+ defines types of information system components to be authorized, monitored, and controlled as such components are entering and exiting the facility;
+
+
+ PE-16[2]
+ authorizes organization-defined information system components entering the facility;
+
+
+ PE-16[3]
+ monitors organization-defined information system components entering the facility;
+
+
+ PE-16[4]
+ controls organization-defined information system components entering the facility;
+
+
+ PE-16[5]
+ authorizes organization-defined information system components exiting the facility;
+
+
+ PE-16[6]
+ monitors organization-defined information system components exiting the facility;
+
+
+ PE-16[7]
+ controls organization-defined information system components exiting the facility;
+
+
+ PE-16[8]
+ maintains records of information system components entering the facility; and
+
+
+ PE-16[9]
+ maintains records of information system components exiting the facility.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing delivery and removal of information system components from the facility
+ security plan
+ facility housing the information system
+ records of items entering and exiting the facility
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for controlling information system components entering and exiting the facility
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational process for authorizing, monitoring, and controlling information system-related items entering and exiting the facility
+ automated mechanisms supporting and/or implementing authorizing, monitoring, and controlling information system-related items entering and exiting the facility
+
+
+
+ ALTERNATE WORK SITE
+ PE-17
+ P2
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PE-17a.
+
Employs organization-defined security controls at alternate work sites;
+
+
+ PE-17b.
+
Assesses as feasible, the effectiveness of security controls at alternate work sites; and
+
+
+ PE-17c.
+
Provides a means for employees to communicate with information security personnel in case of security incidents or problems.
+
+
+
+
Alternate work sites may include, for example, government facilities or private residences of employees. While commonly distinct from alternative processing sites, alternate work sites may provide readily available alternate locations as part of contingency operations. Organizations may define different sets of security controls for specific alternate work sites or types of sites depending on the work-related activities conducted at those sites. This control supports the contingency planning activities of organizations and the federal telework initiative.
+ AC-17
+ CP-7
+
+
+ Determine if the organization:
+
+ PE-17(a)
+
+ PE-17(a)[1]
+ defines security controls to be employed at alternate work sites;
+
+
+ PE-17(a)[2]
+ employs organization-defined security controls at alternate work sites;
+
+
+
+ PE-17(b)
+ assesses, as feasible, the effectiveness of security controls at alternate work sites; and
+
+
+ PE-17(c)
+ provides a means for employees to communicate with information security personnel in case of security incidents or problems.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing alternate work sites for organizational personnel
+ security plan
+ list of security controls required for alternate work sites
+ assessments of security controls at alternate work sites
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel approving use of alternate work sites
+ organizational personnel using alternate work sites
+ organizational personnel assessing controls at alternate work sites
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for security at alternate work sites
+ automated mechanisms supporting alternate work sites
+ security controls employed at alternate work sites
+ means of communications between personnel at alternate work sites and security personnel
+
+
+
+ NIST Special Publication 800-46
+
+
+
+
+ LOCATION OF INFORMATION SYSTEM COMPONENTS
+ PE-18
+ P3
+ HIGH
+
+
The organization positions information system components within the facility to minimize potential damage from organization-defined physical and environmental hazards and to minimize the opportunity for unauthorized access.
+
+
+
Physical and environmental hazards include, for example, flooding, fire, tornados, earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. In addition, organizations consider the location of physical entry points where unauthorized individuals, while not being granted access, might nonetheless be in close proximity to information systems and therefore increase the potential for unauthorized access to organizational communications (e.g., through the use of wireless sniffers or microphones).
The organization plans the location or site of the facility where the information system resides with regard to physical and environmental hazards and for existing facilities, considers the physical and environmental hazards in its risk mitigation strategy.
+
+
+ PM-8
+
+
+ Determine if the organization:
+
+ PE-18(1)[1]
+ plans the location or site of the facility where the information system resides with regard to physical hazards;
+
+
+ PE-18(1)[2]
+ plans the location or site of the facility where the information system resides with regard to environmental hazards;
+
+
+ PE-18(1)[3]
+ for existing facilities, considers the physical hazards in its risk mitigation strategy; and
+
+
+ PE-18(1)[4]
+ for existing facilities, considers the environmental hazards in its risk mitigation strategy.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ physical site planning documents
+ organizational assessment of risk, contingency plan
+ risk mitigation strategy documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with site selection responsibilities for the facility housing the information system
+ organizational personnel with risk mitigation responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for site planning
+
+
+
+ Determine if the organization:
+
+ PE-18[1]
+ defines physical hazards that could result in potential damage to information system components within the facility;
+
+
+ PE-18[2]
+ defines environmental hazards that could result in potential damage to information system components within the facility;
+
+
+ PE-18[3]
+ positions information system components within the facility to minimize potential damage from organization-defined physical and environmental hazards; and
+
+
+ PE-18[4]
+ positions information system components within the facility to minimize the opportunity for unauthorized access.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing positioning of information system components
+ documentation providing the location and position of information system components within the facility
+ locations housing information system components within the facility
+ list of physical and environmental hazards with potential to damage information system components within the facility
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for positioning information system components
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for positioning information system components
+
+
+
+ INFORMATION LEAKAGE
+ PE-19
+ P0
+
+
The organization protects the information system from information leakage due to electromagnetic signals emanations.
+
+
+
Information leakage is the intentional or unintentional release of information to an untrusted environment from electromagnetic signals emanations. Security categories or classifications of information systems (with respect to confidentiality) and organizational security policies guide the selection of security controls employed to protect systems against information leakage due to electromagnetic signals emanations.
+
+
+ NATIONAL EMISSIONS / TEMPEST POLICIES AND PROCEDURES
+ PE-19 (1)
+
+
The organization ensures that information system components, associated data communications, and networks are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information.
+
+
+ Determine if the organization ensures that the following are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information:
+
+ PE-19(1)[1]
+ information system components;
+
+
+ PE-19(1)[2]
+ associated data communications; and
+
+
+ PE-19(1)[3]
+ networks.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing information leakage that comply with national emissions and TEMPEST policies and procedures
+ information system component design documentation
+ information system configuration settings and associated documentation other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for information system environmental controls
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Information system components for compliance with national emissions and TEMPEST policies and procedures
+
+
+
+ Determine if the organization protects the information system from information leakage due to electromagnetic signals emanations.
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing information leakage due to electromagnetic signals emanations
+ mechanisms protecting the information system against electronic signals emanation
+ facility housing the information system
+ records from electromagnetic signals emanation tests
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibilities for information system environmental controls
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing protection from information leakage due to electromagnetic signals emanations
+
+
+
+ FIPS Publication 199
+
+
+
+
+ ASSET MONITORING AND TRACKING
+ PE-20
+ P0
+
+
The organization:
+
+ PE-20a.
+
Employs organization-defined asset location technologies to track and monitor the location and movement of organization-defined assets within organization-defined controlled areas; and
+
+
+ PE-20b.
+
Ensures that asset location technologies are employed in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.
+
+
+
+
Asset location technologies can help organizations ensure that critical assets such as vehicles or essential information system components remain in authorized locations. Organizations consult with the Office of the General Counsel and the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) regarding the deployment and use of asset location technologies to address potential privacy concerns.
+ CM-8
+
+
+ Determine if the organization:
+
+ PE-20(a)
+
+ PE-20(a)[1]
+ defines assets whose location and movement are to be tracked and monitored;
+
+
+ PE-20(a)[2]
+ defines asset location technologies to be employed to track and monitor the location and movement of organization-defined assets;
+
+
+ PE-20(a)[3]
+ defines controlled areas within which to track and monitor organization-defined assets;
+
+
+ PE-20(a)[4]
+ employs organization-defined asset location technologies to track and monitor the location and movement of organization-defined assets within organization-defined controlled areas; and
+
+
+
+ PE-20(b)
+ ensures that asset location technologies are employed in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards and guidance.
+
+
+
+ EXAMINE
+ Physical and environmental protection policy
+ procedures addressing asset monitoring and tracking
+ asset location technologies and associated configuration documentation
+ list of organizational assets requiring tracking and monitoring
+ asset monitoring and tracking records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with asset monitoring and tracking responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for tracking and monitoring assets
+ automated mechanisms supporting and/or implementing tracking and monitoring of assets
+
+
+
+
+ PLANNING
+
+ SECURITY PLANNING POLICY AND PROCEDURES
+ PL-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PL-1a.
+
Develops, documents, and disseminates to organization-defined personnel or roles:
+
+ PL-1a.1.
+
A security planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ PL-1a.2.
+
Procedures to facilitate the implementation of the security planning policy and associated security planning controls; and
+
+
+
+ PL-1b.
+
Reviews and updates the current:
+
+ PL-1b.1.
+
Security planning policy organization-defined frequency; and
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PL family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+ Determine if the organization:
+
+ PL-1(a)(1)
+
+ PL-1(a)(1)[1]
+ develops and documents a planning policy that addresses:
+
+ PL-1(a)(1)[1][a]
+ purpose;
+
+
+ PL-1(a)(1)[1][b]
+ scope;
+
+
+ PL-1(a)(1)[1][c]
+ roles;
+
+
+ PL-1(a)(1)[1][d]
+ responsibilities;
+
+
+ PL-1(a)(1)[1][e]
+ management commitment;
+
+
+ PL-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ PL-1(a)(1)[1][g]
+ compliance;
+
+
+
+ PL-1(a)(1)[2]
+ defines personnel or roles to whom the planning policy is to be disseminated;
+
+
+ PL-1(a)(1)[3]
+ disseminates the planning policy to organization-defined personnel or roles;
+
+
+
+ PL-1(a)(2)
+
+ PL-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the planning policy and associated planning controls;
+
+
+ PL-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ PL-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ PL-1(b)(1)
+
+ PL-1(b)(1)[1]
+ defines the frequency to review and update the current planning policy;
+
+
+ PL-1(b)(1)[2]
+ reviews and updates the current planning policy with the organization-defined frequency;
+
+
+
+ PL-1(b)(2)
+
+ PL-1(b)(2)[1]
+ defines the frequency to review and update the current planning procedures; and
+
+
+ PL-1(b)(2)[2]
+ reviews and updates the current planning procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Planning policy and procedures
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with planning responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-18
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ SYSTEM SECURITY PLAN
+ PL-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PL-2a.
+
Develops a security plan for the information system that:
+
+ PL-2a.1.
+
Is consistent with the organization�s enterprise architecture;
+
+
+ PL-2a.2.
+
Explicitly defines the authorization boundary for the system;
+
+
+ PL-2a.3.
+
Describes the operational context of the information system in terms of missions and business processes;
+
+
+ PL-2a.4.
+
Provides the security categorization of the information system including supporting rationale;
+
+
+ PL-2a.5.
+
Describes the operational environment for the information system and relationships with or connections to other information systems;
+
+
+ PL-2a.6.
+
Provides an overview of the security requirements for the system;
+
+
+ PL-2a.7.
+
Identifies any relevant overlays, if applicable;
+
+
+ PL-2a.8.
+
Describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring decisions; and
+
+
+ PL-2a.9.
+
Is reviewed and approved by the authorizing official or designated representative prior to plan implementation;
+
+
+
+ PL-2b.
+
Distributes copies of the security plan and communicates subsequent changes to the plan to organization-defined personnel or roles;
+
+
+ PL-2c.
+
Reviews the security plan for the information system organization-defined frequency;
+
+
+ PL-2d.
+
Updates the plan to address changes to the information system/environment of operation or problems identified during plan implementation or security control assessments; and
+
+
+ PL-2e.
+
Protects the security plan from unauthorized disclosure and modification.
+
+
+
+
Security plans relate security requirements to a set of security controls and control enhancements. Security plans also describe, at a high level, how the security controls and control enhancements meet those security requirements, but do not provide detailed, technical descriptions of the specific design or implementation of the controls/enhancements. Security plans contain sufficient information (including the specification of parameter values for assignment and selection statements either explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented as intended. Organizations can also apply tailoring guidance to the security control baselines in Appendix D and CNSS Instruction 1253 to develop overlays for community-wide use or to address specialized requirements, technologies, or missions/environments of operation (e.g., DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and Access Management, space operations). Appendix I provides guidance on developing overlays.
+Security plans need not be single documents; the plans can be a collection of various documents including documents that already exist. Effective security plans make extensive use of references to policies, procedures, and additional documents (e.g., design and implementation specifications) where more detailed information can be obtained. This reduces the documentation requirements associated with security programs and maintains security-related information in other established management/operational areas related to enterprise architecture, system development life cycle, systems engineering, and acquisition. For example, security plans do not contain detailed contingency plan or incident response plan information but instead provide explicitly or by reference, sufficient information to define what needs to be accomplished by those plans.
+
+
+
+ PLAN / COORDINATE WITH OTHER ORGANIZATIONAL ENTITIES
+ PL-2 (3)
+ MODERATE
+ HIGH
+
+
The organization plans and coordinates security-related activities affecting the information system with organization-defined individuals or groups before conducting such activities in order to reduce the impact on other organizational entities.
+
+
+
Security-related activities include, for example, security assessments, audits, hardware and software maintenance, patch management, and contingency plan testing. Advance planning and coordination includes emergency and nonemergency (i.e., planned or nonurgent unplanned) situations. The process defined by organizations to plan and coordinate security-related activities can be included in security plans for information systems or other documents, as appropriate.
+ CP-4
+ IR-4
+
+
+ Determine if the organization:
+
+ PL-2(3)[1]
+ defines individuals or groups with whom security-related activities affecting the information system are to be planned and coordinated before conducting such activities in order to reduce the impact on other organizational entities; and
+
+
+ PL-2(3)[2]
+ plans and coordinates security-related activities affecting the information system with organization-defined individuals or groups before conducting such activities in order to reduce the impact on other organizational entities.
+
+
+
+ EXAMINE
+ Security planning policy
+ access control policy
+ contingency planning policy
+ procedures addressing security-related activity planning for the information system
+ security plan for the information system
+ contingency plan for the information system
+ information system design documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security planning and plan implementation responsibilities
+ organizational individuals or groups with whom security-related activities are to be planned and coordinated
+ organizational personnel with information security responsibilities
+
+
+
+ Determine if the organization:
+
+ PL-2(a)
+ develops a security plan for the information system that:
+
+ PL-2(a)(1)
+ is consistent with the organization’s enterprise architecture;
+
+
+ PL-2(a)(2)
+ explicitly defines the authorization boundary for the system;
+
+
+ PL-2(a)(3)
+ describes the operational context of the information system in terms of missions and business processes;
+
+
+ PL-2(a)(4)
+ provides the security categorization of the information system including supporting rationale;
+
+
+ PL-2(a)(5)
+ describes the operational environment for the information system and relationships with or connections to other information systems;
+
+
+ PL-2(a)(6)
+ provides an overview of the security requirements for the system;
+
+
+ PL-2(a)(7)
+ identifies any relevant overlays, if applicable;
+
+
+ PL-2(a)(8)
+ describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring and supplemental decisions;
+
+
+ PL-2(a)(9)
+ is reviewed and approved by the authorizing official or designated representative prior to plan implementation;
+
+
+
+ PL-2(b)
+
+ PL-2(b)[1]
+ defines personnel or roles to whom copies of the security plan are to be distributed and subsequent changes to the plan are to be communicated;
+
+
+ PL-2(b)[2]
+ distributes copies of the security plan and communicates subsequent changes to the plan to organization-defined personnel or roles;
+
+
+
+ PL-2(c)
+
+ PL-2(c)[1]
+ defines the frequency to review the security plan for the information system;
+
+
+ PL-2(c)[2]
+ reviews the security plan for the information system with the organization-defined frequency;
+
+
+
+ PL-2(d)
+ updates the plan to address:
+
+ PL-2(d)[1]
+ changes to the information system/environment of operation;
+
+
+ PL-2(d)[2]
+ problems identified during plan implementation;
+
+
+ PL-2(d)[3]
+ problems identified during security control assessments;
+
+
+
+ PL-2(e)
+ protects the security plan from unauthorized:
+
+ PL-2(e)[1]
+ disclosure; and
+
+
+ PL-2(e)[2]
+ modification.
+
+
+
+
+ EXAMINE
+ Security planning policy
+ procedures addressing security plan development and implementation
+ procedures addressing security plan reviews and updates
+ enterprise architecture documentation
+ security plan for the information system
+ records of security plan reviews and updates
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security planning and plan implementation responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for security plan development/review/update/approval
+ automated mechanisms supporting the information system security plan
+
+
+
+ NIST Special Publication 800-18
+
+
+
+
+ SYSTEM SECURITY PLAN UPDATE
+ PL-3
+ PL-2
+
+
+ Incorporated into PL-2.
+
+
+
+ RULES OF BEHAVIOR
+ PL-4
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PL-4a.
+
Establishes and makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;
+
+
+ PL-4b.
+
Receives a signed acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system;
+
+
+ PL-4c.
+
Reviews and updates the rules of behavior organization-defined frequency; and
+
+
+ PL-4d.
+
Requires individuals who have signed a previous version of the rules of behavior to read and re-sign when the rules of behavior are revised/updated.
+
+
+
+
This control enhancement applies to organizational users. Organizations consider rules of behavior based on individual user roles and responsibilities, differentiating, for example, between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users including, for example, individuals who simply receive data/information from federal information systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for both organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4 b. (the signed acknowledgment portion of this control) may be satisfied by the security awareness training and role-based security training programs conducted by organizations if such training includes rules of behavior. Organizations can use electronic signatures for acknowledging rules of behavior.
The organization includes in the rules of behavior, explicit restrictions on the use of social media/networking sites and posting organizational information on public websites.
+
+
+
This control enhancement addresses rules of behavior related to the use of social media/networking sites: (i) when organizational personnel are using such sites for official duties or in the conduct of official business; (ii) when organizational information is involved in social media/networking transactions; and (iii) when personnel are accessing social media/networking sites from organizational information systems. Organizations also address specific rules that prevent unauthorized entities from obtaining and/or inferring non-public organizational information (e.g., system account information, personally identifiable information) from social media/networking sites.
+
+
+ Determine if the organization includes the following in the rules of behavior:
+
+ PL-4(1)[1]
+ explicit restrictions on the use of social media/networking sites; and
+
+
+ PL-4(1)[2]
+ posting organizational information on public websites.
+
+
+
+ EXAMINE
+ Security planning policy
+ procedures addressing rules of behavior for information system users
+ rules of behavior
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior
+ organizational personnel who are authorized users of the information system and have signed rules of behavior
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for establishing rules of behavior
+ automated mechanisms supporting and/or implementing the establishment of rules of behavior
+
+
+
+ Determine if the organization:
+
+ PL-4(a)
+
+ PL-4(a)[1]
+ establishes, for individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;
+
+
+ PL-4(a)[2]
+ makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;
+
+
+
+ PL-4(b)
+ receives a signed acknowledgement from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system;
+
+
+ PL-4(c)
+
+ PL-4(c)[1]
+ defines the frequency to review and update the rules of behavior;
+
+
+ PL-4(c)[2]
+ reviews and updates the rules of behavior with the organization-defined frequency; and
+
+
+
+ PL-4(d)
+ requires individuals who have signed a previous version of the rules of behavior to read and resign when the rules of behavior are revised/updated.
+
+
+
+ EXAMINE
+ Security planning policy
+ procedures addressing rules of behavior for information system users
+ rules of behavior
+ signed acknowledgements
+ records for rules of behavior reviews and updates
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior
+ organizational personnel who are authorized users of the information system and have signed and resigned rules of behavior
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for establishing, reviewing, disseminating, and updating rules of behavior
+ automated mechanisms supporting and/or implementing the establishment, review, dissemination, and update of rules of behavior
+
+
+
+ NIST Special Publication 800-18
+
+
+
+
+ PRIVACY IMPACT ASSESSMENT
+ PL-5
+ Appendix J
+ AR-2
+
+
Develops a security Concept of Operations (CONOPS) for the information system containing at a minimum, how the organization intends to operate the system from the perspective of information security; and
+
+
+ PL-7b.
+
Reviews and updates the CONOPS organization-defined frequency.
+
+
+
+
The security CONOPS may be included in the security plan for the information system or in other system development life cycle-related documents, as appropriate. Changes to the CONOPS are reflected in ongoing updates to the security plan, the information security architecture, and other appropriate organizational documents (e.g., security specifications for procurements/acquisitions, system development life cycle documents, and systems/security engineering documents).
+ PL-2
+
+
+ Determine if the organization:
+
+ PL-7(a)
+ develops a security Concept of Operations (CONOPS) for the information system containing at a minimum, how the organization intends to operate the system from the perspective of information security;
+
+
+ PL-7(b)
+
+ PL-7(b)[1]
+ defines the frequency to review and update the security CONOPS; and
+
+
+ PL-7(b)[2]
+ reviews and updates the security CONOPS with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Security planning policy
+ procedures addressing security CONOPS development
+ procedures addressing security CONOPS reviews and updates
+ security CONOPS for the information system
+ security plan for the information system
+ records of security CONOPS reviews and updates
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security planning and plan implementation responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for developing, reviewing, and updating the security CONOPS
+ automated mechanisms supporting and/or implementing the development, review, and update of the security CONOPS
+
+
+
+ INFORMATION SECURITY ARCHITECTURE
+ PL-8
+ P1
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PL-8a.
+
Develops an information security architecture for the information system that:
+
+ PL-8a.1.
+
Describes the overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information;
+
+
+ PL-8a.2.
+
Describes how the information security architecture is integrated into and supports the enterprise architecture; and
+
+
+ PL-8a.3.
+
Describes any information security assumptions about, and dependencies on, external services;
+
+
+
+ PL-8b.
+
Reviews and updates the information security architecture organization-defined frequency to reflect updates in the enterprise architecture; and
+
+
+ PL-8c.
+
Ensures that planned information security architecture changes are reflected in the security plan, the security Concept of Operations (CONOPS), and organizational procurements/acquisitions.
+
+
+
+
This control addresses actions taken by organizations in the design and development of information systems. The information security architecture at the individual information system level is consistent with and complements the more global, organization-wide information security architecture described in PM-7 that is integral to and developed as part of the enterprise architecture. The information security architecture includes an architectural description, the placement/allocation of security functionality (including security controls), security-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. In addition, the security architecture can include other important security-related information, for example, user roles and access privileges assigned to each role, unique security requirements, the types of information processed, stored, and transmitted by the information system, restoration priorities of information and information system services, and any other specific protection needs.
+In today�s modern architecture, it is becoming less common for organizations to control all information resources. There are going to be key dependencies on external information services and service providers. Describing such dependencies in the information security architecture is important to developing a comprehensive mission/business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational information systems is critical to implementing and maintaining an effective information security architecture. The development of the information security architecture is coordinated with the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to support privacy requirements are identified and effectively implemented. PL-8 is primarily directed at organizations (i.e., internally focused) to help ensure that organizations develop an information security architecture for the information system, and that the security architecture is integrated with or tightly coupled to the enterprise architecture through the organization-wide information security architecture. In contrast, SA-17 is primarily directed at external information technology product/system developers and integrators (although SA-17 could be used internally within organizations for in-house system development). SA-17, which is complementary to PL-8, is selected when organizations outsource the development of information systems or information system components to external entities, and there is a need to demonstrate/show consistency with the organization�s enterprise architecture and information security architecture.
The organization designs its security architecture using a defense-in-depth approach that:
+
+ PL-8 (1)(a)
+
Allocates organization-defined security safeguards to organization-defined locations and architectural layers; and
+
+
+ PL-8 (1)(b)
+
Ensures that the allocated security safeguards operate in a coordinated and mutually reinforcing manner.
+
+
+
+
Organizations strategically allocate security safeguards (procedural, technical, or both) in the security architecture so that adversaries have to overcome multiple safeguards to achieve their objective. Requiring adversaries to defeat multiple mechanisms makes it more difficult to successfully attack critical information resources (i.e., increases adversary work factor) and also increases the likelihood of detection. The coordination of allocated safeguards is essential to ensure that an attack that involves one safeguard does not create adverse unintended consequences (e.g., lockout, cascading alarms) by interfering with another safeguard. Placement of security safeguards is a key activity. Greater asset criticality or information value merits additional layering. Thus, an organization may choose to place anti-virus software at organizational boundary layers, email/web servers, notebook computers, and workstations to maximize the number of related safeguards adversaries must penetrate before compromising the information and information systems.
+ SC-29
+ SC-36
+
+
+ Determine if the organization:
+
+ PL-8(1)(a)
+
+ PL-8(1)(a)[1]
+ defines security safeguards to be allocated to locations and architectural layers within the design of its security architecture;
+
+
+ PL-8(1)(a)[2]
+ defines locations and architectural layers of its security architecture in which organization-defined security safeguards are to be allocated;
+
+
+ PL-8(1)(a)[3]
+ designs its security architecture using a defense-in-depth approach that allocates organization-defined security safeguards to organization-defined locations and architectural layers; and
+
+
+
+ PL-8(1)(b)
+ designs its security architecture using a defense-in-depth approach that ensures the allocated organization-defined security safeguards operate in a coordinated and mutually reinforcing manner.
+
+
+
+ EXAMINE
+ Security planning policy
+ procedures addressing information security architecture development
+ enterprise architecture documentation
+ information security architecture documentation
+ security plan for the information system
+ security CONOPS for the information system
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security planning and plan implementation responsibilities
+ organizational personnel with information security architecture development responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for designing the information security architecture
+ automated mechanisms supporting and/or implementing the design of the information security architecture
+
+
+
+ SUPPLIER DIVERSITY
+ PL-8 (2)
+
+
The organization requires that organization-defined security safeguards allocated to organization-defined locations and architectural layers are obtained from different suppliers.
+
+
+
Different information technology products have different strengths and weaknesses. Providing a broad spectrum of products complements the individual offerings. For example, vendors offering malicious code protection typically update their products at different times, often developing solutions for known viruses, Trojans, or worms according to their priorities and development schedules. By having different products at different locations (e.g., server, boundary, desktop) there is an increased likelihood that at least one will detect the malicious code.
+ SA-12
+
+
+ Determine if the organization:
+
+ PL-8(2)[1]
+ defines security safeguards to be allocated to locations and architectural layers within the design of its security architecture;
+
+
+ PL-8(2)[2]
+ defines locations and architectural layers of its security architecture in which organization-defined security safeguards are to be allocated; and
+
+
+ PL-8(2)[3]
+ requires that organization-defined security safeguards allocated to organization-defined locations and architectural layers are obtained from different suppliers.
+
+
+
+ EXAMINE
+ Security planning policy
+ procedures addressing information security architecture development
+ enterprise architecture documentation
+ information security architecture documentation
+ security plan for the information system
+ security CONOPS for the information system
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security planning and plan implementation responsibilities
+ organizational personnel with information security architecture development responsibilities
+ organizational personnel with acquisition responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for obtaining information security safeguards from different suppliers
+
+
+
+ Determine if the organization:
+
+ PL-8(a)
+ develops an information security architecture for the information system that describes:
+
+ PL-8(a)(1)
+ the overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information;
+
+
+ PL-8(a)(2)
+ how the information security architecture is integrated into and supports the enterprise architecture;
+
+
+ PL-8(a)(3)
+ any information security assumptions about, and dependencies on, external services;
+
+
+
+ PL-8(b)
+
+ PL-8(b)[1]
+ defines the frequency to review and update the information security architecture;
+
+
+ PL-8(b)[2]
+ reviews and updates the information security architecture with the organization-defined frequency to reflect updates in the enterprise architecture;
+
+
+
+ PL-8(c)
+ ensures that planned information security architecture changes are reflected in:
+
+ PL-8(c)[1]
+ the security plan;
+
+
+ PL-8(c)[2]
+ the security Concept of Operations (CONOPS); and
+
+
+ PL-8(c)[3]
+ the organizational procurements/acquisitions.
+
+
+
+
+ EXAMINE
+ Security planning policy
+ procedures addressing information security architecture development
+ procedures addressing information security architecture reviews and updates
+ enterprise architecture documentation
+ information security architecture documentation
+ security plan for the information system
+ security CONOPS for the information system
+ records of information security architecture reviews and updates
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security planning and plan implementation responsibilities
+ organizational personnel with information security architecture development responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for developing, reviewing, and updating the information security architecture
+ automated mechanisms supporting and/or implementing the development, review, and update of the information security architecture
+
+
+
+ CENTRAL MANAGEMENT
+ PL-9
+ P0
+
+
The organization centrally manages organization-defined security controls and related processes.
+
+
+
Central management refers to the organization-wide management and implementation of selected security controls and related processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed security controls and processes. As central management of security controls is generally associated with common controls, such management promotes and facilitates standardization of security control implementations and management and judicious use of organizational resources. Centrally-managed security controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate as part of organizational continuous monitoring. As part of the security control selection process, organizations determine which controls may be suitable for central management based on organizational resources and capabilities. Organizations consider that it may not always be possible to centrally manage every aspect of a security control. In such cases, the security control is treated as a hybrid control with the control managed and implemented either centrally or at the information system level. Controls and control enhancements that are candidates for full or partial central management include, but are not limited to: AC-2 (1) (2) (3) (4); AC-17 (1) (2) (3) (9); AC-18 (1) (3) (4) (5); AC-19 (4); AC-22; AC-23; AT-2 (1) (2); AT-3 (1) (2) (3); AT-4; AU-6 (1) (3) (5) (6) (9); AU-7 (1) (2); AU-11, AU-13, AU-16, CA-2 (1) (2) (3); CA-3 (1) (2) (3); CA-7 (1); CA-9; CM-2 (1) (2); CM-3 (1) (4); CM-4; CM-6 (1); CM-7 (4) (5); CM-8 (all); CM-9 (1); CM-10; CM-11; CP-7 (all); CP-8 (all); SC-43; SI-2; SI-3; SI-7; and SI-8.
+
+
+ Determine if the organization:
+
+ PL-9[1]
+ defines security controls and related processes to be centrally managed; and
+
+
+ PL-9[2]
+ centrally manages organization-defined security controls and related processes.
+
+
+
+ EXAMINE
+ Security planning policy
+ procedures addressing security plan development and implementation
+ security plan for the information system
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security planning and plan implementation responsibilities
+ organizational personnel with responsibilities for planning/implementing central management of security controls and related processes
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for central management of security controls and related processes
+ automated mechanisms supporting and/or implementing central management of security controls and related processes
+
+
+
+ NIST Special Publication 800-37
+
+
+
+
+
+ PERSONNEL SECURITY
+
+ PERSONNEL SECURITY POLICY AND PROCEDURES
+ PS-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PS-1a.
+
Develops, documents, and disseminates to organization-defined personnel or roles:
+
+ PS-1a.1.
+
A personnel security policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ PS-1a.2.
+
Procedures to facilitate the implementation of the personnel security policy and associated personnel security controls; and
+
+
+
+ PS-1b.
+
Reviews and updates the current:
+
+ PS-1b.1.
+
Personnel security policy organization-defined frequency; and
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PS family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+ Determine if the organization:
+
+ PS-1(a)(1)
+
+ PS-1(a)(1)[1]
+ develops and documents an personnel security policy that addresses:
+
+ PS-1(a)(1)[1][a]
+ purpose;
+
+
+ PS-1(a)(1)[1][b]
+ scope;
+
+
+ PS-1(a)(1)[1][c]
+ roles;
+
+
+ PS-1(a)(1)[1][d]
+ responsibilities;
+
+
+ PS-1(a)(1)[1][e]
+ management commitment;
+
+
+ PS-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ PS-1(a)(1)[1][g]
+ compliance;
+
+
+
+ PS-1(a)(1)[2]
+ defines personnel or roles to whom the personnel security policy is to be disseminated;
+
+
+ PS-1(a)(1)[3]
+ disseminates the personnel security policy to organization-defined personnel or roles;
+
+
+
+ PS-1(a)(2)
+
+ PS-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the personnel security policy and associated personnel security controls;
+
+
+ PS-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ PS-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ PS-1(b)(1)
+
+ PS-1(b)(1)[1]
+ defines the frequency to review and update the current personnel security policy;
+
+
+ PS-1(b)(1)[2]
+ reviews and updates the current personnel security policy with the organization-defined frequency;
+
+
+
+ PS-1(b)(2)
+
+ PS-1(b)(2)[1]
+ defines the frequency to review and update the current personnel security procedures; and
+
+
+ PS-1(b)(2)[2]
+ reviews and updates the current personnel security procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Personnel security policy and procedures
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with access control responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ POSITION RISK DESIGNATION
+ PS-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PS-2a.
+
Assigns a risk designation to all organizational positions;
+
+
+ PS-2b.
+
Establishes screening criteria for individuals filling those positions; and
+
+
+ PS-2c.
+
Reviews and updates position risk designations organization-defined frequency.
+
+
+
+
Position risk designations reflect Office of Personnel Management policy and guidance. Risk designations can guide and inform the types of authorizations individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements (e.g., training, security clearances).
+ AT-3
+ PL-2
+ PS-3
+
+
+ Determine if the organization:
+
+ PS-2(a)
+ assigns a risk designation to all organizational positions;
+
+
+ PS-2(b)
+ establishes screening criteria for individuals filling those positions;
+
+
+ PS-2(c)
+
+ PS-2(c)[1]
+ defines the frequency to review and update position risk designations; and
+
+
+ PS-2(c)[2]
+ reviews and updates position risk designations with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ Personnel security policy
+ procedures addressing position categorization
+ appropriate codes of federal regulations
+ list of risk designations for organizational positions
+ security plan
+ records of position risk designation reviews and updates
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with personnel security responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for assigning, reviewing, and updating position risk designations
+ organizational processes for establishing screening criteria
+
+
+
+ 5 C.F.R. 731.106
+
+
+
+
+ PERSONNEL SCREENING
+ PS-3
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PS-3a.
+
Screens individuals prior to authorizing access to the information system; and
+
+
+ PS-3b.
+
Rescreens individuals according to organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening.
+
+
+
+
Personnel screening and rescreening activities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, guidance, and specific criteria established for the risk designations of assigned positions. Organizations may define different rescreening conditions and frequencies for personnel accessing information systems based on types of information processed, stored, or transmitted by the systems.
The organization ensures that individuals accessing an information system processing, storing, or transmitting classified information are cleared and indoctrinated to the highest classification level of the information to which they have access on the system.
+
+
+ AC-3
+ AC-4
+
+
+ Determine if the organization:
+
+ PS-3(1)[1]
+ ensures that individuals accessing an information system processing, storing, or transmitting classified information are cleared to the highest classification level of the information to which they have access on the system; and
+
+
+ PS-3(1)[2]
+ ensures that individuals accessing an information system processing, storing, or transmitting classified information are indoctrinated to the highest classification level of the information to which they have access on the system.
+
+
+
+ EXAMINE
+ Personnel security policy
+ procedures addressing personnel screening
+ records of screened personnel
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with personnel security responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for clearing and indoctrinating personnel for access to classified information
+
+
+
+ FORMAL INDOCTRINATION
+ PS-3 (2)
+
+
The organization ensures that individuals accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, are formally indoctrinated for all of the relevant types of information to which they have access on the system.
+
+
+
Types of classified information requiring formal indoctrination include, for example, Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information (SCI).
+ AC-3
+ AC-4
+
+
+ Determine if the organization ensures that individuals accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, are formally indoctrinated for all of the relevant types of information to which they have access on the system.
+
+
+ EXAMINE
+ Personnel security policy
+ procedures addressing personnel screening
+ records of screened personnel
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with personnel security responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for formal indoctrination for all relevant types of information to which personnel have access
+
+
+
+ INFORMATION WITH SPECIAL PROTECTION MEASURES
+ PS-3 (3)
+
+
The organization ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection:
+
+ PS-3 (3)(a)
+
Have valid access authorizations that are demonstrated by assigned official government duties; and
Organizational information requiring special protection includes, for example, Controlled Unclassified Information (CUI) and Sources and Methods Information (SAMI). Personnel security criteria include, for example, position sensitivity background screening requirements.
+
+
+ Determine if the organization:
+
+ PS-3(3)(a)
+ ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection have valid access authorizations that are demonstrated by assigned official government duties;
+
+
+ PS-3(3)(b)
+
+ PS-3(3)(b)[1]
+ defines additional personnel screening criteria to be satisfied for individuals accessing an information system processing, storing, or transmitting information requiring special protection; and
+
+
+ PS-3(3)(b)[2]
+ ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection satisfy organization-defined additional personnel screening criteria.
+
+
+
+
+ EXAMINE
+ Personnel security policy
+ access control policy, procedures addressing personnel screening
+ records of screened personnel
+ screening criteria
+ records of access authorizations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with personnel security responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for ensuring valid access authorizations for information requiring special protection
+ organizational process for additional personnel screening for information requiring special protection
+
+
+
+ Determine if the organization:
+
+ PS-3(a)
+ screens individuals prior to authorizing access to the information system;
+
+
+ PS-3(b)
+
+ PS-3(b)[1]
+ defines conditions requiring re-screening;
+
+
+ PS-3(b)[2]
+ defines the frequency of re-screening where it is so indicated; and
+
+
+ PS-3(b)[3]
+ re-screens individuals in accordance with organization-defined conditions requiring re-screening and, where re-screening is so indicated, with the organization-defined frequency of such re-screening.
+
+
+
+
+ EXAMINE
+ Personnel security policy
+ procedures addressing personnel screening
+ records of screened personnel
+ security plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with personnel security responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for personnel screening
+
+
+
+ 5 C.F.R. 731.106
+
+
+ FIPS Publication 199
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-60
+
+
+ NIST Special Publication 800-73
+
+
+ NIST Special Publication 800-76
+
+
+ NIST Special Publication 800-78
+
+
+ ICD 704
+
+
+
+
+ PERSONNEL TERMINATION
+ PS-4
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization, upon termination of individual employment:
+
+ PS-4a.
+
Disables information system access within organization-defined time period;
+
+
+ PS-4b.
+
Terminates/revokes any authenticators/credentials associated with the individual;
+
+
+ PS-4c.
+
Conducts exit interviews that include a discussion of organization-defined information security topics;
+
+
+ PS-4d.
+
Retrieves all security-related organizational information system-related property;
+
+
+ PS-4e.
+
Retains access to organizational information and information systems formerly controlled by terminated individual; and
+
+
+ PS-4f.
+
Notifies organization-defined personnel or roles within organization-defined time period.
+
+
+
+
Information system-related property includes, for example, hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for information system-related property. Security topics of interest at exit interviews can include, for example, reminding terminated individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not be possible for some terminated individuals, for example, in cases related to job abandonment, illnesses, and nonavailability of supervisors. Exit interviews are important for individuals with security clearances. Timely execution of termination actions is essential for individuals terminated for cause. In certain situations, organizations consider disabling the information system accounts of individuals that are being terminated prior to the individuals being notified.
Notifies terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information; and
+
+
+ PS-4 (1)(b)
+
Requires terminated individuals to sign an acknowledgment of post-employment requirements as part of the organizational termination process.
+
+
+
+
Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.
+
+
+ Determine if the organization:
+
+ PS-4(1)(a)
+ notifies terminated individuals of applicable, legally binding, post-employment requirements for the protection of organizational information; and
+
+
+ PS-4(1)(b)
+ requires terminated individuals to sign an acknowledgement of post-employment requirements as part of the organizational termination process.
+
+
+
+ EXAMINE
+ Personnel security policy
+ procedures addressing personnel termination
+ signed post-employment acknowledgement forms
+ list of applicable, legally binding post-employment requirements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with personnel security responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for post-employment requirements
+
+
+
+ AUTOMATED NOTIFICATION
+ PS-4 (2)
+ HIGH
+
+
The organization employs automated mechanisms to notify organization-defined personnel or roles upon termination of an individual.
+
+
+
In organizations with a large number of employees, not all personnel who need to know about termination actions receive the appropriate notifications�or, if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to specific organizational personnel or roles (e.g., management personnel, supervisors, personnel security officers, information security officers, systems administrators, or information technology administrators) when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including, for example, telephonically, via electronic mail, via text message, or via websites.
+
+
+ Determine if the organization:
+
+ PS-4(2)[1]
+ defines personnel or roles to be notified upon termination of an individual; and
+
+
+ PS-4(2)[2]
+ employs automated mechanisms to notify organization-defined personnel or roles upon termination of an individual.
+
+
+
+ EXAMINE
+ Personnel security policy
+ procedures addressing personnel termination
+ information system design documentation
+ information system configuration settings and associated documentation
+ records of personnel termination actions
+ automated notifications of employee terminations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with personnel security responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for personnel termination
+ automated mechanisms supporting and/or implementing personnel termination notifications
+
+
+
+ Determine if the organization, upon termination of individual employment,:
+
+ PS-4(a)
+
+ PS-4(a)[1]
+ defines a time period within which to disable information system access;
+
+
+ PS-4(a)[2]
+ disables information system access within the organization-defined time period;
+
+
+
+ PS-4(b)
+ terminates/revokes any authenticators/credentials associated with the individual;
+
+
+ PS-4(c)
+
+ PS-4(c)[1]
+ defines information security topics to be discussed when conducting exit interviews;
+
+
+ PS-4(c)[2]
+ conducts exit interviews that include a discussion of organization-defined information security topics;
+
+
+
+ PS-4(d)
+ retrieves all security-related organizational information system-related property;
+
+
+ PS-4(e)
+ retains access to organizational information and information systems formerly controlled by the terminated individual;
+
+
+ PS-4(f)
+
+ PS-4(f)[1]
+ defines personnel or roles to be notified of the termination;
+
+
+ PS-4(f)[2]
+ defines the time period within which to notify organization-defined personnel or roles; and
+
+
+ PS-4(f)[3]
+ notifies organization-defined personnel or roles within the organization-defined time period.
+
+
+
+
+ EXAMINE
+ Personnel security policy
+ procedures addressing personnel termination
+ records of personnel termination actions
+ list of information system accounts
+ records of terminated or revoked authenticators/credentials
+ records of exit interviews
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with personnel security responsibilities
+ organizational personnel with account management responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for personnel termination
+ automated mechanisms supporting and/or implementing personnel termination notifications
+ automated mechanisms for disabling information system access/revoking authenticators
+
+
+
+ PERSONNEL TRANSFER
+ PS-5
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PS-5a.
+
Reviews and confirms ongoing operational need for current logical and physical access authorizations to information systems/facilities when individuals are reassigned or transferred to other positions within the organization;
+
+
+ PS-5b.
+
Initiates organization-defined transfer or reassignment actions within organization-defined time period following the formal transfer action;
+
+
+ PS-5c.
+
Modifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and
+
+
+ PS-5d.
+
Notifies organization-defined personnel or roles within organization-defined time period.
+
+
+
+
This control applies when reassignments or transfers of individuals are permanent or of such extended durations as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include, for example: (i) returning old and issuing new keys, identification cards, and building passes; (ii) closing information system accounts and establishing new accounts; (iii) changing information system access authorizations (i.e., privileges); and (iv) providing for access to official records to which individuals had access at previous work locations and in previous information system accounts.
+ AC-2
+ IA-4
+ PE-2
+ PS-4
+
+
+ Determine if the organization:
+
+ PS-5(a)
+ when individuals are reassigned or transferred to other positions within the organization, reviews and confirms ongoing operational need for current:
+
+ PS-5(a)[1]
+ logical access authorizations to information systems;
+
+
+ PS-5(a)[2]
+ physical access authorizations to information systems and facilities;
+
+
+
+ PS-5(b)
+
+ PS-5(b)[1]
+ defines transfer or reassignment actions to be initiated following transfer or reassignment;
+
+
+ PS-5(b)[2]
+ defines the time period within which transfer or reassignment actions must occur following transfer or reassignment;
+
+
+ PS-5(b)[3]
+ initiates organization-defined transfer or reassignment actions within the organization-defined time period following transfer or reassignment;
+
+
+
+ PS-5(c)
+ modifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer;
+
+
+ PS-5(d)
+
+ PS-5(d)[1]
+ defines personnel or roles to be notified when individuals are reassigned or transferred to other positions within the organization;
+
+
+ PS-5(d)[2]
+ defines the time period within which to notify organization-defined personnel or roles when individuals are reassigned or transferred to other positions within the organization; and
+
+
+ PS-5(d)[3]
+ notifies organization-defined personnel or roles within the organization-defined time period when individuals are reassigned or transferred to other positions within the organization.
+
+
+
+
+ EXAMINE
+ Personnel security policy
+ procedures addressing personnel transfer
+ security plan
+ records of personnel transfer actions
+ list of information system and facility access authorizations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with personnel security responsibilities organizational personnel with account management responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for personnel transfer
+ automated mechanisms supporting and/or implementing personnel transfer notifications
+ automated mechanisms for disabling information system access/revoking authenticators
+
+
+
+ ACCESS AGREEMENTS
+ PS-6
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PS-6a.
+
Develops and documents access agreements for organizational information systems;
+
+
+ PS-6b.
+
Reviews and updates the access agreements organization-defined frequency; and
+
+
+ PS-6c.
+
Ensures that individuals requiring access to organizational information and information systems:
+
+ PS-6c.1.
+
Sign appropriate access agreements prior to being granted access; and
+
+
+ PS-6c.2.
+
Re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or organization-defined frequency.
+
+
+
+
+
Access agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational information systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.
+
+
+
+ CLASSIFIED INFORMATION REQUIRING SPECIAL PROTECTION
+ PS-6 (2)
+
+
The organization ensures that access to classified information requiring special protection is granted only to individuals who:
+
+ PS-6 (2)(a)
+
Have a valid access authorization that is demonstrated by assigned official government duties;
+
+
+ PS-6 (2)(b)
+
Satisfy associated personnel security criteria; and
+
+
+ PS-6 (2)(c)
+
Have read, understood, and signed a nondisclosure agreement.
+
+
+
+
Classified information requiring special protection includes, for example, collateral information, Special Access Program (SAP) information, and Sensitive Compartmented Information (SCI). Personnel security criteria reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.
+
+
+ Determine if the organization ensures that access to classified information requiring special protection is granted only to individuals who:
+
+ PS-6(2)(a)
+ have a valid access authorization that is demonstrated by assigned official government duties;
+
+
+ PS-6(2)(b)
+ satisfy associated personnel security criteria; and
+
+
+ PS-6(2)(c)
+ have read, understood, and signed a nondisclosure agreement.
+
+
+
+ EXAMINE
+ Personnel security policy
+ procedures addressing access agreements for organizational information and information systems
+ access agreements
+ access authorizations
+ personnel security criteria
+ signed nondisclosure agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with personnel security responsibilities
+ organizational personnel who have signed nondisclosure agreements
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for access to classified information requiring special protection
+
+
+
+ POST-EMPLOYMENT REQUIREMENTS
+ PS-6 (3)
+
+
The organization:
+
+ PS-6 (3)(a)
+
Notifies individuals of applicable, legally binding post-employment requirements for protection of organizational information; and
+
+
+ PS-6 (3)(b)
+
Requires individuals to sign an acknowledgment of these requirements, if applicable, as part of granting initial access to covered information.
+
+
+
+
Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.
+
+
+ Determine if the organization:
+
+ PS-6(3)(a)
+ notifies individuals of applicable, legally binding post-employment requirements for protection of organizational information; and
+
+
+ PS-6(3)(b)
+ requires individuals to sign an acknowledgement of these requirements, if applicable, as part of granting initial access to covered information.
+
+
+
+ EXAMINE
+ Personnel security policy
+ procedures addressing access agreements for organizational information and information systems
+ signed post-employment acknowledgement forms
+ access agreements
+ list of applicable, legally binding post-employment requirements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with personnel security responsibilities
+ organizational personnel who have signed access agreements that include post-employment requirements
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for post-employment requirements
+ automated mechanisms supporting notifications and individual acknowledgements of post-employment requirements
+
+
+
+ Determine if the organization:
+
+ PS-6(a)
+ develops and documents access agreements for organizational information systems;
+
+
+ PS-6(b)
+
+ PS-6(b)[1]
+ defines the frequency to review and update the access agreements;
+
+
+ PS-6(b)[2]
+ reviews and updates the access agreements with the organization-defined frequency;
+
+
+
+ PS-6(c)
+
+ PS-6(c)(1)
+ ensures that individuals requiring access to organizational information and information systems sign appropriate access agreements prior to being granted access;
+
+
+ PS-6(c)(2)
+
+ PS-6(c)(2)[1]
+ defines the frequency to re-sign access agreements to maintain access to organizational information systems when access agreements have been updated;
+
+
+ PS-6(c)(2)[2]
+ ensures that individuals requiring access to organizational information and information systems re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or with the organization-defined frequency.
+
+
+
+
+
+ EXAMINE
+ Personnel security policy
+ procedures addressing access agreements for organizational information and information systems
+ security plan
+ access agreements
+ records of access agreement reviews and updates
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with personnel security responsibilities
+ organizational personnel who have signed/resigned access agreements
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for access agreements
+ automated mechanisms supporting access agreements
+
+
+
+ THIRD-PARTY PERSONNEL SECURITY
+ PS-7
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PS-7a.
+
Establishes personnel security requirements including security roles and responsibilities for third-party providers;
+
+
+ PS-7b.
+
Requires third-party providers to comply with personnel security policies and procedures established by the organization;
+
+
+ PS-7c.
+
Documents personnel security requirements;
+
+
+ PS-7d.
+
Requires third-party providers to notify organization-defined personnel or roles of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges within organization-defined time period; and
+
+
+ PS-7e.
+
Monitors provider compliance.
+
+
+
+
Third-party providers include, for example, service bureaus, contractors, and other organizations providing information system development, information technology services, outsourced applications, and network and security management. Organizations explicitly include personnel security requirements in acquisition-related documents. Third-party providers may have personnel working at organizational facilities with credentials, badges, or information system privileges issued by organizations. Notifications of third-party personnel changes ensure appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include, for example, functions, roles, and nature of credentials/privileges associated with individuals transferred or terminated.
+ PS-2
+ PS-3
+ PS-4
+ PS-5
+ PS-6
+ SA-9
+ SA-21
+
+
+ Determine if the organization:
+
+ PS-7(a)
+ establishes personnel security requirements, including security roles and responsibilities, for third-party providers;
+
+
+ PS-7(b)
+ requires third-party providers to comply with personnel security policies and procedures established by the organization;
+
+
+ PS-7(c)
+ documents personnel security requirements;
+
+
+ PS-7(d)
+
+ PS-7(d)[1]
+ defines personnel or roles to be notified of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges;
+
+
+ PS-7(d)[2]
+ defines the time period within which third-party providers are required to notify organization-defined personnel or roles of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges;
+
+
+ PS-7(d)[3]
+ requires third-party providers to notify organization-defined personnel or roles within the organization-defined time period of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges; and
+
+
+
+ PS-7(e)
+ monitors provider compliance.
+
+
+
+ EXAMINE
+ Personnel security policy
+ procedures addressing third-party personnel security
+ list of personnel security requirements
+ acquisition documents
+ service-level agreements
+ compliance monitoring process
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with personnel security responsibilities
+ third-party providers
+ system/network administrators
+ organizational personnel with account management responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for managing and monitoring third-party personnel security
+ automated mechanisms supporting and/or implementing monitoring of provider compliance
+
+
+
+ NIST Special Publication 800-35
+
+
+
+
+ PERSONNEL SANCTIONS
+ PS-8
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PS-8a.
+
Employs a formal sanctions process for individuals failing to comply with established information security policies and procedures; and
+
+
+ PS-8b.
+
Notifies organization-defined personnel or roles within organization-defined time period when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.
+
+
+
+
Organizational sanctions processes reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Sanctions processes are described in access agreements and can be included as part of general personnel policies and procedures for organizations. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions.
+ PL-4
+ PS-6
+
+
+ Determine if the organization:
+
+ PS-8(a)
+ employs a formal sanctions process for individuals failing to comply with established information security policies and procedures;
+
+
+ PS-8(b)
+
+ PS-8(b)[1]
+ defines personnel or roles to be notified when a formal employee sanctions process is initiated;
+
+
+ PS-8(b)[2]
+ defines the time period within which organization-defined personnel or roles must be notified when a formal employee sanctions process is initiated; and
+
+
+ PS-8(b)[3]
+ notifies organization-defined personnel or roles within the organization-defined time period when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.
+
+
+
+
+ EXAMINE
+ Personnel security policy
+ procedures addressing personnel sanctions
+ rules of behavior
+ records of formal sanctions
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with personnel security responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for managing personnel sanctions
+ automated mechanisms supporting and/or implementing notifications
+
+
+
+
+ RISK ASSESSMENT
+
+ RISK ASSESSMENT POLICY AND PROCEDURES
+ RA-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ RA-1a.
+
Develops, documents, and disseminates to organization-defined personnel or roles:
+
+ RA-1a.1.
+
A risk assessment policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ RA-1a.2.
+
Procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls; and
+
+
+
+ RA-1b.
+
Reviews and updates the current:
+
+ RA-1b.1.
+
Risk assessment policy organization-defined frequency; and
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the RA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+ Determine if the organization:
+
+ RA-1(a)(1)
+
+ RA-1(a)(1)[1]
+ develops and documents a risk assessment policy that addresses:
+
+ RA-1(a)(1)[1][a]
+ purpose;
+
+
+ RA-1(a)(1)[1][b]
+ scope;
+
+
+ RA-1(a)(1)[1][c]
+ roles;
+
+
+ RA-1(a)(1)[1][d]
+ responsibilities;
+
+
+ RA-1(a)(1)[1][e]
+ management commitment;
+
+
+ RA-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ RA-1(a)(1)[1][g]
+ compliance;
+
+
+
+ RA-1(a)(1)[2]
+ defines personnel or roles to whom the risk assessment policy is to be disseminated;
+
+
+ RA-1(a)(1)[3]
+ disseminates the risk assessment policy to organization-defined personnel or roles;
+
+
+
+ RA-1(a)(2)
+
+ RA-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls;
+
+
+ RA-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ RA-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ RA-1(b)(1)
+
+ RA-1(b)(1)[1]
+ defines the frequency to review and update the current risk assessment policy;
+
+
+ RA-1(b)(1)[2]
+ reviews and updates the current risk assessment policy with the organization-defined frequency;
+
+
+
+ RA-1(b)(2)
+
+ RA-1(b)(2)[1]
+ defines the frequency to review and update the current risk assessment procedures; and
+
+
+ RA-1(b)(2)[2]
+ reviews and updates the current risk assessment procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ risk assessment policy and procedures
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with risk assessment responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-30
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ SECURITY CATEGORIZATION
+ RA-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ RA-2a.
+
Categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+
+
+ RA-2b.
+
Documents the security categorization results (including supporting rationale) in the security plan for the information system; and
+
+
+ RA-2c.
+
Ensures that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.
+
+
+
+
Clearly defined authorization boundaries are a prerequisite for effective security categorization decisions. Security categories describe the potential adverse impacts to organizational operations, organizational assets, and individuals if organizational information and information systems are comprised through a loss of confidentiality, integrity, or availability. Organizations conduct the security categorization process as an organization-wide activity with the involvement of chief information officers, senior information security officers, information system owners, mission/business owners, and information owners/stewards. Organizations also consider the potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential national-level adverse impacts. Security categorization processes carried out by organizations facilitate the development of inventories of information assets, and along with CM-8, mappings to specific information system components where information is processed, stored, or transmitted.
+ CM-8
+ MP-4
+ RA-3
+ SC-7
+
+
+ Determine if the organization:
+
+ RA-2(a)
+ categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+
+
+ RA-2(b)
+ documents the security categorization results (including supporting rationale) in the security plan for the information system; and
+
+
+ RA-2(c)
+ ensures the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.
+
+
+
+ EXAMINE
+ Risk assessment policy
+ security planning policy and procedures
+ procedures addressing security categorization of organizational information and information systems
+ security plan
+ security categorization documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security categorization and risk assessment responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for security categorization
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-30
+
+
+ NIST Special Publication 800-39
+
+
+ NIST Special Publication 800-60
+
+
+
+
+ RISK ASSESSMENT
+ RA-3
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ RA-3a.
+
Conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of the information system and the information it processes, stores, or transmits;
Disseminates risk assessment results to organization-defined personnel or roles; and
+
+
+ RA-3e.
+
Updates the risk assessment organization-defined frequency or whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security state of the system.
+
+
+
+
Clearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments take into account threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of information systems. Risk assessments also take into account risk from external parties (e.g., service providers, contractors operating information systems on behalf of the organization, individuals accessing organizational information systems, outsourcing entities). In accordance with OMB policy and related E-authentication initiatives, authentication of public users accessing federal information systems may also be required to protect nonpublic or privacy-related information. As such, organizational assessments of risk also address public access to federal information systems.
+Risk assessments (either formal or informal) can be conducted at all three tiers in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any phase in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including categorization, security control selection, security control implementation, security control assessment, information system authorization, and security control monitoring. RA-3 is noteworthy in that the control must be partially implemented prior to the implementation of other controls in order to complete the first two steps in the Risk Management Framework. Risk assessments can play an important role in security control selection processes, particularly during the application of tailoring guidance, which includes security control supplementation.
+ RA-2
+ PM-9
+
+
+ Determine if the organization:
+
+ RA-3(a)
+ conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of:
+
+ RA-3(a)[1]
+ the information system;
+
+
+ RA-3(a)[2]
+ the information the system processes, stores, or transmits;
+
+
+
+ RA-3(b)
+
+ RA-3(b)[1]
+ defines a document in which risk assessment results are to be documented (if not documented in the security plan or risk assessment report);
+
+
+ RA-3(b)[2]
+ documents risk assessment results in one of the following:
+
+ RA-3(b)[2][a]
+ the security plan;
+
+
+ RA-3(b)[2][b]
+ the risk assessment report; or
+
+
+ RA-3(b)[2][c]
+ the organization-defined document;
+
+
+
+
+ RA-3(c)
+
+ RA-3(c)[1]
+ defines the frequency to review risk assessment results;
+
+
+ RA-3(c)[2]
+ reviews risk assessment results with the organization-defined frequency;
+
+
+
+ RA-3(d)
+
+ RA-3(d)[1]
+ defines personnel or roles to whom risk assessment results are to be disseminated;
+
+
+ RA-3(d)[2]
+ disseminates risk assessment results to organization-defined personnel or roles;
+
+
+
+ RA-3(e)
+
+ RA-3(e)[1]
+ defines the frequency to update the risk assessment;
+
+
+ RA-3(e)[2]
+ updates the risk assessment:
+
+ RA-3(e)[2][a]
+ with the organization-defined frequency;
+
+
+ RA-3(e)[2][b]
+ whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities); and
+
+
+ RA-3(e)[2][c]
+ whenever there are other conditions that may impact the security state of the system.
+
+
+
+
+
+ EXAMINE
+ Risk assessment policy
+ security planning policy and procedures
+ procedures addressing organizational assessments of risk
+ security plan
+ risk assessment
+ risk assessment results
+ risk assessment reviews
+ risk assessment updates
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with risk assessment responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for risk assessment
+ automated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating, and updating the risk assessment
+
+
+
+ OMB Memorandum 04-04
+
+
+ NIST Special Publication 800-30
+
+
+ NIST Special Publication 800-39
+
+
+ http://idmanagement.gov
+
+
+
+
+ RISK ASSESSMENT UPDATE
+ RA-4
+ RA-3
+
+
Scans for vulnerabilities in the information system and hosted applications organization-defined frequency and/or randomly in accordance with organization-defined process and when new vulnerabilities potentially affecting the system/applications are identified and reported;
+
+
+ RA-5b.
+
Employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:
+
+ RA-5b.1.
+
Enumerating platforms, software flaws, and improper configurations;
+
+
+ RA-5b.2.
+
Formatting checklists and test procedures; and
+
+
+ RA-5b.3.
+
Measuring vulnerability impact;
+
+
+
+ RA-5c.
+
Analyzes vulnerability scan reports and results from security control assessments;
+
+
+ RA-5d.
+
Remediates legitimate vulnerabilities organization-defined response times in accordance with an organizational assessment of risk; and
+
+
+ RA-5e.
+
Shares information obtained from the vulnerability scanning process and security control assessments with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).
+
+
+
+
Security categorization of information systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for all information system components, ensuring that potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. Vulnerability analyses for custom software applications may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Vulnerability scanning includes, for example: (i) scanning for patch levels; (ii) scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and (iii) scanning for improperly configured or incorrectly operating information flow control mechanisms. Organizations consider using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to determine/test for the presence of vulnerabilities. Suggested sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In addition, security control assessments such as red team exercises provide other sources of potential vulnerabilities for which to scan. Organizations also consider using tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).
The organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned.
+
+
+
The vulnerabilities to be scanned need to be readily updated as new vulnerabilities are discovered, announced, and scanning methods developed. This updating process helps to ensure that potential vulnerabilities in the information system are identified and addressed as quickly as possible.
+ SI-3
+ SI-7
+
+
+ Determine if the organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned.
+
+
+ EXAMINE
+ Procedures addressing vulnerability scanning
+ security plan
+ security assessment report
+ vulnerability scanning tools and associated configuration documentation
+ vulnerability scanning results
+ patch and vulnerability management records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with vulnerability scanning responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for vulnerability scanning
+ automated mechanisms/tools supporting and/or implementing vulnerability scanning
+
+
+
+ UPDATE BY FREQUENCY / PRIOR TO NEW SCAN / WHEN IDENTIFIED
+ RA-5 (2)
+ MODERATE
+ HIGH
+
+
The organization updates the information system vulnerabilities scanned [Selection (one or more): organization-defined frequency; prior to a new scan; when new vulnerabilities are identified and reported].
+
+
+ SI-3
+ SI-5
+
+
+ Determine if the organization:
+
+ RA-5(2)[1]
+ defines the frequency to update the information system vulnerabilities scanned;
+
+
+ RA-5(2)[2]
+ updates the information system vulnerabilities scanned one or more of the following:
+
+ RA-5(2)[2][a]
+ with the organization-defined frequency;
+
+
+ RA-5(2)[2][b]
+ prior to a new scan; and/or
+
+
+ RA-5(2)[2][c]
+ when new vulnerabilities are identified and reported.
+
+
+
+
+ EXAMINE
+ Procedures addressing vulnerability scanning
+ security plan
+ security assessment report
+ vulnerability scanning tools and associated configuration documentation
+ vulnerability scanning results
+ patch and vulnerability management records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with vulnerability scanning responsibilities
+ organizational personnel with vulnerability scan analysis responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for vulnerability scanning
+ automated mechanisms/tools supporting and/or implementing vulnerability scanning
+
+
+
+ BREADTH / DEPTH OF COVERAGE
+ RA-5 (3)
+
+
The organization employs vulnerability scanning procedures that can identify the breadth and depth of coverage (i.e., information system components scanned and vulnerabilities checked).
+
+
+ Determine if the organization employs vulnerability scanning procedures that can identify:
+
+ RA-5(3)[1]
+ the breadth of coverage (i.e., information system components scanned); and
+
+
+ RA-5(3)[2]
+ the depth of coverage (i.e., vulnerabilities checked).
+
+
+
+ EXAMINE
+ Procedures addressing vulnerability scanning
+ security plan
+ security assessment report
+ vulnerability scanning tools and associated configuration documentation
+ vulnerability scanning results
+ patch and vulnerability management records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with vulnerability scanning responsibilities
+ organizational personnel with vulnerability scan analysis responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for vulnerability scanning
+ automated mechanisms/tools supporting and/or implementing vulnerability scanning
+
+
+
+ DISCOVERABLE INFORMATION
+ RA-5 (4)
+ HIGH
+
+
The organization determines what information about the information system is discoverable by adversaries and subsequently takes organization-defined corrective actions.
+
+
+
Discoverable information includes information that adversaries could obtain without directly compromising or breaching the information system, for example, by collecting information the system is exposing or by conducting extensive searches of the web. Corrective actions can include, for example, notifying appropriate organizational personnel, removing designated information, or changing the information system to make designated information less relevant or attractive to adversaries.
+ AU-13
+
+
+ Determine if the organization:
+
+ RA-5(4)[1]
+ defines corrective actions to be taken if information about the information system is discoverable by adversaries;
+
+
+ RA-5(4)[2]
+ determines what information about the information system is discoverable by adversaries; and
+
+
+ RA-5(4)[3]
+ subsequently takes organization-defined corrective actions.
+
+
+
+ EXAMINE
+ Procedures addressing vulnerability scanning
+ security assessment report
+ penetration test results
+ vulnerability scanning results
+ risk assessment report
+ records of corrective actions taken
+ incident response records
+ audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with vulnerability scanning and/or penetration testing responsibilities
+ organizational personnel with vulnerability scan analysis responsibilities
+ organizational personnel responsible for risk response
+ organizational personnel responsible for incident management and response
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for vulnerability scanning
+ organizational processes for risk response
+ organizational processes for incident management and response
+ automated mechanisms/tools supporting and/or implementing vulnerability scanning
+ automated mechanisms supporting and/or implementing risk response
+ automated mechanisms supporting and/or implementing incident management and response
+
+
+
+ PRIVILEGED ACCESS
+ RA-5 (5)
+ MODERATE
+ HIGH
+
+
The information system implements privileged access authorization to organization-identified information system components for selected organization-defined vulnerability scanning activities.
+
+
+
In certain situations, the nature of the vulnerability scanning may be more intrusive or the information system component that is the subject of the scanning may contain highly sensitive information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and also protects the sensitive nature of such scanning.
+
+
+ Determine if:
+
+ RA-5(5)[1]
+ the organization defines information system components to which privileged access is authorized for selected vulnerability scanning activities;
+
+
+ RA-5(5)[2]
+ the organization defines vulnerability scanning activities selected for privileged access authorization to organization-defined information system components; and
+
+
+ RA-5(5)[3]
+ the information system implements privileged access authorization to organization-defined information system components for selected organization-defined vulnerability scanning activities.
+
+
+
+ EXAMINE
+ Risk assessment policy
+ procedures addressing vulnerability scanning
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of information system components for vulnerability scanning
+ personnel access authorization list
+ authorization credentials
+ access authorization records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with vulnerability scanning responsibilities
+ system/network administrators
+ organizational personnel responsible for access control to the information system
+ organizational personnel responsible for configuration management of the information system
+ system developers
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for vulnerability scanning
+ organizational processes for access control
+ automated mechanisms supporting and/or implementing access control
+ automated mechanisms/tools supporting and/or implementing vulnerability scanning
+
+
+
+ AUTOMATED TREND ANALYSES
+ RA-5 (6)
+
+
The organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.
+
+
+ IR-4
+ IR-5
+ SI-4
+
+
+ Determine if the organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.
+
+
+ EXAMINE
+ Risk assessment policy
+ procedures addressing vulnerability scanning
+ information system design documentation
+ vulnerability scanning tools and techniques documentation
+ vulnerability scanning results
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with vulnerability scanning responsibilities
+ organizational personnel with vulnerability scan analysis responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for vulnerability scanning
+ automated mechanisms/tools supporting and/or implementing vulnerability scanning
+ automated mechanisms supporting and/or implementing trend analysis of vulnerability scan results
+
+
+
+ AUTOMATED DETECTION AND NOTIFICATION OF UNAUTHORIZED COMPONENTS
+ RA-5 (7)
+ CM-8
+
+
+ Incorporated into CM-8.
+
+
+
+ REVIEW HISTORIC AUDIT LOGS
+ RA-5 (8)
+
+
The organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.
+
+
+ AU-6
+
+
+ Determine if the organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.
+
+
+ EXAMINE
+ Risk assessment policy
+ procedures addressing vulnerability scanning
+ audit logs
+ records of audit log reviews
+ vulnerability scanning results
+ patch and vulnerability management records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with vulnerability scanning responsibilities
+ organizational personnel with vulnerability scan analysis responsibilities
+
+ organizational personnel with audit record review responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for vulnerability scanning
+ organizational process for audit record review and response
+ automated mechanisms/tools supporting and/or implementing vulnerability scanning
+ automated mechanisms supporting and/or implementing audit record review
+
+
+
+ PENETRATION TESTING AND ANALYSES
+ RA-5 (9)
+ CA-8
+
+
The organization correlates the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors.
+
+
+ Determine if the organization correlates the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors.
+
+
+ EXAMINE
+ Risk assessment policy
+ procedures addressing vulnerability scanning
+ risk assessment
+ security plan
+ vulnerability scanning tools and techniques documentation
+ vulnerability scanning results
+ vulnerability management records
+ audit records
+ event/vulnerability correlation logs
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with vulnerability scanning responsibilities
+ organizational personnel with vulnerability scan analysis responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for vulnerability scanning
+ automated mechanisms/tools supporting and/or implementing vulnerability scanning
+ automated mechanisms implementing correlation of vulnerability scan results
+
+
+
+ Determine if the organization:
+
+ RA-5(a)
+
+ RA-5(a)[1]
+
+ RA-5(a)[1][a]
+ defines the frequency for conducting vulnerability scans on the information system and hosted applications; and/or
+
+
+ RA-5(a)[1][b]
+ defines the process for conducting random vulnerability scans on the information system and hosted applications;
+
+
+
+ RA-5(a)[2]
+ in accordance with the organization-defined frequency and/or organization-defined process for conducting random scans, scans for vulnerabilities in:
+
+ RA-5(a)[2][a]
+ the information system;
+
+
+ RA-5(a)[2][b]
+ hosted applications;
+
+
+
+ RA-5(a)[3]
+ when new vulnerabilities potentially affecting the system/applications are identified and reported, scans for vulnerabilities in:
+
+ RA-5(a)[3][a]
+ the information system;
+
+
+ RA-5(a)[3][b]
+ hosted applications;
+
+
+
+
+ RA-5(b)
+ employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:
+
+ RA-5(b)(1)
+
+ RA-5(b)(1)[1]
+ enumerating platforms;
+
+
+ RA-5(b)(1)[2]
+ enumerating software flaws;
+
+
+ RA-5(b)(1)[3]
+ enumerating improper configurations;
+
+
+
+ RA-5(b)(2)
+
+ RA-5(b)(2)[1]
+ formatting checklists;
+
+
+ RA-5(b)(2)[2]
+ formatting test procedures;
+
+
+
+ RA-5(b)(3)
+ measuring vulnerability impact;
+
+
+
+ RA-5(c)
+
+ RA-5(c)[1]
+ analyzes vulnerability scan reports;
+
+
+ RA-5(c)[2]
+ analyzes results from security control assessments;
+
+
+
+ RA-5(d)
+
+ RA-5(d)[1]
+ defines response times to remediate legitimate vulnerabilities in accordance with an organizational assessment of risk;
+
+
+ RA-5(d)[2]
+ remediates legitimate vulnerabilities within the organization-defined response times in accordance with an organizational assessment of risk;
+
+
+
+ RA-5(e)
+
+ RA-5(e)[1]
+ defines personnel or roles with whom information obtained from the vulnerability scanning process and security control assessments is to be shared;
+
+
+ RA-5(e)[2]
+ shares information obtained from the vulnerability scanning process with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies); and
+
+
+ RA-5(e)[3]
+ shares information obtained from security control assessments with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).
+
+
+
+
+ EXAMINE
+ Risk assessment policy
+ procedures addressing vulnerability scanning
+ risk assessment
+ security plan
+ security assessment report
+ vulnerability scanning tools and associated configuration documentation
+ vulnerability scanning results
+ patch and vulnerability management records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with risk assessment, security control assessment and vulnerability scanning responsibilities
+ organizational personnel with vulnerability scan analysis responsibilities
+ organizational personnel with vulnerability remediation responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for vulnerability scanning, analysis, remediation, and information sharing
+ automated mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing
+
+
+
+ NIST Special Publication 800-40
+
+
+ NIST Special Publication 800-70
+
+
+ NIST Special Publication 800-115
+
+
+ http://cwe.mitre.org
+
+
+ http://nvd.nist.gov
+
+
+
+
+ TECHNICAL SURVEILLANCE COUNTERMEASURES SURVEY
+ RA-6
+ P0
+
+
The organization employs a technical surveillance countermeasures survey at organization-defined locations [Selection (one or more): organization-defined frequency; organization-defined events or indicators occur].
+
+
+
Technical surveillance countermeasures surveys are performed by qualified personnel to detect the presence of technical surveillance devices/hazards and to identify technical security weaknesses that could aid in the conduct of technical penetrations of surveyed facilities. Such surveys provide evaluations of the technical security postures of organizations and facilities and typically include thorough visual, electronic, and physical examinations in and about surveyed facilities. The surveys also provide useful input into risk assessments and organizational exposure to potential adversaries.
+
+
+ Determine if the organization:
+
+ RA-6[1]
+ defines locations to employ technical surveillance countermeasure surveys;
+
+
+ RA-6[2]
+ defines a frequency to employ technical surveillance countermeasure surveys;
+
+
+ RA-6[3]
+ defines events or indicators which, if they occur, trigger a technical surveillance countermeasures survey;
+
+
+ RA-6[4]
+ employs a technical surveillance countermeasures survey at organization-defined locations one or more of the following:
+
+ RA-6[4][a]
+ with the organization-defined frequency; and/or
+
+
+ RA-6[4][b]
+ when organization-defined events or indicators occur.
+
+
+
+
+ EXAMINE
+ Risk assessment policy
+ procedures addressing technical surveillance countermeasures surveys
+ security plan
+ audit records/event logs
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with technical surveillance countermeasures surveys responsibilities
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for technical surveillance countermeasures surveys
+ automated mechanisms/tools supporting and/or implementing technical surveillance countermeasures surveys
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+
+ SYSTEM AND SERVICES ACQUISITION POLICY AND PROCEDURES
+ SA-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SA-1a.
+
Develops, documents, and disseminates to organization-defined personnel or roles:
+
+ SA-1a.1.
+
A system and services acquisition policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ SA-1a.2.
+
Procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls; and
+
+
+
+ SA-1b.
+
Reviews and updates the current:
+
+ SA-1b.1.
+
System and services acquisition policy organization-defined frequency; and
+
+
+ SA-1b.2.
+
System and services acquisition procedures organization-defined frequency.
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+ Determine if the organization:
+
+ SA-1(a)(1)
+
+ SA-1(a)(1)[1]
+ develops and documents a system and services acquisition policy that addresses:
+
+ SA-1(a)(1)[1][a]
+ purpose;
+
+
+ SA-1(a)(1)[1][b]
+ scope;
+
+
+ SA-1(a)(1)[1][c]
+ roles;
+
+
+ SA-1(a)(1)[1][d]
+ responsibilities;
+
+
+ SA-1(a)(1)[1][e]
+ management commitment;
+
+
+ SA-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ SA-1(a)(1)[1][g]
+ compliance;
+
+
+
+ SA-1(a)(1)[2]
+ defines personnel or roles to whom the system and services acquisition policy is to be disseminated;
+
+
+ SA-1(a)(1)[3]
+ disseminates the system and services acquisition policy to organization-defined personnel or roles;
+
+
+
+ SA-1(a)(2)
+
+ SA-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls;
+
+
+ SA-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ SA-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ SA-1(b)(1)
+
+ SA-1(b)(1)[1]
+ defines the frequency to review and update the current system and services acquisition policy;
+
+
+ SA-1(b)(1)[2]
+ reviews and updates the current system and services acquisition policy with the organization-defined frequency;
+
+
+
+ SA-1(b)(2)
+
+ SA-1(b)(2)[1]
+ defines the frequency to review and update the current system and services acquisition procedures; and
+
+
+ SA-1(b)(2)[2]
+ reviews and updates the current system and services acquisition procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ System and services acquisition policy and procedures
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ ALLOCATION OF RESOURCES
+ SA-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SA-2a.
+
Determines information security requirements for the information system or information system service in mission/business process planning;
+
+
+ SA-2b.
+
Determines, documents, and allocates the resources required to protect the information system or information system service as part of its capital planning and investment control process; and
+
+
+ SA-2c.
+
Establishes a discrete line item for information security in organizational programming and budgeting documentation.
+
+
+
+
Resource allocation for information security includes funding for the initial information system or information system service acquisition and funding for the sustainment of the system/service.
+ PM-3
+ PM-11
+
+
+ Determine if the organization:
+
+ SA-2(a)
+ determines information security requirements for the information system or information system service in mission/business process planning;
+
+
+ SA-2(b)
+ to protect the information system or information system service as part of its capital planning and investment control process:
+
+ SA-2(b)[1]
+ determines the resources required;
+
+
+ SA-2(b)[2]
+ documents the resources required;
+
+
+ SA-2(b)[3]
+ allocates the resources required; and
+
+
+
+ SA-2(c)
+ establishes a discrete line item for information security in organizational programming and budgeting documentation.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing the allocation of resources to information security requirements
+ procedures addressing capital planning and investment control
+ organizational programming and budgeting documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with capital planning, investment control, organizational programming and budgeting responsibilities
+ organizational personnel responsible for determining information security requirements for information systems/services
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for determining information security requirements
+ organizational processes for capital planning, programming, and budgeting
+ automated mechanisms supporting and/or implementing organizational capital planning, programming, and budgeting
+
+
+
+ NIST Special Publication 800-65
+
+
+
+
+ SYSTEM DEVELOPMENT LIFE CYCLE
+ SA-3
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SA-3a.
+
Manages the information system using organization-defined system development life cycle that incorporates information security considerations;
+
+
+ SA-3b.
+
Defines and documents information security roles and responsibilities throughout the system development life cycle;
+
+
+ SA-3c.
+
Identifies individuals having information security roles and responsibilities; and
+
+
+ SA-3d.
+
Integrates the organizational information security risk management process into system development life cycle activities.
+
+
+
+
A well-defined system development life cycle provides the foundation for the successful development, implementation, and operation of organizational information systems. To apply the required security controls within the system development life cycle requires a basic understanding of information security, threats, vulnerabilities, adverse impacts, and risk to critical missions/business functions. The security engineering principles in SA-8 cannot be properly applied if individuals that design, code, and test information systems and system components (including information technology products) do not understand security. Therefore, organizations include qualified personnel, for example, chief information security officers, security architects, security engineers, and information system security officers in system development life cycle activities to ensure that security requirements are incorporated into organizational information systems. It is equally important that developers include individuals on the development team that possess the requisite security expertise and skills to ensure that needed security capabilities are effectively integrated into the information system. Security awareness and training programs can help ensure that individuals having key security roles and responsibilities have the appropriate experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security requirements into enterprise architecture also helps to ensure that important security considerations are addressed early in the system development life cycle and that those considerations are directly related to the organizational mission/business processes. This process also facilitates the integration of the information security architecture into the enterprise architecture, consistent with organizational risk management and information security strategies.
+ AT-3
+ PM-7
+ SA-8
+
+
+ Determine if the organization:
+
+ SA-3(a)
+
+ SA-3(a)[1]
+ defines a system development life cycle that incorporates information security considerations to be used to manage the information system;
+
+
+ SA-3(a)[2]
+ manages the information system using the organization-defined system development life cycle;
+
+
+
+ SA-3(b)
+ defines and documents information security roles and responsibilities throughout the system development life cycle;
+
+
+ SA-3(c)
+ identifies individuals having information security roles and responsibilities; and
+
+
+ SA-3(d)
+ integrates the organizational information security risk management process into system development life cycle activities.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing the integration of information security into the system development life cycle process
+ information system development life cycle documentation
+ information security risk management strategy/program documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security and system life cycle development responsibilities
+ organizational personnel with information security risk management responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for defining and documenting the SDLC
+ organizational processes for identifying SDLC roles and responsibilities
+ organizational process for integrating information security risk management into the SDLC
+ automated mechanisms supporting and/or implementing the SDLC
+
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-64
+
+
+
+
+ ACQUISITION PROCESS
+ SA-4
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:
+
+ SA-4a.
+
Security functional requirements;
+
+
+ SA-4b.
+
Security strength requirements;
+
+
+ SA-4c.
+
Security assurance requirements;
+
+
+ SA-4d.
+
Security-related documentation requirements;
+
+
+ SA-4e.
+
Requirements for protecting security-related documentation;
+
+
+ SA-4f.
+
Description of the information system development environment and environment in which the system is intended to operate; and
+
+
+ SA-4g.
+
Acceptance criteria.
+
+
+
+
Information system components are discrete, identifiable information technology assets (e.g., hardware, software, or firmware) that represent the building blocks of an information system. Information system components include commercial information technology products. Security functional requirements include security capabilities, security functions, and security mechanisms. Security strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to direct attack, and resistance to tampering or bypass. Security assurance requirements include: (i) development processes, procedures, practices, and methodologies; and (ii) evidence from development and assessment activities providing grounds for confidence that the required security functionality has been implemented and the required security strength has been achieved. Security documentation requirements address all phases of the system development life cycle.
+Security functionality, assurance, and documentation requirements are expressed in terms of security controls and control enhancements that have been selected through the tailoring process. The security control tailoring process includes, for example, the specification of parameter values through the use of assignment and selection statements and the specification of platform dependencies and implementation information. Security documentation provides user and administrator guidance regarding the implementation and operation of security controls. The level of detail required in security documentation is based on the security category or classification level of the information system and the degree to which organizations depend on the stated security capability, functions, or mechanisms to meet overall risk response expectations (as defined in the organizational risk management strategy). Security requirements can also include organizationally mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for information systems, information system components, and information system services are defined in the same manner as such criteria for any organizational acquisition or procurement. The Federal Acquisition Regulation (FAR) Section 7.103 contains information security requirements from FISMA.
The organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed.
+
+
+
Functional properties of security controls describe the functionality (i.e., security capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls.
+ SA-5
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed.
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
+ solicitation documents
+ acquisition documentation
+ acquisition contracts for the information system, system component, or information system services
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with acquisition/contracting responsibilities
+ organizational personnel with responsibility for determining information system security functional requirements
+ information system developer or service provider
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for determining information system security functional, requirements
+ organizational processes for developing acquisition contracts
+ automated mechanisms supporting and/or implementing acquisitions and inclusion of security requirements in contracts
+
+
+
+ DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS
+ SA-4 (2)
+ MODERATE
+ HIGH
+
+
The organization requires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes: [Selection (one or more): security-relevant external system interfaces; high-level design; low-level design; source code or hardware schematics; organization-defined design/implementation information] at organization-defined level of detail.
+
+
+
Organizations may require different levels of detail in design and implementation documentation for security controls employed in organizational information systems, system components, or information system services based on mission/business requirements, requirements for trustworthiness/resiliency, and requirements for analysis and testing. Information systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of multiple subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules with particular emphasis on software and firmware (but not excluding hardware) and the interfaces between modules providing security-relevant functionality. Source code and hardware schematics are typically referred to as the implementation representation of the information system.
+ SA-5
+
+
+ Determine if the organization:
+
+ SA-4(2)[1]
+ defines level of detail that the developer is required to provide in design and implementation information for the security controls to be employed in the information system, system component, or information system service;
+
+
+ SA-4(2)[2]
+ defines design/implementation information that the developer is to provide for the security controls to be employed (if selected);
+
+
+ SA-4(2)[3]
+ requires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes, at the organization-defined level of detail, one or more of the following:
+
+ SA-4(2)[3][a]
+ security-relevant external system interfaces;
+
+
+ SA-4(2)[3][b]
+ high-level design;
+
+
+ SA-4(2)[3][c]
+ low-level design;
+
+
+ SA-4(2)[3][d]
+ source code;
+
+
+ SA-4(2)[3][e]
+ hardware schematics; and/or
+
+
+ SA-4(2)[3][f]
+ organization-defined design/implementation information.
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
+ solicitation documents
+ acquisition documentation
+ acquisition contracts for the information system, system components, or information system services
+ design and implementation information for security controls employed in the information system, system component, or information system service
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with acquisition/contracting responsibilities
+ organizational personnel with responsibility for determining information system security requirements
+ information system developer or service provider
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for determining level of detail for system design and security controls
+ organizational processes for developing acquisition contracts
+ automated mechanisms supporting and/or implementing development of system design details
+
+
+
+ DEVELOPMENT METHODS / TECHNIQUES / PRACTICES
+ SA-4 (3)
+
+
The organization requires the developer of the information system, system component, or information system service to demonstrate the use of a system development life cycle that includes organization-defined state-of-the-practice system/security engineering methods, software development methods, testing/evaluation/validation techniques, and quality control processes.
+
+
+
Following a well-defined system development life cycle that includes state-of-the-practice software development methods, systems/security engineering methods, quality control processes, and testing, evaluation, and validation techniques helps to reduce the number and severity of latent errors within information systems, system components, and information system services. Reducing the number/severity of such errors reduces the number of vulnerabilities in those systems, components, and services.
+ SA-12
+
+
+ Determine if the organization:
+
+ SA-4(3)[1]
+ defines state-of-the-practice system/security engineering methods to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;
+
+
+ SA-4(3)[2]
+ defines software development methods to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;
+
+
+ SA-4(3)[3]
+ defines testing/evaluation/validation techniques to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;
+
+
+ SA-4(3)[4]
+ defines quality control processes to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;
+
+
+ SA-4(3)[5]
+ requires the developer of the information system, system component, or information system service to demonstrate the use of a system development life cycle that includes:
+
+ SA-4(3)[5][a]
+ organization-defined state-of-the-practice system/security engineering methods;
+
+
+ SA-4(3)[5][b]
+ organization-defined software development methods;
+
+
+ SA-4(3)[5][c]
+ organization-defined testing/evaluation/validation techniques; and
+
+
+ SA-4(3)[5][d]
+ organization-defined quality control processes.
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
+ solicitation documents
+ acquisition documentation
+ acquisition contracts for the information system, system component, or information system service
+ list of system/security engineering methods to be included in developer’s system development life cycle process
+ list of software development methods to be included in developer’s system development life cycle process
+ list of testing/evaluation/validation techniques to be included in developer’s system development life cycle process
+ list of quality control processes to be included in developer’s system development life cycle process
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with acquisition/contracting responsibilities
+ organizational personnel with responsibility for determining information system security requirements
+ organizational personnel with information security and system life cycle responsibilities
+ information system developer or service provider
+
+
+ TEST
+ Organizational processes for development methods, techniques, and processes
+
+
+
+ ASSIGNMENT OF COMPONENTS TO SYSTEMS
+ SA-4 (4)
+ CM-8 (9)
+
+
+ Incorporated into CM-8 (9).
+
+
+
+ SYSTEM / COMPONENT / SERVICE CONFIGURATIONS
+ SA-4 (5)
+
+
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-4 (5)(a)
+
Deliver the system, component, or service with organization-defined security configurations implemented; and
+
+
+ SA-4 (5)(b)
+
Use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.
+
+
+
+
Security configurations include, for example, the U.S. Government Configuration Baseline (USGCB) and any limitations on functions, ports, protocols, and services. Security characteristics include, for example, requiring that all default passwords have been changed.
+ CM-8
+
+
+ Determine if the organization:
+
+ SA-4(5)(a)
+
+ SA-4(5)(a)[1]
+ defines security configurations to be implemented by the developer of the information system, system component, or information system service;
+
+
+ SA-4(5)(a)[2]
+ requires the developer of the information system, system component, or information system service to deliver the system, component, or service with organization-defined security configurations implemented; and
+
+
+
+ SA-4(5)(b)
+ requires the developer of the information system, system component, or information system service to use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
+ solicitation documents
+ acquisition documentation
+ acquisition contracts for the information system, system component, or information system service
+ security configurations to be implemented by developer of the information system, system component, or information system service
+ service-level agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with acquisition/contracting responsibilities
+ organizational personnel with responsibility for determining information system security requirements
+ information system developer or service provider
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms used to verify that the configuration of the information system, component, or service, as delivered, is as specified
+
+
+
+ USE OF INFORMATION ASSURANCE PRODUCTS
+ SA-4 (6)
+
+
The organization:
+
+ SA-4 (6)(a)
+
Employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and
+
+
+ SA-4 (6)(b)
+
Ensures that these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures.
+
+
+
+
COTS IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management.
+ SC-8
+ SC-12
+ SC-13
+
+
+ Determine if the organization:
+
+ SA-4(6)(a)
+ employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and
+
+
+ SA-4(6)(b)
+ ensures that these products have been evaluated and/or validated by the NSA or in accordance with NSA-approved procedures.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
+ solicitation documents
+ acquisition documentation
+ acquisition contracts for the information system, system component, or information system service
+ security configurations to be implemented by developer of the information system, system component, or information system service
+ service-level agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with acquisition/contracting responsibilities
+ organizational personnel with responsibility for determining information system security requirements
+ organizational personnel responsible for ensuring information assurance products are NSA-approved and are evaluated and/or validated products in accordance with NSA-approved procedures
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for selecting and employing evaluated and/or validated information assurance products and services that compose an NSA-approved solution to protect classified information
+
+
+
+ NIAP-APPROVED PROTECTION PROFILES
+ SA-4 (7)
+
+
The organization:
+
+ SA-4 (7)(a)
+
Limits the use of commercially provided information assurance (IA) and IA-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and
+
+
+ SA-4 (7)(b)
+
Requires, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated.
+
+
+
+ SC-12
+ SC-13
+
+
+ Determine if the organization:
+
+ SA-4(7)(a)
+ limits the use of commercially-provided information assurance (IA) and IA-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and
+
+
+ SA-4(7)(b)
+ requires, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
+ solicitation documents
+ acquisition documentation
+ acquisition contracts for the information system, system component, or information system service
+ NAIP-approved protection profiles
+ FIPS-validation information for cryptographic functionality
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with acquisition/contracting responsibilities
+ organizational personnel with responsibility for determining information system security requirements
+ organizational personnel responsible for ensuring information assurance products are have been evaluated against a NIAP-approved protection profile or for ensuring products relying on cryptographic functionality are FIPS-validated
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for selecting and employing products/services evaluated against a NIAP-approved protection profile or FIPS-validated products
+
+
+
+ CONTINUOUS MONITORING PLAN
+ SA-4 (8)
+
+
The organization requires the developer of the information system, system component, or information system service to produce a plan for the continuous monitoring of security control effectiveness that contains organization-defined level of detail.
+
+
+
The objective of continuous monitoring plans is to determine if the complete set of planned, required, and deployed security controls within the information system, system component, or information system service continue to be effective over time based on the inevitable changes that occur. Developer continuous monitoring plans include a sufficient level of detail such that the information can be incorporated into the continuous monitoring strategies and programs implemented by organizations.
+ CA-7
+
+
+ Determine if the organization:
+
+ SA-4(8)[1]
+ defines the level of detail the developer of the information system, system component, or information system service is required to provide when producing a plan for the continuous monitoring of security control effectiveness; and
+
+
+ SA-4(8)[2]
+ requires the developer of the information system, system component, or information system service to produce a plan for the continuous monitoring of security control effectiveness that contains the organization-defined level of detail.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing developer continuous monitoring plans
+ procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
+ developer continuous monitoring plans
+ security assessment plans
+ acquisition contracts for the information system, system component, or information system service
+ acquisition documentation
+ solicitation documentation
+ service-level agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with acquisition/contracting responsibilities
+ organizational personnel with responsibility for determining information system security requirements
+ information system developers
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Vendor processes for continuous monitoring
+ automated mechanisms supporting and/or implementing developer continuous monitoring
+
+
+
+ FUNCTIONS / PORTS / PROTOCOLS / SERVICES IN USE
+ SA-4 (9)
+ MODERATE
+ HIGH
+
+
The organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle, the functions, ports, protocols, and services intended for organizational use.
+
+
+
The identification of functions, ports, protocols, and services early in the system development life cycle (e.g., during the initial requirements definition and design phases) allows organizations to influence the design of the information system, information system component, or information system service. This early involvement in the life cycle helps organizations to avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services (or when requiring information system service providers to do so). Early identification of functions, ports, protocols, and services avoids costly retrofitting of security controls after the information system, system component, or information system service has been implemented. SA-9 describes requirements for external information system services with organizations identifying which functions, ports, protocols, and services are provided from external sources.
+ CM-7
+ SA-9
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle:
+
+ SA-4(9)[1]
+ the functions intended for organizational use;
+
+
+ SA-4(9)[2]
+ the ports intended for organizational use;
+
+
+ SA-4(9)[3]
+ the protocols intended for organizational use; and
+
+
+ SA-4(9)[4]
+ the services intended for organizational use.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
+ information system design documentation
+ information system documentation including functions, ports, protocols, and services intended for organizational use
+ acquisition contracts for information systems or services
+ acquisition documentation
+ solicitation documentation
+ service-level agreements
+ organizational security requirements, descriptions, and criteria for developers of information systems, system components, and information system services
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with acquisition/contracting responsibilities
+ organizational personnel with responsibility for determining information system security requirements
+ system/network administrators
+ organizational personnel operating, using, and/or maintaining the information system
+ information system developers
+ organizational personnel with information security responsibilities
+
+
+
+ USE OF APPROVED PIV PRODUCTS
+ SA-4 (10)
+ LOW
+ MODERATE
+ HIGH
+
+
The organization employs only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational information systems.
+
+
+ IA-2
+ IA-8
+
+
+ Determine if the organization employs only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational information systems.
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
+ solicitation documentation
+ acquisition documentation
+ acquisition contracts for the information system, system component, or information system service
+ service-level agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with acquisition/contracting responsibilities
+ organizational personnel with responsibility for determining information system security requirements
+ organizational personnel with responsibility for ensuring only FIPS 201-approved products are implemented
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for selecting and employing FIPS 201-approved products
+
+
+
+ Determine if the organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contracts for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:
+
+ SA-4(a)
+ security functional requirements;
+
+
+ SA-4(b)
+ security strength requirements;
+
+
+ SA-4(c)
+ security assurance requirements;
+
+
+ SA-4(d)
+ security-related documentation requirements;
+
+
+ SA-4(e)
+ requirements for protecting security-related documentation;
+
+
+ SA-4(f)
+ description of:
+
+ SA-4(f)[1]
+ the information system development environment;
+
+
+ SA-4(f)[2]
+ the environment in which the system is intended to operate; and
+
+
+
+ SA-4(g)
+ acceptance criteria.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
+ acquisition contracts for the information system, system component, or information system service
+ information system design documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with acquisition/contracting responsibilities
+ organizational personnel with responsibility for determining information system security functional, strength, and assurance requirements
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for determining information system security functional, strength, and assurance requirements
+ organizational processes for developing acquisition contracts
+ automated mechanisms supporting and/or implementing acquisitions and inclusion of security requirements in contracts
+
+
+
+ HSPD-12
+
+
+ ISO/IEC 15408
+
+
+ FIPS Publication 140-2
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-23
+
+
+ NIST Special Publication 800-35
+
+
+ NIST Special Publication 800-36
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-64
+
+
+ NIST Special Publication 800-70
+
+
+ NIST Special Publication 800-137
+
+
+ Federal Acquisition Regulation
+
+
+ http://www.niap-ccevs.org
+
+
+ http://fips201ep.cio.gov
+
+
+ http://www.acquisition.gov/far
+
+
+
+
+ INFORMATION SYSTEM DOCUMENTATION
+ SA-5
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SA-5a.
+
Obtains administrator documentation for the information system, system component, or information system service that describes:
+
+ SA-5a.1.
+
Secure configuration, installation, and operation of the system, component, or service;
+
+
+ SA-5a.2.
+
Effective use and maintenance of security functions/mechanisms; and
+
+
+ SA-5a.3.
+
Known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions;
+
+
+
+ SA-5b.
+
Obtains user documentation for the information system, system component, or information system service that describes:
+
+ SA-5b.1.
+
User-accessible security functions/mechanisms and how to effectively use those security functions/mechanisms;
+
+
+ SA-5b.2.
+
Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner; and
+
+
+ SA-5b.3.
+
User responsibilities in maintaining the security of the system, component, or service;
+
+
+
+ SA-5c.
+
Documents attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent and takes organization-defined actions in response;
+
+
+ SA-5d.
+
Protects documentation as required, in accordance with the risk management strategy; and
+
+
+ SA-5e.
+
Distributes documentation to organization-defined personnel or roles.
+
+
+
+
This control helps organizational personnel understand the implementation and operation of security controls associated with information systems, system components, and information system services. Organizations consider establishing specific measures to determine the quality/completeness of the content provided. The inability to obtain needed documentation may occur, for example, due to the age of the information system/component or lack of support from developers and contractors. In those situations, organizations may need to recreate selected documentation if such documentation is essential to the effective implementation or operation of security controls. The level of protection provided for selected information system, component, or service documentation is commensurate with the security category or classification of the system. For example, documentation associated with a key DoD weapons system or command and control system would typically require a higher level of protection than a routine administrative system. Documentation that addresses information system vulnerabilities may also require an increased level of protection. Secure operation of the information system, includes, for example, initially starting the system and resuming secure system operation after any lapse in system operation.
+
+
+
+ Determine if the organization:
+
+ SA-5(a)
+ obtains administrator documentation for the information system, system component, or information system service that describes:
+
+ SA-5(a)(1)
+
+ SA-5(a)(1)[1]
+ secure configuration of the system, system component, or service;
+
+
+ SA-5(a)(1)[2]
+ secure installation of the system, system component, or service;
+
+
+ SA-5(a)(1)[3]
+ secure operation of the system, system component, or service;
+
+
+
+ SA-5(a)(2)
+
+ SA-5(a)(2)[1]
+ effective use of the security features/mechanisms;
+
+
+ SA-5(a)(2)[2]
+ effective maintenance of the security features/mechanisms;
+
+
+
+ SA-5(a)(3)
+ known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions;
+
+
+
+ SA-5(b)
+ obtains user documentation for the information system, system component, or information system service that describes:
+
+ SA-5(b)(1)
+
+ SA-5(b)(1)[1]
+ user-accessible security functions/mechanisms;
+
+
+ SA-5(b)(1)[2]
+ how to effectively use those functions/mechanisms;
+
+
+
+ SA-5(b)(2)
+ methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner;
+
+
+ SA-5(b)(3)
+ user responsibilities in maintaining the security of the system, component, or service;
+
+
+
+ SA-5(c)
+
+ SA-5(c)[1]
+ defines actions to be taken after documented attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent;
+
+
+ SA-5(c)[2]
+ documents attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent;
+
+
+ SA-5(c)[3]
+ takes organization-defined actions in response;
+
+
+
+ SA-5(d)
+ protects documentation as required, in accordance with the risk management strategy;
+
+
+ SA-5(e)
+
+ SA-5(e)[1]
+ defines personnel or roles to whom documentation is to be distributed; and
+
+
+ SA-5(e)[2]
+ distributes documentation to organization-defined personnel or roles.
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing information system documentation
+ information system documentation including administrator and user guides
+ records documenting attempts to obtain unavailable or nonexistent information system documentation
+ list of actions to be taken in response to documented attempts to obtain information system, system component, or information system service documentation
+ risk management strategy documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with acquisition/contracting responsibilities
+ organizational personnel with responsibility for determining information system security requirements
+ system administrators
+ organizational personnel operating, using, and/or maintaining the information system
+ information system developers
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for obtaining, protecting, and distributing information system administrator and user documentation
+
+
+
+ SOFTWARE USAGE RESTRICTIONS
+ SA-6
+ CM-10
+ SI-7
+
+
The organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system.
+
+
+
Organizations apply security engineering principles primarily to new development information systems or systems undergoing major upgrades. For legacy systems, organizations apply security engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware within those systems. Security engineering principles include, for example: (i) developing layered protections; (ii) establishing sound security policy, architecture, and controls as the foundation for design; (iii) incorporating security requirements into the system development life cycle; (iv) delineating physical and logical security boundaries; (v) ensuring that system developers are trained on how to build secure software; (vi) tailoring security controls to meet organizational and operational needs; (vii) performing threat modeling to identify use cases, threat agents, attack vectors, and attack patterns as well as compensating controls and design patterns needed to mitigate risk; and (viii) reducing risk to acceptable levels, thus enabling informed risk management decisions.
+ PM-7
+ SA-3
+ SA-4
+ SA-17
+ SC-2
+ SC-3
+
+
+ Determine if the organization applies information system security engineering principles in:
+
+ SA-8[1]
+ the specification of the information system;
+
+
+ SA-8[2]
+ the design of the information system;
+
+
+ SA-8[3]
+ the development of the information system;
+
+
+ SA-8[4]
+ the implementation of the information system; and
+
+
+ SA-8[5]
+ the modification of the information system.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing security engineering principles used in the specification, design, development, implementation, and modification of the information system
+ information system design documentation
+ information security requirements and specifications for the information system
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with acquisition/contracting responsibilities
+ organizational personnel with responsibility for determining information system security requirements
+ organizational personnel with information system specification, design, development, implementation, and modification responsibilities
+ information system developers
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for applying security engineering principles in information system specification, design, development, implementation, and modification
+ automated mechanisms supporting the application of security engineering principles in information system specification, design, development, implementation, and modification
+
+
+
+ NIST Special Publication 800-27
+
+
+
+
+ EXTERNAL INFORMATION SYSTEM SERVICES
+ SA-9
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SA-9a.
+
Requires that providers of external information system services comply with organizational information security requirements and employ organization-defined security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+
+
+ SA-9b.
+
Defines and documents government oversight and user roles and responsibilities with regard to external information system services; and
+
+
+ SA-9c.
+
Employs organization-defined processes, methods, and techniques to monitor security control compliance by external service providers on an ongoing basis.
+
+
+
+
External information system services are services that are implemented outside of the authorization boundaries of organizational information systems. This includes services that are used by, but not a part of, organizational information systems. FISMA and OMB policy require that organizations using external service providers that are processing, storing, or transmitting federal information or operating information systems on behalf of the federal government ensure that such providers meet the same security requirements that federal agencies are required to meet. Organizations establish relationships with external service providers in a variety of ways including, for example, through joint ventures, business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, and supply chain exchanges. The responsibility for managing risks from the use of external information system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a level of confidence that each participating provider in the potentially complex consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust varies based on the relationships between organizations and the external providers. Organizations document the basis for trust relationships so the relationships can be monitored over time. External information system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define expectations of performance for security controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.
Conducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services; and
+
+
+ SA-9 (1)(b)
+
Ensures that the acquisition or outsourcing of dedicated information security services is approved by organization-defined personnel or roles.
+
+
+
+
Dedicated information security services include, for example, incident monitoring, analysis and response, operation of information security-related devices such as firewalls, or key management services.
+ CA-6
+ RA-3
+
+
+ Determine if the organization:
+
+ SA-9(1)(a)
+ conducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services;
+
+
+ SA-9(1)(b)
+
+ SA-9(1)(b)[1]
+ defines personnel or roles designated to approve the acquisition or outsourcing of dedicated information security services; and
+
+
+ SA-9(1)(b)[2]
+ ensures that the acquisition or outsourcing of dedicated information security services is approved by organization-defined personnel or roles.
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing external information system services
+ acquisition documentation
+ acquisition contracts for the information system, system component, or information system service
+ risk assessment reports
+ approval records for acquisition or outsourcing of dedicated information security services
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information system security responsibilities
+ external providers of information system services
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for conducting a risk assessment prior to acquiring or outsourcing dedicated information security services
+ organizational processes for approving the outsourcing of dedicated information security services
+ automated mechanisms supporting and/or implementing risk assessment
+ automated mechanisms supporting and/or implementing approval processes
+
+
+
+ IDENTIFICATION OF FUNCTIONS / PORTS / PROTOCOLS / SERVICES
+ SA-9 (2)
+ MODERATE
+ HIGH
+
+
The organization requires providers of organization-defined external information system services to identify the functions, ports, protocols, and other services required for the use of such services.
+
+
+
Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be particularly useful when the need arises to understand the trade-offs involved in restricting certain functions/services or blocking certain ports/protocols.
+ CM-7
+
+
+ Determine if the organization:
+
+ SA-9(2)[1]
+ defines external information system services for which providers of such services are to identify the functions, ports, protocols, and other services required for the use of such services;
+
+
+ SA-9(2)[2]
+ requires providers of organization-defined external information system services to identify:
+
+ SA-9(2)[2][a]
+ the functions required for the use of such services;
+
+
+ SA-9(2)[2][b]
+ the ports required for the use of such services;
+
+
+ SA-9(2)[2][c]
+ the protocols required for the use of such services; and
+
+
+ SA-9(2)[2][d]
+ the other services required for the use of such services.
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing external information system services
+ acquisition contracts for the information system, system component, or information system service
+ acquisition documentation
+ solicitation documentation, service-level agreements
+ organizational security requirements and security specifications for external service providers
+ list of required functions, ports, protocols, and other services
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ external providers of information system services
+
+
+
+ ESTABLISH / MAINTAIN TRUST RELATIONSHIP WITH PROVIDERS
+ SA-9 (3)
+
+
The organization establishes, documents, and maintains trust relationships with external service providers based on organization-defined security requirements, properties, factors, or conditions defining acceptable trust relationships.
+
+
+
The degree of confidence that the risk from using external services is at an acceptable level depends on the trust that organizations place in the external providers, individually or in combination. Trust relationships can help organization to gain increased levels of confidence that participating service providers are providing adequate protection for the services rendered. Such relationships can be complicated due to the number of potential entities participating in the consumer-provider interactions, subordinate relationships and levels of trust, and the types of interactions between the parties. In some cases, the degree of trust is based on the amount of direct control organizations are able to exert on external service providers with regard to employment of security controls necessary for the protection of the service/information and the evidence brought forth as to the effectiveness of those controls. The level of control is typically established by the terms and conditions of the contracts or service-level agreements and can range from extensive control (e.g., negotiating contracts or agreements that specify security requirements for the providers) to very limited control (e.g., using contracts or service-level agreements to obtain commodity services such as commercial telecommunications services). In other cases, levels of trust are based on factors that convince organizations that required security controls have been employed and that determinations of control effectiveness exist. For example, separately authorized external information system services provided to organizations through well-established business relationships may provide degrees of trust in such services within the tolerable risk range of the organizations using the services. External service providers may also outsource selected services to other external entities, making the trust relationship more difficult and complicated to manage. Depending on the nature of the services, organizations may find it very difficult to place significant trust in external providers. This is not due to any inherent untrustworthiness on the part of providers, but to the intrinsic level of risk in the services.
+
+
+ Determine if the organization:
+
+ SA-9(3)[1]
+ defines requirements, properties, factors, or conditions defining acceptable trust relationships;
+
+
+ SA-9(3)[2]
+ based on organization-defined requirements, properties, factors, or conditions defining acceptable trust relationships:
+
+ SA-9(3)[2][a]
+ establishes trust relationships with external service providers;
+
+
+ SA-9(3)[2][b]
+ documents trust relationships with external service providers; and
+
+
+ SA-9(3)[2][c]
+ maintains trust relationships with external service providers.
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing external information system services
+ acquisition contracts for the information system, system component, or information system service
+ acquisition documentation
+ solicitation documentation
+ service-level agreements
+ organizational security requirements, properties, factors, or conditions defining acceptable trust relationships
+ documentation of trust relationships with external service providers
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ external providers of information system services
+
+
+
+ CONSISTENT INTERESTS OF CONSUMERS AND PROVIDERS
+ SA-9 (4)
+
+
The organization employs organization-defined security safeguards to ensure that the interests of organization-defined external service providers are consistent with and reflect organizational interests.
+
+
+
As organizations increasingly use external service providers, the possibility exists that the interests of the service providers may diverge from organizational interests. In such situations, simply having the correct technical, procedural, or operational safeguards in place may not be sufficient if the service providers that implement and control those safeguards are not operating in a manner consistent with the interests of the consuming organizations. Possible actions that organizations might take to address such concerns include, for example, requiring background checks for selected service provider personnel, examining ownership records, employing only trustworthy service providers (i.e., providers with which organizations have had positive experiences), and conducting periodic/unscheduled visits to service provider facilities.
+
+
+ Determine if the organization:
+
+ SA-9(4)[1]
+ defines external service providers whose interests are to be consistent with and reflect organizational interests;
+
+
+ SA-9(4)[2]
+ defines security safeguards to be employed to ensure that the interests of organization-defined external service providers are consistent with and reflect organizational interests; and
+
+
+ SA-9(4)[3]
+ employs organization-defined security safeguards to ensure that the interests of organization-defined external service providers are consistent with and reflect organizational interests.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing external information system services
+ acquisition contracts for the information system, system component, or information system service
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ organizational security requirements/safeguards for external service providers
+ personnel security policies for external service providers
+ assessments performed on external service providers
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ external providers of information system services
+
+
+ TEST
+ Organizational processes for defining and employing safeguards to ensure consistent interests with external service providers
+ automated mechanisms supporting and/or implementing safeguards to ensure consistent interests with external service providers
+
+
+
+ PROCESSING, STORAGE, AND SERVICE LOCATION
+ SA-9 (5)
+
+
The organization restricts the location of [Selection (one or more): information processing; information/data; information system services] to organization-defined locations based on organization-defined requirements or conditions.
+
+
+
The location of information processing, information/data storage, or information system services that are critical to organizations can have a direct impact on the ability of those organizations to successfully execute their missions/business functions. This situation exists when external providers control the location of processing, storage or services. The criteria external providers use for the selection of processing, storage, or service locations may be different from organizational criteria. For example, organizations may want to ensure that data/information storage locations are restricted to certain locations to facilitate incident response activities (e.g., forensic analyses, after-the-fact investigations) in case of information security breaches/compromises. Such incident response activities may be adversely affected by the governing laws or protocols in the locations where processing and storage occur and/or the locations from which information system services emanate.
+
+
+ Determine if the organization:
+
+ SA-9(5)[1]
+ defines locations where organization-defined information processing, information/data, and/or information system services are to be restricted;
+
+
+ SA-9(5)[2]
+ defines requirements or conditions to restrict the location of information processing, information/data, and/or information system services;
+
+
+ SA-9(5)[3]
+ restricts the location of one or more of the following to organization-defined locations based on organization-defined requirements or conditions:
+
+ SA-9(5)[3][a]
+ information processing;
+
+
+ SA-9(5)[3][b]
+ information/data; and/or
+
+
+ SA-9(5)[3][c]
+ information services.
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing external information system services
+ acquisition contracts for the information system, system component, or information system service
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ restricted locations for information processing
+ information/data and/or information system services
+ information processing, information/data, and/or information system services to be maintained in restricted locations
+ organizational security requirements or conditions for external providers
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ external providers of information system services
+
+
+ TEST
+ Organizational processes for defining requirements to restrict locations of information processing, information/data, or information services
+ organizational processes for ensuring the location is restricted in accordance with requirements or conditions
+
+
+
+ Determine if the organization:
+
+ SA-9(a)
+
+ SA-9(a)[1]
+ defines security controls to be employed by providers of external information system services;
+
+
+ SA-9(a)[2]
+ requires that providers of external information system services comply with organizational information security requirements;
+
+
+ SA-9(a)[3]
+ requires that providers of external information system services employ organization-defined security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+
+
+
+ SA-9(b)
+
+ SA-9(b)[1]
+ defines and documents government oversight with regard to external information system services;
+
+
+ SA-9(b)[2]
+ defines and documents user roles and responsibilities with regard to external information system services;
+
+
+
+ SA-9(c)
+
+ SA-9(c)[1]
+ defines processes, methods, and techniques to be employed to monitor security control compliance by external service providers; and
+
+
+ SA-9(c)[2]
+ employs organization-defined processes, methods, and techniques to monitor security control compliance by external service providers on an ongoing basis.
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing external information system services
+ procedures addressing methods and techniques for monitoring security control compliance by external service providers of information system services
+ acquisition contracts, service-level agreements
+ organizational security requirements and security specifications for external provider services
+ security control assessment evidence from external providers of information system services
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ external providers of information system services
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for monitoring security control compliance by external service providers on an ongoing basis
+ automated mechanisms for monitoring security control compliance by external service providers on an ongoing basis
+
+
+
+ NIST Special Publication 800-35
+
+
+
+
+ DEVELOPER CONFIGURATION MANAGEMENT
+ SA-10
+ P1
+ MODERATE
+ HIGH
+
+
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-10a.
+
Perform configuration management during system, component, or service [Selection (one or more): design; development; implementation; operation];
+
+
+ SA-10b.
+
Document, manage, and control the integrity of changes to organization-defined configuration items under configuration management;
+
+
+ SA-10c.
+
Implement only organization-approved changes to the system, component, or service;
+
+
+ SA-10d.
+
Document approved changes to the system, component, or service and the potential security impacts of such changes; and
+
+
+ SA-10e.
+
Track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel.
+
+
+
+
This control also applies to organizations conducting internal information systems development and integration. Organizations consider the quality and completeness of the configuration management activities conducted by developers as evidence of applying effective security safeguards. Safeguards include, for example, protecting from unauthorized modification or destruction, the master copies of all material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the information system, information system component, or information system service requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes. Configuration items that are placed under configuration management (if existence/use is required by other security controls) include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and software/firmware source code with previous versions; and test fixtures and documentation. Depending on the mission/business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance phases of the life cycle.
The organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components.
+
+
+
This control enhancement allows organizations to detect unauthorized changes to software and firmware components through the use of tools, techniques, and/or mechanisms provided by developers. Integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components.
+ SI-7
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components.
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing system developer configuration management
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system
+ system component, or information system service
+ system developer configuration management plan
+ software and firmware integrity verification records
+ system change authorization records
+ change control records
+ configuration management records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with configuration management responsibilities
+ system developers
+
+
+ TEST
+ Organizational processes for monitoring developer configuration management
+ automated mechanisms supporting and/or implementing the monitoring of developer configuration management
+
+
+
+ ALTERNATIVE CONFIGURATION MANAGEMENT PROCESSES
+ SA-10 (2)
+
+
The organization provides an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team.
+
+
+
Alternate configuration management processes may be required, for example, when organizations use commercial off-the-shelf (COTS) information technology products. Alternate configuration management processes include organizational personnel that: (i) are responsible for reviewing/approving proposed changes to information systems, system components, and information system services; and (ii) conduct security impact analyses prior to the implementation of any changes to systems, components, or services (e.g., a configuration control board that considers security impacts of changes during development and includes representatives of both the organization and the developer, when applicable).
+
+
+ Determine if the organization provides an alternative configuration management process with organizational personnel in the absence of a dedicated developer configuration management team.
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing system developer configuration management
+ procedures addressing configuration management
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system
+ system component, or information system service
+ system developer configuration management plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with configuration management responsibilities
+ system developers
+
+
+ TEST
+ Organizational processes for monitoring developer configuration management
+ automated mechanisms supporting and/or implementing the monitoring of developer configuration management
+
+
+
+ HARDWARE INTEGRITY VERIFICATION
+ SA-10 (3)
+
+
The organization requires the developer of the information system, system component, or information system service to enable integrity verification of hardware components.
+
+
+
This control enhancement allows organizations to detect unauthorized changes to hardware components through the use of tools, techniques, and/or mechanisms provided by developers. Organizations verify the integrity of hardware components, for example, with hard-to-copy labels and verifiable serial numbers provided by developers, and by requiring the implementation of anti-tamper technologies. Delivered hardware components also include updates to such components.
+ SI-7
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to enable integrity verification of hardware components.
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing system developer configuration management
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ system developer configuration management plan
+ hardware integrity verification records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with configuration management responsibilities
+ system developers
+
+
+ TEST
+ Organizational processes for monitoring developer configuration management
+ automated mechanisms supporting and/or implementing the monitoring of developer configuration management
+
+
+
+ TRUSTED GENERATION
+ SA-10 (4)
+
+
The organization requires the developer of the information system, system component, or information system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions and software/firmware source and object code with previous versions.
+
+
+
This control enhancement addresses changes to hardware, software, and firmware components between versions during development. In contrast, SA-10 (1) and SA-10 (3) allow organizations to detect unauthorized changes to hardware, software, and firmware components through the use of tools, techniques, and/or mechanisms provided by developers.
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to employ tools for comparing newly generated versions of:
+
+ SA-10(4)[1]
+ security-relevant hardware descriptions with previous versions; and
+
+
+ SA-10(4)[2]
+ software/firmware source and object code with previous versions.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing system developer configuration management
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ system developer configuration management plan
+ change control records
+ configuration management records
+ configuration control audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with configuration management responsibilities
+ system developers
+
+
+ TEST
+ Organizational processes for monitoring developer configuration management
+ automated mechanisms supporting and/or implementing the monitoring of developer configuration management
+
+
+
+ MAPPING INTEGRITY FOR VERSION CONTROL
+ SA-10 (5)
+
+
The organization requires the developer of the information system, system component, or information system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.
+
+
+
This control enhancement addresses changes to hardware, software, and firmware components during initial development and during system life cycle updates. Maintaining the integrity between the master copies of security-relevant hardware, software, and firmware (including designs and source code) and the equivalent data in master copies on-site in operational environments is essential to ensure the availability of organizational information systems supporting critical missions and/or business functions.
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing system developer configuration management
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ system developer configuration management plan
+ change control records
+ configuration management records
+ version control change/update records
+ integrity verification records between master copies of security-relevant hardware, software, and firmware (including designs and source code)
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with configuration management responsibilities
+ system developers
+
+
+ TEST
+ Organizational processes for monitoring developer configuration management
+ automated mechanisms supporting and/or implementing the monitoring of developer configuration management
+
+
+
+ TRUSTED DISTRIBUTION
+ SA-10 (6)
+
+
The organization requires the developer of the information system, system component, or information system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.
+
+
+
The trusted distribution of security-relevant hardware, software, and firmware updates helps to ensure that such updates are faithful representations of the master copies maintained by the developer and have not been tampered with during distribution.
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing system developer configuration management
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system
+ system component, or information system service
+ system developer configuration management plan
+ change control records
+ configuration management records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with configuration management responsibilities
+ system developers
+
+
+ TEST
+ Organizational processes for monitoring developer configuration management
+ automated mechanisms supporting and/or implementing the monitoring of developer configuration management
+
+
+
+ Determine if the organization:
+
+ SA-10(a)
+ requires the developer of the information system, system component, or information system service to perform configuration management during one or more of the following:
+
+ SA-10(a)[1]
+ system, component, or service design;
+
+
+ SA-10(a)[2]
+ system, component, or service development;
+
+
+ SA-10(a)[3]
+ system, component, or service implementation; and/or
+
+
+ SA-10(a)[4]
+ system, component, or service operation;
+
+
+
+ SA-10(b)
+
+ SA-10(b)[1]
+ defines configuration items to be placed under configuration management;
+
+
+ SA-10(b)[2]
+ requires the developer of the information system, system component, or information system service to:
+
+ SA-10(b)[2][a]
+ document the integrity of changes to organization-defined items under configuration management;
+
+
+ SA-10(b)[2][b]
+ manage the integrity of changes to organization-defined items under configuration management;
+
+
+ SA-10(b)[2][c]
+ control the integrity of changes to organization-defined items under configuration management;
+
+
+
+
+ SA-10(c)
+ requires the developer of the information system, system component, or information system service to implement only organization-approved changes to the system, component, or service;
+
+
+ SA-10(d)
+ requires the developer of the information system, system component, or information system service to document:
+
+ SA-10(d)[1]
+ approved changes to the system, component, or service;
+
+
+ SA-10(d)[2]
+ the potential security impacts of such changes;
+
+
+
+ SA-10(e)
+
+ SA-10(e)[1]
+ defines personnel to whom findings, resulting from security flaws and flaw resolution tracked within the system, component, or service, are to be reported;
+
+
+ SA-10(e)[2]
+ requires the developer of the information system, system component, or information system service to:
+
+ SA-10(e)[2][a]
+ track security flaws within the system, component, or service;
+
+
+ SA-10(e)[2][b]
+ track security flaw resolution within the system, component, or service; and
+
+
+ SA-10(e)[2][c]
+ report findings to organization-defined personnel.
+
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing system developer configuration management
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ system developer configuration management plan
+ security flaw and flaw resolution tracking records
+ system change authorization records
+ change control records
+ configuration management records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with configuration management responsibilities
+ system developers
+
+
+ TEST
+ Organizational processes for monitoring developer configuration management
+ automated mechanisms supporting and/or implementing the monitoring of developer configuration management
+
+
+
+ NIST Special Publication 800-128
+
+
+
+
+ DEVELOPER SECURITY TESTING AND EVALUATION
+ SA-11
+ P1
+ MODERATE
+ HIGH
+
+
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-11a.
+
Create and implement a security assessment plan;
+
+
+ SA-11b.
+
Perform [Selection (one or more): unit; integration; system; regression] testing/evaluation at organization-defined depth and coverage;
+
+
+ SA-11c.
+
Produce evidence of the execution of the security assessment plan and the results of the security testing/evaluation;
+
+
+ SA-11d.
+
Implement a verifiable flaw remediation process; and
+
+
+ SA-11e.
+
Correct flaws identified during security testing/evaluation.
+
+
+
+
Developmental security testing/evaluation occurs at all post-design phases of the system development life cycle. Such testing/evaluation confirms that the required security controls are implemented correctly, operating as intended, enforcing the desired security policy, and meeting established security requirements. Security properties of information systems may be affected by the interconnection of system components or changes to those components. These interconnections or changes (e.g., upgrading or replacing applications and operating systems) may adversely affect previously implemented security controls. This control provides additional types of security testing/evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Developers can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Security assessment plans provide the specific activities that developers plan to carry out including the types of analyses, testing, evaluation, and reviews of software and firmware components, the degree of rigor to be applied, and the types of artifacts produced during those processes. The depth of security testing/evaluation refers to the rigor and level of detail associated with the assessment process (e.g., black box, gray box, or white box testing). The coverage of security testing/evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security assessment plans, flaw remediation processes, and the evidence that the plans/processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.
The organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis.
+
+
+
Static code analysis provides a technology and methodology for security reviews. Such analysis can be used to identify security vulnerabilities and enforce security coding practices. Static code analysis is most effective when used early in the development process, when each code change can be automatically scanned for potential weaknesses. Static analysis can provide clear remediation guidance along with defects to enable developers to fix such defects. Evidence of correct implementation of static analysis can include, for example, aggregate defect density for critical defect types, evidence that defects were inspected by developers or security professionals, and evidence that defects were fixed. An excessively high density of ignored findings (commonly referred to as ignored or false positives) indicates a potential problem with the analysis process or tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources.
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis.
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing system developer security testing
+ procedures addressing flaw remediation
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ system developer security test plans
+ system developer security testing results
+ security flaw and remediation tracking records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with developer security testing responsibilities
+ organizational personnel with configuration management responsibilities
+ system developers
+
+
+ TEST
+ Organizational processes for monitoring developer security testing and evaluation
+ automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
+ static code analysis tools
+
+
+
+ THREAT AND VULNERABILITY ANALYSES
+ SA-11 (2)
+
+
The organization requires the developer of the information system, system component, or information system service to perform threat and vulnerability analyses and subsequent testing/evaluation of the as-built system, component, or service.
+
+
+
Applications may deviate significantly from the functional and design specifications created during the requirements and design phases of the system development life cycle. Therefore, threat and vulnerability analyses of information systems, system components, and information system services prior to delivery are critical to the effective operation of those systems, components, and services. Threat and vulnerability analyses at this phase of the life cycle help to ensure that design or implementation changes have been accounted for, and that any new vulnerabilities created as a result of those changes have been reviewed and mitigated.
+ PM-15
+ RA-5
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to perform:
+
+ SA-11(2)[1]
+ threat analyses of the as-built, system component, or service;
+
+
+ SA-11(2)[2]
+ vulnerability analyses of the as-built, system component, or service; and
+
+
+ SA-11(2)[3]
+ subsequent testing/evaluation of the as-built, system component, or service.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing system developer security testing
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ system developer security test plans
+ records of developer security testing results for the information system, system component, or information system service
+ vulnerability scanning results
+ information system risk assessment reports
+ threat and vulnerability analysis reports
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with developer security testing responsibilities
+ system developers
+
+
+ TEST
+ Organizational processes for monitoring developer security testing and evaluation
+ automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
+
+
+
+ INDEPENDENT VERIFICATION OF ASSESSMENT PLANS / EVIDENCE
+ SA-11 (3)
+
+
The organization:
+
+ SA-11 (3)(a)
+
Requires an independent agent satisfying organization-defined independence criteria to verify the correct implementation of the developer security assessment plan and the evidence produced during security testing/evaluation; and
+
+
+ SA-11 (3)(b)
+
Ensures that the independent agent is either provided with sufficient information to complete the verification process or granted the authority to obtain such information.
+
+
+
+
Independent agents have the necessary qualifications (i.e., expertise, skills, training, and experience) to verify the correct implementation of developer security assessment plans.
+ AT-3
+ CA-7
+ RA-5
+ SA-12
+
+
+ Determine if the organization:
+
+ SA-11(3)(a)
+
+ SA-11(3)(a)[1]
+ defines independence criteria that an independent agent is required to satisfy;
+
+
+ SA-11(3)(a)[2]
+ requires an independent agent satisfying organization-defined independence criteria to verify:
+
+ SA-11(3)(a)[2][a]
+ the correct implementation of the developer security assessment plan;
+
+
+ SA-11(3)(a)[2][b]
+ the evidence produced during security testing/evaluation;
+
+
+
+
+ SA-11(3)(b)
+ ensures that the independent agent is either:
+
+ SA-11(3)(b)[1]
+ provided with sufficient information to complete the verification process; or
+
+
+ SA-11(3)(b)[2]
+ granted the authority to obtain such information.
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing system developer security testing
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ independent verification and validation reports
+ security test and evaluation plans
+ security test and evaluation results for the information system, system component, or information system service
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with developer security testing responsibilities
+ system developers
+ independent verification agent
+
+
+ TEST
+ Organizational processes for monitoring developer security testing and evaluation
+ automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
+
+
+
+ MANUAL CODE REVIEWS
+ SA-11 (4)
+
+
The organization requires the developer of the information system, system component, or information system service to perform a manual code review of organization-defined specific code using organization-defined processes, procedures, and/or techniques.
+
+
+
Manual code reviews are usually reserved for the critical software and firmware components of information systems. Such code reviews are uniquely effective at identifying weaknesses that require knowledge of the application�s requirements or context which are generally unavailable to more automated analytic tools and techniques such as static or dynamic analysis. Components benefiting from manual review include for example, verifying access control matrices against application controls and reviewing more detailed aspects of cryptographic implementations and controls.
+
+
+ Determine if the organization:
+
+ SA-11(4)[1]
+ defines specific code for which the developer of the information system, system component, or information system service is required to perform a manual code review;
+
+
+ SA-11(4)[2]
+ defines processes, procedures, and/or techniques to be used when the developer performs a manual code review of organization-defined specific code; and
+
+
+ SA-11(4)[3]
+ requires the developer of the information system, system component, or information system service to perform a manual code review of organization-defined specific code using organization-defined processes, procedures, and/or techniques.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing system developer security testing
+ processes, procedures, and/or techniques for performing manual code reviews
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ system developer security testing and evaluation plans
+ system developer security testing and evaluation results
+ list of code requiring manual reviews
+ records of manual code reviews
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with developer security testing responsibilities
+ system developers
+ independent verification agent
+
+
+ TEST
+ Organizational processes for monitoring developer security testing and evaluation
+ automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
+
+
+
+ PENETRATION TESTING
+ SA-11 (5)
+
+
The organization requires the developer of the information system, system component, or information system service to perform penetration testing at organization-defined breadth/depth and with organization-defined constraints.
+
+
+
Penetration testing is an assessment methodology in which assessors, using all available information technology product and/or information system documentation (e.g., product/system design specifications, source code, and administrator/operator manuals) and working under specific constraints, attempt to circumvent implemented security features of information technology products and information systems. Penetration testing can include, for example, white, gray, or black box testing with analyses performed by skilled security professionals simulating adversary actions. The objective of penetration testing is to uncover potential vulnerabilities in information technology products and information systems resulting from implementation errors, configuration faults, or other operational deployment weaknesses or deficiencies. Penetration tests can be performed in conjunction with automated and manual code reviews to provide greater levels of analysis than would ordinarily be possible.
+
+
+ Determine if the organization:
+
+ SA-11(5)[1]
+ defines for the developer of the information system, system component, or information system service:
+
+ SA-11(5)[1][a]
+ the breadth of penetration testing to be performed by the developer;
+
+
+ SA-11(5)[1][b]
+ the depth of penetration testing to be performed by the developer;
+
+
+
+ SA-11(5)[2]
+ defines constraints under which the developer is to perform penetration testing; and
+
+
+ SA-11(5)[3]
+ requires the developer of the information system, system component, or information system service to perform penetration testing at organization-defined breadth/depth and with organization-defined constraints.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing system developer security testing
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ system developer penetration testing and evaluation plans
+ system developer penetration testing and evaluation results
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with developer security testing responsibilities
+ system developers
+ independent verification agent
+
+
+ TEST
+ Organizational processes for monitoring developer security testing and evaluation
+ automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
+
+
+
+ ATTACK SURFACE REVIEWS
+ SA-11 (6)
+
+
The organization requires the developer of the information system, system component, or information system service to perform attack surface reviews.
+
+
+
Attack surfaces of information systems are exposed areas that make those systems more vulnerable to cyber attacks. This includes any accessible areas where weaknesses or deficiencies in information systems (including the hardware, software, and firmware components) provide opportunities for adversaries to exploit vulnerabilities. Attack surface reviews ensure that developers: (i) analyze both design and implementation changes to information systems; and (ii) mitigate attack vectors generated as a result of the changes. Correction of identified flaws includes, for example, deprecation of unsafe functions.
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to perform attack surface reviews.
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing system developer security testing
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ system developer security testing and evaluation plans
+ system developer security testing and evaluation results
+ records of attack surface reviews
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with developer security testing responsibilities
+ organizational personnel with configuration management responsibilities
+ system developers
+
+
+ TEST
+ Organizational processes for monitoring developer security testing and evaluation
+ automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
+
+
+
+ VERIFY SCOPE OF TESTING / EVALUATION
+ SA-11 (7)
+
+
The organization requires the developer of the information system, system component, or information system service to verify that the scope of security testing/evaluation provides complete coverage of required security controls at organization-defined depth of testing/evaluation.
+
+
+
Verifying that security testing/evaluation provides complete coverage of required security controls can be accomplished by a variety of analytic techniques ranging from informal to formal. Each of these techniques provides an increasing level of assurance corresponding to the degree of formality of the analysis. Rigorously demonstrating security control coverage at the highest levels of assurance can be provided by the use of formal modeling and analysis techniques including correlation between control implementation and corresponding test cases.
+
+
+ Determine if the organization:
+
+ SA-11(7)[1]
+ defines the depth of testing/evaluation to ensure the scope of security/testing evaluation provides complete coverage of required security controls; and
+
+
+ SA-11(7)[2]
+ requires the developer of the information system, system component, or information system service to verify that the scope of security testing/evaluation provides complete coverage of required security controls at the organization-defined depth of testing/evaluation.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing system developer security testing
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ system developer security testing and evaluation plans
+ system developer security testing and evaluation results
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with developer security testing responsibilities
+ system developers
+ independent verification agent
+
+
+ TEST
+ Organizational processes for monitoring developer security testing and evaluation
+ automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
+
+
+
+ DYNAMIC CODE ANALYSIS
+ SA-11 (8)
+
+
The organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.
+
+
+
Dynamic code analysis provides run-time verification of software programs, using tools capable of monitoring programs for memory corruption, user privilege issues, and other potential security problems. Dynamic code analysis employs run-time tools to help to ensure that security functionality performs in the manner in which it was designed. A specialized type of dynamic analysis, known as fuzz testing, induces program failures by deliberately introducing malformed or random data into software programs. Fuzz testing strategies derive from the intended use of applications and the functional and design specifications for the applications. To understand the scope of dynamic code analysis and hence the assurance provided, organizations may also consider conducting code coverage analysis (checking the degree to which the code has been tested using metrics such as percent of subroutines tested or percent of program statements called during execution of the test suite) and/or concordance analysis (checking for words that are out of place in software code such as non-English language words or derogatory terms).
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing system developer security testing
+ procedures addressing flaw remediation
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ system developer security test and evaluation plans
+ security test and evaluation results
+ security flaw and remediation tracking reports
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with developer security testing responsibilities
+ organizational personnel with configuration management responsibilities
+ system developers
+
+
+ TEST
+ Organizational processes for monitoring developer security testing and evaluation
+ automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
+
+
+
+ Determine if the organization:
+
+ SA-11(a)
+ requires the developer of the information system, system component, or information system service to create and implement a security plan;
+
+
+ SA-11(b)
+
+ SA-11(b)[1]
+ defines the depth of testing/evaluation to be performed by the developer of the information system, system component, or information system service;
+
+
+ SA-11(b)[2]
+ defines the coverage of testing/evaluation to be performed by the developer of the information system, system component, or information system service;
+
+
+ SA-11(b)[3]
+ requires the developer of the information system, system component, or information system service to perform one or more of the following testing/evaluation at the organization-defined depth and coverage:
+
+ SA-11(b)[3][a]
+ unit testing/evaluation;
+
+
+ SA-11(b)[3][b]
+ integration testing/evaluation;
+
+
+ SA-11(b)[3][c]
+ system testing/evaluation; and/or
+
+
+ SA-11(b)[3][d]
+ regression testing/evaluation;
+
+
+
+
+ SA-11(c)
+ requires the developer of the information system, system component, or information system service to produce evidence of:
+
+ SA-11(c)[1]
+ the execution of the security assessment plan;
+
+
+ SA-11(c)[2]
+ the results of the security testing/evaluation;
+
+
+
+ SA-11(d)
+ requires the developer of the information system, system component, or information system service to implement a verifiable flaw remediation process; and
+
+
+ SA-11(e)
+ requires the developer of the information system, system component, or information system service to correct flaws identified during security testing/evaluation.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing system developer security testing
+ procedures addressing flaw remediation
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ system developer security test plans
+ records of developer security testing results for the information system, system component, or information system service
+ security flaw and remediation tracking records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with developer security testing responsibilities
+ system developers
+
+
+ TEST
+ Organizational processes for monitoring developer security testing and evaluation
+ automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
+
+
+
+ ISO/IEC 15408
+
+
+ NIST Special Publication 800-53A
+
+
+ http://nvd.nist.gov
+
+
+ http://cwe.mitre.org
+
+
+ http://cve.mitre.org
+
+
+ http://capec.mitre.org
+
+
+
+
+ SUPPLY CHAIN PROTECTION
+ SA-12
+ P1
+ HIGH
+
+
The organization protects against supply chain threats to the information system, system component, or information system service by employing organization-defined security safeguards as part of a comprehensive, defense-in-breadth information security strategy.
+
+
+
Information systems (including system components that compose those systems) need to be protected throughout the system development life cycle (i.e., during design, development, manufacturing, packaging, assembly, distribution, system integration, operations, maintenance, and retirement). Protection of organizational information systems is accomplished through threat awareness, by the identification, management, and reduction of vulnerabilities at each phase of the life cycle and the use of complementary, mutually reinforcing strategies to respond to risk. Organizations consider implementing a standardized process to address supply chain risk with respect to information systems and system components, and to educate the acquisition workforce on threats, risk, and required security controls. Organizations use the acquisition/procurement processes to require supply chain entities to implement necessary security safeguards to: (i) reduce the likelihood of unauthorized modifications at each stage in the supply chain; and (ii) protect information systems and information system components, prior to taking delivery of such systems/components. This control also applies to information system services. Security safeguards include, for example: (i) security controls for development systems, development facilities, and external connections to development systems; (ii) vetting development personnel; and (iii) use of tamper-evident packaging during shipping/warehousing. Methods for reviewing and protecting development plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.
The organization employs organization-defined tailored acquisition strategies, contract tools, and procurement methods for the purchase of the information system, system component, or information system service from suppliers.
+
+
+
The use of acquisition and procurement processes by organizations early in the system development life cycle provides an important vehicle to protect the supply chain. Organizations use available all-source intelligence analysis to inform the tailoring of acquisition strategies, tools, and methods. There are a number of different tools and techniques available (e.g., obscuring the end use of an information system or system component, using blind or filtered buys). Organizations also consider creating incentives for suppliers who: (i) implement required security safeguards; (ii) promote transparency into their organizational processes and security practices; (iii) provide additional vetting of the processes and security practices of subordinate suppliers, critical information system components, and services; (iv) restrict purchases from specific suppliers or countries; and (v) provide contract language regarding the prohibition of tainted or counterfeit components. In addition, organizations consider minimizing the time between purchase decisions and required delivery to limit opportunities for adversaries to corrupt information system components or products. Finally, organizations can use trusted/controlled distribution, delivery, and warehousing options to reduce supply chain risk (e.g., requiring tamper-evident packaging of information system components during shipping and warehousing).
+ SA-19
+
+
+ Determine if the organization:
+
+ SA-12(1)[1]
+ defines the following to be employed for the purchase of the information system, system component, or information system service from suppliers:
+
+ SA-12(1)[1][a]
+ tailored acquisition strategies;
+
+
+ SA-12(1)[1][b]
+ contract tools;
+
+
+ SA-12(1)[1][c]
+ procurement methods; and
+
+
+
+ SA-12(1)[2]
+ employs organization-defined tailored acquisition strategies, contract tools, and procurement methods for the purchase of the information system, system component, or information system service from suppliers.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing supply chain protection
+ procedures addressing the integration of information security requirements into the acquisition process
+ procedures addressing the integration of acquisition strategies, contract tools, and procure methods into the acquisition process
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for information systems or services
+ purchase orders/requisitions for the information system
+ system component
+ or information system service from suppliers
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+ Organizational processes for defining and employing tailored acquisition strategies, contract tools, and procurement methods
+ automated mechanisms supporting and/or implementing the definition and employment of tailored acquisition strategies, contract tools, and procurement methods
+
+
+
+ SUPPLIER REVIEWS
+ SA-12 (2)
+
+
The organization conducts a supplier review prior to entering into a contractual agreement to acquire the information system, system component, or information system service.
+
+
+
Supplier reviews include, for example: (i) analysis of supplier processes used to design, develop, test, implement, verify, deliver, and support information systems, system components, and information system services; and (ii) assessment of supplier training and experience in developing systems, components, or services with the required security capability. These reviews provide organizations with increased levels of visibility into supplier activities during the system development life cycle to promote more effective supply chain risk management. Supplier reviews can also help to determine whether primary suppliers have security safeguards in place and a practice for vetting subordinate suppliers, for example, second- and third-tier suppliers, and any subcontractors.
+
+
+ Determine if the organization conducts a supplier review prior to entering into a contractual agreement to acquire the information system, system component, or information system service.
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing supply chain protection
+ procedures addressing the integration of information security requirements into the acquisition process
+ records of supplier due diligence reviews
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+ Organizational processes for conducting supplier reviews
+ automated mechanisms supporting and/or implementing supplier reviews
+
+
+
+ TRUSTED SHIPPING AND WAREHOUSING
+ SA-12 (3)
+ SA-12 (1)
+
+
The organization employs organization-defined security safeguards to limit harm from potential adversaries identifying and targeting the organizational supply chain.
+
+
+
Supply chain risk is part of the advanced persistent threat (APT). Security safeguards and countermeasures to reduce the probability of adversaries successfully identifying and targeting the supply chain include, for example: (i) avoiding the purchase of custom configurations to reduce the risk of acquiring information systems, components, or products that have been corrupted via supply chain actions targeted at specific organizations; (ii) employing a diverse set of suppliers to limit the potential harm from any given supplier in the supply chain; (iii) employing approved vendor lists with standing reputations in industry, and (iv) using procurement carve outs (i.e., exclusions to commitments or obligations).
+
+
+ Determine if the organization:
+
+ SA-12(5)[1]
+ defines security safeguards to be employed to limit harm from potential adversaries identifying and targeting the organizational supply chain; and
+
+
+ SA-12(5)[2]
+ employs organization-defined security safeguards to limit harm from potential adversaries identifying and targeting the organizational supply chain.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ configuration management policy
+ procedures addressing supply chain protection
+ procedures addressing the integration of information security requirements into the acquisition process
+ procedures addressing the baseline configuration of the information system
+ configuration management plan
+ information system design documentation
+ information system architecture and associated configuration documentation
+ solicitation documentation
+ acquisition documentation
+ acquisition contracts for the information system, system component, or information system service
+ list of security safeguards to be taken to protect organizational supply chain against potential supply chain threats
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+ Organizational processes for defining and employing safeguards to limit harm from adversaries of the organizational supply chain
+ automated mechanisms supporting and/or implementing the definition and employment of safeguards to protect the organizational supply chain
+
+
+
+ MINIMIZING PROCUREMENT TIME
+ SA-12 (6)
+ SA-12 (1)
+
+
The organization conducts an assessment of the information system, system component, or information system service prior to selection, acceptance, or update.
+
+
+
Assessments include, for example, testing, evaluations, reviews, and analyses. Independent, third-party entities or organizational personnel conduct assessments of systems, components, products, tools, and services. Organizations conduct assessments to uncover unintentional vulnerabilities and intentional vulnerabilities including, for example, malicious code, malicious processes, defective software, and counterfeits. Assessments can include, for example, static analyses, dynamic analyses, simulations, white, gray, and black box testing, fuzz testing, penetration testing, and ensuring that components or services are genuine (e.g., using tags, cryptographic hash verifications, or digital signatures). Evidence generated during security assessments is documented for follow-on actions carried out by organizations.
+ CA-2
+ SA-11
+
+
+ Determine if the organization conducts an assessment of the information system, system component, or information system service prior to:
+
+ SA-12(7)[1]
+ selection;
+
+
+ SA-12(7)[2]
+ acceptance; or
+
+
+ SA-12(7)[3]
+ update.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing supply chain protection
+ procedures addressing the integration of information security requirements into the acquisition process
+ security test and evaluation results
+ vulnerability assessment results
+ penetration testing results
+ organizational risk assessment results
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+ Organizational processes for conducting assessments prior to selection, acceptance, or update
+ automated mechanisms supporting and/or implementing the conducting of assessments prior to selection, acceptance, or update
+
+
+
+ USE OF ALL-SOURCE INTELLIGENCE
+ SA-12 (8)
+
+
The organization uses all-source intelligence analysis of suppliers and potential suppliers of the information system, system component, or information system service.
+
+
+
All-source intelligence analysis is employed by organizations to inform engineering, acquisition, and risk management decisions. All-source intelligence consists of intelligence products and/or organizations and activities that incorporate all sources of information, most frequently including human intelligence, imagery intelligence, measurement and signature intelligence, signals intelligence, and open source data in the production of finished intelligence. Where available, such information is used to analyze the risk of both intentional and unintentional vulnerabilities from development, manufacturing, and delivery processes, people, and the environment. This review is performed on suppliers at multiple tiers in the supply chain sufficient to manage risks.
+ SA-15
+
+
+ Determine if the organization uses all-source intelligence analysis of:
+
+ SA-12(8)[1]
+ suppliers of the information system, system component, or information system service; and
+
+
+ SA-12(8)[2]
+ potential suppliers of the information system, system component, or information system service.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing supply chain protection
+ solicitation documentation
+ acquisition documentation
+ acquisition contracts for the information system, system component, or information system service
+ records of all-source intelligence analyses
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+ Organizational processes for use of an all-source analysis of suppliers and potential suppliers
+ automated mechanisms supporting and/or implementing the use of all-source analysis of suppliers and potential suppliers
+
+
+
+ OPERATIONS SECURITY
+ SA-12 (9)
+
+
The organization employs organization-defined Operations Security (OPSEC) safeguards in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service.
+
+
+
Supply chain information includes, for example: user identities; uses for information systems, information system components, and information system services; supplier identities; supplier processes; security requirements; design specifications; testing and evaluation results; and system/component configurations. This control enhancement expands the scope of OPSEC to include suppliers and potential suppliers. OPSEC is a process of identifying critical information and subsequently analyzing friendly actions attendant to operations and other activities to: (i) identify those actions that can be observed by potential adversaries; (ii) determine indicators that adversaries might obtain that could be interpreted or pieced together to derive critical information in sufficient time to cause harm to organizations; (iii) implement safeguards or countermeasures to eliminate or reduce to an acceptable level, exploitable vulnerabilities; and (iv) consider how aggregated information may compromise the confidentiality of users or uses of the supply chain. OPSEC may require organizations to withhold critical mission/business information from suppliers and may include the use of intermediaries to hide the end use, or users, of information systems, system components, or information system services.
+
+
+ Determine if the organization:
+
+ SA-12(9)[1]
+ defines Operations Security (OPSEC) safeguards to be employed in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service; and
+
+
+ SA-12(9)[2]
+ employs organization-defined OPSEC safeguards in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing supply chain protection
+ solicitation documentation
+ acquisition documentation
+ acquisition contracts for the information system, system component, or information system service
+ records of all-source intelligence analyses
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+ Organizational processes for defining and employing OPSEC safeguards
+ automated mechanisms supporting and/or implementing the definition and employment of OPSEC safeguards
+
+
+
+ VALIDATE AS GENUINE AND NOT ALTERED
+ SA-12 (10)
+
+
The organization employs organization-defined security safeguards to validate that the information system or system component received is genuine and has not been altered.
+
+
+
For some information system components, especially hardware, there are technical means to help determine if the components are genuine or have been altered. Security safeguards used to validate the authenticity of information systems and information system components include, for example, optical/nanotechnology tagging and side-channel analysis. For hardware, detailed bill of material information can highlight the elements with embedded logic complete with component and production location.
+
+
+ Determine if the organization:
+
+ SA-12(10)[1]
+ defines security safeguards to be employed to validate that the information system or system component received is genuine and has not been altered; and
+
+
+ SA-12(10)[2]
+ employs organization-defined security safeguards to validate that the information system or system components received is genuine and has not been altered.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing supply chain protection
+ procedures address the integration of information security requirements into the acquisition process
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ evidentiary documentation (including applicable configurations) indicating the information system, system component, or information system service are genuine and have not been altered
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+ Organizational processes for defining and employing validation safeguards
+ automated mechanisms supporting and/or implementing the definition and employment of validation safeguards
+
+
+
+ PENETRATION TESTING / ANALYSIS OF ELEMENTS, PROCESSES, AND ACTORS
+ SA-12 (11)
+
+
The organization employs [Selection (one or more): organizational analysis, independent third-party analysis, organizational penetration testing, independent third-party penetration testing] of organization-defined supply chain elements, processes, and actors associated with the information system, system component, or information system service.
+
+
+
This control enhancement addresses analysis and/or testing of the supply chain, not just delivered items. Supply chain elements are information technology products or product components that contain programmable logic and that are critically important to information system functions. Supply chain processes include, for example: (i) hardware, software, and firmware development processes; (ii) shipping/handling procedures; (iii) personnel and physical security programs; (iv) configuration management tools/measures to maintain provenance; or (v) any other programs, processes, or procedures associated with the production/distribution of supply chain elements. Supply chain actors are individuals with specific roles and responsibilities in the supply chain. The evidence generated during analyses and testing of supply chain elements, processes, and actors is documented and used to inform organizational risk management activities and decisions.
+ RA-5
+
+
+ Determine if the organization:
+
+ SA-12(11)[1]
+ defines supply chain:
+
+ SA-12(11)[1][a]
+ elements to be analyzed and/or tested;
+
+
+ SA-12(11)[1][b]
+ processes to be analyzed and/or tested;
+
+
+ SA-12(11)[1][c]
+ actors to be analyzed and/or tested;
+
+
+
+ SA-12(11)[2]
+ employs one or more of the following to analyze and/or test organization-defined supply chain elements, processes, and actors associated with the information system, system component, or information system service:
+
+ SA-12(11)[2][a]
+ organizational analysis;
+
+
+ SA-12(11)[2][b]
+ independent third party analysis;
+
+
+ SA-12(11)[2][c]
+ organizational penetration testing; and/or
+
+
+ SA-12(11)[2][d]
+ independent third-party penetration testing.
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing supply chain protection
+ evidence of organizational analysis, independent third-party analysis, organizational penetration testing, and/or independent third-party penetration testing
+ list of supply chain elements, processes, and actors (associated with the information system, system component, or information system service) subject to analysis and/or testing
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with supply chain protection responsibilities
+ organizational personnel with responsibilities for analyzing and/or testing supply chain elements, processes, and actors
+
+
+ TEST
+ Organizational processes for defining and employing methods of analysis/testing of supply chain elements, processes, and actors
+ automated mechanisms supporting and/or implementing the analysis/testing of supply chain elements, processes, and actors
+
+
+
+ INTER-ORGANIZATIONAL AGREEMENTS
+ SA-12 (12)
+
+
The organization establishes inter-organizational agreements and procedures with entities involved in the supply chain for the information system, system component, or information system service.
+
+
+
The establishment of inter-organizational agreements and procedures provides for notification of supply chain compromises. Early notification of supply chain compromises that can potentially adversely affect or have adversely affected organizational information systems, including critical system components, is essential for organizations to provide appropriate responses to such incidents.
+
+
+ Determine if the organization establishes, with entities involved in the supply chain for the information system, system component, or information system service,:
+
+ SA-12(12)[1]
+ inter-organizational agreements; and
+
+
+ SA-12(12)[2]
+ inter-organizational procedures.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing supply chain protection
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ inter-organizational agreements and procedures
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+ Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities
+
+
+
+ CRITICAL INFORMATION SYSTEM COMPONENTS
+ SA-12 (13)
+
+
The organization employs organization-defined security safeguards to ensure an adequate supply of organization-defined critical information system components.
+
+
+
Adversaries can attempt to impede organizational operations by disrupting the supply of critical information system components or corrupting supplier operations. Safeguards to ensure adequate supplies of critical information system components include, for example: (i) the use of multiple suppliers throughout the supply chain for the identified critical components; and (ii) stockpiling of spare components to ensure operation during mission-critical times.
+
+
+ Determine if the organization:
+
+ SA-12(13)[1]
+ defines critical information system components for which security safeguards are to be employed to ensure an adequate supply of such components;
+
+
+ SA-12(13)[2]
+ defines security safeguards to be employed to ensure an adequate supply of organization-defined critical information components; and
+
+
+ SA-12(13)[3]
+ employs organization-defined security safeguards to ensure an adequate supply of organization-defined critical information system components.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing supply chain protection
+ physical inventory of critical information system components
+ inventory records of critical information system components
+ list of security safeguards ensuring adequate supply of critical information system components
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+ Organizational processes for defining and employing security safeguards to ensure an adequate supply of critical information system components
+ automated mechanisms supporting and/or implementing the security safeguards that ensure an adequate supply of critical information system components
+
+
+
+ IDENTITY AND TRACEABILITY
+ SA-12 (14)
+
+
The organization establishes and retains unique identification of organization-defined supply chain elements, processes, and actors for the information system, system component, or information system service.
+
+
+
Knowing who and what is in the supply chains of organizations is critical to gaining visibility into what is happening within such supply chains, as well as monitoring and identifying high-risk events and activities. Without reasonable visibility and traceability into supply chains (i.e., elements, processes, and actors), it is very difficult for organizations to understand and therefore manage risk, and to reduce the likelihood of adverse events. Uniquely identifying acquirer and integrator roles, organizations, personnel, mission and element processes, testing and evaluation procedures, delivery mechanisms, support mechanisms, communications/delivery paths, and disposal/final disposition activities as well as the components and tools used, establishes a foundational identity structure for assessment of supply chain activities. For example, labeling (using serial numbers) and tagging (using radio-frequency identification [RFID] tags) individual supply chain elements including software packages, modules, and hardware devices, and processes associated with those elements can be used for this purpose. Identification methods are sufficient to support the provenance in the event of a supply chain issue or adverse supply chain event.
+
+
+ Determine if the organization:
+
+ SA-12(14)[1]
+ defines the following for the establishment and retention of unique identification:
+
+ SA-12(14)[1][a]
+ supply chain elements;
+
+
+ SA-12(14)[1][b]
+ supply chain processes;
+
+
+ SA-12(14)[1][c]
+ supply chain actors; and
+
+
+
+ SA-12(14)[2]
+ establishes and retains unique identification of organization-defined supply chain elements, processes, and actors for the information system, system component, or information system service.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing supply chain protection
+ procedures addressing the integration of information security requirements into the acquisition process
+ list of supply chain elements, processes, and actors (associated with the information system, system component, or information system service) requiring implementation of unique identification processes, procedures, tools, mechanisms, equipment, techniques and/or configurations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with supply chain protection responsibilities
+ organizational personnel with responsibilities for establishing and retaining unique identification of supply chain elements, processes, and actors
+
+
+ TEST
+ Organizational processes for defining, establishing, and retaining unique identification for supply chain elements, processes, and actors
+ automated mechanisms supporting and/or implementing the definition, establishment, and retention of unique identification for supply chain elements, processes, and actors
+
+
+
+ PROCESSES TO ADDRESS WEAKNESSES OR DEFICIENCIES
+ SA-12 (15)
+
+
The organization establishes a process to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements.
+
+
+
Evidence generated during independent or organizational assessments of supply chain elements (e.g., penetration testing, audits, verification/validation activities) is documented and used in follow-on processes implemented by organizations to respond to the risks related to the identified weaknesses and deficiencies. Supply chain elements include, for example, supplier development processes and supplier distribution systems.
+
+
+ Determine if the organization establishes a process to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements.
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing supply chain protection
+ procedures addressing weaknesses or deficiencies in supply chain elements
+ results of independent or organizational assessments of supply chain controls and processes
+ acquisition contracts, service-level agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+ Organizational processes for addressing weaknesses or deficiencies in supply chain elements
+ automated mechanisms supporting and/or implementing the addressing of weaknesses or deficiencies in supply chain elements
+
+
+
+ Determine if the organization:
+
+ SA-12[1]
+ defines security safeguards to be employed to protect against supply chain threats to the information system, system component, or information system service; and
+
+
+ SA-12[2]
+ protects against supply chain threats to the information system, system component, or information system service by employing organization-defined security safeguards as part of a comprehensive, defense-in-breadth information security strategy.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing supply chain protection
+ procedures addressing the integration of information security requirements into the acquisition process
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ list of supply chain threats
+ list of security safeguards to be taken against supply chain threats
+ system development life cycle documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+ Organizational processes for defining safeguards for and protecting against supply chain threats
+ automated mechanisms supporting and/or implementing safeguards for supply chain threats
+
+
+
+ NIST Special Publication 800-161
+
+
+ NIST Interagency Report 7622
+
+
+
+
+ TRUSTWORTHINESS
+ SA-13
+ P0
+
+
The organization:
+
+ SA-13a.
+
Describes the trustworthiness required in the organization-defined information system, information system component, or information system service supporting its critical missions/business functions; and
+
+
+ SA-13b.
+
Implements organization-defined assurance overlay to achieve such trustworthiness.
+
+
+
+
This control helps organizations to make explicit trustworthiness decisions when designing, developing, and implementing information systems that are needed to conduct critical organizational missions/business functions. Trustworthiness is a characteristic/property of an information system that expresses the degree to which the system can be expected to preserve the confidentiality, integrity, and availability of the information it processes, stores, or transmits. Trustworthy information systems are systems that are capable of being trusted to operate within defined levels of risk despite the environmental disruptions, human errors, and purposeful attacks that are expected to occur in the specified environments of operation. Trustworthy systems are important to mission/business success. Two factors affecting the trustworthiness of information systems include: (i) security functionality (i.e., the security features, functions, and/or mechanisms employed within the system and its environment of operation); and (ii) security assurance (i.e., the grounds for confidence that the security functionality is effective in its application). Developers, implementers, operators, and maintainers of organizational information systems can increase the level of assurance (and trustworthiness), for example, by employing well-defined security policy models, structured and rigorous hardware, software, and firmware development techniques, sound system/security engineering principles, and secure configuration settings (defined by a set of assurance-related security controls in Appendix E).
+Assurance is also based on the assessment of evidence produced during the system development life cycle. Critical missions/business functions are supported by high-impact systems and the associated assurance requirements for such systems. The additional assurance controls in Table E-4 in Appendix E (designated as optional) can be used to develop and implement high-assurance solutions for specific information systems and system components using the concept of overlays described in Appendix I. Organizations select assurance overlays that have been developed, validated, and approved for community adoption (e.g., cross-organization, governmentwide), limiting the development of such overlays on an organization-by-organization basis. Organizations can conduct criticality analyses as described in SA-14, to determine the information systems, system components, or information system services that require high-assurance solutions. Trustworthiness requirements and assurance overlays can be described in the security plans for organizational information systems.
+ RA-2
+ SA-4
+ SA-8
+ SA-14
+ SC-3
+
+
+ Determine if the organization:
+
+ SA-13(a)
+
+ SA-13(a)[1]
+ defines information system, system component, or information system service for which the trustworthiness required is to be described;
+
+
+ SA-13(a)[2]
+ describes the trustworthiness required in organization-defined information system, information system component, or information system service supporting its critical mission/business functions;
+
+
+
+ SA-13(b)
+
+ SA-13(b)[1]
+ defines an assurance overlay to be implemented to achieve such trustworthiness; and
+
+
+ SA-13(b)[2]
+ organization implements the organization-defined assurance overlay to achieve such trustworthiness.
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing trustworthiness requirements for the information system, system component, or information system service
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ security categorization documentation/results
+ security authorization package for the information system, system component, or information system service
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ authorizing official
+
+
+
+ FIPS Publication 199
+
+
+ FIPS Publication 200
+
+
+ NIST Special Publication 800-53
+
+
+ NIST Special Publication 800-53A
+
+
+ NIST Special Publication 800-60
+
+
+ NIST Special Publication 800-64
+
+
+
+
+ CRITICALITY ANALYSIS
+ SA-14
+ P0
+
+
The organization identifies critical information system components and functions by performing a criticality analysis for organization-defined information systems, information system components, or information system services at organization-defined decision points in the system development life cycle.
+
+
+
Criticality analysis is a key tenet of supply chain risk management and informs the prioritization of supply chain protection activities such as attack surface reduction, use of all-source intelligence, and tailored acquisition strategies. Information system engineers can conduct an end-to-end functional decomposition of an information system to identify mission-critical functions and components. The functional decomposition includes the identification of core organizational missions supported by the system, decomposition into the specific functions to perform those missions, and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and beyond the information system boundary. Information system components that allow for unmediated access to critical components or functions are considered critical due to the inherent vulnerabilities such components create. Criticality is assessed in terms of the impact of the function or component failure on the ability of the component to complete the organizational missions supported by the information system. A criticality analysis is performed whenever an architecture or design is being developed or modified, including upgrades.
+
+
+
+ Determine if the organization:
+
+ SA-14[1]
+ defines information systems, information system components, or information system services requiring a criticality analysis to identify critical information system components and functions;
+
+
+ SA-14[2]
+ defines decision points in the system development life cycle when a criticality analysis is to be performed for organization-defined information systems, information system components, or information system services; and
+
+
+ SA-14[3]
+ identifies critical information system components and functions by performing a criticality analysis for organization-defined information systems, information system components, or information system services at organization-defined decisions points in the system development life cycle.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing criticality analysis requirements for information systems, security plan
+ contingency plan
+ list of information systems, information system components, or information system services requiring criticality analyses
+ list of critical information system components and functions identified by criticality analyses
+ criticality analysis documentation
+ business impact analysis documentation
+ system development life cycle documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibilities for performing criticality analysis for the information system
+
+
+
+ DEVELOPMENT PROCESS, STANDARDS, AND TOOLS
+ SA-15
+ P2
+ HIGH
+
+
The organization:
+
+ SA-15a.
+
Requires the developer of the information system, system component, or information system service to follow a documented development process that:
+
+ SA-15a.1.
+
Explicitly addresses security requirements;
+
+
+ SA-15a.2.
+
Identifies the standards and tools used in the development process;
+
+
+ SA-15a.3.
+
Documents the specific tool options and tool configurations used in the development process; and
+
+
+ SA-15a.4.
+
Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and
+
+
+
+ SA-15b.
+
Reviews the development process, standards, tools, and tool options/configurations organization-defined frequency to determine if the process, standards, tools, and tool options/configurations selected and employed can satisfy organization-defined security requirements.
+
+
+
+
Development tools include, for example, programming languages and computer-aided design (CAD) systems. Reviews of development processes can include, for example, the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes enables accurate supply chain risk assessment and mitigation, and requires robust configuration control throughout the life cycle (including design, development, transport, delivery, integration, and maintenance) to track authorized changes and prevent unauthorized changes.
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-15 (1)(a)
+
Define quality metrics at the beginning of the development process; and
+
+
+ SA-15 (1)(b)
+
Provide evidence of meeting the quality metrics [Selection (one or more): organization-defined frequency; organization-defined program review milestones; upon delivery].
+
+
+
+
Organizations use quality metrics to establish minimum acceptable levels of information system quality. Metrics may include quality gates which are collections of completion criteria or sufficiency standards representing the satisfactory execution of particular phases of the system development project. A quality gate, for example, may require the elimination of all compiler warnings or an explicit determination that the warnings have no impact on the effectiveness of required security capabilities. During the execution phases of development projects, quality gates provide clear, unambiguous indications of progress. Other metrics apply to the entire development project. These metrics can include defining the severity thresholds of vulnerabilities, for example, requiring no known vulnerabilities in the delivered information system with a Common Vulnerability Scoring System (CVSS) severity of Medium or High.
+
+
+ Determine if the organization:
+
+ SA-15(1)(a)
+ requires the developer of the information system, system component, or information system service to define quality metrics at the beginning of the development process;
+
+
+ SA-15(1)(b)
+
+ SA-15(1)(b)[1]
+ defines a frequency to provide evidence of meeting the quality metrics;
+
+
+ SA-15(1)(b)[2]
+ defines program review milestones to provide evidence of meeting the quality metrics;
+
+
+ SA-15(1)(b)[3]
+ requires the developer of the information system, system component, or information system service to provide evidence of meeting the quality metrics one or more of the following:
+
+ SA-15(1)(b)[3][a]
+ with the organization-defined frequency;
+
+
+ SA-15(1)(b)[3][b]
+ in accordance with the organization-defined program review milestones; and/or
+
+
+ SA-15(1)(b)[3][c]
+ upon delivery of the information system, system component, or information system service.
+
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing development process, standards, and tools
+ procedures addressing the integration of security requirements into the acquisition process
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ list of quality metrics
+ documentation evidence of meeting quality metrics
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system developer
+
+
+
+ SECURITY TRACKING TOOLS
+ SA-15 (2)
+
+
The organization requires the developer of the information system, system component, or information system service to select and employ a security tracking tool for use during the development process.
+
+
+
Information system development teams select and deploy security tracking tools, including, for example, vulnerability/work item tracking systems that facilitate assignment, sorting, filtering, and tracking of completed work items or tasks associated with system development processes.
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to select and employ a security tracking tool for use during the development process.
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing development process, standards, and tools
+ procedures addressing the integration of security requirements into the acquisition process
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ list of quality metrics
+ documentation evidence of meeting quality metrics
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system developer
+
+
+
+ CRITICALITY ANALYSIS
+ SA-15 (3)
+
+
The organization requires the developer of the information system, system component, or information system service to perform a criticality analysis at organization-defined breadth/depth and at organization-defined decision points in the system development life cycle.
+
+
+
This control enhancement provides developer input to the criticality analysis performed by organizations in SA-14. Developer input is essential to such analysis because organizations may not have access to detailed design documentation for information system components that are developed as commercial off-the-shelf (COTS) information technology products (e.g., functional specifications, high-level designs, low-level designs, and source code/hardware schematics).
+ SA-4
+ SA-14
+
+
+ Determine if the organization:
+
+ SA-15(3)[1]
+ defines the breadth of criticality analysis to be performed by the developer of the information system, system component, or information system service;
+
+
+ SA-15(3)[2]
+ defines the depth of criticality analysis to be performed by the developer of the information system, system component, or information system service;
+
+
+ SA-15(3)[3]
+ defines decision points in the system development life cycle when a criticality analysis is to be performed for the information system, system component, or information system service; and
+
+
+ SA-15(3)[4]
+ requires the developer of the information system, system component, or information system service to perform a criticality analysis at the organization-defined breadth/depth and at organization-defined decision points in the system development life cycle.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing development process, standards, and tools
+ procedures addressing criticality analysis requirements for the information system, system component, or information system service
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ criticality analysis documentation
+ business impact analysis documentation
+ software development life cycle documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel responsibility for performing criticality analysis
+ system developer
+
+
+ TEST
+ Organizational processes for performing criticality analysis
+ automated mechanisms supporting and/or implementing criticality analysis
+
+
+
+ THREAT MODELING / VULNERABILITY ANALYSIS
+ SA-15 (4)
+
+
The organization requires that developers perform threat modeling and a vulnerability analysis for the information system at organization-defined breadth/depth that:
+
+ SA-15 (4)(a)
+
Uses organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels;
+
+
+ SA-15 (4)(b)
+
Employs organization-defined tools and methods; and
+
+
+ SA-15 (4)(c)
+
Produces evidence that meets organization-defined acceptance criteria.
+
+
+
+ SA-4
+
+
+ Determine if the organization:
+
+ SA-15(4)[1]
+ defines the breadth of threat modeling and vulnerability analysis to be performed by developers for the information system;
+
+
+ SA-15(4)[2]
+ defines the depth of threat modeling and vulnerability analysis to be performed by developers for the information system;
+
+
+ SA-15(4)[3]
+ defines information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels to be used in threat modeling and vulnerability analysis;
+
+
+ SA-15(4)[4]
+ defines tools and methods to be employed in threat modeling and vulnerability analysis;
+
+
+ SA-15(4)[5]
+ defines acceptance criteria for evidence produced from threat modeling and vulnerability analysis;
+
+
+ SA-15(4)[6]
+ requires that developers perform threat modeling and a vulnerability analysis for the information system at the organization-defined breadth/depth that:
+
+ SA-15(4)[6](a)
+ uses organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels;
+
+
+ SA-15(4)[6](b)
+ employs organization-defined tools and methods; and
+
+
+ SA-15(4)[6](c)
+ produces evidence that meets organization-defined acceptance criteria.
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing development process, standards, and tools
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ threat modeling documentation
+ vulnerability analysis results
+ organizational risk assessments
+ acceptance criteria for evidence produced from threat modeling and vulnerability analysis
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Organizational processes for performing development threat modeling and vulnerability analysis
+ automated mechanisms supporting and/or implementing development threat modeling and vulnerability analysis
+
+
+
+ ATTACK SURFACE REDUCTION
+ SA-15 (5)
+
+
The organization requires the developer of the information system, system component, or information system service to reduce attack surfaces to organization-defined thresholds.
+
+
+
Attack surface reduction is closely aligned with developer threat and vulnerability analyses and information system architecture and design. Attack surface reduction is a means of reducing risk to organizations by giving attackers less opportunity to exploit weaknesses or deficiencies (i.e., potential vulnerabilities) within information systems, information system components, and information system services. Attack surface reduction includes, for example, applying the principle of least privilege, employing layered defenses, applying the principle of least functionality (i.e., restricting ports, protocols, functions, and services), deprecating unsafe functions, and eliminating application programming interfaces (APIs) that are vulnerable to cyber attacks.
+ CM-7
+
+
+ Determine if the organization:
+
+ SA-15(5)[1]
+ defines thresholds to which attack surfaces are to be reduced; and
+
+
+ SA-15(5)[2]
+ requires the developer of the information system, system component, or information system service to reduce attack surfaces to organization-defined thresholds.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing development process, standards, and tools
+ procedures addressing attack surface reduction
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, or information system service
+ information system design documentation
+ network diagram
+ information system configuration settings and associated documentation establishing/enforcing organization-defined thresholds for reducing attack surfaces
+ list of restricted ports, protocols, functions and services
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel responsibility for attack surface reduction thresholds
+ system developer
+
+
+ TEST
+ Organizational processes for defining attack surface reduction thresholds
+
+
+
+ CONTINUOUS IMPROVEMENT
+ SA-15 (6)
+
+
The organization requires the developer of the information system, system component, or information system service to implement an explicit process to continuously improve the development process.
+
+
+
Developers of information systems, information system components, and information system services consider the effectiveness/efficiency of current development processes for meeting quality objectives and addressing security capabilities in current threat environments.
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to implement an explicit process to continuously improve the development process.
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing development process, standards, and tools
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ quality goals and metrics for improving system development process
+ security assessments and/or quality control reviews of system development process
+ plans of action and milestones for improving system development process
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system developer
+
+
+
+ AUTOMATED VULNERABILITY ANALYSIS
+ SA-15 (7)
+
+
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-15 (7)(a)
+
Perform an automated vulnerability analysis using organization-defined tools;
+
+
+ SA-15 (7)(b)
+
Determine the exploitation potential for discovered vulnerabilities;
+
+
+ SA-15 (7)(c)
+
Determine potential risk mitigations for delivered vulnerabilities; and
+
+
+ SA-15 (7)(d)
+
Deliver the outputs of the tools and results of the analysis to organization-defined personnel or roles.
+
+
+
+ RA-5
+
+
+ Determine if the organization:
+
+ SA-15(7)(a)
+
+ SA-15(7)(a)[1]
+ defines tools to be used to perform automated vulnerability analysis of the information system, system component, or information system service;
+
+
+ SA-15(7)(a)[2]
+ requires the developer of the information system, system component, or information system service to perform an automated vulnerability analysis using organization-defined tools;
+
+
+
+ SA-15(7)(b)
+ requires the developer of the information system, system component, or information system service to determine the exploitation potential for discovered vulnerabilities;
+
+
+ SA-15(7)(c)
+ requires the developer of the information system, system component, or information system service to determine potential risk mitigations for delivered vulnerabilities;
+
+
+ SA-15(7)(d)
+
+ SA-15(7)(d)[1]
+ defines personnel or roles to whom the output of the tools and results of the analysis are to be delivered; and
+
+
+ SA-15(7)(d)[2]
+ requires the developer of the information system, system component, or information system service to deliver the outputs of the tools and results of the analysis to organization-defined personnel or roles.
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing development process, standards, and tools
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ vulnerability analysis tools and associated documentation
+ risk assessment reports
+ vulnerability analysis results
+ vulnerability mitigation reports
+ risk mitigation strategy documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel performing automated vulnerability analysis on the information system
+
+
+ TEST
+ Organizational processes for vulnerability analysis of information systems, system components, or information system services under development
+ automated mechanisms supporting and/or implementing vulnerability analysis of information systems, system components, or information system services under development
+
+
+
+ REUSE OF THREAT / VULNERABILITY INFORMATION
+ SA-15 (8)
+
+
The organization requires the developer of the information system, system component, or information system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.
+
+
+
Analysis of vulnerabilities found in similar software applications can inform potential design or implementation issues for information systems under development. Similar information systems or system components may exist within developer organizations. Authoritative vulnerability information is available from a variety of public and private sector sources including, for example, the National Vulnerability Database.
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing development process, standards, and tools
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ threat modeling and vulnerability analyses from similar information systems, system components, or information system service
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system developer
+
+
+
+ USE OF LIVE DATA
+ SA-15 (9)
+
+
The organization approves, documents, and controls the use of live data in development and test environments for the information system, system component, or information system service.
+
+
+
The use of live data in preproduction environments can result in significant risk to organizations. Organizations can minimize such risk by using test or dummy data during the development and testing of information systems, information system components, and information system services.
+
+
+ Determine if the organization, for the information system, system component, or information system service:
+
+ SA-15(9)[1]
+ approves the use of live data in development and test environments;
+
+
+ SA-15(9)[2]
+ documents the use of live data in development and test environments; and
+
+
+ SA-15(9)[3]
+ controls the use of live data in development and test environments.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing development process, standards, and tools
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ information system design documentation
+ information system configuration settings and associated documentation
+ documentation authorizing use of live data in development and test environments
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Organizational processes for approving, documenting, and controlling the use of live data in development and test environments
+ automated mechanisms supporting and/or implementing the approval, documentation, and control of the use of live data in development and test environments
+
+
+
+ INCIDENT RESPONSE PLAN
+ SA-15 (10)
+
+
The organization requires the developer of the information system, system component, or information system service to provide an incident response plan.
+
+
+
The incident response plan for developers of information systems, system components, and information system services is incorporated into organizational incident response plans to provide the type of incident response information not readily available to organizations. Such information may be extremely helpful, for example, when organizations respond to vulnerabilities in commercial off-the-shelf (COTS) information technology products.
+ IR-8
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to provide an incident response plan.
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing development process, standards, and tools
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, or services
+ acquisition documentation
+ solicitation documentation
+ service-level agreements
+ developer incident response plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system developer
+
+
+
+ ARCHIVE INFORMATION SYSTEM / COMPONENT
+ SA-15 (11)
+
+
The organization requires the developer of the information system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security review.
+
+
+
Archiving relevant documentation from the development process can provide a readily available baseline of information that can be helpful during information system/component upgrades or modifications.
+
+
+ Determine if the organization requires the developer of the information system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security review.
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing development process, standards, and tools
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, or services
+ acquisition documentation
+ solicitation documentation
+ service-level agreements
+ developer incident response plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system developer
+
+
+
+ Determine if the organization:
+
+ SA-15(a)
+ requires the developer of the information system, system component, or information system service to follow a documented development process that:
+
+ SA-15(a)(1)
+ explicitly addresses security requirements;
+
+
+ SA-15(a)(2)
+ identifies the standards and tools used in the development process;
+
+
+ SA-15(a)(3)
+
+ SA-15(a)(3)[1]
+ documents the specific tool options used in the development process;
+
+
+ SA-15(a)(3)[2]
+ documents the specific tool configurations used in the development process;
+
+
+
+ SA-15(a)(4)
+
+ SA-15(a)(4)[1]
+ documents changes to the process and/or tools used in the development;
+
+
+ SA-15(a)(4)[2]
+ manages changes to the process and/or tools used in the development;
+
+
+ SA-15(a)(4)[3]
+ ensures the integrity of changes to the process and/or tools used in the development;
+
+
+
+
+ SA-15(b)
+
+ SA-15(b)[1]
+ defines a frequency to review the development process, standards, tools, and tool options/configurations;
+
+
+ SA-15(b)[2]
+ defines security requirements to be satisfied by the process, standards, tools, and tool option/configurations selected and employed; and
+
+
+ SA-15(b)[3]
+
+ SA-15(b)[3][a]
+ reviews the development process with the organization-defined frequency to determine if the process selected and employed can satisfy organization-defined security requirements;
+
+
+ SA-15(b)[3][b]
+ reviews the development standards with the organization-defined frequency to determine if the standards selected and employed can satisfy organization-defined security requirements;
+
+
+ SA-15(b)[3][c]
+ reviews the development tools with the organization-defined frequency to determine if the tools selected and employed can satisfy organization-defined security requirements; and
+
+
+ SA-15(b)[3][d]
+ reviews the development tool options/configurations with the organization-defined frequency to determine if the tool options/configurations selected and employed can satisfy organization-defined security requirements.
+
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing development process, standards, and tools
+ procedures addressing the integration of security requirements during the development process
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ system developer documentation listing tool options/configuration guides, configuration management records
+ change control records
+ configuration control records
+ documented reviews of development process, standards, tools, and tool options/configurations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system developer
+
+
+
+ DEVELOPER-PROVIDED TRAINING
+ SA-16
+ P2
+ HIGH
+
+
The organization requires the developer of the information system, system component, or information system service to provide organization-defined training on the correct use and operation of the implemented security functions, controls, and/or mechanisms.
+
+
+
This control applies to external and internal (in-house) developers. Training of personnel is an essential element to ensure the effectiveness of security controls implemented within organizational information systems. Training options include, for example, classroom-style training, web-based/computer-based training, and hands-on training. Organizations can also request sufficient training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security functions, controls, or mechanisms.
+ AT-2
+ AT-3
+ SA-5
+
+
+ Determine if the organization:
+
+ SA-16[1]
+ defines training to be provided by the developer of the information system, system component, or information system service; and
+
+
+ SA-16[2]
+ requires the developer of the information system, system component, or information system service to provide organization-defined training on the correct use and operation of the implemented security functions, controls, and/or mechanisms.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing developer-provided training
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ developer-provided training materials
+ training records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information system security responsibilities
+ system developer
+ organizational or third-party developers with training responsibilities for the information system, system component, or information system service
+
+
+
+ DEVELOPER SECURITY ARCHITECTURE AND DESIGN
+ SA-17
+ P1
+ HIGH
+
+
The organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:
+
+ SA-17a.
+
Is consistent with and supportive of the organization�s security architecture which is established within and is an integrated part of the organization�s enterprise architecture;
+
+
+ SA-17b.
+
Accurately and completely describes the required security functionality, and the allocation of security controls among physical and logical components; and
+
+
+ SA-17c.
+
Expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.
+
+
+
+
This control is primarily directed at external developers, although it could also be used for internal (in-house) development. In contrast, PL-8 is primarily directed at internal developers to help ensure that organizations develop an information security architecture and such security architecture is integrated or tightly coupled to the enterprise architecture. This distinction is important if/when organizations outsource the development of information systems, information system components, or information system services to external entities, and there is a requirement to demonstrate consistency with the organization�s enterprise architecture and information security architecture.
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17 (1)(a)
+
Produce, as an integral part of the development process, a formal policy model describing the organization-defined elements of organizational security policy to be enforced; and
+
+
+ SA-17 (1)(b)
+
Prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented.
+
+
+
+
Formal models describe specific behaviors or security policies using formal languages, thus enabling the correctness of those behaviors/policies to be formally proven. Not all components of information systems can be modeled, and generally, formal specifications are scoped to specific behaviors or policies of interest (e.g., nondiscretionary access control policies). Organizations choose the particular formal modeling language and approach based on the nature of the behaviors/policies to be described and the available tools. Formal modeling tools include, for example, Gypsy and Zed.
+
+
+ Determine if the organization:
+
+ SA-17(1)(a)
+
+ SA-17(1)(a)[1]
+ defines elements of the organizational security policy to be enforced under a formal policy model produced by the developer as an integral part of the development process for the information system, system component, or information system service;
+
+
+ SA-17(1)(a)[2]
+ requires the developer of the information system, system component, or information system service to produce, as an integral part of the development process, a formal policy model describing the organization-defined elements of organizational security policy to be enforced; and
+
+
+
+ SA-17(1)(b)
+ requires the developer of the information system, system component, or information system service to prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ enterprise architecture policy
+ procedures addressing developer security architecture and design specification for the information system
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ design specification and security architecture documentation for the system
+ information system design documentation
+ information system configuration settings and associated documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with security architecture and design responsibilities
+
+
+
+ SECURITY-RELEVANT COMPONENTS
+ SA-17 (2)
+
+
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17 (2)(a)
+
Define security-relevant hardware, software, and firmware; and
+
+
+ SA-17 (2)(b)
+
Provide a rationale that the definition for security-relevant hardware, software, and firmware is complete.
+
+
+
+
Security-relevant hardware, software, and firmware represent the portion of the information system, component, or service that must be trusted to perform correctly in order to maintain required security properties.
+ SA-5
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17(2)(a)
+
+ SA-17(2)(a)[1]
+ define security-relevant hardware;
+
+
+ SA-17(2)(a)[2]
+ define security-relevant software;
+
+
+ SA-17(2)(a)[3]
+ define security-relevant firmware; and
+
+
+
+ SA-17(2)(b)
+ provide a rationale that the definition for security-relevant hardware, software, and firmware components is complete.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ enterprise architecture policy
+ procedures addressing developer security architecture and design specification for the information system
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ list of security-relevant hardware, software, and firmware components
+ documented rationale of completeness regarding definitions provided for security-relevant hardware, software, and firmware
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system developers
+ organizational personnel with security architecture and design responsibilities
+
+
+
+ FORMAL CORRESPONDENCE
+ SA-17 (3)
+
+
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17 (3)(a)
+
Produce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;
+
+
+ SA-17 (3)(b)
+
Show via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;
+
+
+ SA-17 (3)(c)
+
Show via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;
+
+
+ SA-17 (3)(d)
+
Show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and
+
+
+ SA-17 (3)(e)
+
Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware.
+
+
+
+
Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present have no impact on the behaviors or policies being modeled. Formal methods can be used to show that the high-level security properties are satisfied by the formal information system description, and that the formal system description is correctly implemented by a description of some lower level, for example a hardware description. Consistency between the formal top-level specification and the formal policy models is generally not amenable to being fully proven. Therefore, a combination of formal/informal methods may be needed to show such consistency. Consistency between the formal top-level specification and the implementation may require the use of an informal demonstration due to limitations in the applicability of formal methods to prove that the specification accurately reflects the implementation. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include, for example, mapping registers and direct memory input/output.
+ SA-5
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17(3)(a)
+ produce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of:
+
+ SA-17(3)(a)[1]
+ exceptions;
+
+
+ SA-17(3)(a)[2]
+ error messages;
+
+
+ SA-17(3)(a)[3]
+ effects;
+
+
+
+ SA-17(3)(b)
+ show via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;
+
+
+ SA-17(3)(c)
+ show via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;
+
+
+ SA-17(3)(d)
+ show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and
+
+
+ SA-17(3)(e)
+ describe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ enterprise architecture policy
+ formal policy model
+ procedures addressing developer security architecture and design specification for the information system
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ formal top-level specification documentation
+ information system security architecture and design documentation
+ information system design documentation
+ information system configuration settings and associated documentation
+ documentation describing security-relevant hardware, software and firmware mechanisms not addressed in the formal top-level specification documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with security architecture and design responsibilities
+
+
+
+ INFORMAL CORRESPONDENCE
+ SA-17 (4)
+
+
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17 (4)(a)
+
Produce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;
+
+
+ SA-17 (4)(b)
+
Show via [Selection: informal demonstration, convincing argument with formal methods as feasible] that the descriptive top-level specification is consistent with the formal policy model;
+
+
+ SA-17 (4)(c)
+
Show via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;
+
+
+ SA-17 (4)(d)
+
Show that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware; and
+
+
+ SA-17 (4)(e)
+
Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware.
+
+
+
+
Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present has no impact on the behaviors or policies being modeled. Consistency between the descriptive top-level specification (i.e., high-level/low-level design) and the formal policy model is generally not amenable to being fully proven. Therefore, a combination of formal/informal methods may be needed to show such consistency. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include, for example, mapping registers and direct memory input/output.
+ SA-5
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17(4)(a)
+ produce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of:
+
+ SA-17(4)(a)[1]
+ exceptions;
+
+
+ SA-17(4)(a)[2]
+ error messages;
+
+
+ SA-17(4)(a)[3]
+ effects;
+
+
+
+ SA-17(4)(b)
+ show via informal demonstration and/or convincing argument with formal methods as feasible that the descriptive top-level specification is consistent with the formal policy model;
+
+
+ SA-17(4)(c)
+ show via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;
+
+
+ SA-17(4)(d)
+ show that the descriptive top-level specification is an accurate description of the interfaces to the security-relevant hardware, software, and firmware; and
+
+
+ SA-17(4)(e)
+ describe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ enterprise architecture policy
+ formal policy model
+ procedures addressing developer security architecture and design specification for the information system
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ informal descriptive top-level specification documentation
+ information system security architecture and design documentation
+ information system design documentation
+ information system configuration settings and associated documentation
+ documentation describing security-relevant hardware, software and firmware mechanisms not addressed in the informal descriptive top-level specification documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with security architecture and design responsibilities
+
+
+
+ CONCEPTUALLY SIMPLE DESIGN
+ SA-17 (5)
+
+
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17 (5)(a)
+
Design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and
+
+
+ SA-17 (5)(b)
+
Internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.
+
+
+
+ SC-3
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17(5)(a)
+ design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and
+
+
+ SA-17(5)(b)
+ internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ enterprise architecture policy
+ procedures addressing developer security architecture and design specification for the information system
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ information system design documentation
+ information system security architecture documentation
+ information system configuration settings and associated documentation
+ developer documentation describing design and structure of security-relevant hardware, software, and firmware components
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with security architecture and design responsibilities
+
+
+
+ STRUCTURE FOR TESTING
+ SA-17 (6)
+
+
The organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate testing.
+
+
+ SA-11
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate testing.
+
+
+ EXAMINE
+ System and services acquisition policy
+ enterprise architecture policy
+ procedures addressing developer security architecture and design specification for the information system
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ information system design documentation
+ information system security architecture documentation
+ information system configuration settings and associated documentation
+ developer documentation describing design and structure of security-relevant hardware, software, and firmware components to facilitate testing
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with security architecture and design responsibilities
+
+
+
+ STRUCTURE FOR LEAST PRIVILEGE
+ SA-17 (7)
+
+
The organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege.
+
+
+ AC-5
+ AC-6
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege.
+
+
+ EXAMINE
+ System and services acquisition policy
+ enterprise architecture policy
+ procedures addressing developer security architecture and design specification for the information system
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ information system design documentation
+ information system security architecture documentation
+ information system configuration settings and associated documentation
+ developer documentation describing design and structure of security-relevant hardware, software, and firmware components to facilitate controlling access with least privilege
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with security architecture and design responsibilities
+
+
+
+ Determine if the organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:
+
+ SA-17(a)
+ is consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture;
+
+
+ SA-17(b)
+ accurately and completely describes:
+
+ SA-17(b)[1]
+ the required security functionality;
+
+
+ SA-17(b)[2]
+ the allocation of security controls among physical and logical components; and
+
+
+
+ SA-17(c)
+ expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ enterprise architecture policy
+ procedures addressing developer security architecture and design specification for the information system
+ solicitation documentation
+ acquisition documentation
+ service-level agreements
+ acquisition contracts for the information system, system component, or information system service
+ design specification and security architecture documentation for the system
+ information system design documentation
+ information system configuration settings and associated documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with security architecture and design responsibilities
+
+
+
+ TAMPER RESISTANCE AND DETECTION
+ SA-18
+ P0
+
+
The organization implements a tamper protection program for the information system, system component, or information system service.
+
+
+
Anti-tamper technologies and techniques provide a level of protection for critical information systems, system components, and information technology products against a number of related threats including modification, reverse engineering, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting information systems, components, and products during distribution and when in use.
The organization employs anti-tamper technologies and techniques during multiple phases in the system development life cycle including design, development, integration, operations, and maintenance.
+
+
+
Organizations use a combination of hardware and software techniques for tamper resistance and detection. Organizations employ obfuscation and self-checking, for example, to make reverse engineering and modifications more difficult, time-consuming, and expensive for adversaries. Customization of information systems and system components can make substitutions easier to detect and therefore limit damage.
+ SA-3
+
+
+ Determine if the organization employs anti-tamper technologies and techniques during multiple phases in the system development life cycle including:
+
+ SA-18(1)[1]
+ design;
+
+
+ SA-18(1)[2]
+ development;
+
+
+ SA-18(1)[3]
+ integration;
+
+
+ SA-18(1)[4]
+ operations; and
+
+
+ SA-18(1)[5]
+ maintenance.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing tamper resistance and detection
+ tamper protection program documentation
+ tamper protection tools and techniques documentation
+ tamper resistance and detection tools (technologies) and techniques documentation
+ system development life cycle documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for the tamper protection program
+ organizational personnel with SDLC responsibilities
+
+
+ TEST
+ Organizational processes for employing anti-tamper technologies
+ automated mechanisms supporting and/or implementing anti-tamper technologies
+
+
+
+ INSPECTION OF INFORMATION SYSTEMS, COMPONENTS, OR DEVICES
+ SA-18 (2)
+
+
The organization inspects organization-defined information systems, system components, or devices [Selection (one or more): at random; at organization-defined frequency, upon organization-defined indications of need for inspection] to detect tampering.
+
+
+
This control enhancement addresses both physical and logical tampering and is typically applied to mobile devices, notebook computers, or other system components taken out of organization-controlled areas. Indications of need for inspection include, for example, when individuals return from travel to high-risk locations.
+ SI-4
+
+
+ Determine if the organization:
+
+ SA-18(2)[1]
+ defines information systems, system components, or devices to be inspected to detect tampering;
+
+
+ SA-18(2)[2]
+ defines the frequency to inspect organization-defined information systems, system components, or devices to detect tampering;
+
+
+ SA-18(2)[3]
+ defines indications of need for inspection of organization-defined information systems, system components, or devices to detect tampering;
+
+
+ SA-18(2)[4]
+ inspects organization-defined information systems, system components, or devices to detect tampering, selecting one or more of the following:
+
+ SA-18(2)[4][a]
+ at random;
+
+
+ SA-18(2)[4][b]
+ with the organization-defined frequency; and/or
+
+
+ SA-18(2)[4][c]
+ upon organization-defined indications of need for inspection.
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing tamper resistance and detection
+ records of random inspections
+ inspection reports/results
+ assessment reports/results
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for the tamper protection program
+
+
+ TEST
+ Organizational processes for inspecting information systems, system components, or devices to detect tampering
+ automated mechanisms supporting and/or implementing tampering detection
+
+
+
+ Determine if the organization implements a tamper protection program for the information system, system component, or information system service.
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing tamper resistance and detection
+ tamper protection program documentation
+ tamper protection tools and techniques documentation
+ tamper resistance and detection tools and techniques documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for the tamper protection program
+
+
+ TEST
+ Organizational processes for implementation of the tamper protection program
+ automated mechanisms supporting and/or implementing the tamper protection program
+
+
+
+ COMPONENT AUTHENTICITY
+ SA-19
+ P0
+
+
The organization:
+
+ SA-19a.
+
Develops and implements anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the information system; and
+
+
+ SA-19b.
+
Reports counterfeit information system components to [Selection (one or more): source of counterfeit component; organization-defined external reporting organizations; organization-defined personnel or roles].
+
+
+
+
Sources of counterfeit components include, for example, manufacturers, developers, vendors, and contractors. Anti-counterfeiting policy and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include, for example, US-CERT.
The organization trains organization-defined personnel or roles to detect counterfeit information system components (including hardware, software, and firmware).
+
+
+ Determine if the organization:
+
+ SA-19(1)[1]
+ defines personnel or roles to be trained to detect counterfeit information system components (including hardware, software, and firmware); and
+
+
+ SA-19(1)[2]
+ trains organization-defined personnel or roles to detect counterfeit information system components (including hardware, software, and firmware).
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ anti-counterfeit policy and procedures
+ media disposal policy
+ media protection policy
+ incident response policy
+ training materials addressing counterfeit information system components
+ training records on detection of counterfeit information system components
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for anti-counterfeit policy, procedures, and training
+
+
+ TEST
+ Organizational processes for anti-counterfeit training
+
+
+
+ CONFIGURATION CONTROL FOR COMPONENT SERVICE / REPAIR
+ SA-19 (2)
+
+
The organization maintains configuration control over organization-defined information system components awaiting service/repair and serviced/repaired components awaiting return to service.
+
+
+ Determine if the organization:
+
+ SA-19(2)[1]
+ defines information system components requiring configuration control to be maintained when awaiting service/repair;
+
+
+ SA-19(2)[2]
+ defines information system components requiring configuration control to be maintained when awaiting return to service; and
+
+
+ SA-19(2)[3]
+ maintains configuration control over organization-defined information system components awaiting service/repairs and serviced/repaired components awaiting return to service.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ anti-counterfeit policy and procedures
+ media protection policy
+ configuration management plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ configuration control records for components awaiting service/repair
+ configuration control records for serviced/repaired components awaiting return to service
+ information system maintenance records
+ information system audit records
+ inventory management records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for anti-counterfeit policy and procedures
+ organizational personnel with responsibility for configuration management
+
+
+ TEST
+ Organizational processes for configuration management
+ automated mechanisms supporting and/or implementing configuration management
+
+
+
+ COMPONENT DISPOSAL
+ SA-19 (3)
+
+
The organization disposes of information system components using organization-defined techniques and methods.
+
+
+
Proper disposal of information system components helps to prevent such components from entering the gray market.
+
+
+ Determine if the organization:
+
+ SA-19(3)[1]
+ defines techniques and methods to dispose of information system components; and
+
+
+ SA-19(3)[2]
+ disposes of information system components using organization-defined techniques and methods.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ anti-counterfeit policy and procedures
+ media disposal policy
+ media protection policy
+ disposal records for information system components
+ documentation of disposal techniques and methods employed for information system components
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for anti-counterfeit policy and procedures
+ organizational personnel with responsibility for disposal of information system components
+
+
+ TEST
+ Organizational techniques and methods for information system component disposal
+ automated mechanisms supporting and/or implementing system component disposal
+
+
+
+ ANTI-COUNTERFEIT SCANNING
+ SA-19 (4)
+
+
The organization scans for counterfeit information system components organization-defined frequency.
+
+
+ Determine if the organization:
+
+ SA-19(4)[1]
+ defines a frequency to scan for counterfeit information system components; and
+
+
+ SA-19(4)[2]
+ scans for counterfeit information system components with the organization-defined frequency.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ anti-counterfeit policy and procedures
+ information system design documentation
+ information system configuration settings and associated documentation
+ scanning tools and associated documentation
+ scanning results
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for anti-counterfeit policy and procedures
+ organizational personnel with responsibility for anti-counterfeit scanning
+
+
+ TEST
+ Organizational processes for anti-counterfeit scanning
+ automated mechanisms supporting and/or implementing anti-counterfeit scanning
+
+
+
+ Determine if the organization:
+
+ SA-19(a)
+ develops and implements anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the information system;
+
+
+ SA-19(b)
+
+ SA-19(b)[1]
+ defines external reporting organizations to whom counterfeit information system components are to be reported;
+
+
+ SA-19(b)[2]
+ defines personnel or roles to whom counterfeit information system components are to be reported;
+
+
+ SA-19(b)[3]
+ reports counterfeit information system components to one or more of the following:
+
+ SA-19(b)[3][a]
+ the source of counterfeit component;
+
+
+ SA-19(b)[3][b]
+ the organization-defined external reporting organizations; and/or
+
+
+ SA-19(b)[3][c]
+ the organization-defined personnel or roles.
+
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ anti-counterfeit policy and procedures
+ media disposal policy
+ media protection policy
+ incident response policy
+ training materials addressing counterfeit information system components
+ training records on detection and prevention of counterfeit components from entering the information system
+ reports notifying developers/manufacturers/vendors/ contractors and/or external reporting organizations of counterfeit information system components
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for anti-counterfeit policy, procedures, and reporting
+
+
+ TEST
+ Organizational processes for anti-counterfeit detection, prevention, and reporting
+ automated mechanisms supporting and/or implementing anti-counterfeit detection, prevention, and reporting
+
+
+
+ CUSTOMIZED DEVELOPMENT OF CRITICAL COMPONENTS
+ SA-20
+ P0
+
+
The organization re-implements or custom develops organization-defined critical information system components.
+
+
+
Organizations determine that certain information system components likely cannot be trusted due to specific threats to and vulnerabilities in those components, and for which there are no viable security controls to adequately mitigate the resulting risk. Re-implementation or custom development of such components helps to satisfy requirements for higher assurance. This is accomplished by initiating changes to system components (including hardware, software, and firmware) such that the standard attacks by adversaries are less likely to succeed. In situations where no alternative sourcing is available and organizations choose not to re-implement or custom develop critical information system components, additional safeguards can be employed (e.g., enhanced auditing, restrictions on source code and system utility access, and protection from deletion of system and application files.
+ CP-2
+ SA-8
+ SA-14
+
+
+ Determine if the organization:
+
+ SA-20[1]
+ defines critical information system components to be re-implemented or custom developed; and
+
+
+ SA-20[2]
+ re-implements or custom develops organization-defined information system components.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing customized development of critical information system components
+ information system design documentation
+ information system configuration settings and associated documentation
+ system development life cycle documentation addressing custom development of critical information system components
+ configuration management records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility re-implementation or customized development of critical information system components
+
+
+ TEST
+ Organizational processes for re-implementing or customized development of critical information system components
+ automated mechanisms supporting and/or implementing re-implementation or customized development of critical information system components
+
+
+
+ DEVELOPER SCREENING
+ SA-21
+ P0
+
+
The organization requires that the developer of organization-defined information system, system component, or information system service:
+
+ SA-21a.
+
Have appropriate access authorizations as determined by assigned organization-defined official government duties; and
Because the information system, system component, or information system service may be employed in critical activities essential to the national and/or economic security interests of the United States, organizations have a strong interest in ensuring that the developer is trustworthy. The degree of trust required of the developer may need to be consistent with that of the individuals accessing the information system/component/service once deployed. Examples of authorization and personnel screening criteria include clearance, satisfactory background checks, citizenship, and nationality. Trustworthiness of developers may also include a review and analysis of company ownership and any relationships the company has with entities potentially affecting the quality/reliability of the systems, components, or services being developed.
The organization requires the developer of the information system, system component, or information system service take organization-defined actions to ensure that the required access authorizations and screening criteria are satisfied.
+
+
+
Satisfying required access authorizations and personnel screening criteria includes, for example, providing a listing of all the individuals authorized to perform development activities on the selected information system, system component, or information system service so that organizations can validate that the developer has satisfied the necessary authorization and screening requirements.
+
+
+ Determine if the organization:
+
+ SA-21(1)[1]
+ defines actions to be taken by the developer of the information system, system component, or information system service to ensure that the required access authorizations and screening criteria are satisfied; and
+
+
+ SA-21(1)[2]
+ requires the developer of the information system, system component, or information system service take organization-defined actions to ensure that the required access authorizations and screening criteria are satisfied.
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ personnel security policy and procedures
+ procedures addressing personnel screening
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of appropriate access authorizations required by developers of the information system
+ personnel screening criteria and associated documentation
+ list of actions ensuring required access authorizations and screening criteria are satisfied
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for developer screening
+ system developer
+
+
+ TEST
+ Organizational processes for developer screening
+ automated mechanisms supporting developer screening
+
+
+
+ Determine if the organization:
+
+ SA-21[1]
+ defines the information system, system component, or information system service for which the developer is to be screened;
+
+
+ SA-21[2]
+ defines official government duties to be used to determine appropriate access authorizations for the developer;
+
+
+ SA-21[3]
+ defines additional personnel screening criteria to be satisfied by the developer;
+
+
+ SA-21[4]
+
+ SA-21[4][a]
+ requires that the developer of organization-defined information system, system component, or information system service have appropriate access authorizations as determined by assigned organization-defined official government duties; and
+
+
+ SA-21[4][b]
+ requires that the developer of organization-defined information system, system component, or information system service satisfy organization-defined additional personnel screening criteria.
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ personnel security policy and procedures
+ procedures addressing personnel screening
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of appropriate access authorizations required by developers of the information system
+ personnel screening criteria and associated documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for developer screening
+
+
+ TEST
+ Organizational processes for developer screening
+ automated mechanisms supporting developer screening
+
+
+
+ UNSUPPORTED SYSTEM COMPONENTS
+ SA-22
+ P0
+
+
The organization:
+
+ SA-22a.
+
Replaces information system components when support for the components is no longer available from the developer, vendor, or manufacturer; and
+
+
+ SA-22b.
+
Provides justification and documents approval for the continued use of unsupported system components required to satisfy mission/business needs.
+
+
+
+
Support for information system components includes, for example, software patches, firmware updates, replacement parts, and maintenance contracts. Unsupported components (e.g., when vendors are no longer providing critical software patches), provide a substantial opportunity for adversaries to exploit new weaknesses discovered in the currently installed components. Exceptions to replacing unsupported system components may include, for example, systems that provide critical mission/business capability where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option.
+ PL-2
+ SA-3
+
+
+ ALTERNATIVE SOURCES FOR CONTINUED SUPPORT
+ SA-22 (1)
+
+
The organization provides [Selection (one or more): in-house support; organization-defined support from external providers] for unsupported information system components.
+
+
+
This control enhancement addresses the need to provide continued support for selected information system components that are no longer supported by the original developers, vendors, or manufacturers when such components remain essential to mission/business operations. Organizations can establish in-house support, for example, by developing customized patches for critical software components or secure the services of external providers who through contractual relationships, provide ongoing support for the designated unsupported components. Such contractual relationships can include, for example, Open Source Software value-added vendors.
+
+
+ Determine if the organization:
+
+ SA-22(1)[1]
+ defines support from external providers to be provided for unsupported information system components;
+
+
+ SA-22(1)[2]
+ provides and/or obtains support for unsupported information system components from one or more of the following:
+
+ SA-22(1)[2][a]
+ in-house support; and/or
+
+
+ SA-22(1)[2][b]
+ organization-defined support from external providers.
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing support for unsupported information system components
+ solicitation documentation
+ acquisition documentation
+ acquisition contracts
+ service-level agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility system development life cycle
+ organizational personnel or third-party external providers supporting information system components no longer supported by original developers, vendors, or manufacturers
+
+
+ TEST
+ Organizational processes for supporting system components no longer supported by original developers, vendors, or manufacturers
+ automated mechanisms providing support for system components no longer supported by original developers, vendors, or manufacturers
+
+
+
+ Determine if the organization:
+
+ SA-22(a)
+ replaces information system components when support for the components is no longer available from the developer, vendor, or manufacturer;
+
+
+ SA-22(b)
+
+ SA-22(b)[1]
+ provides justification for the continued use of unsupported system components required to satisfy mission/business needs; and
+
+
+ SA-22(b)[2]
+ documents approval for the continued use of unsupported system components required to satisfy mission/business needs.
+
+
+
+
+ EXAMINE
+ System and services acquisition policy
+ procedures addressing replacement or continued use of unsupported information system components
+ documented evidence of replacing unsupported information system components
+ documented approvals (including justification) for continued use of unsupported information system components
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and services acquisition responsibilities
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility system development life cycle
+ organizational personnel responsible for configuration management
+
+
+ TEST
+ Organizational processes for replacing unsupported system components
+ automated mechanisms supporting and/or implementing replacement of unsupported system components
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+
+ SYSTEM AND COMMUNICATIONS PROTECTION POLICY AND PROCEDURES
+ SC-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SC-1a.
+
Develops, documents, and disseminates to organization-defined personnel or roles:
+
+ SC-1a.1.
+
A system and communications protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ SC-1a.2.
+
Procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls; and
+
+
+
+ SC-1b.
+
Reviews and updates the current:
+
+ SC-1b.1.
+
System and communications protection policy organization-defined frequency; and
+
+
+ SC-1b.2.
+
System and communications protection procedures organization-defined frequency.
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+ Determine if the organization:
+
+ SC-1(a)(1)
+
+ SC-1(a)(1)[1]
+ develops and documents a system and communications protection policy that addresses:
+
+ SC-1(a)(1)[1][a]
+ purpose;
+
+
+ SC-1(a)(1)[1][b]
+ scope;
+
+
+ SC-1(a)(1)[1][c]
+ roles;
+
+
+ SC-1(a)(1)[1][d]
+ responsibilities;
+
+
+ SC-1(a)(1)[1][e]
+ management commitment;
+
+
+ SC-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ SC-1(a)(1)[1][g]
+ compliance;
+
+
+
+ SC-1(a)(1)[2]
+ defines personnel or roles to whom the system and communications protection policy is to be disseminated;
+
+
+ SC-1(a)(1)[3]
+ disseminates the system and communications protection policy to organization-defined personnel or roles;
+
+
+
+ SC-1(a)(2)
+
+ SC-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls;
+
+
+ SC-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ SC-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ SC-1(b)(1)
+
+ SC-1(b)(1)[1]
+ defines the frequency to review and update the current system and communications protection policy;
+
+
+ SC-1(b)(1)[2]
+ reviews and updates the current system and communications protection policy with the organization-defined frequency;
+
+
+
+ SC-1(b)(2)
+
+ SC-1(b)(2)[1]
+ defines the frequency to review and update the current system and communications protection procedures; and
+
+
+ SC-1(b)(2)[2]
+ reviews and updates the current system and communications protection procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ System and communications protection policy and procedures
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and communications protection responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ APPLICATION PARTITIONING
+ SC-2
+ P1
+ MODERATE
+ HIGH
+
+
The information system separates user functionality (including user interface services) from information system management functionality.
+
+
+
Information system management functionality includes, for example, functions necessary to administer databases, network components, workstations, or servers, and typically requires privileged user access. The separation of user functionality from information system management functionality is either physical or logical. Organizations implement separation of system management-related functionality from user functionality by using different computers, different central processing units, different instances of operating systems, different network addresses, virtualization techniques, or combinations of these or other methods, as appropriate. This type of separation includes, for example, web administrative interfaces that use separate authentication methods for users of any other information system resources. Separation of system and user functionality may include isolating administrative interfaces on different domains and with additional access controls.
The information system prevents the presentation of information system management-related functionality at an interface for non-privileged users.
+
+
+
This control enhancement ensures that administration options (e.g., administrator privileges) are not available to general users (including prohibiting the use of the grey-out option commonly used to eliminate accessibility to such information). Such restrictions include, for example, not presenting administration options until users establish sessions with administrator privileges.
+ AC-3
+
+
+ Determine if the information system prevents the presentation of information system management-related functionality at an interface for non-privileged users.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing application partitioning
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ non-privileged users of the information system
+ system developer
+
+
+ TEST
+ Separation of user functionality from information system management functionality
+
+
+
+ Determine if the information system separates user functionality (including user interface services) from information system management functionality.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing application partitioning
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Separation of user functionality from information system management functionality
+
+
+
+ SECURITY FUNCTION ISOLATION
+ SC-3
+ P1
+ HIGH
+
+
The information system isolates security functions from nonsecurity functions.
+
+
+
The information system isolates security functions from nonsecurity functions by means of an isolation boundary (implemented via partitions and domains). Such isolation controls access to and protects the integrity of the hardware, software, and firmware that perform those security functions. Information systems implement code separation (i.e., separation of security functions from nonsecurity functions) in a number of ways, including, for example, through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that serve to protect the code on disk, and address space protections that protect executing code. Information systems restrict access to security functions through the use of access control mechanisms and by implementing least privilege capabilities. While the ideal is for all of the code within the security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions within the isolation boundary as an exception.
The information system utilizes underlying hardware separation mechanisms to implement security function isolation.
+
+
+
Underlying hardware separation mechanisms include, for example, hardware ring architectures, commonly implemented within microprocessors, and hardware-enforced address segmentation used to support logically distinct storage objects with separate attributes (i.e., readable, writeable).
+
+
+ Determine if the information system utilizes underlying hardware separation mechanisms to implement security function isolation.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing security function isolation
+ information system design documentation
+ hardware separation mechanisms
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Separation of security functions from nonsecurity functions within the information system
+
+
+
+ ACCESS / FLOW CONTROL FUNCTIONS
+ SC-3 (2)
+
+
The information system isolates security functions enforcing access and information flow control from nonsecurity functions and from other security functions.
+
+
+
Security function isolation occurs as a result of implementation; the functions can still be scanned and monitored. Security functions that are potentially isolated from access and flow control enforcement functions include, for example, auditing, intrusion detection, and anti-virus functions.
+
+
+ Determine if the information system isolates security functions enforcing:
+
+ SC-3(2)[1]
+ access control from nonsecurity functions;
+
+
+ SC-3(2)[2]
+ information flow control from nonsecurity functions;
+
+
+ SC-3(2)[3]
+ access control from other security functions; and
+
+
+ SC-3(2)[4]
+ information flow control from other security functions.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing security function isolation
+ list of critical security functions
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Isolation of security functions enforcing access and information flow control
+
+
+
+ MINIMIZE NONSECURITY FUNCTIONALITY
+ SC-3 (3)
+
+
The organization minimizes the number of nonsecurity functions included within the isolation boundary containing security functions.
+
+
+
In those instances where it is not feasible to achieve strict isolation of nonsecurity functions from security functions, it is necessary to take actions to minimize the nonsecurity-relevant functions within the security function boundary. Nonsecurity functions contained within the isolation boundary are considered security-relevant because errors or maliciousness in such software, by virtue of being within the boundary, can impact the security functions of organizational information systems. The design objective is that the specific portions of information systems providing information security are of minimal size/complexity. Minimizing the number of nonsecurity functions in the security-relevant components of information systems allows designers and implementers to focus only on those functions which are necessary to provide the desired security capability (typically access enforcement). By minimizing nonsecurity functions within the isolation boundaries, the amount of code that must be trusted to enforce security policies is reduced, thus contributing to understandability.
+
+
+ Determine if the organization implements an information system isolation boundary to minimize the number of nonsecurity functions included within the boundary containing security functions.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing security function isolation
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing an isolation boundary
+
+
+
+ MODULE COUPLING AND COHESIVENESS
+ SC-3 (4)
+
+
The organization implements security functions as largely independent modules that maximize internal cohesiveness within modules and minimize coupling between modules.
+
+
+
The reduction in inter-module interactions helps to constrain security functions and to manage complexity. The concepts of coupling and cohesion are important with respect to modularity in software design. Coupling refers to the dependencies that one module has on other modules. Cohesion refers to the relationship between the different functions within a particular module. Good software engineering practices rely on modular decomposition, layering, and minimization to reduce and manage complexity, thus producing software modules that are highly cohesive and loosely coupled.
+
+
+ Determine if the organization implements security functions as largely independent modules that:
+
+ SC-3(4)[1]
+ maximize internal cohesiveness within modules; and
+
+
+ SC-3(4)[2]
+ minimize coupling between modules.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing security function isolation
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for maximizing internal cohesiveness within modules and minimizing coupling between modules
+ automated mechanisms supporting and/or implementing security functions as independent modules
+
+
+
+ LAYERED STRUCTURES
+ SC-3 (5)
+
+
The organization implements security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers.
+
+
+
The implementation of layered structures with minimized interactions among security functions and non-looping layers (i.e., lower-layer functions do not depend on higher-layer functions) further enables the isolation of security functions and management of complexity.
+
+
+ Determine if the organization implements security functions as a layered structure:
+
+ SC-3(5)[1]
+ minimizing interactions between layers of the design; and
+
+
+ SC-3(5)[2]
+ avoiding any dependence by lower layers on the functionality or correctness of higher layers.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing security function isolation
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for implementing security functions as a layered structure that minimizes interactions between layers and avoids dependence by lower layers on functionality/correctness of higher layers
+ automated mechanisms supporting and/or implementing security functions as a layered structure
+
+
+
+ Determine if the information system isolates security functions from nonsecurity functions.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing security function isolation
+ list of security functions to be isolated from nonsecurity functions
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Separation of security functions from nonsecurity functions within the information system
+
+
+
+ INFORMATION IN SHARED RESOURCES
+ SC-4
+ P1
+ MODERATE
+ HIGH
+
+
The information system prevents unauthorized and unintended information transfer via shared system resources.
+
+
+
This control prevents information, including encrypted representations of information, produced by the actions of prior users/roles (or the actions of processes acting on behalf of prior users/roles) from being available to any current users/roles (or current processes) that obtain access to shared system resources (e.g., registers, main memory, hard disks) after those resources have been released back to information systems. The control of information in shared resources is also commonly referred to as object reuse and residual information protection. This control does not address: (i) information remanence which refers to residual representation of data that has been nominally erased or removed; (ii) covert channels (including storage and/or timing channels) where shared resources are manipulated to violate information flow restrictions; or (iii) components within information systems for which there are only single users/roles.
The information system prevents unauthorized information transfer via shared resources in accordance with organization-defined procedures when system processing explicitly switches between different information classification levels or security categories.
+
+
+
This control enhancement applies when there are explicit changes in information processing levels during information system operations, for example, during multilevel processing and periods processing with information at different classification levels or security categories. Organization-defined procedures may include, for example, approved sanitization processes for electronically stored information.
+
+
+ Determine if:
+
+ SC-4(2)[1]
+ the organization defines procedures to be employed to ensure unauthorized information transfer via shared resources is prevented when system processing explicitly switches between different information classification levels or security categories; and
+
+
+ SC-4(2)[2]
+ the information system prevents unauthorized information transfer via shared resources in accordance with organization-defined procedures when system processing explicitly switches between different information classification levels or security categories.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing information protection in shared system resources
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Automated mechanisms preventing unauthorized transfer of information via shared system resources
+
+
+
+ Determine if the information system prevents unauthorized and unintended information transfer via shared system resources.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing information protection in shared system resources
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Automated mechanisms preventing unauthorized and unintended transfer of information via shared system resources
+
+
+
+ DENIAL OF SERVICE PROTECTION
+ SC-5
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system protects against or limits the effects of the following types of denial of service attacks: organization-defined types of denial of service attacks or references to sources for such information by employing organization-defined security safeguards.
+
+
+
A variety of technologies exist to limit, or in some cases, eliminate the effects of denial of service attacks. For example, boundary protection devices can filter certain types of packets to protect information system components on internal organizational networks from being directly affected by denial of service attacks. Employing increased capacity and bandwidth combined with service redundancy may also reduce the susceptibility to denial of service attacks.
The information system restricts the ability of individuals to launch organization-defined denial of service attacks against other information systems.
+
+
+
Restricting the ability of individuals to launch denial of service attacks requires that the mechanisms used for such attacks are unavailable. Individuals of concern can include, for example, hostile insiders or external adversaries that have successfully breached the information system and are using the system as a platform to launch cyber attacks on third parties. Organizations can restrict the ability of individuals to connect and transmit arbitrary information on the transport medium (i.e., network, wireless spectrum). Organizations can also limit the ability of individuals to use excessive information system resources. Protection against individuals having the ability to launch denial of service attacks may be implemented on specific information systems or on boundary devices prohibiting egress to potential target systems.
+
+
+ Determine if:
+
+ SC-5(1)[1]
+ the organization defines denial of service attacks for which the information system is required to restrict the ability of individuals to launch such attacks against other information systems; and
+
+
+ SC-5(1)[2]
+ the information system restricts the ability of individuals to launch organization-defined denial of service attacks against other information systems.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing denial of service protection
+ information system design documentation
+ security plan
+ list of denial of service attacks launched by individuals against information systems
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with incident response responsibilities
+ system developer
+
+
+ TEST
+ Automated mechanisms restricting the ability to launch denial of service attacks against other information systems
+
+
+
+ EXCESS CAPACITY / BANDWIDTH / REDUNDANCY
+ SC-5 (2)
+
+
The information system manages excess capacity, bandwidth, or other redundancy to limit the effects of information flooding denial of service attacks.
+
+
+
Managing excess capacity ensures that sufficient capacity is available to counter flooding attacks. Managing excess capacity may include, for example, establishing selected usage priorities, quotas, or partitioning.
+
+
+ Determine if the information system, to limit the effects of information flooding denial of service attacks, manages:
+
+ SC-5(2)[1]
+ excess capacity;
+
+
+ SC-5(2)[2]
+ bandwidth; or
+
+
+ SC-5(2)[3]
+ other redundancy.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing denial of service protection
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with incident response responsibilities
+ system developer
+
+
+ TEST
+ Automated mechanisms implementing management of information system bandwidth, capacity, and redundancy to limit the effects of information flooding denial of service attacks
+
+
+
+ DETECTION / MONITORING
+ SC-5 (3)
+
+
The organization:
+
+ SC-5 (3)(a)
+
Employs organization-defined monitoring tools to detect indicators of denial of service attacks against the information system; and
+
+
+ SC-5 (3)(b)
+
Monitors organization-defined information system resources to determine if sufficient resources exist to prevent effective denial of service attacks.
+
+
+
+
Organizations consider utilization and capacity of information system resources when managing risk from denial of service due to malicious attacks. Denial of service attacks can originate from external or internal sources. Information system resources sensitive to denial of service include, for example, physical disk storage, memory, and CPU cycles. Common safeguards to prevent denial of service attacks related to storage utilization and capacity include, for example, instituting disk quotas, configuring information systems to automatically alert administrators when specific storage capacity thresholds are reached, using file compression technologies to maximize available storage space, and imposing separate partitions for system and user data.
+ CA-7
+ SI-4
+
+
+ Determine if the organization:
+
+ SC-5(3)(a)
+
+ SC-5(3)(a)[1]
+ defines monitoring tools to be employed to detect indicators of denial of service attacks against the information system;
+
+
+ SC-5(3)(a)[2]
+ employs organization-defined monitoring tools to detect indicators of denial of service attacks against the information system;
+
+
+
+ SC-5(3)(b)
+
+ SC-5(3)(b)[1]
+ defines information system resources to be monitored to determine if sufficient resources exist to prevent effective denial of service attacks; and
+
+
+ SC-5(3)(b)[2]
+ monitors organization-defined information system resources to determine if sufficient resources exist to prevent effective denial of service attacks.
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing denial of service protection
+ information system design documentation
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with detection and monitoring responsibilities
+
+
+ TEST
+ Automated mechanisms/tools implementing information system monitoring for denial of service attacks
+
+
+
+ Determine if:
+
+ SC-5[1]
+ the organization defines types of denial of service attacks or reference to source of such information for the information system to protect against or limit the effects;
+
+
+ SC-5[2]
+ the organization defines security safeguards to be employed by the information system to protect against or limit the effects of organization-defined types of denial of service attacks; and
+
+
+ SC-5[3]
+ the information system protects against or limits the effects of the organization-defined denial or service attacks (or reference to source for such information) by employing organization-defined security safeguards.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing denial of service protection
+ information system design documentation
+ security plan
+ list of denial of services attacks requiring employment of security safeguards to protect against or limit effects of such attacks
+ list of security safeguards protecting against or limiting the effects of denial of service attacks
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with incident response responsibilities
+ system developer
+
+
+ TEST
+ Automated mechanisms protecting against or limiting the effects of denial of service attacks
+
+
+
+ RESOURCE AVAILABILITY
+ SC-6
+ P0
+
+
The information system protects the availability of resources by allocating organization-defined resources by [Selection (one or more); priority; quota; organization-defined security safeguards].
+
+
+
Priority protection helps prevent lower-priority processes from delaying or interfering with the information system servicing any higher-priority processes. Quotas prevent users or processes from obtaining more than predetermined amounts of resources. This control does not apply to information system components for which there are only single users/roles.
+
+
+ Determine if:
+
+ SC-6[1]
+ the organization defines resources to be allocated to protect the availability of resources;
+
+
+ SC-6[2]
+ the organization defines security safeguards to be employed to protect the availability of resources;
+
+
+ SC-6[3]
+ the information system protects the availability of resources by allocating organization-defined resources by one or more of the following:
+
+ SC-6[3][a]
+ priority;
+
+
+ SC-6[3][b]
+ quota; and/or
+
+
+ SC-6[3][c]
+ organization-defined safeguards.
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing prioritization of information system resources
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing resource allocation capability
+ safeguards employed to protect availability of resources
+
+
+
+ BOUNDARY PROTECTION
+ SC-7
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system:
+
+ SC-7a.
+
Monitors and controls communications at the external boundary of the system and at key internal boundaries within the system;
+
+
+ SC-7b.
+
Implements subnetworks for publicly accessible system components that are [Selection: physically; logically] separated from internal organizational networks; and
+
+
+ SC-7c.
+
Connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.
+
+
+
+
Managed interfaces include, for example, gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture (e.g., routers protecting firewalls or application gateways residing on protected subnetworks). Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational information systems includes, for example, restricting external web traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses. Organizations consider the shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers, and may also include third party-provided access lines and other service elements. Such transmission services may represent sources of increased risk despite contract security provisions.
The organization limits the number of external network connections to the information system.
+
+
+
Limiting the number of external network connections facilitates more comprehensive monitoring of inbound and outbound communications traffic. The Trusted Internet Connection (TIC) initiative is an example of limiting the number of external network connections.
+
+
+ Determine if the organization limits the number of external network connections to the information system.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ information system design documentation
+ boundary protection hardware and software
+ information system architecture and configuration documentation
+ information system configuration settings and associated documentation
+ communications and network traffic monitoring logs
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Automated mechanisms implementing boundary protection capability
+ automated mechanisms limiting the number of external network connections to the information system
+
+
+
+ EXTERNAL TELECOMMUNICATIONS SERVICES
+ SC-7 (4)
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SC-7 (4)(a)
+
Implements a managed interface for each external telecommunication service;
+
+
+ SC-7 (4)(b)
+
Establishes a traffic flow policy for each managed interface;
+
+
+ SC-7 (4)(c)
+
Protects the confidentiality and integrity of the information being transmitted across each interface;
+
+
+ SC-7 (4)(d)
+
Documents each exception to the traffic flow policy with a supporting mission/business need and duration of that need; and
+
+
+ SC-7 (4)(e)
+
Reviews exceptions to the traffic flow policy organization-defined frequency and removes exceptions that are no longer supported by an explicit mission/business need.
+
+
+
+ SC-8
+
+
+ Determine if the organization:
+
+ SC-7(4)(a)
+ implements a managed interface for each external telecommunication service;
+
+
+ SC-7(4)(b)
+ establishes a traffic flow policy for each managed interface;
+
+
+ SC-7(4)(c)
+ protects the confidentiality and integrity of the information being transmitted across each interface;
+
+
+ SC-7(4)(d)
+ documents each exception to the traffic flow policy with:
+
+ SC-7(4)(d)[1]
+ a supporting mission/business need;
+
+
+ SC-7(4)(d)[2]
+ duration of that need;
+
+
+
+ SC-7(4)(e)
+
+ SC-7(4)(e)[1]
+ defines a frequency to review exceptions to traffic flow policy;
+
+
+ SC-7(4)(e)[2]
+ reviews exceptions to the traffic flow policy with the organization-defined frequency; and
+
+
+ SC-7(4)(e)[3]
+ removes traffic flow policy exceptions that are no longer supported by an explicit mission/business need
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ traffic flow policy
+ information flow control policy
+ procedures addressing boundary protection
+ information system security architecture
+ information system design documentation
+ boundary protection hardware and software
+ information system architecture and configuration documentation
+ information system configuration settings and associated documentation
+ records of traffic flow policy exceptions
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Organizational processes for documenting and reviewing exceptions to the traffic flow policy
+ organizational processes for removing exceptions to the traffic flow policy
+ automated mechanisms implementing boundary protection capability
+ managed interfaces implementing traffic flow policy
+
+
+
+ DENY BY DEFAULT / ALLOW BY EXCEPTION
+ SC-7 (5)
+ MODERATE
+ HIGH
+
+
The information system at managed interfaces denies network communications traffic by default and allows network communications traffic by exception (i.e., deny all, permit by exception).
+
+
+
This control enhancement applies to both inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those connections which are essential and approved are allowed.
+
+
+ Determine if the information system, at managed interfaces:
+
+ SC-7(5)[1]
+ denies network traffic by default; and
+
+
+ SC-7(5)[2]
+ allows network traffic by exception.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Automated mechanisms implementing traffic management at managed interfaces
+
+
+
+ RESPONSE TO RECOGNIZED FAILURES
+ SC-7 (6)
+ SC-7 (18)
+
+
+ Incorporated into SC-7 (18).
+
+
+
+ PREVENT SPLIT TUNNELING FOR REMOTE DEVICES
+ SC-7 (7)
+ MODERATE
+ HIGH
+
+
The information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks.
+
+
+
This control enhancement is implemented within remote devices (e.g., notebook computers) through configuration settings to disable split tunneling in those devices, and by preventing those configuration settings from being readily configurable by users. This control enhancement is implemented within the information system by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. Split tunneling might be desirable by remote users to communicate with local information system resources such as printers/file servers. However, split tunneling would in effect allow unauthorized external connections, making the system more vulnerable to attack and to exfiltration of organizational information. The use of VPNs for remote connections, when adequately provisioned with appropriate security controls, may provide the organization with sufficient assurance that it can effectively treat such connections as non-remote connections from the confidentiality and integrity perspective. VPNs thus provide a means for allowing non-remote communications paths from remote devices. The use of an adequately provisioned VPN does not eliminate the need for preventing split tunneling.
+
+
+ Determine if the information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ information system design documentation
+ information system hardware and software
+ information system architecture
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Automated mechanisms implementing boundary protection capability
+ automated mechanisms supporting/restricting non-remote connections
+
+
+
+ ROUTE TRAFFIC TO AUTHENTICATED PROXY SERVERS
+ SC-7 (8)
+ HIGH
+
+
The information system routes organization-defined internal communications traffic to organization-defined external networks through authenticated proxy servers at managed interfaces.
+
+
+
External networks are networks outside of organizational control. A proxy server is a server (i.e., information system or application) that acts as an intermediary for clients requesting information system resources (e.g., files, connections, web pages, or services) from other organizational servers. Client requests established through an initial connection to the proxy server are evaluated to manage complexity and to provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers providing access to the Internet. Proxy servers support logging individual Transmission Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites.
+ AC-3
+ AU-2
+
+
+ Determine if:
+
+ SC-7(8)[1]
+ the organization defines internal communications traffic to be routed to external networks;
+
+
+ SC-7(8)[2]
+ the organization defines external networks to which organization-defined internal communications traffic is to be routed; and
+
+
+ SC-7(8)[3]
+ the information system routes organization-defined internal communications traffic to organization-defined external networks through authenticated proxy servers at managed interfaces.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ information system design documentation
+ information system hardware and software
+ information system architecture
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Automated mechanisms implementing traffic management through authenticated proxy servers at managed interfaces
+
+
+
+ RESTRICT THREATENING OUTGOING COMMUNICATIONS TRAFFIC
+ SC-7 (9)
+
+
The information system:
+
+ SC-7 (9)(a)
+
Detects and denies outgoing communications traffic posing a threat to external information systems; and
+
+
+ SC-7 (9)(b)
+
Audits the identity of internal users associated with denied communications.
+
+
+
+
Detecting outgoing communications traffic from internal actions that may pose threats to external information systems is sometimes termed extrusion detection. Extrusion detection at information system boundaries as part of managed interfaces includes the analysis of incoming and outgoing communications traffic searching for indications of internal threats to the security of external systems. Such threats include, for example, traffic indicative of denial of service attacks and traffic containing malicious code.
+ AU-2
+ AU-6
+ SC-38
+ SC-44
+ SI-3
+ SI-4
+
+
+ Determine if the information system:
+
+ SC-7(9)(a)
+
+ SC-7(9)(a)[1]
+ detects outgoing communications traffic posing a threat to external information systems; and
+
+
+ SC-7(9)(a)[2]
+ denies outgoing communications traffic posing a threat to external information systems; and
+
+
+
+ SC-7(9)(b)
+ audits the identity of internal users associated with denied communications.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ information system design documentation
+ information system hardware and software
+ information system architecture
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Automated mechanisms implementing boundary protection capability
+ automated mechanisms implementing detection and denial of threatening outgoing communications traffic
+ automated mechanisms implementing auditing of outgoing communications traffic
+
+
+
+ PREVENT UNAUTHORIZED EXFILTRATION
+ SC-7 (10)
+
+
The organization prevents the unauthorized exfiltration of information across managed interfaces.
+
+
+
Safeguards implemented by organizations to prevent unauthorized exfiltration of information from information systems include, for example: (i) strict adherence to protocol formats; (ii) monitoring for beaconing from information systems; (iii) monitoring for steganography; (iv) disconnecting external network interfaces except when explicitly needed; (v) disassembling and reassembling packet headers; and (vi) employing traffic profile analysis to detect deviations from the volume/types of traffic expected within organizations or call backs to command and control centers. Devices enforcing strict adherence to protocol formats include, for example, deep packet inspection firewalls and XML gateways. These devices verify adherence to protocol formats and specification at the application layer and serve to identify vulnerabilities that cannot be detected by devices operating at the network or transport layers. This control enhancement is closely associated with cross-domain solutions and system guards enforcing information flow requirements.
+ SI-3
+
+
+ Determine if the organization prevents the unauthorized exfiltration of information across managed interfaces.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Automated mechanisms implementing boundary protection capability
+ preventing unauthorized exfiltration of information across managed interfaces
+
+
+
+ RESTRICT INCOMING COMMUNICATIONS TRAFFIC
+ SC-7 (11)
+
+
The information system only allows incoming communications from organization-defined authorized sources to be routed to organization-defined authorized destinations.
+
+
+
This control enhancement provides determinations that source and destination address pairs represent authorized/allowed communications. Such determinations can be based on several factors including, for example, the presence of source/destination address pairs in lists of authorized/allowed communications, the absence of address pairs in lists of unauthorized/disallowed pairs, or meeting more general rules for authorized/allowed source/destination pairs.
+ AC-3
+
+
+ Determine if:
+
+ SC-7(11)[1]
+ the organization defines internal communications traffic to be routed to external networks;
+
+
+ SC-7(11)[2]
+ the organization defines authorized destinations only to which that incoming communications from organization-defined authorized sources may be routed; and
+
+
+ SC-7(11)[3]
+ the information system only allows incoming communications from organization-defined authorized sources to be routed to organization-defined authorized destinations.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Automated mechanisms implementing boundary protection capabilities with respect to source/destination address pairs
+
+
+
+ HOST-BASED PROTECTION
+ SC-7 (12)
+
+
The organization implements organization-defined host-based boundary protection mechanisms at organization-defined information system components.
+
+
+
Host-based boundary protection mechanisms include, for example, host-based firewalls. Information system components employing host-based boundary protection mechanisms include, for example, servers, workstations, and mobile devices.
+
+
+ Determine if the organization:
+
+ SC-7(12)[1]
+ defines host-based boundary protection mechanisms;
+
+
+ SC-7(12)[2]
+ defines information system components where organization-defined host-based boundary protection mechanisms are to be implemented; and
+
+
+ SC-7(12)[3]
+ implements organization-defined host-based boundary protection mechanisms at organization-defined information system components.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ information system design documentation
+ boundary protection hardware and software
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with boundary protection responsibilities
+ information system users
+
+
+ TEST
+ Automated mechanisms implementing host-based boundary protection capabilities
+
+
+
+ ISOLATION OF SECURITY TOOLS / MECHANISMS / SUPPORT COMPONENTS
+ SC-7 (13)
+
+
The organization isolates organization-defined information security tools, mechanisms, and support components from other internal information system components by implementing physically separate subnetworks with managed interfaces to other components of the system.
+
+
+
Physically separate subnetworks with managed interfaces are useful, for example, in isolating computer network defenses from critical operational processing networks to prevent adversaries from discovering the analysis and forensics techniques of organizations.
+ SA-8
+ SC-2
+ SC-3
+
+
+ Determine if the organization:
+
+ SC-7(13)[1]
+ defines information security tools, mechanisms, and support components to be isolated from other internal information system components; and
+
+
+ SC-7(13)[2]
+ isolates organization-defined information security tools, mechanisms, and support components from other internal information system components by implementing physically separate subnetworks with managed interfaces to other components of the system.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ information system design documentation
+ information system hardware and software
+ information system architecture
+ information system configuration settings and associated documentation
+ list of security tools and support components to be isolated from other internal information system components
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing isolation of information security tools, mechanisms, and support components
+
+
+
+ PROTECTS AGAINST UNAUTHORIZED PHYSICAL CONNECTIONS
+ SC-7 (14)
+
+
The organization protects against unauthorized physical connections at organization-defined managed interfaces.
+
+
+
Information systems operating at different security categories or classification levels may share common physical and environmental controls, since the systems may share space within organizational facilities. In practice, it is possible that these separate information systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved, for example, by employing clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls enforcing limited authorized access to these items.
+ PE-4
+ PE-19
+
+
+ Determine if the organization:
+
+ SC-7(14)[1]
+ defines managed interfaces to be protected against unauthorized physical connections; and
+
+
+ SC-7(14)[2]
+ protects against unauthorized physical connections at organization-defined managed interfaces.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ information system design documentation
+ information system hardware and software
+ information system architecture
+ information system configuration settings and associated documentation
+ facility communications and wiring diagram
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing protection against unauthorized physical connections
+
+
+
+ ROUTE PRIVILEGED NETWORK ACCESSES
+ SC-7 (15)
+
+
The information system routes all networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.
+
+
+ AC-2
+ AC-3
+ AU-2
+ SI-4
+
+
+ Determine if the information system routes all networked, privileged accesses through a dedicated, managed interface for the purposes of:
+
+ SC-7(15)[1]
+ access control; and
+
+
+ SC-7(15)[2]
+ auditing.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ information system design documentation
+ information system hardware and software
+ information system architecture
+ information system configuration settings and associated documentation
+ audit logs
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing the routing of networked, privileged access through dedicated managed interfaces
+
+
+
+ PREVENT DISCOVERY OF COMPONENTS / DEVICES
+ SC-7 (16)
+
+
The information system prevents discovery of specific system components composing a managed interface.
+
+
+
This control enhancement protects network addresses of information system components that are part of managed interfaces from discovery through common tools and techniques used to identify devices on networks. Network addresses are not available for discovery (e.g., network address not published or entered in domain name systems), requiring prior knowledge for access. Another obfuscation technique is to periodically change network addresses.
+
+
+ Determine if the information system prevents discovery of specific system components composing a managed interface.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ information system design documentation
+ information system hardware and software
+ information system architecture
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing the prevention of discovery of system components at managed interfaces
+
+
+
+ AUTOMATED ENFORCEMENT OF PROTOCOL FORMATS
+ SC-7 (17)
+
+
The information system enforces adherence to protocol formats.
+
+
+
Information system components that enforce protocol formats include, for example, deep packet inspection firewalls and XML gateways. Such system components verify adherence to protocol formats/specifications (e.g., IEEE) at the application layer and identify significant vulnerabilities that cannot be detected by devices operating at the network or transport layers.
+ SC-4
+
+
+ Determine if the information system enforces adherence to protocol formats.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ information system design documentation
+ information system architecture
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing enforcement of adherence to protocol formats
+
+
+
+ FAIL SECURE
+ SC-7 (18)
+ HIGH
+
+
The information system fails securely in the event of an operational failure of a boundary protection device.
+
+
+
Fail secure is a condition achieved by employing information system mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces (e.g., routers, firewalls, guards, and application gateways residing on protected subnetworks commonly referred to as demilitarized zones), information systems do not enter into unsecure states where intended security properties no longer hold. Failures of boundary protection devices cannot lead to, or cause information external to the devices to enter the devices, nor can failures permit unauthorized information releases.
+ CP-2
+ SC-24
+
+
+ Determine if the information system fails securely in the event of an operational failure of a boundary protection device.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ information system design documentation
+ information system architecture
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing secure failure
+
+
+
+ BLOCKS COMMUNICATION FROM NON-ORGANIZATIONALLY CONFIGURED HOSTS
+ SC-7 (19)
+
+
The information system blocks both inbound and outbound communications traffic between organization-defined communication clients that are independently configured by end users and external service providers.
+
+
+
Communication clients independently configured by end users and external service providers include, for example, instant messaging clients. Traffic blocking does not apply to communication clients that are configured by organizations to perform authorized functions.
+
+
+ Determine if the organization:
+
+ SC-7(19)[1]
+ defines communication clients that are independently configured by end users and external service providers; and
+
+
+ SC-7(19)[2]
+ blocks, between organization-defined communication clients that are independently configured by end users and external service providers,:
+
+ SC-7(19)[2][a]
+ inbound communications traffic; and
+
+
+ SC-7(19)[2][b]
+ outbound communications traffic.
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ information system design documentation
+ information system hardware and software
+ information system architecture
+ information system configuration settings and associated documentation
+ list of communication clients independently configured by end users and external service providers
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing the blocking of inbound and outbound communications traffic between communication clients independently configured by end users and external service providers
+
+
+
+ DYNAMIC ISOLATION / SEGREGATION
+ SC-7 (20)
+
+
The information system provides the capability to dynamically isolate/segregate organization-defined information system components from other components of the system.
+
+
+
The capability to dynamically isolate or segregate certain internal components of organizational information systems is useful when it is necessary to partition or separate certain components of dubious origin from those components possessing greater trustworthiness. Component isolation reduces the attack surface of organizational information systems. Isolation of selected information system components is also a means of limiting the damage from successful cyber attacks when those attacks occur.
+
+
+ Determine if:
+
+ SC-7(20)[1]
+ the organization defines information system components to be dynamically isolated/segregated from other components of the system; and
+
+
+ SC-7(20)[2]
+ the information system provides the capability to dynamically isolate/segregate organization-defined information system components from other components of the system.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ information system design documentation
+ information system hardware and software
+ information system architecture
+ information system configuration settings and associated documentation
+ list of information system components to be dynamically isolated/segregated from other components of the system
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing the capability to dynamically isolate/segregate information system components
+
+
+
+ ISOLATION OF INFORMATION SYSTEM COMPONENTS
+ SC-7 (21)
+ HIGH
+
+
The organization employs boundary protection mechanisms to separate organization-defined information system components supporting organization-defined missions and/or business functions.
+
+
+
Organizations can isolate information system components performing different missions and/or business functions. Such isolation limits unauthorized information flows among system components and also provides the opportunity to deploy greater levels of protection for selected components. Separating system components with boundary protection mechanisms provides the capability for increased protection of individual components and to more effectively control information flows between those components. This type of enhanced protection limits the potential harm from cyber attacks and errors. The degree of separation provided varies depending upon the mechanisms chosen. Boundary protection mechanisms include, for example, routers, gateways, and firewalls separating system components into physically separate networks or subnetworks, cross-domain devices separating subnetworks, virtualization techniques, and encrypting information flows among system components using distinct encryption keys.
+ CA-9
+ SC-3
+
+
+ Determine if the organization:
+
+ SC-7(21)[1]
+ defines information system components to be separated by boundary protection mechanisms;
+
+
+ SC-7(21)[2]
+ defines missions and/or business functions to be supported by organization-defined information system components separated by boundary protection mechanisms; and
+
+
+ SC-7(21)[3]
+ employs boundary protection mechanisms to separate organization-defined information system components supporting organization-defined missions and/or business functions.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ information system design documentation
+ information system hardware and software
+ enterprise architecture documentation
+ information system architecture
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing the capability to separate information system components supporting organizational missions and/or business functions
+
+
+
+ SEPARATE SUBNETS FOR CONNECTING TO DIFFERENT SECURITY DOMAINS
+ SC-7 (22)
+
+
The information system implements separate network addresses (i.e., different subnets) to connect to systems in different security domains.
+
+
+
Decomposition of information systems into subnets helps to provide the appropriate level of protection for network connections to different security domains containing information with different security categories or classification levels.
+
+
+ Determine if the information system implements separate network addresses (i.e., different subnets) to connect to systems in different security domains.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ information system design documentation
+ information system hardware and software
+ information system architecture
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing separate network addresses/different subnets
+
+
+
+ DISABLE SENDER FEEDBACK ON PROTOCOL VALIDATION FAILURE
+ SC-7 (23)
+
+
The information system disables feedback to senders on protocol format validation failure.
+
+
+
Disabling feedback to senders when there is a failure in protocol validation format prevents adversaries from obtaining information which would otherwise be unavailable.
+
+
+ Determine if the information system disables feedback to senders on protocol format validation failure.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ information system design documentation
+ information system hardware and software
+ information system architecture
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing the disabling of feedback to senders on protocol format validation failure
+
+
+
+ Determine if the information system:
+
+ SC-7(a)
+
+ SC-7(a)[1]
+ monitors communications at the external boundary of the information system;
+
+
+ SC-7(a)[2]
+ monitors communications at key internal boundaries within the system;
+
+
+ SC-7(a)[3]
+ controls communications at the external boundary of the information system;
+
+
+ SC-7(a)[4]
+ controls communications at key internal boundaries within the system;
+
+
+
+ SC-7(b)
+ implements subnetworks for publicly accessible system components that are either:
+
+ SC-7(b)[1]
+ physically separated from internal organizational networks; and/or
+
+
+ SC-7(b)[2]
+ logically separated from internal organizational networks; and
+
+
+
+ SC-7(c)
+ connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing boundary protection
+ list of key internal boundaries of the information system
+ information system design documentation
+ boundary protection hardware and software
+ information system configuration settings and associated documentation
+ enterprise security architecture documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with boundary protection responsibilities
+
+
+ TEST
+ Automated mechanisms implementing boundary protection capability
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-41
+
+
+ NIST Special Publication 800-77
+
+
+
+
+ TRANSMISSION CONFIDENTIALITY AND INTEGRITY
+ SC-8
+ P1
+ MODERATE
+ HIGH
+
+
The information system protects the [Selection (one or more): confidentiality; integrity] of transmitted information.
+
+
+
This control applies to both internal and external networks and all types of information system components from which information can be transmitted (e.g., servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile machines). Communication paths outside the physical protection of a controlled boundary are exposed to the possibility of interception and modification. Protecting the confidentiality and/or integrity of organizational information can be accomplished by physical means (e.g., by employing protected distribution systems) or by logical means (e.g., employing encryption techniques). Organizations relying on commercial providers offering transmission services as commodity services rather than as fully dedicated services (i.e., services which can be highly specialized to individual customer needs), may find it difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission confidentiality/integrity. In such situations, organizations determine what types of confidentiality/integrity services are available in standard, commercial telecommunication service packages. If it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, organizations implement appropriate compensating security controls or explicitly accept the additional risk.
The information system implements cryptographic mechanisms to [Selection (one or more): prevent unauthorized disclosure of information; detect changes to information] during transmission unless otherwise protected by organization-defined alternative physical safeguards.
+
+
+
Encrypting information for transmission protects information from unauthorized disclosure and modification. Cryptographic mechanisms implemented to protect information integrity include, for example, cryptographic hash functions which have common application in digital signatures, checksums, and message authentication codes. Alternative physical security safeguards include, for example, protected distribution systems.
+ SC-13
+
+
+ Determine if:
+
+ SC-8(1)[1]
+ the organization defines physical safeguards to be implemented to protect information during transmission when cryptographic mechanisms are not implemented; and
+
+
+ SC-8(1)[2]
+ the information system implements cryptographic mechanisms to do one or more of the following during transmission unless otherwise protected by organization-defined alternative physical safeguards:
+
+ SC-8(1)[2][a]
+ prevent unauthorized disclosure of information; and/or
+
+
+ SC-8(1)[2][b]
+ detect changes to information.
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing transmission confidentiality and integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Cryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity
+ automated mechanisms supporting and/or implementing alternative physical safeguards
+ organizational processes for defining and implementing alternative physical safeguards
+
+
+
+ PRE / POST TRANSMISSION HANDLING
+ SC-8 (2)
+
+
The information system maintains the [Selection (one or more): confidentiality; integrity] of information during preparation for transmission and during reception.
+
+
+
Information can be either unintentionally or maliciously disclosed or modified during preparation for transmission or during reception including, for example, during aggregation, at protocol transformation points, and during packing/unpacking. These unauthorized disclosures or modifications compromise the confidentiality or integrity of the information.
+ AU-10
+
+
+ Determine if the information system maintains one or more of the following:
+
+ SC-8(2)[1]
+ confidentiality of information during preparation for transmission;
+
+
+ SC-8(2)[2]
+ confidentiality of information during reception; and/or
+
+
+ SC-8(2)[3]
+ integrity of information during preparation for transmission;
+
+
+ SC-8(2)[4]
+ integrity of information during reception.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing transmission confidentiality and integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing transmission confidentiality and/or integrity
+
+
+
+ CRYPTOGRAPHIC PROTECTION FOR MESSAGE EXTERNALS
+ SC-8 (3)
+
+
The information system implements cryptographic mechanisms to protect message externals unless otherwise protected by organization-defined alternative physical safeguards.
+
+
+
This control enhancement addresses protection against unauthorized disclosure of information. Message externals include, for example, message headers/routing information. This control enhancement prevents the exploitation of message externals and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Header/routing information is sometimes transmitted unencrypted because the information is not properly identified by organizations as having significant value or because encrypting the information can result in lower network performance and/or higher costs. Alternative physical safeguards include, for example, protected distribution systems.
+ SC-12
+ SC-13
+
+
+ Determine if:
+
+ SC-8(3)[1]
+ the organization defines alternative physical safeguards to be implemented to protect message externals; and
+
+
+ SC-8(3)[2]
+ the information system implements cryptographic mechanisms to protect message externals unless otherwise protected by organization-defined alternative physical safeguards.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing transmission confidentiality and integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Cryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity for message externals
+ automated mechanisms supporting and/or implementing alternative physical safeguards
+ organizational processes for defining and implementing alternative physical safeguards
+
+
+
+ CONCEAL / RANDOMIZE COMMUNICATIONS
+ SC-8 (4)
+
+
The information system implements cryptographic mechanisms to conceal or randomize communication patterns unless otherwise protected by organization-defined alternative physical safeguards.
+
+
+
This control enhancement addresses protection against unauthorized disclosure of information. Communication patterns include, for example, frequency, periods, amount, and predictability. Changes to communications patterns can reveal information having intelligence value especially when combined with other available information related to missions/business functions supported by organizational information systems. This control enhancement prevents the derivation of intelligence based on communications patterns and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Encrypting the links and transmitting in continuous, fixed/random patterns prevents the derivation of intelligence from the system communications patterns. Alternative physical safeguards include, for example, protected distribution systems.
+ SC-12
+ SC-13
+
+
+ Determine if:
+
+ SC-8(4)[1]
+ the organization defines alternative physical safeguards to be implemented to protect against unauthorized disclosure of communication patterns;
+
+
+ SC-8(4)[2]
+ the information system, unless otherwise protected by organization-defined alternative physical safeguards, implements cryptographic mechanisms to:
+
+ SC-8(4)[2][a]
+ conceal communication patterns; or
+
+
+ SC-8(4)[2][b]
+ randomize communication patterns.
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing transmission confidentiality and integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Cryptographic mechanisms supporting and/or implementing concealment or randomization of communications patterns
+ automated mechanisms supporting and/or implementing alternative physical safeguards
+ organizational processes for defining and implementing alternative physical safeguards
+
+
+
+ Determine if the information system protects one or more of the following:
+
+ SC-8[1]
+ confidentiality of transmitted information; and/or
+
+
+ SC-8[2]
+ integrity of transmitted information.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing transmission confidentiality and integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing transmission confidentiality and/or integrity
+
+
+
+ FIPS Publication 140-2
+
+
+ FIPS Publication 197
+
+
+ NIST Special Publication 800-52
+
+
+ NIST Special Publication 800-77
+
+
+ NIST Special Publication 800-81
+
+
+ NIST Special Publication 800-113
+
+
+ CNSS Policy 15
+
+
+ NSTISSI No. 7003
+
+
+
+
+ TRANSMISSION CONFIDENTIALITY
+ SC-9
+ SC-8
+
+
The information system terminates the network connection associated with a communications session at the end of the session or after organization-defined time period of inactivity.
+
+
+
This control applies to both internal and external networks. Terminating network connections associated with communications sessions include, for example, de-allocating associated TCP/IP address/port pairs at the operating system level, or de-allocating networking assignments at the application level if multiple application sessions are using a single, operating system-level network connection. Time periods of inactivity may be established by organizations and include, for example, time periods by type of network access or for specific network accesses.
+
+
+ Determine if:
+
+ SC-10[1]
+ the organization defines a time period of inactivity after which the information system terminates a network connection associated with a communications session; and
+
+
+ SC-10[2]
+ the information system terminates the network connection associated with a communication session at the end of the session or after the organization-defined time period of inactivity.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing network disconnect
+ information system design documentation
+ security plan
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing network disconnect capability
+
+
+
+ TRUSTED PATH
+ SC-11
+ P0
+
+
The information system establishes a trusted communications path between the user and the following security functions of the system: organization-defined security functions to include at a minimum, information system authentication and re-authentication.
+
+
+
Trusted paths are mechanisms by which users (through input devices) can communicate directly with security functions of information systems with the requisite assurance to support information security policies. The mechanisms can be activated only by users or the security functions of organizational information systems. User responses via trusted paths are protected from modifications by or disclosure to untrusted applications. Organizations employ trusted paths for high-assurance connections between security functions of information systems and users (e.g., during system logons). Enforcement of trusted communications paths is typically provided via an implementation that meets the reference monitor concept.
The information system provides a trusted communications path that is logically isolated and distinguishable from other paths.
+
+
+ Determine if the information system provides a trusted communications path that is:
+
+ SC-11(1)[1]
+ logically isolated; and
+
+
+ SC-11(1)[2]
+ distinguishable from other paths.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing trusted communications paths
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ assessment results from independent, testing organizations
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing trusted communications paths
+
+
+
+ Determine if:
+
+ SC-11[1]
+ the organization defines security functions of the information system;
+
+
+ SC-11[2]
+ the organization-defined security functions include at a minimum, information system authentication and re-authentication; and
+
+
+ SC-11[3]
+ the information system establishes a trusted communications path between the user and the organization-defined security functions of the system.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing trusted communications paths
+ security plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ assessment results from independent, testing organizations
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing trusted communications paths
+
+
+
+ CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT
+ SC-12
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization establishes and manages cryptographic keys for required cryptography employed within the information system in accordance with organization-defined requirements for key generation, distribution, storage, access, and destruction.
+
+
+
Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance, specifying appropriate options, levels, and parameters. Organizations manage trust stores to ensure that only approved trust anchors are in such trust stores. This includes certificates with visibility external to organizational information systems and certificates related to the internal operations of systems.
The organization maintains availability of information in the event of the loss of cryptographic keys by users.
+
+
+
Escrowing of encryption keys is a common practice for ensuring availability in the event of loss of keys (e.g., due to forgotten passphrase).
+
+
+ Determine if the organization maintains availability of information in the event of the loss of cryptographic keys by users.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing cryptographic key establishment, management, and recovery
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibilities for cryptographic key establishment or management
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing cryptographic key establishment and management
+
+
+
+ SYMMETRIC KEYS
+ SC-12 (2)
+
+
The organization produces, controls, and distributes symmetric cryptographic keys using [Selection: NIST FIPS-compliant; NSA-approved] key management technology and processes.
+
+
+ Determine if the organization produces, controls, and distributes symmetric cryptographic keys using one of the following:
+
+ SC-12(2)[1]
+ NIST FIPS-compliant key management technology and processes; or
+
+
+ SC-12(2)[2]
+ NSA-approved key management technology and processes.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing cryptographic key establishment and management
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of FIPS validated cryptographic products
+ list of NSA-approved cryptographic products
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with responsibilities for cryptographic key establishment or management
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing symmetric cryptographic key establishment and management
+
+
+
+ ASYMMETRIC KEYS
+ SC-12 (3)
+
+
The organization produces, controls, and distributes asymmetric cryptographic keys using [Selection: NSA-approved key management technology and processes; approved PKI Class 3 certificates or prepositioned keying material; approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user�s private key].
+
+
+ Determine if the organization produces, controls, and distributes asymmetric cryptographic keys using one of the following:
+
+ SC-12(3)[1]
+ NSA-approved key management technology and processes;
+
+
+ SC-12(3)[2]
+ approved PKI Class 3 certificates or prepositioned keying material; or
+
+
+ SC-12(3)[3]
+ approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user’s private key.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing cryptographic key establishment and management
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of NSA-approved cryptographic products
+ list of approved PKI Class 3 and Class 4 certificates
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with responsibilities for cryptographic key establishment or management
+ organizational personnel with responsibilities for PKI certificates
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing asymmetric cryptographic key establishment and management
+
+
+
+ PKI CERTIFICATES
+ SC-12 (4)
+ SC-12
+
+
+
+
+
+ Determine if the organization:
+
+ SC-12[1]
+ defines requirements for cryptographic key:
+
+ SC-12[1][a]
+ generation;
+
+
+ SC-12[1][b]
+ distribution;
+
+
+ SC-12[1][c]
+ storage;
+
+
+ SC-12[1][d]
+ access;
+
+
+ SC-12[1][e]
+ destruction; and
+
+
+
+ SC-12[2]
+ establishes and manages cryptographic keys for required cryptography employed within the information system in accordance with organization-defined requirements for key generation, distribution, storage, access, and destruction.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing cryptographic key establishment and management
+ information system design documentation
+ cryptographic mechanisms
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibilities for cryptographic key establishment and/or management
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing cryptographic key establishment and management
+
+
+
+ NIST Special Publication 800-56
+
+
+ NIST Special Publication 800-57
+
+
+
+
+ CRYPTOGRAPHIC PROTECTION
+ SC-13
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system implements organization-defined cryptographic uses and type of cryptography required for each use in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.
+
+
+
Cryptography can be employed to support a variety of security solutions including, for example, the protection of classified and Controlled Unclassified Information, the provision of digital signatures, and the enforcement of information separation when authorized individuals have the necessary clearances for such information but lack the necessary formal access approvals. Cryptography can also be used to support random number generation and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. This control does not impose any requirements on organizations to use cryptography. However, if cryptography is required based on the selection of other security controls, organizations define each type of cryptographic use and the type of cryptography required (e.g., protection of classified information: NSA-approved cryptography; provision of digital signatures: FIPS-validated cryptography).
+
+
+
+ Determine if:
+
+ SC-13[1]
+ the organization defines cryptographic uses; and
+
+
+ SC-13[2]
+ the organization defines the type of cryptography required for each use; and
+
+
+ SC-13[3]
+ the information system implements the organization-defined cryptographic uses and type of cryptography required for each use in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing cryptographic protection
+ information system design documentation
+ information system configuration settings and associated documentation
+ cryptographic module validation certificates
+ list of FIPS validated cryptographic modules
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with responsibilities for cryptographic protection
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing cryptographic protection
+
+
+
+ FIPS Publication 140
+
+
+ http://csrc.nist.gov/cryptval
+
+
+ http://www.cnss.gov
+
+
+
+
+ PUBLIC ACCESS PROTECTIONS
+ SC-14
+ AC-2
+ AC-3
+ AC-5
+ AC-6
+ SI-3
+ SI-4
+ SI-5
+ SI-7
+ SI-10
+
+
Prohibits remote activation of collaborative computing devices with the following exceptions: organization-defined exceptions where remote activation is to be allowed; and
+
+
+ SC-15b.
+
Provides an explicit indication of use to users physically present at the devices.
+
+
+
+
Collaborative computing devices include, for example, networked white boards, cameras, and microphones. Explicit indication of use includes, for example, signals to users when collaborative computing devices are activated.
+ AC-21
+
+
+ PHYSICAL DISCONNECT
+ SC-15 (1)
+
+
The information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.
+
+
+
Failing to physically disconnect from collaborative computing devices can result in subsequent compromises of organizational information. Providing easy methods to physically disconnect from such devices after a collaborative computing session helps to ensure that participants actually carry out the disconnect activity without having to go through complex and tedious procedures.
+
+
+ Determine if the information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing collaborative computing
+ access control policy and procedures
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with responsibilities for managing collaborative computing devices
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing physical disconnect of collaborative computing devices
+
+
+
+ BLOCKING INBOUND / OUTBOUND COMMUNICATIONS TRAFFIC
+ SC-15 (2)
+ SC-7
+
+
+ Incorporated into SC-7.
+
+
+
+ DISABLING / REMOVAL IN SECURE WORK AREAS
+ SC-15 (3)
+
+
The organization disables or removes collaborative computing devices from organization-defined information systems or information system components in organization-defined secure work areas.
+
+
+
Failing to disable or remove collaborative computing devices from information systems or information system components can result in subsequent compromises of organizational information including, for example, eavesdropping on conversations.
+
+
+ Determine if the organization:
+
+ SC-15(3)[1]
+ defines information systems or information system components from which collaborative computing devices are to be disabled or removed;
+
+
+ SC-15(3)[2]
+ defines secure work areas where collaborative computing devices are to be disabled or removed from information systems or information system components placed in such work areas; and
+
+
+ SC-15(3)[3]
+ disables or removes collaborative computing devices from organization-defined information systems or information system components in organization-defined secure work areas.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing collaborative computing
+ access control policy and procedures
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of secure work areas
+ information systems or information system components in secured work areas where collaborative computing devices are to be disabled or removed
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibilities for managing collaborative computing devices
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing the capability to disable collaborative computing devices
+
+
+
+ EXPLICITLY INDICATE CURRENT PARTICIPANTS
+ SC-15 (4)
+
+
The information system provides an explicit indication of current participants in organization-defined online meetings and teleconferences.
+
+
+
This control enhancement helps to prevent unauthorized individuals from participating in collaborative computing sessions without the explicit knowledge of other participants.
+
+
+ Determine if:
+
+ SC-15(4)[1]
+ the organization defines online meetings and teleconferences for which an explicit indication of current participants is to be provided; and
+
+
+ SC-15(4)[2]
+ the information system provides an explicit indication of current participants in organization-defined meetings and teleconferences.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing collaborative computing
+ access control policy and procedures
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ list of types of meetings and teleconferences requiring explicit indication of current participants
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibilities for managing collaborative computing devices
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing the capability to indicate participants on collaborative computing devices
+
+
+
+ Determine if:
+
+ SC-15(a)
+
+ SC-15(a)[1]
+ the organization defines exceptions where remote activation of collaborative computing devices is to be allowed;
+
+
+ SC-15(a)[2]
+ the information system prohibits remote activation of collaborative computing devices, except for organization-defined exceptions where remote activation is to be allowed; and
+
+
+
+ SC-15(b)
+ the information system provides an explicit indication of use to users physically present at the devices.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing collaborative computing
+ access control policy and procedures
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with responsibilities for managing collaborative computing devices
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing management of remote activation of collaborative computing devices
+ automated mechanisms providing an indication of use of collaborative computing devices
+
+
+
+ TRANSMISSION OF SECURITY ATTRIBUTES
+ SC-16
+ P0
+
+
The information system associates organization-defined security attributes with information exchanged between information systems and between system components.
+
+
+
Security attributes can be explicitly or implicitly associated with the information contained in organizational information systems or system components.
The information system validates the integrity of transmitted security attributes.
+
+
+
This control enhancement ensures that the verification of the integrity of transmitted information includes security attributes.
+ AU-10
+ SC-8
+
+
+ Determine if the information system validates the integrity of transmitted security attributes.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing transmission of security attributes
+ access control policy and procedures
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing validation of the integrity of transmitted security attributes
+
+
+
+ Determine if:
+
+ SC-16[1]
+ the organization defines security attributes to be associated with information exchanged:
+
+ SC-16[1][a]
+ between information systems;
+
+
+ SC-16[1][b]
+ between system components;
+
+
+
+ SC-16[2]
+ the information system associates organization-defined security attributes with information exchanged:
+
+ SC-16[2][a]
+ between information systems; and
+
+
+ SC-16[2][b]
+ between system components.
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing transmission of security attributes
+ access control policy and procedures
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing transmission of security attributes between information systems
+
+
+
+ PUBLIC KEY INFRASTRUCTURE CERTIFICATES
+ SC-17
+ P1
+ MODERATE
+ HIGH
+
+
The organization issues public key certificates under an organization-defined certificate policy or obtains public key certificates from an approved service provider.
+
+
+
For all certificates, organizations manage information system trust stores to ensure only approved trust anchors are in the trust stores. This control addresses both certificates with visibility external to organizational information systems and certificates related to the internal operations of systems, for example, application-specific time services.
+ SC-12
+
+
+ Determine if the organization:
+
+ SC-17[1]
+ defines a certificate policy for issuing public key certificates;
+
+
+ SC-17[2]
+ issues public key certificates:
+
+ SC-17[2][a]
+ under an organization-defined certificate policy: or
+
+
+ SC-17[2][b]
+ obtains public key certificates from an approved service provider.
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing public key infrastructure certificates
+ public key certificate policy or policies
+ public key issuing process
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibilities for issuing public key certificates
+ service providers
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing the management of public key infrastructure certificates
+
+
+
+ OMB Memorandum 05-24
+
+
+ NIST Special Publication 800-32
+
+
+ NIST Special Publication 800-63
+
+
+
+
+ MOBILE CODE
+ SC-18
+ P2
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SC-18a.
+
Defines acceptable and unacceptable mobile code and mobile code technologies;
+
+
+ SC-18b.
+
Establishes usage restrictions and implementation guidance for acceptable mobile code and mobile code technologies; and
+
+
+ SC-18c.
+
Authorizes, monitors, and controls the use of mobile code within the information system.
+
+
+
+
Decisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices (e.g., smart phones). Mobile code policy and procedures address preventing the development, acquisition, or introduction of unacceptable mobile code within organizational information systems.
The information system identifies organization-defined unacceptable mobile code and takes organization-defined corrective actions.
+
+
+
Corrective actions when unacceptable mobile code is detected include, for example, blocking, quarantine, or alerting administrators. Blocking includes, for example, preventing transmission of word processing files with embedded macros when such macros have been defined to be unacceptable mobile code.
+
+
+ Determine if:
+
+ SC-18(1)[1]
+ the organization defines unacceptable mobile code to be identified by the information system;
+
+
+ SC-18(1)[2]
+ the organization defines correctives actions to be taken when the information system identifies organization-defined unacceptable mobile code;
+
+
+ SC-18(1)[3]
+ the information system:
+
+ SC-18(1)[3][a]
+ identifies organization-defined unacceptable mobile code; and
+
+
+ SC-18(1)[3][b]
+ takes organization-defined corrective actions.
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing mobile code
+ mobile code usage restrictions, mobile code implementation policy and procedures
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of unacceptable mobile code
+ list of corrective actions to be taken when unacceptable mobile code is identified
+ information system monitoring records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with responsibilities for managing mobile code
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing mobile code detection, inspection, and corrective capability
+
+
+
+ ACQUISITION / DEVELOPMENT / USE
+ SC-18 (2)
+
+
The organization ensures that the acquisition, development, and use of mobile code to be deployed in the information system meets organization-defined mobile code requirements.
+
+
+ Determine if the organization:
+
+ SC-18(2)[1]
+ defines requirements for:
+
+ SC-18(2)[1][a]
+ the acquisition of mobile code;
+
+
+ SC-18(2)[1][b]
+ the development of mobile code;
+
+
+ SC-18(2)[1][c]
+ the use of mobile code; and
+
+
+
+ SC-18(2)[2]
+ ensures that the acquisition, development, and use of mobile code to be deployed in the information system meets organization-defined mobile code requirements.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing mobile code
+ mobile code requirements
+ mobile code usage restrictions, mobile code implementation policy and procedures
+ acquisition documentation
+ acquisition contracts for information system, system component, or information system service
+ system development life cycle documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibilities for managing mobile code
+ organizational personnel with acquisition and contracting responsibilities
+
+
+ TEST
+ Organizational processes for the acquisition, development, and use of mobile code
+
+
+
+ PREVENT DOWNLOADING / EXECUTION
+ SC-18 (3)
+
+
The information system prevents the download and execution of organization-defined unacceptable mobile code.
+
+
+ Determine if:
+
+ SC-18(3)[1]
+ the organization defines unacceptable mobile code to be prevented from downloading and execution;
+
+
+ SC-18(3)[2]
+ the information system prevents the:
+
+ SC-18(3)[2][a]
+ download of organization-defined unacceptable mobile code; and
+
+
+ SC-18(3)[2][b]
+ execution of organization-defined unacceptable mobile code.
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing mobile code
+ mobile code usage restrictions, mobile code implementation policy and procedures
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with responsibilities for managing mobile code
+
+
+ TEST
+ Automated mechanisms preventing download and execution of unacceptable mobile code
+
+
+
+ PREVENT AUTOMATIC EXECUTION
+ SC-18 (4)
+
+
The information system prevents the automatic execution of mobile code in organization-defined software applications and enforces organization-defined actions prior to executing the code.
+
+
+
Actions enforced before executing mobile code, include, for example, prompting users prior to opening electronic mail attachments. Preventing automatic execution of mobile code includes, for example, disabling auto execute features on information system components employing portable storage devices such as Compact Disks (CDs), Digital Video Disks (DVDs), and Universal Serial Bus (USB) devices.
+
+
+ Determine if:
+
+ SC-18(4)[1]
+ the organization defines software applications in which the automatic execution of mobile code is to be prohibited;
+
+
+ SC-18(4)[2]
+ the organization defines actions to be enforced by the information system prior to executing mobile code;
+
+
+ SC-18(4)[3]
+ the information system prevents the automatic execution of mobile code in the organization-defined software applications; and
+
+
+ SC-18(4)[4]
+ the information system enforces organization-defined actions prior to executing the code.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing mobile code
+ mobile code usage restrictions
+ mobile code implementation policy and procedures
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of software applications for which automatic execution of mobile code must be prohibited
+ list of actions required before execution of mobile code
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with responsibilities for managing mobile code
+
+
+ TEST
+ Automated mechanisms preventing automatic execution of unacceptable mobile code
+ automated mechanisms enforcing actions to be taken prior to the execution of the mobile code
+
+
+
+ ALLOW EXECUTION ONLY IN CONFINED ENVIRONMENTS
+ SC-18 (5)
+
+
The organization allows execution of permitted mobile code only in confined virtual machine environments.
+
+
+ Determine if the organization allows execution of permitted mobile code only in confined virtual machine environments.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing mobile code
+ mobile code usage allowances
+ mobile code usage restrictions
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of confined virtual machine environments for which execution of organizationally-acceptable mobile code is allowed
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel with responsibilities for managing mobile code
+
+
+ TEST
+ Automated mechanisms allowing execution of permitted mobile code in confined virtual machine environments
+
+
+
+ Determine if the organization:
+
+ SC-18(a)
+ defines acceptable and unacceptable mobile code and mobile code technologies;
+
+
+ SC-18(b)
+
+ SC-18(b)[1]
+ establishes usage restrictions for acceptable mobile code and mobile code technologies;
+
+
+ SC-18(b)[2]
+ establishes implementation guidance for acceptable mobile code and mobile code technologies;
+
+
+
+ SC-18(c)
+
+ SC-18(c)[1]
+ authorizes the use of mobile code within the information system;
+
+
+ SC-18(c)[2]
+ monitors the use of mobile code within the information system; and
+
+
+ SC-18(c)[3]
+ controls the use of mobile code within the information system.
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing mobile code
+ mobile code usage restrictions, mobile code implementation policy and procedures
+ list of acceptable mobile code and mobile code technologies
+ list of unacceptable mobile code and mobile technologies
+ authorization records
+ information system monitoring records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibilities for managing mobile code
+
+
+ TEST
+ Organizational process for controlling, authorizing, monitoring, and restricting mobile code
+ automated mechanisms supporting and/or implementing the management of mobile code
+ automated mechanisms supporting and/or implementing the monitoring of mobile code
+
+
+
+ NIST Special Publication 800-28
+
+
+ DoD Instruction 8552.01
+
+
+
+
+ VOICE OVER INTERNET PROTOCOL
+ SC-19
+ P1
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SC-19a.
+
Establishes usage restrictions and implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously; and
+
+
+ SC-19b.
+
Authorizes, monitors, and controls the use of VoIP within the information system.
+
+
+
+ CM-6
+ SC-7
+ SC-15
+
+
+ Determine if the organization:
+
+ SC-19(a)
+
+ SC-19(a)[1]
+ establishes usage restrictions for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously;
+
+
+ SC-19(a)[2]
+ establishes implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously;
+
+
+
+ SC-19(b)
+
+ SC-19(b)[1]
+ authorizes the use of VoIP within the information system;
+
+
+ SC-19(b)[2]
+ monitors the use of VoIP within the information system; and
+
+
+ SC-19(b)[3]
+ controls the use of VoIP within the information system.
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing VoIP
+ VoIP usage restrictions
+ VoIP implementation guidance
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system monitoring records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibilities for managing VoIP
+
+
+ TEST
+ Organizational process for authorizing, monitoring, and controlling VoIP
+ automated mechanisms supporting and/or implementing authorizing, monitoring, and controlling VoIP
+
+
+
+ NIST Special Publication 800-58
+
+
+
+
+ SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)
+ SC-20
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system:
+
+ SC-20a.
+
Provides additional data origin authentication and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries; and
+
+
+ SC-20b.
+
Provides the means to indicate the security status of child zones and (if the child supports secure resolution services) to enable verification of a chain of trust among parent and child domains, when operating as part of a distributed, hierarchical namespace.
+
+
+
+
This control enables external clients including, for example, remote Internet clients, to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. Information systems that provide name and address resolution services include, for example, domain name system (DNS) servers. Additional artifacts include, for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS resource records are examples of authoritative data. The means to indicate the security status of child zones includes, for example, the use of delegation signer resource records in the DNS. The DNS security controls reflect (and are referenced from) OMB Memorandum 08-23. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to assure the authenticity and integrity of response data.
The information system provides data origin and integrity protection artifacts for internal name/address resolution queries.
+
+
+ Determine if the information system provides data origin and integrity protection artifacts for internal name/address resolution queries.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing secure name/address resolution service (authoritative source)
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibilities for managing DNS
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing data origin and integrity protection for internal name/address resolution service queries
+
+
+
+ Determine if the information system:
+
+ SC-20(a)
+ provides additional data origin and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries;
+
+
+ SC-20(b)
+ provides the means to, when operating as part of a distributed, hierarchical namespace:
+
+ SC-20(b)[1]
+ indicate the security status of child zones; and
+
+
+ SC-20(b)[2]
+ enable verification of a chain of trust among parent and child domains (if the child supports secure resolution services).
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing secure name/address resolution service (authoritative source)
+ information system design documentation
+ information system configuration settings and associated documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibilities for managing DNS
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing secure name/address resolution service
+
+
+
+ OMB Memorandum 08-23
+
+
+ NIST Special Publication 800-81
+
+
+
+
+ SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)
+ SC-21
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system requests and performs data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources.
+
+
+
Each client of name resolution services either performs this validation on its own, or has authenticated channels to trusted validation providers. Information systems that provide name and address resolution services for local clients include, for example, recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to enable clients to verify the authenticity and integrity of response data.
+
+
+
+ Determine if the information system:
+
+ SC-21[1]
+ requests data origin authentication on the name/address resolution responses the system receives from authoritative sources;
+
+
+ SC-21[2]
+ requests data integrity verification on the name/address resolution responses the system receives from authoritative sources;
+
+
+ SC-21[3]
+ performs data origin authentication on the name/address resolution responses the system receives from authoritative sources; and
+
+
+ SC-21[4]
+ performs data integrity verification on the name/address resolution responses the system receives from authoritative sources.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing secure name/address resolution service (recursive or caching resolver)
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibilities for managing DNS
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing data origin authentication and data integrity verification for name/address resolution services
+
+
+
+ NIST Special Publication 800-81
+
+
+
+
+ ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE
+ SC-22
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal/external role separation.
+
+
+
Information systems that provide name and address resolution services include, for example, domain name system (DNS) servers. To eliminate single points of failure and to enhance redundancy, organizations employ at least two authoritative domain name system servers, one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks including the Internet). Organizations specify clients that can access authoritative DNS servers in particular roles (e.g., by address ranges, explicit lists).
+ SC-2
+ SC-20
+ SC-21
+ SC-24
+
+
+ Determine if the information systems that collectively provide name/address resolution service for an organization:
+
+ SC-22[1]
+ are fault tolerant; and
+
+
+ SC-22[2]
+ implement internal/external role separation.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing architecture and provisioning for name/address resolution service
+ access control policy and procedures
+ information system design documentation
+ assessment results from independent, testing organizations
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibilities for managing DNS
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing name/address resolution service for fault tolerance and role separation
+
+
+
+ NIST Special Publication 800-81
+
+
+
+
+ SESSION AUTHENTICITY
+ SC-23
+ P1
+ MODERATE
+ HIGH
+
+
The information system protects the authenticity of communications sessions.
+
+
+
This control addresses communications protection at the session, versus packet level (e.g., sessions in service-oriented architectures providing web-based services) and establishes grounds for confidence at both ends of communications sessions in ongoing identities of other parties and in the validity of information transmitted. Authenticity protection includes, for example, protecting against man-in-the-middle attacks/session hijacking and the insertion of false information into sessions.
The information system invalidates session identifiers upon user logout or other session termination.
+
+
+
This control enhancement curtails the ability of adversaries from capturing and continuing to employ previously valid session IDs.
+
+
+ Determine if the information system invalidates session identifiers upon user logout or other session termination.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing session authenticity
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing session identifier invalidation upon session termination
+
+
+
+ USER-INITIATED LOGOUTS / MESSAGE DISPLAYS
+ SC-23 (2)
+ AC-12 (1)
+
+
The information system generates a unique session identifier for each session with organization-defined randomness requirements and recognizes only session identifiers that are system-generated.
+
+
+
This control enhancement curtails the ability of adversaries from reusing previously valid session IDs. Employing the concept of randomness in the generation of unique session identifiers helps to protect against brute-force attacks to determine future session identifiers.
+ SC-13
+
+
+ Determine if:
+
+ SC-23(3)[1]
+ the organization defines randomness requirements for generating a unique session identifier for each session;
+
+
+ SC-23(3)[2]
+ the information system generates a unique session identifier for each session with organization-defined randomness requirements; and
+
+
+ SC-23(3)[3]
+ the information system recognizes only session identifiers that are system-generated.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing session authenticity
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing generating and monitoring unique session identifiers
+ automated mechanisms supporting and/or implementing randomness requirements
+
+
+
+ UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION
+ SC-23 (4)
+ SC-23 (3)
+
+
The information system only allows the use of organization-defined certificate authorities for verification of the establishment of protected sessions.
+
+
+
Reliance on certificate authorities (CAs) for the establishment of secure sessions includes, for example, the use of Secure Socket Layer (SSL) and/or Transport Layer Security (TLS) certificates. These certificates, after verification by the respective certificate authorities, facilitate the establishment of protected sessions between web clients and web servers.
+ SC-13
+
+
+ Determine if:
+
+ SC-23(5)[1]
+ the organization defines certificate authorities to be allowed for verification of the establishment of protected sessions; and
+
+
+ SC-23(5)[2]
+ the information system only allows the use of organization-defined certificate authorities for verification of the establishment of protected sessions.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing session authenticity
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of certificate authorities allowed for verification of the establishment of protected sessions
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing management of certificate authorities
+
+
+
+ Determine if the information system protects the authenticity of communications sessions.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing session authenticity
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing session authenticity
+
+
+
+ NIST Special Publication 800-52
+
+
+ NIST Special Publication 800-77
+
+
+ NIST Special Publication 800-95
+
+
+
+
+ FAIL IN KNOWN STATE
+ SC-24
+ P1
+ HIGH
+
+
The information system fails to a organization-defined known-state for organization-defined types of failures preserving organization-defined system state information in failure.
+
+
+
Failure in a known state addresses security concerns in accordance with the mission/business needs of organizations. Failure in a known secure state helps to prevent the loss of confidentiality, integrity, or availability of information in the event of failures of organizational information systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving information system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission/business processes.
+ CP-2
+ CP-10
+ CP-12
+ SC-7
+ SC-22
+
+
+ Determine if:
+
+ SC-24[1]
+ the organization defines a known-state to which the information system is to fail in the event of a system failure;
+
+
+ SC-24[2]
+ the organization defines types of failures for which the information system is to fail to an organization-defined known-state;
+
+
+ SC-24[3]
+ the organization defines system state information to be preserved in the event of a system failure;
+
+
+ SC-24[4]
+ the information system fails to the organization-defined known-state for organization-defined types of failures; and
+
+
+ SC-24[5]
+ the information system preserves the organization-defined system state information in the event of a system failure.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing information system failure to known state
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of failures requiring information system to fail in a known state
+ state information to be preserved in system failure
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing fail-in-known state capability
+ automated mechanisms preserving system state information in the event of a system failure
+
+
+
+ THIN NODES
+ SC-25
+ P0
+
+
The organization employs organization-defined information system components with minimal functionality and information storage.
+
+
+
The deployment of information system components with reduced/minimal functionality (e.g., diskless nodes and thin client technologies) reduces the need to secure every user endpoint, and may reduce the exposure of information, information systems, and services to cyber attacks.
+ SC-30
+
+
+ Determine if the organization:
+
+ SC-25[1]
+ defines information system components to be employed with minimal functionality and information storage; and
+
+
+ SC-25[2]
+ employs organization-defined information system components with minimal functionality and information storage.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing use of thin nodes
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing thin nodes
+
+
+
+ HONEYPOTS
+ SC-26
+ P0
+
+
The information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.
+
+
+
A honeypot is set up as a decoy to attract adversaries and to deflect their attacks away from the operational systems supporting organizational missions/business function. Depending upon the specific usage of the honeypot, consultation with the Office of the General Counsel before deployment may be needed.
+
+
+
+ Determine if the information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing use of honeypots
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing honey pots
+
+
+
+ PLATFORM-INDEPENDENT APPLICATIONS
+ SC-27
+ P0
+
+
The information system includes: organization-defined platform-independent applications.
+
+
+
Platforms are combinations of hardware and software used to run software applications. Platforms include: (i) operating systems; (ii) the underlying computer architectures, or (iii) both. Platform-independent applications are applications that run on multiple platforms. Such applications promote portability and reconstitution on different platforms, increasing the availability of critical functions within organizations while information systems with specific operating systems are under attack.
+ SC-29
+
+
+ Determine if:
+
+ SC-27[1]
+ the organization defines platform-independent applications; and
+
+
+ SC-27[2]
+ the information system includes organization-defined platform-independent applications.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing platform-independent applications
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of platform-independent applications
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing platform-independent applications
+
+
+
+ PROTECTION OF INFORMATION AT REST
+ SC-28
+ P1
+ MODERATE
+ HIGH
+
+
The information system protects the [Selection (one or more): confidentiality; integrity] of organization-defined information at rest.
+
+
+
This control addresses the confidentiality and integrity of information at rest and covers user information and system information. Information at rest refers to the state of information when it is located on storage devices as specific components of information systems. System-related information requiring protection includes, for example, configurations or rule sets for firewalls, gateways, intrusion detection/prevention systems, filtering routers, and authenticator content. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing Write-Once-Read-Many (WORM) technologies. Organizations may also employ other security controls including, for example, secure off-line storage in lieu of online storage when adequate protection of information at rest cannot otherwise be achieved and/or continuous monitoring to identify malicious code at rest.
The information system implements cryptographic mechanisms to prevent unauthorized disclosure and modification of organization-defined information on organization-defined information system components.
+
+
+
Selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category and/or classification of the information. This control enhancement applies to significant concentrations of digital media in organizational areas designated for media storage and also to limited quantities of media generally associated with information system components in operational environments (e.g., portable storage devices, mobile devices). Organizations have the flexibility to either encrypt all information on storage devices (i.e., full disk encryption) or encrypt specific data structures (e.g., files, records, or fields). Organizations employing cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions.
+ AC-19
+ SC-12
+
+
+ Determine if:
+
+ SC-28(1)[1]
+ the organization defines information requiring cryptographic protection;
+
+
+ SC-28(1)[2]
+ the organization defines information system components with organization-defined information requiring cryptographic protection; and
+
+
+ SC-28(1)[3]
+ the information system employs cryptographic mechanisms to prevent unauthorized disclosure and modification of organization-defined information on organization-defined information system components.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing protection of information at rest
+ information system design documentation
+ information system configuration settings and associated documentation
+ cryptographic mechanisms and associated configuration documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Cryptographic mechanisms implementing confidentiality and integrity protections for information at rest
+
+
+
+ OFF-LINE STORAGE
+ SC-28 (2)
+
+
The organization removes from online storage and stores off-line in a secure location organization-defined information.
+
+
+
Removing organizational information from online information system storage to off-line storage eliminates the possibility of individuals gaining unauthorized access to the information through a network. Therefore, organizations may choose to move information to off-line storage in lieu of protecting such information in online storage.
+
+
+ Determine if the organization:
+
+ SC-28(2)[1]
+ defines information to be removed from online storage and stored off-line in a secure location; and
+
+
+ SC-28(2)[2]
+ removes organization-defined information from online storage; and
+
+
+ SC-28(2)[3]
+ stores such information off-line in a secure location.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing protection of information at rest
+ information system design documentation
+ information system configuration settings and associated documentation
+ cryptographic mechanisms and associated configuration documentation
+ off-line storage locations for information at rest
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing removal of information from online storage
+ automated mechanisms supporting and/or implementing storage of information off-line
+
+
+
+ Determine if:
+
+ SC-28[1]
+ the organization defines information at rest requiring one or more of the following:
+
+ SC-28[1][a]
+ confidentiality protection; and/or
+
+
+ SC-28[1][b]
+ integrity protection;
+
+
+
+ SC-28[2]
+ the information system protects:
+
+ SC-28[2][a]
+ the confidentiality of organization-defined information at rest; and/or
+
+
+ SC-28[2][b]
+ the integrity of organization-defined information at rest.
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing protection of information at rest
+ information system design documentation
+ information system configuration settings and associated documentation
+ cryptographic mechanisms and associated configuration documentation
+ list of information at rest requiring confidentiality and integrity protections
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing confidentiality and integrity protections for information at rest
+
+
+
+ NIST Special Publication 800-56
+
+
+ NIST Special Publication 800-57
+
+
+ NIST Special Publication 800-111
+
+
+
+
+ HETEROGENEITY
+ SC-29
+ P0
+
+
The organization employs a diverse set of information technologies for organization-defined information system components in the implementation of the information system.
+
+
+
Increasing the diversity of information technologies within organizational information systems reduces the impact of potential exploitations of specific technologies and also defends against common mode failures, including those failures induced by supply chain attacks. Diversity in information technologies also reduces the likelihood that the means adversaries use to compromise one information system component will be equally effective against other system components, thus further increasing the adversary work factor to successfully complete planned cyber attacks. An increase in diversity may add complexity and management overhead which could ultimately lead to mistakes and unauthorized configurations.
The organization employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed organization-defined frequency.
+
+
+
While frequent changes to operating systems and applications pose configuration management challenges, the changes can result in an increased work factor for adversaries in order to carry out successful cyber attacks. Changing virtual operating systems or applications, as opposed to changing actual operating systems/applications, provide virtual changes that impede attacker success while reducing configuration management efforts. In addition, virtualization techniques can assist organizations in isolating untrustworthy software and/or software of dubious provenance into confined execution environments.
+
+
+ Determine if the organization:
+
+ SC-29(1)[1]
+ defines a frequency to change the diversity of operating systems and applications deployed using virtualization techniques; and
+
+
+ SC-29(1)[2]
+ employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed with the organization-defined frequency.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ configuration management policy and procedures
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system architecture
+ list of operating systems and applications deployed using virtualization techniques
+ change control records
+ configuration management records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibilities for implementing approved virtualization techniques to the information system
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing employment of a diverse set of information technologies
+ automated mechanisms supporting and/or implementing virtualization techniques
+
+
+
+ Determine if the organization:
+
+ SC-29[1]
+ defines information system components requiring a diverse set of information technologies to be employed in the implementation of the information system; and
+
+
+ SC-29[2]
+ employs a diverse set of information technologies for organization-defined information system components in the implementation of the information system.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of technologies deployed in the information system
+ acquisition documentation
+ acquisition contracts for information system components or services
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with information system acquisition, development, and implementation responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing employment of a diverse set of information technologies
+
+
+
+ CONCEALMENT AND MISDIRECTION
+ SC-30
+ P0
+
+
The organization employs organization-defined concealment and misdirection techniques for organization-defined information systems at organization-defined time periods to confuse and mislead adversaries.
+
+
+
Concealment and misdirection techniques can significantly reduce the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete cyber attacks. For example, virtualization techniques provide organizations with the ability to disguise information systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms. Increased use of concealment/misdirection techniques including, for example, randomness, uncertainty, and virtualization, may sufficiently confuse and mislead adversaries and subsequently increase the risk of discovery and/or exposing tradecraft. Concealment/misdirection techniques may also provide organizations additional time to successfully perform core missions and business functions. Because of the time and effort required to support concealment/misdirection techniques, it is anticipated that such techniques would be used by organizations on a very limited basis.
The organization employs organization-defined techniques to introduce randomness into organizational operations and assets.
+
+
+
Randomness introduces increased levels of uncertainty for adversaries regarding the actions organizations take in defending against cyber attacks. Such actions may impede the ability of adversaries to correctly target information resources of organizations supporting critical missions/business functions. Uncertainty may also cause adversaries to hesitate before initiating or continuing attacks. Misdirection techniques involving randomness include, for example, performing certain routine actions at different times of day, employing different information technologies (e.g., browsers, search engines), using different suppliers, and rotating roles and responsibilities of organizational personnel.
+
+
+ Determine if the organization:
+
+ SC-30(2)[1]
+ defines techniques to be employed to introduce randomness into organizational operations and assets; and
+
+
+ SC-30(2)[2]
+ employs organization-defined techniques to introduce randomness into organizational operations and assets.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing concealment and misdirection techniques for the information system
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system architecture
+ list of techniques to be employed to introduce randomness into organizational operations and assets
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for implementing concealment and misdirection techniques for information systems
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing randomness as a concealment and misdirection technique
+
+
+
+ CHANGE PROCESSING / STORAGE LOCATIONS
+ SC-30 (3)
+
+
The organization changes the location of organization-defined processing and/or storage [Selection: organization-defined time frequency; at random time intervals]].
+
+
+
Adversaries target critical organizational missions/business functions and the information resources supporting those missions and functions while at the same time, trying to minimize exposure of their existence and tradecraft. The static, homogeneous, and deterministic nature of organizational information systems targeted by adversaries, make such systems more susceptible to cyber attacks with less adversary cost and effort to be successful. Changing organizational processing and storage locations (sometimes referred to as moving target defense) addresses the advanced persistent threat (APT) using techniques such as virtualization, distributed processing, and replication. This enables organizations to relocate the information resources (i.e., processing and/or storage) supporting critical missions and business functions. Changing locations of processing activities and/or storage sites introduces uncertainty into the targeting activities by adversaries. This uncertainty increases the work factor of adversaries making compromises or breaches to organizational information systems much more difficult and time-consuming, and increases the chances that adversaries may inadvertently disclose aspects of tradecraft while attempting to locate critical organizational resources.
+
+
+ Determine if the organization:
+
+ SC-30(3)[1]
+ defines processing and/or storage locations to be changed at time intervals specified by the organization;
+
+
+ SC-30(3)[2]
+ defines a frequency to change the location of organization-defined processing and/or storage; and
+
+
+ SC-30(3)[3]
+ changes the location of organization-defined processing and/or storage at one of the following:
+
+ SC-30(3)[3][a]
+ organization-defined time intervals; or
+
+
+ SC-30(3)[3][b]
+ random time intervals.
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ configuration management policy and procedures
+ procedures addressing concealment and misdirection techniques for the information system
+ list of processing/storage locations to be changed at organizational time intervals
+ change control records
+ configuration management records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for changing processing and/or storage locations
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing changing processing and/or storage locations
+
+
+
+ MISLEADING INFORMATION
+ SC-30 (4)
+
+
The organization employs realistic, but misleading information in organization-defined information system components with regard to its security state or posture.
+
+
+
This control enhancement misleads potential adversaries regarding the nature and extent of security safeguards deployed by organizations. As a result, adversaries may employ incorrect (and as a result ineffective) attack techniques. One way of misleading adversaries is for organizations to place misleading information regarding the specific security controls deployed in external information systems that are known to be accessed or targeted by adversaries. Another technique is the use of deception nets (e.g., honeynets, virtualized environments) that mimic actual aspects of organizational information systems but use, for example, out-of-date software configurations.
+
+
+ Determine if the organization:
+
+ SC-30(4)[1]
+ defines information system components in which to employ realistic, but misleading information regarding its security state or posture; and
+
+
+ SC-30(4)[2]
+ employs realistic, but misleading information in organization-defined information system components with regard to its security state or posture.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ configuration management policy and procedures
+ procedures addressing concealment and misdirection techniques for the information system
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for defining and employing realistic, but misleading information about the security posture of information system components
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing employment of realistic, but misleading information about the security posture of information system components
+
+
+
+ CONCEALMENT OF SYSTEM COMPONENTS
+ SC-30 (5)
+
+
The organization employs organization-defined techniques to hide or conceal organization-defined information system components.
+
+
+
By hiding, disguising, or otherwise concealing critical information system components, organizations may be able to decrease the probability that adversaries target and successfully compromise those assets. Potential means for organizations to hide and/or conceal information system components include, for example, configuration of routers or the use of honeynets or virtualization techniques.
+
+
+ Determine if the organization:
+
+ SC-30(5)[1]
+ defines techniques to be employed to hide or conceal information system components;
+
+
+ SC-30(5)[2]
+ defines information system components to be hidden or concealed using organization-defined techniques; and
+
+
+ SC-30(5)[3]
+ employs organization-defined techniques to hide or conceal organization-defined information system components.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ configuration management policy and procedures
+ procedures addressing concealment and misdirection techniques for the information system
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of techniques employed to hide or conceal information system components
+ list of information system components to be hidden or concealed
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for concealment of system components
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing techniques for concealment of system components
+
+
+
+ Determine if the organization:
+
+ SC-30[1]
+ defines concealment and misdirection techniques to be employed to confuse and mislead adversaries potentially targeting organizational information systems;
+
+
+ SC-30[2]
+ defines information systems for which organization-defined concealment and misdirection techniques are to be employed;
+
+
+ SC-30[3]
+ defines time periods to employ organization-defined concealment and misdirection techniques for organization-defined information systems; and
+
+
+ SC-30[4]
+ employs organization-defined concealment and misdirection techniques for organization-defined information systems at organization-defined time periods to confuse and mislead adversaries.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing concealment and misdirection techniques for the information system
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system architecture
+ list of concealment and misdirection techniques to be employed for organizational information systems
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with responsibility for implementing concealment and misdirection techniques for information systems
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing concealment and misdirection techniques
+
+
+
+ COVERT CHANNEL ANALYSIS
+ SC-31
+ P0
+
+
The organization:
+
+ SC-31a.
+
Performs a covert channel analysis to identify those aspects of communications within the information system that are potential avenues for covert [Selection (one or more): storage; timing] channels; and
+
+
+ SC-31b.
+
Estimates the maximum bandwidth of those channels.
+
+
+
+
Developers are in the best position to identify potential areas within systems that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across security domains, for example, in the case of information systems containing export-controlled information and having connections to external networks (i.e., networks not controlled by organizations). Covert channel analysis is also meaningful for multilevel secure (MLS) information systems, multiple security level (MSL) systems, and cross-domain systems.
+ AC-3
+ AC-4
+ PL-2
+
+
+ TEST COVERT CHANNELS FOR EXPLOITABILITY
+ SC-31 (1)
+
+
The organization tests a subset of the identified covert channels to determine which channels are exploitable.
+
+
+ Determine if the organization tests a subset of identified covert channels to determine which channels are exploitable.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing covert channel analysis
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of covert channels
+ covert channel analysis documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with covert channel analysis responsibilities
+
+
+ TEST
+ Organizational process for testing covert channels
+ automated mechanisms supporting and/or implementing testing of covert channels analysis
+
+
+
+ MAXIMUM BANDWIDTH
+ SC-31 (2)
+
+
The organization reduces the maximum bandwidth for identified covert [Selection (one or more); storage; timing] channels to organization-defined values.
+
+
+
Information system developers are in the best position to reduce the maximum bandwidth for identified covert storage and timing channels.
+
+
+ Determine if the organization:
+
+ SC-31(2)[1]
+ defines values to be employed as the maximum bandwidth allowed for identified covert channels; and
+
+
+ SC-31(2)[2]
+ reduces the maximum bandwidth to organization-defined values for one or more of the following identified:
+
+ SC-31(2)[2][a]
+ covert storage channels; and/or
+
+
+ SC-31(2)[2][b]
+ covert timing channels.
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing covert channel analysis
+ acquisition contracts for information systems or services
+ acquisition documentation
+ information system design documentation
+ information system configuration settings and associated documentation
+ covert channel analysis documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with covert channel analysis responsibilities
+ information system developers/integrators
+
+
+ TEST
+ Organizational process for conducting covert channel analysis
+ automated mechanisms supporting and/or implementing covert channel analysis
+ automated mechanisms supporting and/or implementing the capability to reduce the bandwidth of covert channels
+
+
+
+ MEASURE BANDWIDTH IN OPERATIONAL ENVIRONMENTS
+ SC-31 (3)
+
+
The organization measures the bandwidth of organization-defined subset of identified covert channels in the operational environment of the information system.
+
+
+
This control enhancement addresses covert channel bandwidth in operational environments versus developmental environments. Measuring covert channel bandwidth in operational environments helps organizations to determine how much information can be covertly leaked before such leakage adversely affects organizational missions/business functions. Covert channel bandwidth may be significantly different when measured in those settings that are independent of the particular environments of operation (e.g., laboratories or development environments).
+
+
+ Determine if the organization:
+
+ SC-31(3)[1]
+ defines subset of identified covert channels whose bandwidth is to be measured in the operational environment of the information system; and
+
+
+ SC-31(3)[2]
+ measures the bandwidth of the organization-defined subset of identified covert channels in the operational environment of the information system.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing covert channel analysis
+ information system design documentation
+ information system configuration settings and associated documentation
+ covert channel analysis documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with covert channel analysis responsibilities
+ information system developers/integrators
+
+
+ TEST
+ Organizational process for conducting covert channel analysis
+ automated mechanisms supporting and/or implementing covert channel analysis
+ automated mechanisms supporting and/or implementing the capability to measure the bandwidth of covert channels
+
+
+
+ Determine if the organization:
+
+ SC-31(a)
+ performs a covert channel analysis to identify those aspects of communications within the information system that are potential avenues for one or more of the following:
+
+ SC-31(a)[1]
+ covert storage channels; and/or
+
+
+ SC-31(a)[2]
+ covert timing channels; and
+
+
+
+ SC-31(b)
+ estimates the maximum bandwidth of those channels.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing covert channel analysis
+ information system design documentation
+ information system configuration settings and associated documentation
+ covert channel analysis documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel with covert channel analysis responsibilities
+ information system developers/integrators
+
+
+ TEST
+ Organizational process for conducting covert channel analysis
+ automated mechanisms supporting and/or implementing covert channel analysis
+ automated mechanisms supporting and/or implementing the capability to estimate the bandwidth of covert channels
+
+
+
+ INFORMATION SYSTEM PARTITIONING
+ SC-32
+ P0
+
+
The organization partitions the information system into organization-defined information system components residing in separate physical domains or environments based on organization-defined circumstances for physical separation of components.
+
+
+
Information system partitioning is a part of a defense-in-depth protection strategy. Organizations determine the degree of physical separation of system components from physically distinct components in separate racks in the same room, to components in separate rooms for the more critical components, to more significant geographical separation of the most critical components. Security categorization can guide the selection of appropriate candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned information system components.
+ AC-4
+ SA-8
+ SC-2
+ SC-3
+ SC-7
+
+
+ Determine if the organization:
+
+ SC-32[1]
+ defines circumstances for physical separation of information system components into information system partitions;
+
+
+ SC-32[2]
+ defines information system components to reside in separate physical domains or environments based on organization-defined circumstances for physical separation of components; and
+
+
+ SC-32[3]
+ partitions the information system into organization-defined information system components residing in separate physical domains or environments based on organization-defined circumstances for physical separation of components.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing information system partitioning
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system architecture
+ list of information system physical domains (or environments)
+ information system facility diagrams
+ information system network diagrams
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ information system developers/integrators
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing physical separation of information system components
+
+
+
+ FIPS Publication 199
+
+
+
+
+ TRANSMISSION PREPARATION INTEGRITY
+ SC-33
+ SC-8
+
+
The information system at organization-defined information system components:
+
+ SC-34a.
+
Loads and executes the operating environment from hardware-enforced, read-only media; and
+
+
+ SC-34b.
+
Loads and executes organization-defined applications from hardware-enforced, read-only media.
+
+
+
+
The term operating environment is defined as the specific code that hosts applications, for example, operating systems, executives, or monitors including virtual machine monitors (i.e., hypervisors). It can also include certain applications running directly on hardware platforms. Hardware-enforced, read-only media include, for example, Compact Disk-Recordable (CD-R)/Digital Video Disk-Recordable (DVD-R) disk drives and one-time programmable read-only memory. The use of non-modifiable storage ensures the integrity of software from the point of creation of the read-only image. The use of reprogrammable read-only memory can be accepted as read-only media provided: (i) integrity can be adequately protected from the point of initial writing to the insertion of the memory into the information system; and (ii) there are reliable hardware protections against reprogramming the memory while installed in organizational information systems.
The organization employs organization-defined information system components with no writeable storage that is persistent across component restart or power on/off.
+
+
+
This control enhancement: (i) eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated information system components; and (ii) applies to both fixed and removable storage, with the latter being addressed directly or as specific restrictions imposed through access controls for mobile devices.
+ AC-19
+ MP-7
+
+
+ Determine if the organization:
+
+ SC-34(1)[1]
+ defines information system components to be employed with no writeable storage; and
+
+
+ SC-34(1)[2]
+ employs organization-defined information system components with no writeable storage that is persistent across component restart or power on/off.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing non-modifiable executable programs
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system architecture
+ list of information system components to be employed without writeable storage capability
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ information system developers/integrators
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing employment of components with no writeable storage
+ automated mechanisms supporting and/or implementing persistent non-writeable storage across component restart and power on/off
+
+
+
+ INTEGRITY PROTECTION / READ-ONLY MEDIA
+ SC-34 (2)
+
+
The organization protects the integrity of information prior to storage on read-only media and controls the media after such information has been recorded onto the media.
+
+
+
Security safeguards prevent the substitution of media into information systems or the reprogramming of programmable read-only media prior to installation into the systems. Security safeguards include, for example, a combination of prevention, detection, and response.
+ AC-5
+ CM-3
+ CM-5
+ CM-9
+ MP-2
+ MP-4
+ MP-5
+ SA-12
+ SC-28
+ SI-3
+
+
+ Determine if the organization:
+
+ SC-34(2)[1]
+ protects the integrity of the information prior to storage on read-only media; and
+
+
+ SC-34(2)[2]
+ controls the media after such information has been recorded onto the media.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing non-modifiable executable programs
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system architecture
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ information system developers/integrators
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing capability for protecting information integrity on read-only media prior to storage and after information has been recorded onto the media
+
+
+
+ HARDWARE-BASED PROTECTION
+ SC-34 (3)
+
+
The organization:
+
+ SC-34 (3)(a)
+
Employs hardware-based, write-protect for organization-defined information system firmware components; and
+
+
+ SC-34 (3)(b)
+
Implements specific procedures for organization-defined authorized individuals to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.
+
+
+
+ Determine if the organization:
+
+ SC-34(3)(a)
+
+ SC-34(3)(a)[1]
+ defines information system firmware components for which hardware-based, write-protection is to be employed;
+
+
+ SC-34(3)(a)[2]
+ employs hardware-based, write-protection for organization-defined information system firmware components;
+
+
+
+ SC-34(3)(b)
+
+ SC-34(3)(b)[1]
+ defines individuals authorized to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode; and
+
+
+ SC-34(3)(b)[2]
+ implements specific procedures for organization-defined authorized individuals to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing firmware modifications
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system architecture
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ information system developers/integrators
+
+
+ TEST
+ Organizational processes for modifying firmware
+ automated mechanisms supporting and/or implementing hardware-based, write-protection for firmware
+
+
+
+ Determine if:
+
+ SC-34[1]
+ the organization defines information system components for which the operating environment and organization-defined applications are to be loaded and executed from hardware-enforced, read-only media;
+
+
+ SC-34[2]
+ the organization defines applications to be loaded and executed from hardware-enforced, read-only media;
+
+
+ SC-34[3]
+ the information system, at organization-defined information system components:
+
+ SC-34[3](a)
+ loads and executes the operating environment from hardware-enforced, read-only media; and
+
+
+ SC-34[3](b)
+ loads and executes organization-defined applications from hardware-enforced, read-only media.
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing non-modifiable executable programs
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system architecture
+ list of operating system components to be loaded from hardware-enforced, read-only media
+ list of applications to be loaded from hardware-enforced, read-only media
+ media used to load and execute information system operating environment
+ media used to load and execute information system applications
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel installing, configuring, and/or maintaining the information system
+ information system developers/integrators
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing loading and executing the operating environment from hardware-enforced, read-only media
+ automated mechanisms supporting and/or implementing loading and executing applications from hardware-enforced, read-only media
+
+
+
+ HONEYCLIENTS
+ SC-35
+ P0
+
+
The information system includes components that proactively seek to identify malicious websites and/or web-based malicious code.
+
+
+
Honeyclients differ from honeypots in that the components actively probe the Internet in search of malicious code (e.g., worms) contained on external websites. As with honeypots, honeyclients require some supporting isolation measures (e.g., virtualization) to ensure that any malicious code discovered during the search and subsequently executed does not infect organizational information systems.
+ SC-26
+ SC-44
+ SI-3
+ SI-4
+
+
+ Determine if the information system includes components that proactively seek to identify malicious websites and/or web-based malicious code.
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing honeyclients
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system components deployed to identify malicious websites and/or web-based malicious code
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel installing, configuring, and/or maintaining the information system
+ information system developers/integrators
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing honeyclients
+
+
+
+ DISTRIBUTED PROCESSING AND STORAGE
+ SC-36
+ P0
+
+
The organization distributes organization-defined processing and storage across multiple physical locations.
+
+
+
Distributing processing and storage across multiple physical locations provides some degree of redundancy or overlap for organizations, and therefore increases the work factor of adversaries to adversely impact organizational operations, assets, and individuals. This control does not assume a single primary processing or storage location, and thus allows for parallel processing and storage.
The organization employs polling techniques to identify potential faults, errors, or compromises to organization-defined distributed processing and storage components.
+
+
+
Distributed processing and/or storage may be employed to reduce opportunities for adversaries to successfully compromise the confidentiality, integrity, or availability of information and information systems. However, distribution of processing and/or storage components does not prevent adversaries from compromising one (or more) of the distributed components. Polling compares the processing results and/or storage content from the various distributed components and subsequently voting on the outcomes. Polling identifies potential faults, errors, or compromises in distributed processing and/or storage components.
+ SI-4
+
+
+ Determine if the organization:
+
+ SC-36(1)[1]
+ defines distributed processing and storage components for which polling techniques are to be employed to identify potential faults, errors, or compromises; and
+
+
+ SC-36(1)[2]
+ employs polling techniques to identify potential faults, errors, or compromises to organization-defined distributed processing and storage components.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system architecture
+ list of distributed processing and storage components subject to polling
+ information system polling techniques and associated documentation or records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ information system developers/integrators
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing polling techniques
+
+
+
+ Determine if the organization:
+
+ SC-36[1]
+ defines processing and storage to be distributed across multiple physical locations; and
+
+
+ SC-36[2]
+ distributes organization-defined processing and storage across multiple physical locations.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ contingency planning policy and procedures
+ contingency plan
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system architecture
+ list of information system physical locations (or environments) with distributed processing and storage
+ information system facility diagrams
+ processing site agreements
+ storage site agreements
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with contingency planning and plan implementation responsibilities
+ information system developers/integrators
+
+
+ TEST
+ Organizational processes for distributing processing and storage across multiple physical locations
+ automated mechanisms supporting and/or implementing capability for distributing processing and storage across multiple physical locations
+
+
+
+ OUT-OF-BAND CHANNELS
+ SC-37
+ P0
+
+
The organization employs organization-defined out-of-band channels for the physical delivery or electronic transmission of organization-defined information, information system components, or devices to organization-defined individuals or information systems.
+
+
+
Out-of-band channels include, for example, local (nonnetwork) accesses to information systems, network paths physically separate from network paths used for operational traffic, or nonelectronic paths such as the US Postal Service. This is in contrast with using the same channels (i.e., in-band channels) that carry routine operational traffic. Out-of-band channels do not have the same vulnerability/exposure as in-band channels, and hence the confidentiality, integrity, or availability compromises of in-band channels will not compromise the out-of-band channels. Organizations may employ out-of-band channels in the delivery or transmission of many organizational items including, for example, identifiers/authenticators, configuration management changes for hardware, firmware, or software, cryptographic key management information, security updates, system/data backups, maintenance information, and malicious code protection updates.
The organization employs organization-defined security safeguards to ensure that only organization-defined individuals or information systems receive the organization-defined information, information system components, or devices.
+
+
+
Techniques and/or methods employed by organizations to ensure that only designated information systems or individuals receive particular information, system components, or devices include, for example, sending authenticators via courier service but requiring recipients to show some form of government-issued photographic identification as a condition of receipt.
+
+
+ Determine if the organization:
+
+ SC-37(1)[1]
+ defines security safeguards to be employed to ensure that only designated individuals or information systems receive specific information, information system components, or devices;
+
+
+ SC-37(1)[2]
+ defines individuals or information systems designated to receive specific information, information system components, or devices;
+
+
+ SC-37(1)[3]
+ defines information, information system components, or devices that only organization-defined individuals or information systems are designated to receive; and
+
+
+ SC-37(1)[4]
+ employs organization-defined security safeguards to ensure that only organization-defined individuals or information systems receive the organization-defined information, information system components, or devices.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing use of out-of-band channels
+ access control policy and procedures
+ identification and authentication policy and procedures
+ information system design documentation
+ information system architecture
+ information system configuration settings and associated documentation
+ list of security safeguards to be employed to ensure designated individuals or information systems receive organization-defined information, information system components, or devices
+ list of security safeguards for delivering designated information, information system components, or devices to designated individuals or information systems
+ list of information, information system components, or devices to be delivered to designated individuals or information systems
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels
+ information system developers/integrators
+
+
+ TEST
+ Organizational processes for use of out-of-band channels
+ automated mechanisms supporting and/or implementing use of out-of-band channels
+ automated mechanisms supporting/implementing safeguards to ensure delivery of designated information, system components, or devices
+
+
+
+ Determine if the organization:
+
+ SC-37[1]
+ defines out-of-band channels to be employed for the physical delivery or electronic transmission of information, information system components, or devices to individuals or information systems;
+
+
+ SC-37[2]
+ defines information, information system components, or devices for which physical delivery or electronic transmission of such information, information system components, or devices to individuals or information systems requires employment of organization-defined out-of-band channels;
+
+
+ SC-37[3]
+ defines individuals or information systems to which physical delivery or electronic transmission of organization-defined information, information system components, or devices is to be achieved via employment of organization-defined out-of-band channels; and
+
+
+ SC-37[4]
+ employs organization-defined out-of-band channels for the physical delivery or electronic transmission of organization-defined information, information system components, or devices to organization-defined individuals or information systems.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing use of out-of-band channels
+ access control policy and procedures
+ identification and authentication policy and procedures
+ information system design documentation
+ information system architecture
+ information system configuration settings and associated documentation
+ list of out-of-band channels
+ types of information, information system components, or devices requiring use of out-of-band channels for physical delivery or electronic transmission to authorized individuals or information systems
+ physical delivery records
+ electronic transmission records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels
+ information system developers/integrators
+
+
+ TEST
+ Organizational processes for use of out-of-band channels
+ automated mechanisms supporting and/or implementing use of out-of-band channels
+
+
+
+ OPERATIONS SECURITY
+ SC-38
+ P0
+
+
The organization employs organization-defined operations security safeguards to protect key organizational information throughout the system development life cycle.
+
+
+
Operations security (OPSEC) is a systematic process by which potential adversaries can be denied information about the capabilities and intentions of organizations by identifying, controlling, and protecting generally unclassified information that specifically relates to the planning and execution of sensitive organizational activities. The OPSEC process involves five steps: (i) identification of critical information (e.g., the security categorization process); (ii) analysis of threats; (iii) analysis of vulnerabilities; (iv) assessment of risks; and (v) the application of appropriate countermeasures. OPSEC safeguards are applied to both organizational information systems and the environments in which those systems operate. OPSEC safeguards help to protect the confidentiality of key information including, for example, limiting the sharing of information with suppliers and potential suppliers of information system components, information technology products and services, and with other non-organizational elements and individuals. Information critical to mission/business success includes, for example, user identities, element uses, suppliers, supply chain processes, functional and security requirements, system design specifications, testing protocols, and security control implementation details.
+ RA-2
+ RA-5
+ SA-12
+
+
+ Determine if the organization:
+
+ SC-38[1]
+ defines operations security safeguards to be employed to protect key organizational information throughout the system development life cycle; and
+
+
+ SC-38[2]
+ employs organization-defined operations security safeguards to protect key organizational information throughout the system development life cycle.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing operations security
+ security plan
+ list of operations security safeguards
+ security control assessments
+ risk assessments
+ threat and vulnerability assessments
+ plans of action and milestones
+ system development life cycle documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ information system developers/integrators
+
+
+ TEST
+ Organizational processes for protecting organizational information throughout the SDLC
+ automated mechanisms supporting and/or implementing safeguards to protect organizational information throughout the SDLC
+
+
+
+ PROCESS ISOLATION
+ SC-39
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system maintains a separate execution domain for each executing process.
+
+
+
Information systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each information system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. This capability is available in most commercial operating systems that employ multi-state processor technologies.
The information system implements underlying hardware separation mechanisms to facilitate process separation.
+
+
+
Hardware-based separation of information system processes is generally less susceptible to compromise than software-based separation, thus providing greater assurance that the separation will be enforced. Underlying hardware separation mechanisms include, for example, hardware memory management.
+
+
+ Determine if the information system implements underlying hardware separation mechanisms to facilitate process separation.
+
+
+ EXAMINE
+ System and communications protection policy
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system architecture
+ information system documentation for hardware separation mechanisms
+ information system documentation from vendors, manufacturers or developers
+ independent verification and validation documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel installing, configuring, and/or maintaining the information system
+ information system developers/integrators
+
+
+ TEST
+ Information system capability implementing underlying hardware separation mechanisms for process separation
+
+
+
+ THREAD ISOLATION
+ SC-39 (2)
+
+
The information system maintains a separate execution domain for each thread in organization-defined multi-threaded processing.
+
+
+ Determine if the information system:
+
+ SC-39(2)[1]
+ defines multi-threaded processing for which a separate execution domain is to be maintained for each thread in multi-threaded processing; and
+
+
+ SC-39(2)[2]
+ maintains a separate execution domain for each thread in organization-defined multi-threaded processing.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system architecture
+ list of information system execution domains for each thread in multi-threaded processing
+ information system documentation for multi-threaded processing
+ information system documentation from vendors, manufacturers or developers
+ independent verification and validation documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel installing, configuring, and/or maintaining the information system
+ information system developers/integrators
+
+
+ TEST
+ Information system capability implementing a separate execution domain for each thread in multi-threaded processing
+
+
+
+ Determine if the information system maintains a separate execution domain for each executing process.
+
+
+ EXAMINE
+ Information system design documentation
+ information system architecture
+ independent verification and validation documentation
+ testing and evaluation documentation, other relevant documents or records
+
+
+ INTERVIEW
+ Information system developers/integrators
+ information system security architect
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing separate execution domains for each executing process
+
+
+
+ WIRELESS LINK PROTECTION
+ SC-40
+ P0
+
+
The information system protects external and internal organization-defined wireless links from organization-defined types of signal parameter attacks or references to sources for such attacks.
+
+
+
This control applies to internal and external wireless communication links that may be visible to individuals who are not authorized information system users. Adversaries can exploit the signal parameters of wireless links if such links are not adequately protected. There are many ways to exploit the signal parameters of wireless links to gain intelligence, deny service, or to spoof users of organizational information systems. This control reduces the impact of attacks that are unique to wireless systems. If organizations rely on commercial service providers for transmission services as commodity items rather than as fully dedicated services, it may not be possible to implement this control.
The information system implements cryptographic mechanisms that achieve organization-defined level of protection against the effects of intentional electromagnetic interference.
+
+
+
This control enhancement protects against intentional jamming that might deny or impair communications by ensuring that wireless spread spectrum waveforms used to provide anti-jam protection are not predictable by unauthorized individuals. The control enhancement may also coincidentally help to mitigate the effects of unintentional jamming due to interference from legitimate transmitters sharing the same spectrum. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine levels of wireless link availability and performance/cryptography needed.
+ SC-12
+ SC-13
+
+
+ Determine if:
+
+ SC-40(1)[1]
+ the organization defines level of protection to be employed against the effects of intentional electromagnetic interference; and
+
+
+ SC-40(1)[2]
+ the information system employs cryptographic mechanisms that achieve organization-defined level of protection against the effects of intentional electromagnetic interference.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ access control policy and procedures
+ procedures addressing wireless link protection
+ information system design documentation
+ wireless network diagrams
+ information system configuration settings and associated documentation
+ information system architecture
+ information system communications hardware and software
+ security categorization results
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links
+
+
+ TEST
+ Cryptographic mechanisms enforcing protections against effects of intentional electromagnetic interference
+
+
+
+ REDUCE DETECTION POTENTIAL
+ SC-40 (2)
+
+
The information system implements cryptographic mechanisms to reduce the detection potential of wireless links to organization-defined level of reduction.
+
+
+
This control enhancement is needed for covert communications and protecting wireless transmitters from being geo-located by their transmissions. The control enhancement ensures that spread spectrum waveforms used to achieve low probability of detection are not predictable by unauthorized individuals. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine the levels to which wireless links should be undetectable.
+ SC-12
+ SC-13
+
+
+ Determine if:
+
+ SC-40(2)[1]
+ the organization defines level of reduction to be achieved to reduce the detection potential of wireless links; and
+
+
+ SC-40(2)[2]
+ the information system implements cryptographic mechanisms to reduce the detection potential of wireless links to organization-defined level of reduction.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ access control policy and procedures
+ procedures addressing wireless link protection
+ information system design documentation
+ wireless network diagrams
+ information system configuration settings and associated documentation
+ information system architecture
+ information system communications hardware and software
+ security categorization results
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links
+
+
+ TEST
+ Cryptographic mechanisms enforcing protections to reduce detection of wireless links
+
+
+
+ IMITATIVE OR MANIPULATIVE COMMUNICATIONS DECEPTION
+ SC-40 (3)
+
+
The information system implements cryptographic mechanisms to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.
+
+
+
This control enhancement ensures that the signal parameters of wireless transmissions are not predictable by unauthorized individuals. Such unpredictability reduces the probability of imitative or manipulative communications deception based upon signal parameters alone.
+ SC-12
+ SC-13
+
+
+ Determine if the information system implements cryptographic mechanisms to:
+
+ SC-40(3)[1]
+ identify wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters; and
+
+
+ SC-40(3)[2]
+ reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ access control policy and procedures
+ procedures addressing information system design documentation
+ wireless network diagrams
+ information system configuration settings and associated documentation
+ information system architecture
+ information system communications hardware and software
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links
+
+
+ TEST
+ Cryptographic mechanisms enforcing wireless link protections against imitative or manipulative communications deception
+
+
+
+ SIGNAL PARAMETER IDENTIFICATION
+ SC-40 (4)
+
+
The information system implements cryptographic mechanisms to prevent the identification of organization-defined wireless transmitters by using the transmitter signal parameters.
+
+
+
Radio fingerprinting techniques identify the unique signal parameters of transmitters to fingerprint such transmitters for purposes of tracking and mission/user identification. This control enhancement protects against the unique identification of wireless transmitters for purposes of intelligence exploitation by ensuring that anti-fingerprinting alterations to signal parameters are not predictable by unauthorized individuals. This control enhancement helps assure mission success when anonymity is required.
+ SC-12
+ SC-13
+
+
+ Determine if:
+
+ SC-40(4)[1]
+ the organization defines wireless transmitters for which cryptographic mechanisms are to be implemented to prevent identification of such transmitters by using the transmitter signal parameters; and
+
+
+ SC-40(4)[2]
+ the information system implements cryptographic mechanisms to prevent the identification of organization-defined wireless transmitters by using the transmitter signal parameters.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ access control policy and procedures
+ procedures addressing information system design documentation
+ wireless network diagrams
+ information system configuration settings and associated documentation
+ information system architecture
+ information system communications hardware and software
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links
+
+
+ TEST
+ Cryptographic mechanisms preventing the identification of wireless transmitters
+
+
+
+ Determine if:
+
+ SC-40[1]
+ the organization defines:
+
+ SC-40[1][a]
+ internal wireless links to be protected from particular types of signal parameter attacks;
+
+
+ SC-40[1][b]
+ external wireless links to be protected from particular types of signal parameter attacks;
+
+
+
+ SC-40[2]
+ the organization defines types of signal parameter attacks or references to sources for such attacks that are based upon exploiting the signal parameters of organization-defined internal and external wireless links; and
+
+
+ SC-40[3]
+ the information system protects internal and external organization-defined wireless links from organization-defined types of signal parameter attacks or references to sources for such attacks.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ access control policy and procedures
+ procedures addressing wireless link protection
+ information system design documentation
+ wireless network diagrams
+ information system configuration settings and associated documentation
+ information system architecture
+ list or internal and external wireless links
+ list of signal parameter attacks or references to sources for attacks
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing protection of wireless links
+
+
+
+ PORT AND I/O DEVICE ACCESS
+ SC-41
+ P0
+
+
The organization physically disables or removes organization-defined connection ports or input/output devices on organization-defined information systems or information system components.
+
+
+
Connection ports include, for example, Universal Serial Bus (USB) and Firewire (IEEE 1394). Input/output (I/O) devices include, for example, Compact Disk (CD) and Digital Video Disk (DVD) drives. Physically disabling or removing such connection ports and I/O devices helps prevent exfiltration of information from information systems and the introduction of malicious code into systems from those ports/devices.
+
+
+ Determine if the organization:
+
+ SC-41[1]
+ defines connection ports or input/output devices to be physically disabled or removed on information systems or information system components;
+
+
+ SC-41[2]
+ defines information systems or information system components with organization-defined connection ports or input/output devices that are to be physically disabled or removed; and
+
+
+ SC-41[3]
+ physically disables or removes organization-defined connection ports or input/output devices on organization-defined information systems or information system components.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ access control policy and procedures
+ procedures addressing port and input/output device access
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system architecture
+ information systems or information system components list of connection ports or input/output devices to be physically disabled or removed on information systems or information system components
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing disabling of connection ports or input/output devices
+
+
+
+ SENSOR CAPABILITY AND DATA
+ SC-42
+ P0
+
+
The information system:
+
+ SC-42a.
+
Prohibits the remote activation of environmental sensing capabilities with the following exceptions: organization-defined exceptions where remote activation of sensors is allowed; and
+
+
+ SC-42b.
+
Provides an explicit indication of sensor use to organization-defined class of users.
+
+
+
+
This control often applies to types of information systems or system components characterized as mobile devices, for example, smart phones, tablets, and E-readers. These systems often include sensors that can collect and record data regarding the environment where the system is in use. Sensors that are embedded within mobile devices include, for example, cameras, microphones, Global Positioning System (GPS) mechanisms, and accelerometers. While the sensors on mobiles devices provide an important function, if activated covertly, such devices can potentially provide a means for adversaries to learn valuable information about individuals and organizations. For example, remotely activating the GPS function on a mobile device could provide an adversary with the ability to track the specific movements of an individual.
+
+
+ REPORTING TO AUTHORIZED INDIVIDUALS OR ROLES
+ SC-42 (1)
+
+
The organization ensures that the information system is configured so that data or information collected by the organization-defined sensors is only reported to authorized individuals or roles.
+
+
+
In situations where sensors are activated by authorized individuals (e.g., end users), it is still possible that the data/information collected by the sensors will be sent to unauthorized entities.
+
+
+ Determine if the organization:
+
+ SC-42(1)[1]
+ defines sensors to be used to collect data or information only reported to authorized individuals or roles; and
+
+
+ SC-42(1)[2]
+ ensures that the information system is configured so that data or information collected by the organization-defined sensors is only reported to authorized individuals or roles.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ access control policy and procedures
+ procedures addressing sensor capability and data collection
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system architecture
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for sensor capability
+
+
+ TEST
+ Automated mechanisms restricting reporting of sensor information only to those authorized
+ sensor data collection and reporting capability for the information system
+
+
+
+ AUTHORIZED USE
+ SC-42 (2)
+
+
The organization employs the following measures: organization-defined measures, so that data or information collected by organization-defined sensors is only used for authorized purposes.
+
+
+
Information collected by sensors for a specific authorized purpose potentially could be misused for some unauthorized purpose. For example, GPS sensors that are used to support traffic navigation could be misused to track movements of individuals. Measures to mitigate such activities include, for example, additional training to ensure that authorized parties do not abuse their authority, or (in the case where sensor data/information is maintained by external parties) contractual restrictions on the use of the data/information.
+
+
+ Determine if the organization:
+
+ SC-42(2)[1]
+ defines measures to be employed so that data or information collected by sensors is only used for authorized purposes;
+
+
+ SC-42(2)[2]
+ defines sensors to be used to collect data or information for authorized purposes only; and
+
+
+ SC-42(2)[3]
+ employs organization-defined measures so that data or information collected by organization-defined sensors is only used for authorized purposes.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ access control policy and procedures
+ sensor capability and data collection
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system architecture
+ list of measures to be employed to ensure data or information collected by sensors is only used for authorized purposes
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for sensor capability
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing measures to ensure sensor information is only used for authorized purposes
+ sensor information collection capability for the information system
+
+
+
+ PROHIBIT USE OF DEVICES
+ SC-42 (3)
+
+
The organization prohibits the use of devices possessing organization-defined environmental sensing capabilities in organization-defined facilities, areas, or systems.
+
+
+
For example, organizations may prohibit individuals from bringing cell phones or digital cameras into certain facilities or specific controlled areas within facilities where classified information is stored or sensitive conversations are taking place.
+
+
+ Determine if the organization:
+
+ SC-42(3)[1]
+ defines environmental sensing capabilities to be prohibited from use in facilities, areas, or systems;
+
+
+ SC-42(3)[2]
+ defines facilities, areas, or systems where the use of devices possessing organization-defined environmental sensing capabilities is to be prohibited; and
+
+
+ SC-42(3)[3]
+ prohibits the use of devices possessing organization-defined environmental sensing capabilities in organization-defined facilities, areas, or systems.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ access control policy and procedures
+ procedures addressing sensor capability and data collection
+ information system design documentation
+ wireless network diagrams
+ information system configuration settings and associated documentation
+ information system architecture
+ facilities, areas, or systems where use of devices possessing environmental sensing capabilities is prohibited
+ list of devices possessing environmental sensing capabilities
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for sensor capability
+
+
+
+ Determine if:
+
+ SC-42(a)
+
+ SC-42(a)[1]
+ the organization defines exceptions where remote activation of sensors is to be allowed;
+
+
+ SC-42(a)[2]
+ the information system prohibits the remote activation of sensors, except for organization-defined exceptions where remote activation of sensors is to be allowed;
+
+
+
+ SC-42(b)
+
+ SC-42(b)[1]
+ the organization defines the class of users to whom an explicit indication of sensor use is to be provided; and
+
+
+ SC-42(b)[2]
+ the information system provides an explicit indication of sensor use to the organization-defined class of users.
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing sensor capability and data collection
+ access control policy and procedures
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for sensor capability
+
+
+ TEST
+ Automated mechanisms implementing access controls for remote activation of information system sensor capabilities
+ automated mechanisms implementing capability to indicate sensor use
+
+
+
+ USAGE RESTRICTIONS
+ SC-43
+ P0
+
+
The organization:
+
+ SC-43a.
+
Establishes usage restrictions and implementation guidance for organization-defined information system components based on the potential to cause damage to the information system if used maliciously; and
+
+
+ SC-43b.
+
Authorizes, monitors, and controls the use of such components within the information system.
+
+
+
+
Information system components include hardware, software, or firmware components (e.g., Voice Over Internet Protocol, mobile code, digital copiers, printers, scanners, optical devices, wireless technologies, mobile devices).
+ CM-6
+ SC-7
+
+
+ Determine if the organization:
+
+ SC-43(a)
+
+ SC-43(a)[1]
+ defines information system components for which usage restrictions and implementation guidance are to be established;
+
+
+ SC-43(a)[2]
+ establishes, for organization-defined information system components:
+
+ SC-43(a)[2][a]
+ usage restrictions based on the potential to cause damage to the information system if used maliciously;
+
+
+ SC-43(a)[2][b]
+ implementation guidance based on the potential to cause damage to the information system if used maliciously;
+
+
+
+
+ SC-43(b)
+
+ SC-43(b)[1]
+ authorizes the use of such components within the information system;
+
+
+ SC-43(b)[2]
+ monitors the use of such components within the information system; and
+
+
+ SC-43(b)[3]
+ controls the use of such components within the information system.
+
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing usage restrictions
+ usage restrictions
+ implementation policy and procedures
+ authorization records
+ information system monitoring records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+
+
+ TEST
+ Organizational processes for authorizing, monitoring, and controlling use of components with usage restrictions
+ Automated mechanisms supporting and/or implementing authorizing, monitoring, and controlling use of components with usage restrictions
+
+
+
+ DETONATION CHAMBERS
+ SC-44
+ P0
+
+
The organization employs a detonation chamber capability within organization-defined information system, system component, or location.
+
+
+
Detonation chambers, also known as dynamic execution environments, allow organizations to open email attachments, execute untrusted or suspicious applications, and execute Universal Resource Locator (URL) requests in the safety of an isolated environment or virtualized sandbox. These protected and isolated execution environments provide a means of determining whether the associated attachments/applications contain malicious code. While related to the concept of deception nets, the control is not intended to maintain a long-term environment in which adversaries can operate and their actions can be observed. Rather, it is intended to quickly identify malicious code and reduce the likelihood that the code is propagated to user environments of operation (or prevent such propagation completely).
+ SC-7
+ SC-25
+ SC-26
+ SC-30
+
+
+ Determine if the organization:
+
+ SC-44[1]
+ defines information system, system component, or location where a detonation chamber capability is to be employed; and
+
+
+ SC-44[2]
+ employs a detonation chamber capability within organization-defined information system, system component, or location.
+
+
+
+ EXAMINE
+ System and communications protection policy
+ procedures addressing detonation chambers
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing detonation chamber capability
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+
+ SYSTEM AND INFORMATION INTEGRITY POLICY AND PROCEDURES
+ SI-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SI-1a.
+
Develops, documents, and disseminates to organization-defined personnel or roles:
+
+ SI-1a.1.
+
A system and information integrity policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ SI-1a.2.
+
Procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls; and
+
+
+
+ SI-1b.
+
Reviews and updates the current:
+
+ SI-1b.1.
+
System and information integrity policy organization-defined frequency; and
+
+
+ SI-1b.2.
+
System and information integrity procedures organization-defined frequency.
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SI family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+ PM-9
+
+
+ Determine if the organization:
+
+ SI-1(a)(1)
+
+ SI-1(a)(1)[1]
+ develops and documents a system and information integrity policy that addresses:
+
+ SI-1(a)(1)[1][a]
+ purpose;
+
+
+ SI-1(a)(1)[1][b]
+ scope;
+
+
+ SI-1(a)(1)[1][c]
+ roles;
+
+
+ SI-1(a)(1)[1][d]
+ responsibilities;
+
+
+ SI-1(a)(1)[1][e]
+ management commitment;
+
+
+ SI-1(a)(1)[1][f]
+ coordination among organizational entities;
+
+
+ SI-1(a)(1)[1][g]
+ compliance;
+
+
+
+ SI-1(a)(1)[2]
+ defines personnel or roles to whom the system and information integrity policy is to be disseminated;
+
+
+ SI-1(a)(1)[3]
+ disseminates the system and information integrity policy to organization-defined personnel or roles;
+
+
+
+ SI-1(a)(2)
+
+ SI-1(a)(2)[1]
+ develops and documents procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls;
+
+
+ SI-1(a)(2)[2]
+ defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ SI-1(a)(2)[3]
+ disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ SI-1(b)(1)
+
+ SI-1(b)(1)[1]
+ defines the frequency to review and update the current system and information integrity policy;
+
+
+ SI-1(b)(1)[2]
+ reviews and updates the current system and information integrity policy with the organization-defined frequency;
+
+
+
+ SI-1(b)(2)
+
+ SI-1(b)(2)[1]
+ defines the frequency to review and update the current system and information integrity procedures; and
+
+
+ SI-1(b)(2)[2]
+ reviews and updates the current system and information integrity procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ System and information integrity policy and procedures
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with system and information integrity responsibilities
+ organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ FLAW REMEDIATION
+ SI-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SI-2a.
+
Identifies, reports, and corrects information system flaws;
+
+
+ SI-2b.
+
Tests software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;
+
+
+ SI-2c.
+
Installs security-relevant software and firmware updates within organization-defined time period of the release of the updates; and
+
+
+ SI-2d.
+
Incorporates flaw remediation into the organizational configuration management process.
+
+
+
+
Organizations identify information systems affected by announced software flaws including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security responsibilities. Security-relevant software updates include, for example, patches, service packs, hot fixes, and anti-virus signatures. Organizations also address flaws discovered during security assessments, continuous monitoring, incident response activities, and system error handling. Organizations take advantage of available resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By incorporating flaw remediation into ongoing configuration management processes, required/anticipated remediation actions can be tracked and verified. Flaw remediation actions that can be tracked and verified include, for example, determining whether organizations follow US-CERT guidance and Information Assurance Vulnerability Alerts. Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of factors including, for example, the security category of the information system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw remediation may require more testing than other types. Organizations determine the degree and type of testing needed for the specific type of flaw remediation activity under consideration and also the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software and/or firmware updates is not necessary or practical, for example, when implementing simple anti-virus signature updates. Organizations may also consider in testing decisions, whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures.
The organization centrally manages the flaw remediation process.
+
+
+
Central management is the organization-wide management and implementation of flaw remediation processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw remediation security controls.
+
+
+ Determine if the organization centrally manages the flaw remediation process.
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing flaw remediation
+ automated mechanisms supporting centralized management of flaw remediation
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for flaw remediation
+
+
+ TEST
+ Organizational processes for central management of the flaw remediation process
+ automated mechanisms supporting and/or implementing central management of the flaw remediation process
+
+
+
+ AUTOMATED FLAW REMEDIATION STATUS
+ SI-2 (2)
+ MODERATE
+ HIGH
+
+
The organization employs automated mechanisms organization-defined frequency to determine the state of information system components with regard to flaw remediation.
+
+
+ CM-6
+ SI-4
+
+
+ Determine if the organization:
+
+ SI-2(2)[1]
+ defines a frequency to employ automated mechanisms to determine the state of information system components with regard to flaw remediation; and
+
+
+ SI-2(2)[2]
+ employs automated mechanisms with the organization-defined frequency to determine the state of information system components with regard to flaw remediation.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing flaw remediation
+ automated mechanisms supporting centralized management of flaw remediation
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for flaw remediation
+
+
+ TEST
+ Automated mechanisms used to determine the state of information system components with regard to flaw remediation
+
+
+
+ TIME TO REMEDIATE FLAWS / BENCHMARKS FOR CORRECTIVE ACTIONS
+ SI-2 (3)
+
+
The organization:
+
+ SI-2 (3)(a)
+
Measures the time between flaw identification and flaw remediation; and
+
+
+ SI-2 (3)(b)
+
Establishes organization-defined benchmarks for taking corrective actions.
+
+
+
+
This control enhancement requires organizations to determine the current time it takes on the average to correct information system flaws after such flaws have been identified, and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by type of flaw and/or severity of the potential vulnerability if the flaw can be exploited.
+
+
+ Determine if the organization:
+
+ SI-2(3)(a)
+ measures the time between flaw identification and flaw remediation;
+
+
+ SI-2(3)(b)
+
+ SI-2(3)(b)[1]
+ defines benchmarks for taking corrective actions; and
+
+
+ SI-2(3)(b)[2]
+ establishes organization-defined benchmarks for taking corrective actions.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing flaw remediation
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of benchmarks for taking corrective action on flaws identified
+ records providing time stamps of flaw identification and subsequent flaw remediation activities
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for flaw remediation
+
+
+ TEST
+ Organizational processes for identifying, reporting, and correcting information system flaws
+ automated mechanisms used to measure the time between flaw identification and flaw remediation
+
+
+
+ AUTOMATED PATCH MANAGEMENT TOOLS
+ SI-2 (4)
+ SI-2
+
+
The organization installs organization-defined security-relevant software and firmware updates automatically to organization-defined information system components.
+
+
+
Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates. Organizations must balance the need to ensure that the updates are installed as soon as possible with the need to maintain configuration management and with any mission or operational impacts that automatic updates might impose.
+
+
+ Determine if the organization:
+
+ SI-2(5)[1]
+
+ SI-2(5)[1][a]
+ defines information system components requiring security-relevant software updates to be automatically installed;
+
+
+ SI-2(5)[1][b]
+ defines information system components requiring security-relevant firmware updates to be automatically installed;
+
+
+
+ SI-2(5)[2]
+
+ SI-2(5)[2][a]
+ defines security-relevant software updates to be automatically installed to organization-defined information system components;
+
+
+ SI-2(5)[2][b]
+ defines security-relevant firmware updates to be automatically installed to organization-defined information system components;
+
+
+
+ SI-2(5)[3]
+
+ SI-2(5)[3][a]
+ installs organization-defined security-relevant software updates automatically to organization-defined information system components; and
+
+
+ SI-2(5)[3][b]
+ installs organization-defined security-relevant firmware updates automatically to organization-defined information system components.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing flaw remediation
+ automated mechanisms supporting flaw remediation and automatic software/firmware updates
+ information system design documentation
+ information system configuration settings and associated documentation
+ records of recent security-relevant software and firmware updates automatically installed to information system components
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for flaw remediation
+
+
+ TEST
+ Automated mechanisms implementing automatic software/firmware updates
+
+
+
+ REMOVAL OF PREVIOUS VERSIONS OF SOFTWARE / FIRMWARE
+ SI-2 (6)
+
+
The organization removes organization-defined software and firmware components after updated versions have been installed.
+
+
+
Previous versions of software and/or firmware components that are not removed from the information system after updates have been installed may be exploited by adversaries. Some information technology products may remove older versions of software and/or firmware automatically from the information system.
+
+
+ Determine if the organization:
+
+ SI-2(6)[1]
+
+ SI-2(6)[1][a]
+ defines software components to be removed after updated versions have been installed;
+
+
+ SI-2(6)[1][b]
+ defines firmware components to be removed after updated versions have been installed;
+
+
+
+ SI-2(6)[2]
+
+ SI-2(6)[2][a]
+ removes organization-defined software components after updated versions have been installed; and
+
+
+ SI-2(6)[2][b]
+ removes organization-defined firmware components after updated versions have been installed.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing flaw remediation
+ automated mechanisms supporting flaw remediation
+ information system design documentation
+ information system configuration settings and associated documentation
+ records of software and firmware component removals after updated versions are installed
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for flaw remediation
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing removal of previous versions of software/firmware
+
+
+
+ Determine if the organization:
+
+ SI-2(a)
+
+ SI-2(a)[1]
+ identifies information system flaws;
+
+
+ SI-2(a)[2]
+ reports information system flaws;
+
+
+ SI-2(a)[3]
+ corrects information system flaws;
+
+
+
+ SI-2(b)
+
+ SI-2(b)[1]
+ tests software updates related to flaw remediation for effectiveness and potential side effects before installation;
+
+
+ SI-2(b)[2]
+ tests firmware updates related to flaw remediation for effectiveness and potential side effects before installation;
+
+
+
+ SI-2(c)
+
+ SI-2(c)[1]
+ defines the time period within which to install security-relevant software updates after the release of the updates;
+
+
+ SI-2(c)[2]
+ defines the time period within which to install security-relevant firmware updates after the release of the updates;
+
+
+ SI-2(c)[3]
+ installs software updates within the organization-defined time period of the release of the updates;
+
+
+ SI-2(c)[4]
+ installs firmware updates within the organization-defined time period of the release of the updates; and
+
+
+
+ SI-2(d)
+ incorporates flaw remediation into the organizational configuration management process.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing flaw remediation
+ procedures addressing configuration management
+ list of flaws and vulnerabilities potentially affecting the information system
+ list of recent security flaw remediation actions performed on the information system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct information system flaws)
+ test results from the installation of software and firmware updates to correct information system flaws
+ installation/change control records for security-relevant software and firmware updates
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for flaw remediation
+ organizational personnel with configuration management responsibility
+
+
+ TEST
+ Organizational processes for identifying, reporting, and correcting information system flaws
+ organizational process for installing software and firmware updates
+ automated mechanisms supporting and/or implementing reporting, and correcting information system flaws
+ automated mechanisms supporting and/or implementing testing software and firmware updates
+
+
+
+ NIST Special Publication 800-40
+
+
+ NIST Special Publication 800-128
+
+
+
+
+ MALICIOUS CODE PROTECTION
+ SI-3
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SI-3a.
+
Employs malicious code protection mechanisms at information system entry and exit points to detect and eradicate malicious code;
+
+
+ SI-3b.
+
Updates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures;
+
+
+ SI-3c.
+
Configures malicious code protection mechanisms to:
+
+ SI-3c.1.
+
Perform periodic scans of the information system organization-defined frequency and real-time scans of files from external sources at [Selection (one or more); endpoint; network entry/exit points] as the files are downloaded, opened, or executed in accordance with organizational security policy; and
+
+
+ SI-3c.2.
+
[Selection (one or more): block malicious code; quarantine malicious code; send alert to administrator; organization-defined action] in response to malicious code detection; and
+
+
+
+ SI-3d.
+
Addresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system.
+
+
+
+
Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, notebook computers, and mobile devices. Malicious code includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden files, or hidden in files using steganography. Malicious code can be transported by different means including, for example, web accesses, electronic mail, electronic mail attachments, and portable storage devices. Malicious code insertions occur through the exploitation of information system vulnerabilities. Malicious code protection mechanisms include, for example, anti-virus signature definitions and reputation-based technologies. A variety of technologies and methods exist to limit or eliminate the effects of malicious code. Pervasive configuration management and comprehensive software integrity controls may be effective in preventing execution of unauthorized code. In addition to commercial off-the-shelf software, malicious code may also be present in custom-built software. This could include, for example, logic bombs, back doors, and other types of cyber attacks that could affect organizational missions/business functions. Traditional malicious code protection mechanisms cannot always detect such code. In these situations, organizations rely instead on other safeguards including, for example, secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to help ensure that software does not perform functions other than the functions intended. Organizations may determine that in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, actions in response to detection of malicious downloads, and/or actions in response to detection of maliciousness when attempting to open or execute files.
The organization centrally manages malicious code protection mechanisms.
+
+
+
Central management is the organization-wide management and implementation of malicious code protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw malicious code protection security controls.
+ AU-2
+ SI-8
+
+
+ Determine if the organization centrally manages malicious code protection mechanisms.
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing malicious code protection
+ automated mechanisms supporting centralized management of malicious code protection mechanisms
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for malicious code protection
+
+
+ TEST
+ Organizational processes for central management of malicious code protection mechanisms
+ automated mechanisms supporting and/or implementing central management of malicious code protection mechanisms
+
+
+
+ AUTOMATIC UPDATES
+ SI-3 (2)
+ MODERATE
+ HIGH
+
+
The information system automatically updates malicious code protection mechanisms.
+
+
+
Malicious code protection mechanisms include, for example, signature definitions. Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates.
+ SI-8
+
+
+ Determine if the information system automatically updates malicious code protection mechanisms.
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing malicious code protection
+ automated mechanisms supporting centralized management of malicious code protection mechanisms
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for malicious code protection
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing automatic updates to malicious code protection capability
+
+
+
+ NON-PRIVILEGED USERS
+ SI-3 (3)
+ AC-6 (10)
+
+
+ Incorporated into AC-6 (10).
+
+
+
+ UPDATES ONLY BY PRIVILEGED USERS
+ SI-3 (4)
+
+
The information system updates malicious code protection mechanisms only when directed by a privileged user.
+
+
+
This control enhancement may be appropriate for situations where for reasons of security or operational continuity, updates are only applied when selected/approved by designated organizational personnel.
+ AC-6
+ CM-5
+
+
+ Determine if the information system updates malicious code protection mechanisms only when directed by a privileged user.
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing malicious code protection
+ information system design documentation
+ malicious code protection mechanisms
+ records of malicious code protection updates
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for malicious code protection
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing malicious code protection capability
+
+
+
+ PORTABLE STORAGE DEVICES
+ SI-3 (5)
+ MP-7
+
+
+ Incorporated into MP-7.
+
+
+
+ TESTING / VERIFICATION
+ SI-3 (6)
+
+
The organization:
+
+ SI-3 (6)(a)
+
Tests malicious code protection mechanisms organization-defined frequency by introducing a known benign, non-spreading test case into the information system; and
+
+
+ SI-3 (6)(b)
+
Verifies that both detection of the test case and associated incident reporting occur.
+
+
+
+ CA-2
+ CA-7
+ RA-5
+
+
+ Determine if the organization:
+
+ SI-3(6)(a)
+
+ SI-3(6)(a)[1]
+ defines a frequency to test malicious code protection mechanisms;
+
+
+ SI-3(6)(a)[2]
+ tests malicious code protection mechanisms with the organization-defined frequency by introducing a known benign, non-spreading test case into the information system;
+
+
+
+ SI-3(6)(b)
+
+ SI-3(6)(b)[1]
+ verifies that detection of the test case occurs; and
+
+
+ SI-3(6)(b)[2]
+ verifies that associated incident reporting occurs.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing malicious code protection
+ information system design documentation
+ information system configuration settings and associated documentation
+ test cases
+ records providing evidence of test cases executed on malicious code protection mechanisms
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for malicious code protection
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing testing and verification of malicious code protection capability
+
+
+
+ NONSIGNATURE-BASED DETECTION
+ SI-3 (7)
+
+
The information system implements nonsignature-based malicious code detection mechanisms.
+
+
+
Nonsignature-based detection mechanisms include, for example, the use of heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide safeguards against malicious code for which signatures do not yet exist or for which existing signatures may not be effective. This includes polymorphic malicious code (i.e., code that changes signatures when it replicates). This control enhancement does not preclude the use of signature-based detection mechanisms.
+
+
+ Determine if the information system implements non signature-based malicious code detection mechanisms.
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing malicious code protection
+ information system design documentation
+ malicious code protection mechanisms
+ records of malicious code protection updates
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for malicious code protection
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing nonsignature-based malicious code protection capability
+
+
+
+ DETECT UNAUTHORIZED COMMANDS
+ SI-3 (8)
+
+
The information system detects organization-defined unauthorized operating system commands through the kernel application programming interface at organization-defined information system hardware components and [Selection (one or more): issues a warning; audits the command execution; prevents the execution of the command].
+
+
+
This control enhancement can also be applied to critical interfaces other than kernel-based interfaces, including for example, interfaces with virtual machines and privileged applications. Unauthorized operating system commands include, for example, commands for kernel functions from information system processes that are not trusted to initiate such commands, or commands for kernel functions that are suspicious even though commands of that type are reasonable for processes to initiate. Organizations can define the malicious commands to be detected by a combination of command types, command classes, or specific instances of commands. Organizations can define hardware components by specific component, component type, location in the network, or combination therein. Organizations may select different actions for different types/classes/specific instances of potentially malicious commands.
+ AU-6
+
+
+ Determine if:
+
+ SI-3(8)[1]
+ the organization defines unauthorized operating system commands to be detected by the information system;
+
+
+ SI-3(8)[2]
+ the organization defines information system hardware components for which organization-defined unauthorized operating system commands are to be detected through the kernel application programming interface;
+
+
+ SI-3(8)[3]
+ the information system detects organization-defined unauthorized operating system commands through the kernel application programming interface at organization-defined information system hardware components, and does one or more of the following:
+
+ SI-3(8)[3][a]
+ issues a warning;
+
+
+ SI-3(8)[3][b]
+ audits the command execution; and/or
+
+
+ SI-3(8)[3][c]
+ prevents the execution of the command.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing malicious code protection
+ information system design documentation
+ malicious code protection mechanisms
+ warning messages sent upon detection of unauthorized operating system command execution
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for malicious code protection
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing malicious code protection capability
+ automated mechanisms supporting and/or implementing detection of unauthorized operating system commands through the kernel application programming interface
+
+
+
+ AUTHENTICATE REMOTE COMMANDS
+ SI-3 (9)
+
+
The information system implements organization-defined security safeguards to authenticate organization-defined remote commands.
+
+
+
This control enhancement protects against unauthorized commands and replay of authorized commands. This capability is important for those remote information systems whose loss, malfunction, misdirection, or exploitation would have immediate and/or serious consequences (e.g., injury or death, property damage, loss of high-valued assets or sensitive information, or failure of important missions/business functions). Authentication safeguards for remote commands help to ensure that information systems accept and execute in the order intended, only authorized commands, and that unauthorized commands are rejected. Cryptographic mechanisms can be employed, for example, to authenticate remote commands.
+ SC-12
+ SC-13
+ SC-23
+
+
+ Determine if:
+
+ SI-3(9)[1]
+ the organization defines security safeguards to be implemented by the information system to authenticate organization-defined remote commands;
+
+
+ SI-3(9)[2]
+ the organization defines remote commands to be authenticated by organization-defined security safeguards; and
+
+
+ SI-3(9)[3]
+ the information system implements organization-defined security safeguards to authenticate organization-defined remote commands.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing malicious code protection
+ information system design documentation
+ malicious code protection mechanisms
+ warning messages sent upon detection of unauthorized operating system command execution
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for malicious code protection
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing malicious code protection capability
+ automated mechanisms implementing authentication of remote commands
+ automated mechanisms supporting and/or implementing security safeguards to authenticate remote commands
+
+
+
+ MALICIOUS CODE ANALYSIS
+ SI-3 (10)
+
+
The organization:
+
+ SI-3 (10)(a)
+
Employs organization-defined tools and techniques to analyze the characteristics and behavior of malicious code; and
+
+
+ SI-3 (10)(b)
+
Incorporates the results from malicious code analysis into organizational incident response and flaw remediation processes.
+
+
+
+
The application of selected malicious code analysis tools and techniques provides organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics, techniques, and procedures) and the functionality and purpose of specific instances of malicious code. Understanding the characteristics of malicious code facilitates more effective organizational responses to current and future threats. Organizations can conduct malicious code analyses by using reverse engineering techniques or by monitoring the behavior of executing code.
+
+
+ Determine if the organization:
+
+ SI-3(10)(a)
+
+ SI-3(10)(a)[1]
+ defines tools and techniques to be employed to analyze the characteristics and behavior of malicious code;
+
+
+ SI-3(10)(a)[2]
+ employs organization-defined tools and techniques to analyze the characteristics and behavior of malicious code; and
+
+
+
+ SI-3(10)(b)
+ incorporates the results from malicious code analysis into incident response and flaw remediate processes.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing malicious code protection
+ procedures addressing incident response
+ procedures addressing flaw remediation
+ information system design documentation
+ malicious code protection mechanisms, tools, and techniques
+ information system configuration settings and associated documentation
+ results from malicious code analyses
+ records of flaw remediation events resulting from malicious code analyses
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for malicious code protection
+ organizational personnel responsible for flaw remediation
+ organizational personnel responsible for incident response/management
+
+
+ TEST
+ Organizational process for incident response
+ organizational process for flaw remediation
+ automated mechanisms supporting and/or implementing malicious code protection capability
+ tools and techniques for analysis of malicious code characteristics and behavior
+
+
+
+ Determine if the organization:
+
+ SI-3(a)
+ employs malicious code protection mechanisms to detect and eradicate malicious code at information system:
+
+ SI-3(a)[1]
+ entry points;
+
+
+ SI-3(a)[2]
+ exit points;
+
+
+
+ SI-3(b)
+ updates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures (as identified in CM-1);
+
+
+ SI-3(c)
+
+ SI-3(c)[1]
+ defines a frequency for malicious code protection mechanisms to perform periodic scans of the information system;
+
+
+ SI-3(c)[2]
+ defines action to be initiated by malicious protection mechanisms in response to malicious code detection;
+
+
+ SI-3(c)[3]
+
+ SI-3(c)[3](1)
+ configures malicious code protection mechanisms to:
+
+ SI-3(c)[3](1)[a]
+ perform periodic scans of the information system with the organization-defined frequency;
+
+
+ SI-3(c)[3](1)[b]
+ perform real-time scans of files from external sources at endpoint and/or network entry/exit points as the files are downloaded, opened, or executed in accordance with organizational security policy;
+
+
+
+ SI-3(c)[3](2)
+ configures malicious code protection mechanisms to do one or more of the following:
+
+ SI-3(c)[3](2)[a]
+ block malicious code in response to malicious code detection;
+
+
+ SI-3(c)[3](2)[b]
+ quarantine malicious code in response to malicious code detection;
+
+
+ SI-3(c)[3](2)[c]
+ send alert to administrator in response to malicious code detection; and/or
+
+
+ SI-3(c)[3](2)[d]
+ initiate organization-defined action in response to malicious code detection;
+
+
+
+
+
+ SI-3(d)
+
+ SI-3(d)[1]
+ addresses the receipt of false positives during malicious code detection and eradication; and
+
+
+ SI-3(d)[2]
+ addresses the resulting potential impact on the availability of the information system.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ configuration management policy and procedures
+ procedures addressing malicious code protection
+ malicious code protection mechanisms
+ records of malicious code protection updates
+ information system design documentation
+ information system configuration settings and associated documentation
+ scan results from malicious code protection mechanisms
+ record of actions initiated by malicious code protection mechanisms in response to malicious code detection
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for malicious code protection
+ organizational personnel with configuration management responsibility
+
+
+ TEST
+ Organizational processes for employing, updating, and configuring malicious code protection mechanisms
+ organizational process for addressing false positives and resulting potential impact
+ automated mechanisms supporting and/or implementing employing, updating, and configuring malicious code protection mechanisms
+ automated mechanisms supporting and/or implementing malicious code scanning and subsequent actions
+
+
+
+ NIST Special Publication 800-83
+
+
+
+
+ INFORMATION SYSTEM MONITORING
+ SI-4
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SI-4a.
+
Monitors the information system to detect:
+
+ SI-4a.1.
+
Attacks and indicators of potential attacks in accordance with organization-defined monitoring objectives; and
+
+
+ SI-4a.2.
+
Unauthorized local, network, and remote connections;
+
+
+
+ SI-4b.
+
Identifies unauthorized use of the information system through organization-defined techniques and methods;
+
+
+ SI-4c.
+
Deploys monitoring devices:
+
+ SI-4c.1.
+
Strategically within the information system to collect organization-determined essential information; and
+
+
+ SI-4c.2.
+
At ad hoc locations within the system to track specific types of transactions of interest to the organization;
+
+
+
+ SI-4d.
+
Protects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion;
+
+
+ SI-4e.
+
Heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;
+
+
+ SI-4f.
+
Obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations; and
+
+
+ SI-4g.
+
Provides organization-defined information system monitoring information to organization-defined personnel or roles [Selection (one or more): as needed; organization-defined frequency].
+
+
+
+
Information system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the information system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the information system. Organizations can monitor information systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives may guide determination of the events. Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. Einstein network monitoring devices from the Department of Homeland Security can also be included as monitoring devices. The granularity of monitoring information collected is based on organizational monitoring objectives and the capability of information systems to support such objectives. Specific types of transactions of interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. Information system monitoring is an integral part of organizational continuous monitoring and incident response programs. Output from system monitoring serves as input to continuous monitoring and incident response programs. A network connection is any connection with a device that communicates through a network (e.g., local area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Local, network, and remote connections can be either wired or wireless.
The organization connects and configures individual intrusion detection tools into an information system-wide intrusion detection system.
+
+
+ Determine if the organization:
+
+ SI-4(1)[1]
+ connects individual intrusion detection tools into an information system-wide intrusion detection system; and
+
+
+ SI-4(1)[2]
+ configures individual intrusion detection tools into an information system-wide intrusion detection system.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring tools and techniques
+ information system design documentation
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+ organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+ Organizational processes for intrusion detection/information system monitoring
+ automated mechanisms supporting and/or implementing intrusion detection capability
+
+
+
+ AUTOMATED TOOLS FOR REAL-TIME ANALYSIS
+ SI-4 (2)
+ MODERATE
+ HIGH
+
+
The organization employs automated tools to support near real-time analysis of events.
+
+
+
Automated tools include, for example, host-based, network-based, transport-based, or storage-based event monitoring tools or Security Information and Event Management (SIEM) technologies that provide real time analysis of alerts and/or notifications generated by organizational information systems.
+
+
+ Determine if the organization employs automated tools to support near real-time analysis of events.
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring tools and techniques
+ information system design documentation
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+ organizational personnel with responsibility for incident response/management
+
+
+ TEST
+ Organizational processes for near real-time analysis of events
+ organizational processes for information system monitoring
+ automated mechanisms supporting and/or implementing information system monitoring
+ automated mechanisms/tools supporting and/or implementing analysis of events
+
+
+
+ AUTOMATED TOOL INTEGRATION
+ SI-4 (3)
+
+
The organization employs automated tools to integrate intrusion detection tools into access control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination.
+
+
+ Determine if the organization, for rapid response to attacks by enabling reconfiguration of intrusion detection tools in support of attack isolation and elimination, employs automated tools to integrate intrusion detection tools into:
+
+ SI-4(3)[1]
+ access control mechanisms; and
+
+
+ SI-4(3)[2]
+ flow control mechanisms.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ access control policy and procedures
+ procedures addressing information system monitoring tools and techniques
+ information system design documentation
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+ organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+ Organizational processes for intrusion detection/information system monitoring
+ automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
+ automated mechanisms/tools supporting and/or implementing access/flow control capability
+ automated mechanisms/tools supporting and/or implementing integration of intrusion detection tools into access/flow control mechanisms
+
+
+
+ INBOUND AND OUTBOUND COMMUNICATIONS TRAFFIC
+ SI-4 (4)
+ MODERATE
+ HIGH
+
+
The information system monitors inbound and outbound communications traffic organization-defined frequency for unusual or unauthorized activities or conditions.
+
+
+
Unusual/unauthorized activities or conditions related to information system inbound and outbound communications traffic include, for example, internal traffic that indicates the presence of malicious code within organizational information systems or propagating among system components, the unauthorized exporting of information, or signaling to external information systems. Evidence of malicious code is used to identify potentially compromised information systems or information system components.
+
+
+ Determine if the organization:
+
+ SI-4(4)[1]
+ defines a frequency to monitor:
+
+ SI-4(4)[1][a]
+ inbound communications traffic for unusual or unauthorized activities or conditions;
+
+
+ SI-4(4)[1][b]
+ outbound communications traffic for unusual or unauthorized activities or conditions;
+
+
+
+ SI-4(4)[2]
+ monitors, with the organization-defined frequency:
+
+ SI-4(4)[2][a]
+ inbound communications traffic for unusual or unauthorized activities or conditions; and
+
+
+ SI-4(4)[2][b]
+ outbound communications traffic for unusual or unauthorized activities or conditions.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring tools and techniques
+ information system design documentation
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ information system protocols
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+ organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+ Organizational processes for intrusion detection/information system monitoring
+ automated mechanisms supporting and/or implementing intrusion detection capability/information system monitoring
+ automated mechanisms supporting and/or implementing monitoring of inbound/outbound communications traffic
+
+
+
+ SYSTEM-GENERATED ALERTS
+ SI-4 (5)
+ MODERATE
+ HIGH
+
+
The information system alerts organization-defined personnel or roles when the following indications of compromise or potential compromise occur: organization-defined compromise indicators.
+
+
+
Alerts may be generated from a variety of sources, including, for example, audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be transmitted, for example, telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the notification list can include, for example, system administrators, mission/business owners, system owners, or information system security officers.
+ AU-5
+ PE-6
+
+
+ Determine if:
+
+ SI-4(5)[1]
+ the organization defines compromise indicators for the information system;
+
+
+ SI-4(5)[2]
+ the organization defines personnel or roles to be alerted when indications of compromise or potential compromise occur; and
+
+
+ SI-4(5)[3]
+ the information system alerts organization-defined personnel or roles when organization-defined compromise indicators occur.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring tools and techniques
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ alerts/notifications generated based on compromise indicators
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+ organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+ Organizational processes for intrusion detection/information system monitoring
+ automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
+ automated mechanisms supporting and/or implementing alerts for compromise indicators
+
+
+
+ RESTRICT NON-PRIVILEGED USERS
+ SI-4 (6)
+ AC-6 (10)
+
+
The information system notifies organization-defined incident response personnel (identified by name and/or by role) of detected suspicious events and takes organization-defined least-disruptive actions to terminate suspicious events.
+
+
+
Least-disruptive actions may include, for example, initiating requests for human responses.
+
+
+ Determine if:
+
+ SI-4(7)[1]
+ the organization defines incident response personnel (identified by name and/or by role) to be notified of detected suspicious events;
+
+
+ SI-4(7)[2]
+ the organization defines least-disruptive actions to be taken by the information system to terminate suspicious events;
+
+
+ SI-4(7)[3]
+ the information system notifies organization-defined incident response personnel of detected suspicious events; and
+
+
+ SI-4(7)[4]
+ the information system takes organization-defined least-disruptive actions to terminate suspicious events.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring tools and techniques
+ information system design documentation
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ alerts/notifications generated based on detected suspicious events
+ records of actions taken to terminate suspicious events
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+ organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+ Organizational processes for intrusion detection/information system monitoring
+ automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
+ automated mechanisms supporting and/or implementing notifications to incident response personnel
+ automated mechanisms supporting and/or implementing actions to terminate suspicious events
+
+
+
+ PROTECTION OF MONITORING INFORMATION
+ SI-4 (8)
+ SI-4
+
+
The organization tests intrusion-monitoring tools organization-defined frequency.
+
+
+
Testing intrusion-monitoring tools is necessary to ensure that the tools are operating correctly and continue to meet the monitoring objectives of organizations. The frequency of testing depends on the types of tools used by organizations and methods of deployment.
+ CP-9
+
+
+ Determine if the organization:
+
+ SI-4(9)[1]
+ defines a frequency to test intrusion-monitoring tools; and
+
+
+ SI-4(9)[2]
+ tests intrusion-monitoring tools with the organization-defined frequency.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing testing of information system monitoring tools and techniques
+ documentation providing evidence of testing intrusion-monitoring tools
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+ organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+ Organizational processes for intrusion detection/information system monitoring
+ automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
+ automated mechanisms supporting and/or implementing testing of intrusion-monitoring tools
+
+
+
+ VISIBILITY OF ENCRYPTED COMMUNICATIONS
+ SI-4 (10)
+
+
The organization makes provisions so that organization-defined encrypted communications traffic is visible to organization-defined information system monitoring tools.
+
+
+
Organizations balance the potentially conflicting needs for encrypting communications traffic and for having insight into such traffic from a monitoring perspective. For some organizations, the need to ensure the confidentiality of communications traffic is paramount; for others, mission-assurance is of greater concern. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types.
+
+
+ Determine if the organization:
+
+ SI-4(10)[1]
+ defines encrypted communications traffic required to be visible to information system monitoring tools;
+
+
+ SI-4(10)[2]
+ defines information system monitoring tools to be provided access to organization-defined encrypted communications traffic; and
+
+
+ SI-4(10)[3]
+ makes provisions so that organization-defined encrypted communications traffic is visible to organization-defined information system monitoring tools.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring tools and techniques
+ information system design documentation
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ information system protocols
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+ organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+ Organizational processes for intrusion detection/information system monitoring
+ automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
+ automated mechanisms supporting and/or implementing visibility of encrypted communications traffic to monitoring tools
+
+
+
+ ANALYZE COMMUNICATIONS TRAFFIC ANOMALIES
+ SI-4 (11)
+
+
The organization analyzes outbound communications traffic at the external boundary of the information system and selected organization-defined interior points within the system (e.g., subnetworks, subsystems) to discover anomalies.
+
+
+
Anomalies within organizational information systems include, for example, large file transfers, long-time persistent connections, unusual protocols and ports in use, and attempted communications with suspected malicious external addresses.
+
+
+ Determine if the organization:
+
+ SI-4(11)[1]
+ defines interior points within the system (e.g., subnetworks, subsystems) where communications traffic is to be analyzed;
+
+
+ SI-4(11)[2]
+ analyzes outbound communications traffic to discover anomalies at:
+
+ SI-4(11)[2][a]
+ the external boundary of the information system; and
+
+
+ SI-4(11)[2][b]
+ selected organization-defined interior points within the system.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring tools and techniques
+ information system design documentation
+ network diagram
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ information system monitoring logs or records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+ organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+ Organizational processes for intrusion detection/information system monitoring
+ automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
+ automated mechanisms supporting and/or implementing analysis of communications traffic
+
+
+
+ AUTOMATED ALERTS
+ SI-4 (12)
+
+
The organization employs automated mechanisms to alert security personnel of the following inappropriate or unusual activities with security implications: organization-defined activities that trigger alerts.
+
+
+
This control enhancement focuses on the security alerts generated by organizations and transmitted using automated means. In contrast to the alerts generated by information systems in SI-4 (5), which tend to focus on information sources internal to the systems (e.g., audit records), the sources of information for this enhancement can include other entities as well (e.g., suspicious activity reports, reports on potential insider threats).
+ AC-18
+ IA-3
+
+
+ Determine if the organization:
+
+ SI-4(12)[1]
+ defines activities that trigger alerts to security personnel based on inappropriate or unusual activities with security implications; and
+
+
+ SI-4(12)[2]
+ employs automated mechanisms to alert security personnel of organization-defined activities that trigger alerts based on inappropriate or unusual activities with security implications.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring tools and techniques
+ information system design documentation
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ list of inappropriate or unusual activities (with security implications) that trigger alerts
+ alerts/notifications provided to security personnel
+ information system monitoring logs or records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developers
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+ organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+ Organizational processes for intrusion detection/information system monitoring
+ automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
+ automated mechanisms supporting and/or implementing automated alerts to security personnel
+
+
+
+ ANALYZE TRAFFIC / EVENT PATTERNS
+ SI-4 (13)
+
+
The organization:
+
+ SI-4 (13)(a)
+
Analyzes communications traffic/event patterns for the information system;
+
+
+ SI-4 (13)(b)
+
Develops profiles representing common traffic patterns and/or events; and
+
+
+ SI-4 (13)(c)
+
Uses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives and the number of false negatives.
+
+
+
+ Determine if the organization:
+
+ SI-4(13)(a)
+ analyzes communications traffic/event patterns for the information system;
+
+
+ SI-4(13)(b)
+ develops profiles representing common traffic patterns and/or events;
+
+
+ SI-4(13)(c)
+ uses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives and false negatives.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring tools and techniques
+ information system design documentation
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ list of profiles representing common traffic patterns and/or events
+ information system protocols documentation
+ list of acceptable thresholds for false positives and false negatives
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+ organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+ Organizational processes for intrusion detection/information system monitoring
+ automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
+ automated mechanisms supporting and/or implementing analysis of communications traffic/event patterns
+
+
+
+ WIRELESS INTRUSION DETECTION
+ SI-4 (14)
+
+
The organization employs a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises/breaches to the information system.
+
+
+
Wireless signals may radiate beyond the confines of organization-controlled facilities. Organizations proactively search for unauthorized wireless connections including the conduct of thorough scans for unauthorized wireless access points. Scans are not limited to those areas within facilities containing information systems, but also include areas outside of facilities as needed, to verify that unauthorized wireless access points are not connected to the systems.
+ AC-18
+ IA-3
+
+
+ Determine if the organization employs a wireless intrusion detection system to:
+
+ SI-4(14)[1]
+ identify rogue wireless devices;
+
+
+ SI-4(14)[2]
+ detect attack attempts to the information system; and
+
+
+ SI-4(14)[3]
+ detect potential compromises/breaches to the information system.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring tools and techniques
+ information system design documentation
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ information system protocols
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+ organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+ Organizational processes for intrusion detection
+ automated mechanisms supporting and/or implementing wireless intrusion detection capability
+
+
+
+ WIRELESS TO WIRELINE COMMUNICATIONS
+ SI-4 (15)
+
+
The organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.
+
+
+ AC-18
+
+
+ Determine if the organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring tools and techniques
+ information system design documentation
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ information system protocols documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+ organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+ Organizational processes for intrusion detection/information system monitoring
+ automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
+ automated mechanisms supporting and/or implementing wireless intrusion detection capability
+
+
+
+ CORRELATE MONITORING INFORMATION
+ SI-4 (16)
+
+
The organization correlates information from monitoring tools employed throughout the information system.
+
+
+
Correlating information from different monitoring tools can provide a more comprehensive view of information system activity. The correlation of monitoring tools that usually work in isolation (e.g., host monitoring, network monitoring, anti-virus software) can provide an organization-wide view and in so doing, may reveal otherwise unseen attack patterns. Understanding the capabilities/limitations of diverse monitoring tools and how to maximize the utility of information generated by those tools can help organizations to build, operate, and maintain effective monitoring programs.
+ AU-6
+
+
+ Determine if the organization correlates information from monitoring tools employed throughout the information system.
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring tools and techniques
+ information system design documentation
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ event correlation logs or records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+ organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+ Organizational processes for intrusion detection/information system monitoring
+ automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
+ automated mechanisms supporting and/or implementing correlation of information from monitoring tools
+
+
+
+ INTEGRATED SITUATIONAL AWARENESS
+ SI-4 (17)
+
+
The organization correlates information from monitoring physical, cyber, and supply chain activities to achieve integrated, organization-wide situational awareness.
+
+
+
This control enhancement correlates monitoring information from a more diverse set of information sources to achieve integrated situational awareness. Integrated situational awareness from a combination of physical, cyber, and supply chain monitoring activities enhances the capability of organizations to more quickly detect sophisticated cyber attacks and investigate the methods and techniques employed to carry out such attacks. In contrast to SI-4 (16) which correlates the various cyber monitoring information, this control enhancement correlates monitoring beyond just the cyber domain. Such monitoring may help reveal attacks on organizations that are operating across multiple attack vectors.
+ SA-12
+
+
+ Determine if the organization, to achieve integrated, organization-wide situational awareness, correlates information from monitoring:
+
+ SI-4(17)[1]
+ physical activities;
+
+
+ SI-4(17)[2]
+ cyber activities; and
+
+
+ SI-4(17)[3]
+ supply chain activities.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring tools and techniques
+ information system design documentation
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ event correlation logs or records resulting from physical, cyber, and supply chain activities
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+ organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+ Organizational processes for intrusion detection/information system monitoring
+ automated mechanisms supporting and/or implementing intrusion detection/system monitoring capability
+ automated mechanisms supporting and/or implementing correlation of information from monitoring tools
+
+
+
+ ANALYZE TRAFFIC / COVERT EXFILTRATION
+ SI-4 (18)
+
+
The organization analyzes outbound communications traffic at the external boundary of the information system (i.e., system perimeter) and at organization-defined interior points within the system (e.g., subsystems, subnetworks) to detect covert exfiltration of information.
+
+
+
Covert means that can be used for the unauthorized exfiltration of organizational information include, for example, steganography.
+
+
+ Determine if the organization:
+
+ SI-4(18)[1]
+ defines interior points within the system (e.g., subsystems, subnetworks) where communications traffic is to be analyzed;
+
+
+ SI-4(18)[2]
+ to detect covert exfiltration of information, analyzes outbound communications traffic at:
+
+ SI-4(18)[2][a]
+ the external boundary of the information system (i.e., system perimeter); and
+
+
+ SI-4(18)[2][b]
+ organization-defined interior points within the system.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring tools and techniques
+ information system design documentation
+ network diagram
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ information system monitoring logs or records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+ organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+ Organizational processes for intrusion detection/information system monitoring
+ automated mechanisms supporting and/or implementing intrusion detection/system monitoring capability
+ automated mechanisms supporting and/or implementing analysis of outbound communications traffic
+
+
+
+ INDIVIDUALS POSING GREATER RISK
+ SI-4 (19)
+
+
The organization implements organization-defined additional monitoring of individuals who have been identified by organization-defined sources as posing an increased level of risk.
+
+
+
Indications of increased risk from individuals can be obtained from a variety of sources including, for example, human resource records, intelligence agencies, law enforcement organizations, and/or other credible sources. The monitoring of individuals is closely coordinated with management, legal, security, and human resources officials within organizations conducting such monitoring and complies with federal legislation, Executive Orders, policies, directives, regulations, and standards.
+
+
+ Determine if the organization:
+
+ SI-4(19)[1]
+ defines sources that identify individuals who pose an increased level of risk;
+
+
+ SI-4(19)[2]
+ defines additional monitoring to be implemented on individuals who have been identified by organization-defined sources as posing an increased level of risk; and
+
+
+ SI-4(19)[3]
+ implements organization-defined additional monitoring of individuals who have been identified by organization-defined sources as posing an increased level of risk.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring
+ information system design documentation
+ list of individuals who have been identified as posing an increased level of risk
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+
+
+ TEST
+ Organizational processes for information system monitoring
+ automated mechanisms supporting and/or implementing system monitoring capability
+
+
+
+ PRIVILEGED USERS
+ SI-4 (20)
+
+
The organization implements organization-defined additional monitoring of privileged users.
+
+
+ Determine if the organization:
+
+ SI-4(20)[1]
+ defines additional monitoring to be implemented on privileged users; and
+
+
+ SI-4(20)[2]
+ implements organization-defined additional monitoring of privileged users;
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring tools and techniques
+ information system design documentation
+ list of privileged users
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ information system monitoring logs or records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+
+
+ TEST
+ Organizational processes for information system monitoring
+ automated mechanisms supporting and/or implementing system monitoring capability
+
+
+
+ PROBATIONARY PERIODS
+ SI-4 (21)
+
+
The organization implements organization-defined additional monitoring of individuals during organization-defined probationary period.
+
+
+ Determine if the organization:
+
+ SI-4(21)[1]
+ defines additional monitoring to be implemented on individuals during probationary periods;
+
+
+ SI-4(21)[2]
+ defines probationary period during which organization-defined additional monitoring of individuals is to be performed; and
+
+
+ SI-4(21)[3]
+ implements organization-defined additional monitoring of individuals during organization-defined probationary period.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring
+ information system design documentation
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ information system monitoring logs or records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+
+
+ TEST
+ Organizational processes for information system monitoring
+ automated mechanisms supporting and/or implementing system monitoring capability
+
+
+
+ UNAUTHORIZED NETWORK SERVICES
+ SI-4 (22)
+
+
The information system detects network services that have not been authorized or approved by organization-defined authorization or approval processes and [Selection (one or more): audits; alerts organization-defined personnel or roles].
+
+
+
Unauthorized or unapproved network services include, for example, services in service-oriented architectures that lack organizational verification or validation and therefore may be unreliable or serve as malicious rogues for valid services.
+ AC-6
+ CM-7
+ SA-5
+ SA-9
+
+
+ Determine if:
+
+ SI-4(22)[1]
+ the organization defines authorization or approval processes for network services;
+
+
+ SI-4(22)[2]
+ the organization defines personnel or roles to be alerted upon detection of network services that have not been authorized or approved by organization-defined authorization or approval processes;
+
+
+ SI-4(22)[3]
+ the information system detects network services that have not been authorized or approved by organization-defined authorization or approval processes and does one or more of the following:
+
+ SI-4(22)[3][a]
+ audits; and/or
+
+
+ SI-4(22)[3][b]
+ alerts organization-defined personnel or roles.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring tools and techniques
+ information system design documentation
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ documented authorization/approval of network services
+ notifications or alerts of unauthorized network services
+ information system monitoring logs or records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring the information system
+
+
+ TEST
+ Organizational processes for information system monitoring
+ automated mechanisms supporting and/or implementing system monitoring capability
+ automated mechanisms for auditing network services
+ automated mechanisms for providing alerts
+
+
+
+ HOST-BASED DEVICES
+ SI-4 (23)
+
+
The organization implements organization-defined host-based monitoring mechanisms at organization-defined information system components.
+
+
+
Information system components where host-based monitoring can be implemented include, for example, servers, workstations, and mobile devices. Organizations consider employing host-based monitoring mechanisms from multiple information technology product developers.
+
+
+ Determine if the organization:
+
+ SI-4(23)[1]
+ defines host-based monitoring mechanisms to be implemented;
+
+
+ SI-4(23)[2]
+ defines information system components where organization-defined host-based monitoring is to be implemented; and
+
+
+ SI-4(23)[3]
+ implements organization-defined host-based monitoring mechanisms at organization-defined information system components.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring tools and techniques
+ information system design documentation
+ host-based monitoring mechanisms
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ list of information system components requiring host-based monitoring
+ information system monitoring logs or records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring information system hosts
+
+
+ TEST
+ Organizational processes for information system monitoring
+ automated mechanisms supporting and/or implementing host-based monitoring capability
+
+
+
+ INDICATORS OF COMPROMISE
+ SI-4 (24)
+
+
The information system discovers, collects, distributes, and uses indicators of compromise.
+
+
+
Indicators of compromise (IOC) are forensic artifacts from intrusions that are identified on organizational information systems (at the host or network level). IOCs provide organizations with valuable information on objects or information systems that have been compromised. IOCs for the discovery of compromised hosts can include for example, the creation of registry key values. IOCs for network traffic include, for example, Universal Resource Locator (URL) or protocol elements that indicate malware command and control servers. The rapid distribution and adoption of IOCs can improve information security by reducing the time that information systems and organizations are vulnerable to the same exploit or attack.
+
+
+ Determine if the information system:
+
+ SI-4(24)[1]
+ discovers indicators of compromise;
+
+
+ SI-4(24)[2]
+ collects indicators of compromise;
+
+
+ SI-4(24)[3]
+ distributes indicators of compromise; and
+
+
+ SI-4(24)[4]
+ uses indicators of compromise.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system monitoring
+ information system design documentation
+ information system monitoring tools and techniques documentation
+ information system configuration settings and associated documentation
+ information system monitoring logs or records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility for monitoring information system hosts
+
+
+ TEST
+ Organizational processes for information system monitoring
+ organizational processes for discovery, collection, distribution, and use of indicators of compromise
+ automated mechanisms supporting and/or implementing system monitoring capability
+ automated mechanisms supporting and/or implementing the discovery, collection, distribution, and use of indicators of compromise
+
+
+
+ Determine if the organization:
+
+ SI-4(a)
+
+ SI-4(a)(1)
+
+ SI-4(a)(1)[1]
+ defines monitoring objectives to detect attacks and indicators of potential attacks on the information system;
+
+
+ SI-4(a)(1)[2]
+ monitors the information system to detect, in accordance with organization-defined monitoring objectives,:
+
+ SI-4(a)(1)[2][a]
+ attacks;
+
+
+ SI-4(a)(1)[2][b]
+ indicators of potential attacks;
+
+
+
+
+ SI-4(a)(2)
+ monitors the information system to detect unauthorized:
+
+ SI-4(a)(2)[1]
+ local connections;
+
+
+ SI-4(a)(2)[2]
+ network connections;
+
+
+ SI-4(a)(2)[3]
+ remote connections;
+
+
+
+
+ SI-4(b)
+
+ SI-4(b)(1)
+ defines techniques and methods to identify unauthorized use of the information system;
+
+
+ SI-4(b)(2)
+ identifies unauthorized use of the information system through organization-defined techniques and methods;
+
+
+
+ SI-4(c)
+ deploys monitoring devices:
+
+ SI-4(c)[1]
+ strategically within the information system to collect organization-determined essential information;
+
+
+ SI-4(c)[2]
+ at ad hoc locations within the system to track specific types of transactions of interest to the organization;
+
+
+
+ SI-4(d)
+ protects information obtained from intrusion-monitoring tools from unauthorized:
+
+ SI-4(d)[1]
+ access;
+
+
+ SI-4(d)[2]
+ modification;
+
+
+ SI-4(d)[3]
+ deletion;
+
+
+
+ SI-4(e)
+ heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;
+
+
+ SI-4(f)
+ obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations;
+
+
+ SI-4(g)
+
+ SI-4(g)[1]
+ defines personnel or roles to whom information system monitoring information is to be provided;
+
+
+ SI-4(g)[2]
+ defines information system monitoring information to be provided to organization-defined personnel or roles;
+
+
+ SI-4(g)[3]
+ defines a frequency to provide organization-defined information system monitoring to organization-defined personnel or roles;
+
+
+ SI-4(g)[4]
+ provides organization-defined information system monitoring information to organization-defined personnel or roles one or more of the following:
+
+ SI-4(g)[4][a]
+ as needed; and/or
+
+
+ SI-4(g)[4][b]
+ with the organization-defined frequency.
+
+
+
+
+
+ EXAMINE
+ Continuous monitoring strategy
+ system and information integrity policy
+ procedures addressing information system monitoring tools and techniques
+ facility diagram/layout
+ information system design documentation
+ information system monitoring tools and techniques documentation
+ locations within information system where monitoring devices are deployed
+ information system configuration settings and associated documentation
+ other relevant documents or records
+
+
+ INTERVIEW
+ System/network administrators
+ organizational personnel with information security responsibilities
+ organizational personnel installing, configuring, and/or maintaining the information system
+ organizational personnel with responsibility monitoring the information system
+
+
+ TEST
+ Organizational processes for information system monitoring
+ automated mechanisms supporting and/or implementing information system monitoring capability
+
+
+
+ NIST Special Publication 800-61
+
+
+ NIST Special Publication 800-83
+
+
+ NIST Special Publication 800-92
+
+
+ NIST Special Publication 800-94
+
+
+ NIST Special Publication 800-137
+
+
+
+
+ SECURITY ALERTS, ADVISORIES, AND DIRECTIVES
+ SI-5
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SI-5a.
+
Receives information system security alerts, advisories, and directives from organization-defined external organizations on an ongoing basis;
+
+
+ SI-5b.
+
Generates internal security alerts, advisories, and directives as deemed necessary;
+
+
+ SI-5c.
+
Disseminates security alerts, advisories, and directives to: [Selection (one or more): organization-defined personnel or roles; organization-defined elements within the organization; organization-defined external organizations]; and
+
+
+ SI-5d.
+
Implements security directives in accordance with established time frames, or notifies the issuing organization of the degree of noncompliance.
+
+
+
+
The United States Computer Emergency Readiness Team (US-CERT) generates security alerts and advisories to maintain situational awareness across the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance to security directives is essential due to the critical nature of many of these directives and the potential immediate adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include, for example, external mission/business partners, supply chain partners, external service providers, and other peer/supporting organizations.
+ SI-2
+
+
+ AUTOMATED ALERTS AND ADVISORIES
+ SI-5 (1)
+ HIGH
+
+
The organization employs automated mechanisms to make security alert and advisory information available throughout the organization.
+
+
+
The significant number of changes to organizational information systems and the environments in which those systems operate requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational missions and business functions. Based on the information provided by the security alerts and advisories, changes may be required at one or more of the three tiers related to the management of information security risk including the governance level, mission/business process/enterprise architecture level, and the information system level.
+
+
+ Determine if the organization employs automated mechanisms to make security alert and advisory information available throughout the organization.
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing security alerts, advisories, and directives
+ information system design documentation
+ information system configuration settings and associated documentation
+ automated mechanisms supporting the distribution of security alert and advisory information
+ records of security alerts and advisories
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security alert and advisory responsibilities
+ organizational personnel implementing, operating, maintaining, and using the information system
+ organizational personnel, organizational elements, and/or external organizations to whom alerts and advisories are to be disseminated
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for defining, receiving, generating, and disseminating security alerts and advisories
+ automated mechanisms supporting and/or implementing dissemination of security alerts and advisories
+
+
+
+ Determine if the organization:
+
+ SI-5(a)
+
+ SI-5(a)[1]
+ defines external organizations from whom information system security alerts, advisories and directives are to be received;
+
+
+ SI-5(a)[2]
+ receives information system security alerts, advisories, and directives from organization-defined external organizations on an ongoing basis;
+
+
+
+ SI-5(b)
+ generates internal security alerts, advisories, and directives as deemed necessary;
+
+
+ SI-5(c)
+
+ SI-5(c)[1]
+ defines personnel or roles to whom security alerts, advisories, and directives are to be provided;
+
+
+ SI-5(c)[2]
+ defines elements within the organization to whom security alerts, advisories, and directives are to be provided;
+
+
+ SI-5(c)[3]
+ defines external organizations to whom security alerts, advisories, and directives are to be provided;
+
+
+ SI-5(c)[4]
+ disseminates security alerts, advisories, and directives to one or more of the following:
+
+ SI-5(c)[4][a]
+ organization-defined personnel or roles;
+
+
+ SI-5(c)[4][b]
+ organization-defined elements within the organization; and/or
+
+
+ SI-5(c)[4][c]
+ organization-defined external organizations; and
+
+
+
+
+ SI-5(d)
+
+ SI-5(d)[1]
+ implements security directives in accordance with established time frames; or
+
+
+ SI-5(d)[2]
+ notifies the issuing organization of the degree of noncompliance.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing security alerts, advisories, and directives
+ records of security alerts and advisories
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security alert and advisory responsibilities
+ organizational personnel implementing, operating, maintaining, and using the information system
+ organizational personnel, organizational elements, and/or external organizations to whom alerts, advisories, and directives are to be disseminated
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for defining, receiving, generating, disseminating, and complying with security alerts, advisories, and directives
+ automated mechanisms supporting and/or implementing definition, receipt, generation, and dissemination of security alerts, advisories, and directives
+ automated mechanisms supporting and/or implementing security directives
+
+
+
+ NIST Special Publication 800-40
+
+
+
+
+ SECURITY FUNCTION VERIFICATION
+ SI-6
+ P1
+ HIGH
+
+
The information system:
+
+ SI-6a.
+
Verifies the correct operation of organization-defined security functions;
+
+
+ SI-6b.
+
Performs this verification [Selection (one or more): organization-defined system transitional states; upon command by user with appropriate privilege; organization-defined frequency];
+
+
+ SI-6c.
+
Notifies organization-defined personnel or roles of failed security verification tests; and
+
+
+ SI-6d.
+
[Selection (one or more): shuts the information system down; restarts the information system; organization-defined alternative action(s)] when anomalies are discovered.
+
+
+
+
Transitional states for information systems include, for example, system startup, restart, shutdown, and abort. Notifications provided by information systems include, for example, electronic alerts to system administrators, messages to local computer consoles, and/or hardware indications such as lights.
+
+
+
+ AUTOMATION SUPPORT FOR DISTRIBUTED TESTING
+ SI-6 (2)
+
+
The information system implements automated mechanisms to support the management of distributed security testing.
+
+
+ SI-2
+
+
+ Determine if the information system implements automated mechanisms to support the management of distributed security testing.
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing security function verification
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security function verification responsibilities
+ organizational personnel implementing, operating, and maintaining the information system
+ system/network administrators
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for security function verification
+ automated mechanisms supporting and/or implementing the management of distributed security testing
+
+
+
+ REPORT VERIFICATION RESULTS
+ SI-6 (3)
+
+
The organization reports the results of security function verification to organization-defined personnel or roles.
+
+
+
Organizational personnel with potential interest in security function verification results include, for example, senior information security officers, information system security managers, and information systems security officers.
+ SA-12
+ SI-4
+ SI-5
+
+
+ Determine if the organization:
+
+ SI-6(3)[1]
+ defines personnel or roles designated to receive the results of security function verification; and
+
+
+ SI-6(3)[2]
+ reports the results of security function verification to organization-defined personnel or roles.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing security function verification
+ information system design documentation
+ information system configuration settings and associated documentation
+ records of security function verification results
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security function verification responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for reporting security function verification results
+ automated mechanisms supporting and/or implementing the reporting of security function verification results
+
+
+
+ Determine if:
+
+ SI-6(a)
+
+ SI-6(a)[1]
+ the organization defines security functions to be verified for correct operation;
+
+
+ SI-6(a)[2]
+ the information system verifies the correct operation of organization-defined security functions;
+
+
+
+ SI-6(b)
+
+ SI-6(b)[1]
+ the organization defines system transitional states requiring verification of organization-defined security functions;
+
+
+ SI-6(b)[2]
+ the organization defines a frequency to verify the correct operation of organization-defined security functions;
+
+
+ SI-6(b)[3]
+ the information system performs this verification one or more of the following:
+
+ SI-6(b)[3][a]
+ at organization-defined system transitional states;
+
+
+ SI-6(b)[3][b]
+ upon command by user with appropriate privilege; and/or
+
+
+ SI-6(b)[3][c]
+ with the organization-defined frequency;
+
+
+
+
+ SI-6(c)
+
+ SI-6(c)[1]
+ the organization defines personnel or roles to be notified of failed security verification tests;
+
+
+ SI-6(c)[2]
+ the information system notifies organization-defined personnel or roles of failed security verification tests;
+
+
+
+ SI-6(d)
+
+ SI-6(d)[1]
+ the organization defines alternative action(s) to be performed when anomalies are discovered;
+
+
+ SI-6(d)[2]
+ the information system performs one or more of the following actions when anomalies are discovered:
+
+ SI-6(d)[2][a]
+ shuts the information system down;
+
+
+ SI-6(d)[2][b]
+ restarts the information system; and/or
+
+
+ SI-6(d)[2][c]
+ performs organization-defined alternative action(s).
+
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing security function verification
+ information system design documentation
+ information system configuration settings and associated documentation
+ alerts/notifications of failed security verification tests
+ list of system transition states requiring security functionality verification
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with security function verification responsibilities
+ organizational personnel implementing, operating, and maintaining the information system
+ system/network administrators
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Organizational processes for security function verification
+ automated mechanisms supporting and/or implementing security function verification capability
+
+
+
+ SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY
+ SI-7
+ P1
+ MODERATE
+ HIGH
+
+
The organization employs integrity verification tools to detect unauthorized changes to organization-defined software, firmware, and information.
+
+
+
Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity (e.g., tampering). Software includes, for example, operating systems (with key internal components such as kernels, drivers), middleware, and applications. Firmware includes, for example, the Basic Input Output System (BIOS). Information includes metadata such as security attributes associated with information. State-of-the-practice integrity-checking mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and associated tools can automatically monitor the integrity of information systems and hosted applications.
The information system performs an integrity check of organization-defined software, firmware, and information [Selection (one or more): at startup; at organization-defined transitional states or security-relevant events; organization-defined frequency].
+
+
+
Security-relevant events include, for example, the identification of a new threat to which organizational information systems are susceptible, and the installation of new hardware, software, or firmware. Transitional states include, for example, system startup, restart, shutdown, and abort.
+
+
+ Determine if:
+
+ SI-7(1)[1]
+ the organization defines:
+
+ SI-7(1)[1][a]
+ software requiring integrity checks to be performed;
+
+
+ SI-7(1)[1][b]
+ firmware requiring integrity checks to be performed;
+
+
+ SI-7(1)[1][c]
+ information requiring integrity checks to be performed;
+
+
+
+ SI-7(1)[2]
+ the organization defines transitional states or security-relevant events requiring integrity checks of organization-defined:
+
+ SI-7(1)[2][a]
+ software;
+
+
+ SI-7(1)[2][b]
+ firmware;
+
+
+ SI-7(1)[2][c]
+ information;
+
+
+
+ SI-7(1)[3]
+ the organization defines a frequency with which to perform an integrity check of organization-defined:
+
+ SI-7(1)[3][a]
+ software;
+
+
+ SI-7(1)[3][b]
+ firmware;
+
+
+ SI-7(1)[3][c]
+ information;
+
+
+
+ SI-7(1)[4]
+ the information system performs an integrity check of organization-defined software, firmware, and information one or more of the following:
+
+ SI-7(1)[4][a]
+ at startup;
+
+
+ SI-7(1)[4][b]
+ at organization-defined transitional states or security-relevant events; and/or
+
+
+ SI-7(1)[4][c]
+ with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing software, firmware, and information integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ integrity verification tools and associated documentation
+ records of integrity scans
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for software, firmware, and/or information integrity
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Software, firmware, and information integrity verification tools
+
+
+
+ AUTOMATED NOTIFICATIONS OF INTEGRITY VIOLATIONS
+ SI-7 (2)
+ HIGH
+
+
The organization employs automated tools that provide notification to organization-defined personnel or roles upon discovering discrepancies during integrity verification.
+
+
+
The use of automated tools to report integrity violations and to notify organizational personnel in a timely matter is an essential precursor to effective risk response. Personnel having an interest in integrity violations include, for example, mission/business owners, information system owners, systems administrators, software developers, systems integrators, and information security officers.
+
+
+ Determine if the organization:
+
+ SI-7(2)[1]
+ defines personnel or roles to whom notification is to be provided upon discovering discrepancies during integrity verification; and
+
+
+ SI-7(2)[2]
+ employs automated tools that provide notification to organization-defined personnel or roles upon discovering discrepancies during integrity verification.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing software, firmware, and information integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ integrity verification tools and associated documentation
+ records of integrity scans
+ automated tools supporting alerts and notifications for integrity discrepancies
+ alerts/notifications provided upon discovering discrepancies during integrity verifications
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for software, firmware, and/or information integrity
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Software, firmware, and information integrity verification tools
+ automated mechanisms providing integrity discrepancy notifications
+
+
+
+ CENTRALLY-MANAGED INTEGRITY TOOLS
+ SI-7 (3)
+
+
The organization employs centrally managed integrity verification tools.
+
+
+ AU-3
+ SI-2
+ SI-8
+
+
+ Determine if the organization employs centrally managed integrity verification tools.
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing software, firmware, and information integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ integrity verification tools and associated documentation
+ records of integrity scans
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for central management of integrity verification tools
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing central management of integrity verification tools
+
+
+
+ TAMPER-EVIDENT PACKAGING
+ SI-7 (4)
+ SA-12
+
+
+ Incorporated into SA-12.
+
+
+
+ AUTOMATED RESPONSE TO INTEGRITY VIOLATIONS
+ SI-7 (5)
+ HIGH
+
+
The information system automatically [Selection (one or more): shuts the information system down; restarts the information system; implements organization-defined security safeguards] when integrity violations are discovered.
+
+
+
Organizations may define different integrity checking and anomaly responses: (i) by type of information (e.g., firmware, software, user data); (ii) by specific information (e.g., boot firmware, boot firmware for a specific types of machines); or (iii) a combination of both. Automatic implementation of specific safeguards within organizational information systems includes, for example, reversing the changes, halting the information system, or triggering audit alerts when unauthorized modifications to critical security files occur.
+
+
+ Determine if:
+
+ SI-7(5)[1]
+ the organization defines security safeguards to be implemented when integrity violations are discovered;
+
+
+ SI-7(5)[2]
+ the information system automatically performs one or more of the following actions when integrity violations are discovered:
+
+ SI-7(5)[2][a]
+ shuts the information system down;
+
+
+ SI-7(5)[2][b]
+ restarts the information system; and/or
+
+
+ SI-7(5)[2][c]
+ implements the organization-defined security safeguards.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing software, firmware, and information integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ integrity verification tools and associated documentation
+ records of integrity scans
+ records of integrity checks and responses to integrity violations
+ information audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for software, firmware, and/or information integrity
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Software, firmware, and information integrity verification tools
+ automated mechanisms providing an automated response to integrity violations
+ automated mechanisms supporting and/or implementing security safeguards to be implemented when integrity violations are discovered
+
+
+
+ CRYPTOGRAPHIC PROTECTION
+ SI-7 (6)
+
+
The information system implements cryptographic mechanisms to detect unauthorized changes to software, firmware, and information.
+
+
+
Cryptographic mechanisms used for the protection of integrity include, for example, digital signatures and the computation and application of signed hashes using asymmetric cryptography, protecting the confidentiality of the key used to generate the hash, and using the public key to verify the hash information.
+ SC-13
+
+
+ Determine if the information system employs cryptographic mechanism to detect unauthorized changes to:
+
+ SI-7(6)[1]
+ software;
+
+
+ SI-7(6)[2]
+ firmware; and
+
+
+ SI-7(6)[3]
+ information.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing software, firmware, and information integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ cryptographic mechanisms and associated documentation
+ records of detected unauthorized changes to software, firmware, and information
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for software, firmware, and/or information integrity
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Software, firmware, and information integrity verification tools
+ cryptographic mechanisms implementing software, firmware, and information integrity
+
+
+
+ INTEGRATION OF DETECTION AND RESPONSE
+ SI-7 (7)
+ MODERATE
+ HIGH
+
+
The organization incorporates the detection of unauthorized organization-defined security-relevant changes to the information system into the organizational incident response capability.
+
+
+
This control enhancement helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important both for being able to identify and discern adversary actions over an extended period of time and for possible legal actions. Security-relevant changes include, for example, unauthorized changes to established configuration settings or unauthorized elevation of information system privileges.
+ IR-4
+ IR-5
+ SI-4
+
+
+ Determine if the organization:
+
+ SI-7(7)[1]
+ defines unauthorized security-relevant changes to the information system; and
+
+
+ SI-7(7)[2]
+ incorporates the detection of unauthorized organization-defined security-relevant changes to the information system into the organizational incident response capability.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing software, firmware, and information integrity
+ procedures addressing incident response
+ information system design documentation
+ information system configuration settings and associated documentation
+ incident response records
+ information audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for software, firmware, and/or information integrity
+ organizational personnel with information security responsibilities
+ organizational personnel with incident response responsibilities
+
+
+ TEST
+ Organizational processes for incorporating detection of unauthorized security-relevant changes into the incident response capability
+ software, firmware, and information integrity verification tools
+ automated mechanisms supporting and/or implementing incorporation of detection of unauthorized security-relevant changes into the incident response capability
+
+
+
+ AUDITING CAPABILITY FOR SIGNIFICANT EVENTS
+ SI-7 (8)
+
+
The information system, upon detection of a potential integrity violation, provides the capability to audit the event and initiates the following actions: [Selection (one or more): generates an audit record; alerts current user; alerts organization-defined personnel or roles; organization-defined other actions].
+
+
+
Organizations select response actions based on types of software, specific software, or information for which there are potential integrity violations.
+ AU-2
+ AU-6
+ AU-12
+
+
+ Determine if:
+
+ SI-7(8)[1]
+ the organization defines personnel or roles to be alerted upon detection of a potential integrity violation;
+
+
+ SI-7(8)[2]
+ the organization defines other actions to be taken upon detection of a potential integrity violation;
+
+
+ SI-7(8)[3]
+
+ SI-7(8)[3][a]
+ the information system, upon detection of a potential integrity violation, provides the capability to audit the event;
+
+
+ SI-7(8)[3][b]
+ the information system, upon detection of a potential integrity violation, initiates one or more of the following actions:
+
+ SI-7(8)[3][b][1]
+ generates an audit record;
+
+
+ SI-7(8)[3][b][2]
+ alerts current user;
+
+
+ SI-7(8)[3][b][3]
+ alerts organization-defined personnel or roles; and/or
+
+
+ SI-7(8)[3][b][4]
+ organization-defined other actions.
+
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing software, firmware, and information integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ integrity verification tools and associated documentation
+ records of integrity scans
+ incident response records, list of security-relevant changes to the information system
+ automated tools supporting alerts and notifications if unauthorized security changes are detected
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for software, firmware, and/or information integrity
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Software, firmware, and information integrity verification tools
+ automated mechanisms supporting and/or implementing the capability to audit potential integrity violations
+ automated mechanisms supporting and/or implementing alerts about potential integrity violations
+
+
+
+ VERIFY BOOT PROCESS
+ SI-7 (9)
+
+
The information system verifies the integrity of the boot process of organization-defined devices.
+
+
+
Ensuring the integrity of boot processes is critical to starting devices in known/trustworthy states. Integrity verification mechanisms provide organizational personnel with assurance that only trusted code is executed during boot processes.
+
+
+ Determine if:
+
+ SI-7(9)[1]
+ the organization defines devices requiring integrity verification of the boot process; and
+
+
+ SI-7(9)[2]
+ the information system verifies the integrity of the boot process of organization-defined devices.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing software, firmware, and information integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ integrity verification tools and associated documentation
+ documentation
+ records of integrity verification scans
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for software, firmware, and/or information integrity
+ organizational personnel with information security responsibilities
+ system developer
+
+
+ TEST
+ Software, firmware, and information integrity verification tools
+ automated mechanisms supporting and/or implementing integrity verification of the boot process
+
+
+
+ PROTECTION OF BOOT FIRMWARE
+ SI-7 (10)
+
+
The information system implements organization-defined security safeguards to protect the integrity of boot firmware in organization-defined devices.
+
+
+
Unauthorized modifications to boot firmware may be indicative of a sophisticated, targeted cyber attack. These types of cyber attacks can result in a permanent denial of service (e.g., if the firmware is corrupted) or a persistent malicious code presence (e.g., if code is embedded within the firmware). Devices can protect the integrity of the boot firmware in organizational information systems by: (i) verifying the integrity and authenticity of all updates to the boot firmware prior to applying changes to the boot devices; and (ii) preventing unauthorized processes from modifying the boot firmware.
+
+
+ Determine if:
+
+ SI-7(10)[1]
+ the organization defines security safeguards to be implemented to protect the integrity of boot firmware in devices;
+
+
+ SI-7(10)[2]
+ the organization defines devices requiring organization-defined security safeguards to be implemented to protect the integrity of boot firmware; and
+
+
+ SI-7(10)[3]
+ the information system implements organization-defined security safeguards to protect the integrity of boot firmware in organization-defined devices.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing software, firmware, and information integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ integrity verification tools and associated documentation
+ records of integrity verification scans
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for software, firmware, and/or information integrity
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Software, firmware, and information integrity verification tools
+ automated mechanisms supporting and/or implementing protection of the integrity of boot firmware
+ safeguards implementing protection of the integrity of boot firmware
+
+
+
+ CONFINED ENVIRONMENTS WITH LIMITED PRIVILEGES
+ SI-7 (11)
+
+
The organization requires that organization-defined user-installed software execute in a confined physical or virtual machine environment with limited privileges.
+
+
+
Organizations identify software that may be of greater concern with regard to origin or potential for containing malicious code. For this type of software, user installations occur in confined environments of operation to limit or contain damage from malicious code that may be executed.
+
+
+ Determine if the organization:
+
+ SI-7(11)[1]
+ defines user-installed software to be executed in a confined physical or virtual machine environment with limited privileges; and
+
+
+ SI-7(11)[2]
+ requires that organization-defined user-installed software execute in a confined physical or virtual machine environment with limited privileges.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing software, firmware, and information integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for software, firmware, and/or information integrity
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Software, firmware, and information integrity verification tools
+ automated mechanisms supporting and/or implementing execution of software in a confined environment (physical and/or virtual)
+ automated mechanisms supporting and/or implementing limited privileges in the confined environment
+
+
+
+ INTEGRITY VERIFICATION
+ SI-7 (12)
+
+
The organization requires that the integrity of organization-defined user-installed software be verified prior to execution.
+
+
+
Organizations verify the integrity of user-installed software prior to execution to reduce the likelihood of executing malicious code or code that contains errors from unauthorized modifications. Organizations consider the practicality of approaches to verifying software integrity including, for example, availability of checksums of adequate trustworthiness from software developers or vendors.
+
+
+ Determine if the organization:
+
+ SI-7(12)[1]
+ defines user-installed software requiring integrity verification prior to execution; and
+
+
+ SI-7(12)[2]
+ requires that the integrity of organization-defined user-installed software be verified prior to execution.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing software, firmware, and information integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ integrity verification records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for software, firmware, and/or information integrity
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Software, firmware, and information integrity verification tools
+ automated mechanisms supporting and/or implementing verification of the integrity of user-installed software prior to execution
+
+
+
+ CODE EXECUTION IN PROTECTED ENVIRONMENTS
+ SI-7 (13)
+
+
The organization allows execution of binary or machine-executable code obtained from sources with limited or no warranty and without the provision of source code only in confined physical or virtual machine environments and with the explicit approval of organization-defined personnel or roles.
+
+
+
This control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software.
+
+
+ Determine if the organization:
+
+ SI-7(13)[1]
+ allows execution of binary or machine-executable code obtained from sources with limited or no warranty;
+
+
+ SI-7(13)[2]
+ allows execution of binary or machine-executable code without the provision of source code only in confined physical or virtual machines;
+
+
+ SI-7(13)[3]
+ defines personnel or roles required to provide explicit approval to allow execution of binary or machine-executable code; and
+
+
+ SI-7(13)[4]
+ allows execution of binary or machine-executable code with the explicit approval of organization-defined personnel or roles.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing software, firmware, and information integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ approval records for execution of binary and machine-executable code
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for software, firmware, and/or information integrity
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Software, firmware, and information integrity verification tools
+ automated mechanisms supporting and/or implementing approvals for execution of binary or machine-executable code
+
+
+
+ BINARY OR MACHINE EXECUTABLE CODE
+ SI-7 (14)
+ HIGH
+
+
The organization:
+
+ SI-7 (14)(a)
+
Prohibits the use of binary or machine-executable code from sources with limited or no warranty and without the provision of source code; and
+
+
+ SI-7 (14)(b)
+
Provides exceptions to the source code requirement only for compelling mission/operational requirements and with the approval of the authorizing official.
+
+
+
+
This control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software. Organizations assess software products without accompanying source code from sources with limited or no warranty for potential security impacts. The assessments address the fact that these types of software products may be very difficult to review, repair, or extend, given that organizations, in most cases, do not have access to the original source code, and there may be no owners who could make such repairs on behalf of organizations.
+ SA-5
+
+
+ Determine if the organization:
+
+ SI-7(14)(a)
+
+ SI-7(14)(a)[1]
+ prohibits the use of binary or machine-executable code from sources with limited or no warranty;
+
+
+ SI-7(14)(a)[2]
+ prohibits the use of binary or machine-executable code without the provision of source code;
+
+
+
+ SI-7(14)(b)
+
+ SI-7(14)(b)[1]
+ provides exceptions to the source code requirement only for compelling mission/operational requirements; and
+
+
+ SI-7(14)(b)[2]
+ provides exceptions to the source code requirement only with the approval of the authorizing official.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing software, firmware, and information integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ approval records for execution of binary and machine-executable code
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for software, firmware, and/or information integrity
+ organizational personnel with information security responsibilities
+ authorizing official
+ system/network administrators
+ system developer
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing prohibition of the execution of binary or machine-executable code
+
+
+
+ CODE AUTHENTICATION
+ SI-7 (15)
+
+
The information system implements cryptographic mechanisms to authenticate organization-defined software or firmware components prior to installation.
+
+
+
Cryptographic authentication includes, for example, verifying that software or firmware components have been digitally signed using certificates recognized and approved by organizations. Code signing is an effective method to protect against malicious code.
+
+
+ Determine if:
+
+ SI-7(15)[1]
+
+ SI-7(15)[1][a]
+ the organization defines software components to be authenticated by cryptographic mechanisms prior to installation;
+
+
+ SI-7(15)[1][b]
+ the organization defines firmware components to be authenticated by cryptographic mechanisms prior to installation;
+
+
+
+ SI-7(15)[2]
+
+ SI-7(15)[2][a]
+ the information system implements cryptographic mechanisms to authenticate organization-defined software components prior to installation; and
+
+
+ SI-7(15)[2][b]
+ the information system implements cryptographic mechanisms to authenticate organization-defined firmware components prior to installation.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing software, firmware, and information integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ cryptographic mechanisms and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for software, firmware, and/or information integrity
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Cryptographic mechanisms authenticating software/firmware prior to installation
+
+
+
+ TIME LIMIT ON PROCESS EXECUTION W/O SUPERVISION
+ SI-7 (16)
+
+
The organization does not allow processes to execute without supervision for more than organization-defined time period.
+
+
+
This control enhancement addresses processes for which normal execution periods can be determined and situations in which organizations exceed such periods. Supervision includes, for example, operating system timers, automated responses, or manual oversight and response when information system process anomalies occur.
+
+
+ Determine if the organization:
+
+ SI-7(16)[1]
+ defines a time period as the maximum period allowed for processes to execute without supervision; and
+
+
+ SI-7(16)[2]
+ does not allow processes to execute without supervision for more than the organization-defined time period.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing software and information integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for software, firmware, and/or information integrity
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Software, firmware, and information integrity verification tools
+ automated mechanisms supporting and/or implementing time limits on process execution without supervision
+
+
+
+ Determine if the organization:
+
+ SI-7[1]
+
+ SI-7[1][a]
+ defines software requiring integrity verification tools to be employed to detect unauthorized changes;
+
+
+ SI-7[1][b]
+ defines firmware requiring integrity verification tools to be employed to detect unauthorized changes;
+
+
+ SI-7[1][c]
+ defines information requiring integrity verification tools to be employed to detect unauthorized changes;
+
+
+
+ SI-7[2]
+ employs integrity verification tools to detect unauthorized changes to organization-defined:
+
+ SI-7[2][a]
+ software;
+
+
+ SI-7[2][b]
+ firmware; and
+
+
+ SI-7[2][c]
+ information.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing software, firmware, and information integrity
+ information system design documentation
+ information system configuration settings and associated documentation
+ integrity verification tools and associated documentation
+ records generated/triggered from integrity verification tools regarding unauthorized software, firmware, and information changes
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for software, firmware, and/or information integrity
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Software, firmware, and information integrity verification tools
+
+
+
+ NIST Special Publication 800-147
+
+
+ NIST Special Publication 800-155
+
+
+
+
+ SPAM PROTECTION
+ SI-8
+ P2
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SI-8a.
+
Employs spam protection mechanisms at information system entry and exit points to detect and take action on unsolicited messages; and
+
+
+ SI-8b.
+
Updates spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.
+
+
+
+
Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, mobile devices, and notebook/laptop computers. Spam can be transported by different means including, for example, electronic mail, electronic mail attachments, and web accesses. Spam protection mechanisms include, for example, signature definitions.
The organization centrally manages spam protection mechanisms.
+
+
+
Central management is the organization-wide management and implementation of spam protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed spam protection security controls.
+ AU-3
+ SI-2
+ SI-7
+
+
+ Determine if the organization centrally manages spam protection mechanisms.
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing spam protection
+ spam protection mechanisms
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for spam protection
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for central management of spam protection
+ automated mechanisms supporting and/or implementing central management of spam protection
+
+
+
+ AUTOMATIC UPDATES
+ SI-8 (2)
+ MODERATE
+ HIGH
+
+
The information system automatically updates spam protection mechanisms.
+
+
+ Determine if the information system automatically updates spam protection mechanisms.
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing spam protection
+ spam protection mechanisms
+ records of spam protection updates
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for spam protection
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Organizational processes for spam protection
+ automated mechanisms supporting and/or implementing automatic updates to spam protection mechanisms
+
+
+
+ CONTINUOUS LEARNING CAPABILITY
+ SI-8 (3)
+
+
The information system implements spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic.
+
+
+
Learning mechanisms include, for example, Bayesian filters that respond to user inputs identifying specific traffic as spam or legitimate by updating algorithm parameters and thereby more accurately separating types of traffic.
+
+
+ Determine if the information system implements spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic.
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing spam protection
+ spam protection mechanisms
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for spam protection
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Organizational processes for spam protection
+ automated mechanisms supporting and/or implementing spam protection mechanisms with a learning capability
+
+
+
+ Determine if the organization:
+
+ SI-8(a)
+ employs spam protection mechanisms:
+
+ SI-8(a)[1]
+ at information system entry points to detect unsolicited messages;
+
+
+ SI-8(a)[2]
+ at information system entry points to take action on unsolicited messages;
+
+
+ SI-8(a)[3]
+ at information system exit points to detect unsolicited messages;
+
+
+ SI-8(a)[4]
+ at information system exit points to take action on unsolicited messages; and
+
+
+
+ SI-8(b)
+ updates spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ configuration management policy and procedures (CM-1)
+ procedures addressing spam protection
+ spam protection mechanisms
+ records of spam protection updates
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for spam protection
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Organizational processes for implementing spam protection
+ automated mechanisms supporting and/or implementing spam protection
+
+
+
+ NIST Special Publication 800-45
+
+
+
+
+ INFORMATION INPUT RESTRICTIONS
+ SI-9
+ AC-2
+ AC-3
+ AC-5
+ AC-6
+
+
+ Incorporated into AC-2, AC-3, AC-5, AC-6.
+
+
+
+ INFORMATION INPUT VALIDATION
+ SI-10
+ P1
+ MODERATE
+ HIGH
+
+
The information system checks the validity of organization-defined information inputs.
+
+
+
Checking the valid syntax and semantics of information system inputs (e.g., character set, length, numerical range, and acceptable values) verifies that inputs match specified definitions for format and content. Software applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the tainted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing to interpreters prevents the content from being unintentionally interpreted as commands. Input validation helps to ensure accurate and correct inputs and prevent attacks such as cross-site scripting and a variety of injection attacks.
+
+
+ MANUAL OVERRIDE CAPABILITY
+ SI-10 (1)
+
+
The information system:
+
+ SI-10 (1)(a)
+
Provides a manual override capability for input validation of organization-defined inputs;
+
+
+ SI-10 (1)(b)
+
Restricts the use of the manual override capability to only organization-defined authorized individuals; and
+
+
+ SI-10 (1)(c)
+
Audits the use of the manual override capability.
+
+
+
+ CM-3
+ CM-5
+
+
+ Determine if:
+
+ SI-10(1)(a)
+
+ SI-10(1)(a)[1]
+ the organization defines information inputs for which the information system provides a manual override capability for input validation;
+
+
+ SI-10(1)(a)[2]
+ the information system provides a manual override capability for input validation of organization-defined inputs;
+
+
+
+ SI-10(1)(b)
+
+ SI-10(1)(b)[1]
+ the organization defines authorized individuals who can use the manual override capability;
+
+
+ SI-10(1)(b)[2]
+ the information system restricts the use of manual override capability to organization-defined authorized individuals; and
+
+
+
+ SI-10(1)(c)
+ the information system audits the use of the manual override capability.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ access control policy and procedures
+ separation of duties policy and procedures
+ procedures addressing information input validation
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for information input validation
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Organizational processes for use of manual override capability
+ automated mechanisms supporting and/or implementing manual override capability for input validation
+ automated mechanisms supporting and/or implementing auditing of the use of manual override capability
+
+
+
+ REVIEW / RESOLUTION OF ERRORS
+ SI-10 (2)
+
+
The organization ensures that input validation errors are reviewed and resolved within organization-defined time period.
+
+
+
Resolution of input validation errors includes, for example, correcting systemic causes of errors and resubmitting transactions with corrected input.
+
+
+ Determine if the organization:
+
+ SI-10(2)[1]
+ defines a time period within which input validation errors are to be reviewed and resolved; and
+
+
+ SI-10(2)[2]
+ ensures that input validation errors are reviewed and resolved within the organization-defined time period.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ access control policy and procedures
+ separation of duties policy and procedures
+ procedures addressing information input validation
+ information system design documentation
+ information system configuration settings and associated documentation
+ review records of information input validation errors and resulting resolutions
+ information input validation error logs or records
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for information input validation
+ organizational personnel with information security responsibilities
+ system/network administrators
+
+
+ TEST
+ Organizational processes for review and resolution of input validation errors
+ automated mechanisms supporting and/or implementing review and resolution of input validation errors
+
+
+
+ PREDICTABLE BEHAVIOR
+ SI-10 (3)
+
+
The information system behaves in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.
+
+
+
A common vulnerability in organizational information systems is unpredictable behavior when invalid inputs are received. This control enhancement ensures that there is predictable behavior in the face of invalid inputs by specifying information system responses that facilitate transitioning the system to known states without adverse, unintended side effects.
+
+
+ Determine if the information system behaves in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information input validation
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for information input validation
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing predictable behavior when invalid inputs are received
+
+
+
+ REVIEW / TIMING INTERACTIONS
+ SI-10 (4)
+
+
The organization accounts for timing interactions among information system components in determining appropriate responses for invalid inputs.
+
+
+
In addressing invalid information system inputs received across protocol interfaces, timing interactions become relevant, where one protocol needs to consider the impact of the error response on other protocols within the protocol stack. For example, 802.11 standard wireless network protocols do not interact well with Transmission Control Protocols (TCP) when packets are dropped (which could be due to invalid packet input). TCP assumes packet losses are due to congestion, while packets lost over 802.11 links are typically dropped due to collisions or noise on the link. If TCP makes a congestion response, it takes precisely the wrong action in response to a collision event. Adversaries may be able to use apparently acceptable individual behaviors of the protocols in concert to achieve adverse effects through suitable construction of invalid input.
+
+
+ Determine if the organization accounts for timing interactions among information system components in determining appropriate responses for invalid inputs.
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information input validation
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for information input validation
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Organizational processes for determining appropriate responses to invalid inputs
+ automated mechanisms supporting and/or implementing responses to invalid inputs
+
+
+
+ RESTRICT INPUTS TO TRUSTED SOURCES AND APPROVED FORMATS
+ SI-10 (5)
+
+
The organization restricts the use of information inputs to organization-defined trusted sources and/or organization-defined formats.
+
+
+
This control enhancement applies the concept of whitelisting to information inputs. Specifying known trusted sources for information inputs and acceptable formats for such inputs can reduce the probability of malicious activity.
+
+
+ Determine if the organization:
+
+ SI-10(5)[1]
+ defines trusted sources to which the use of information inputs is to be restricted;
+
+
+ SI-10(5)[2]
+ defines formats to which the use of information inputs is to be restricted;
+
+
+ SI-10(5)[3]
+ restricts the use of information inputs to:
+
+ SI-10(5)[3][a]
+ organization-defined trust sources; and/or
+
+
+ SI-10(5)[3][b]
+ organization-defined formats.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information input validation
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of trusted sources for information inputs
+ list of acceptable formats for input restrictions
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for information input validation
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Organizational processes for restricting information inputs
+ automated mechanisms supporting and/or implementing restriction of information inputs
+
+
+
+ Determine if:
+
+ SI-10[1]
+ the organization defines information inputs requiring validity checks; and
+
+
+ SI-10[2]
+ the information system checks the validity of organization-defined information inputs.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ access control policy and procedures
+ separation of duties policy and procedures
+ procedures addressing information input validation
+ documentation for automated tools and applications to verify validity of information
+ list of information inputs requiring validity checks
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for information input validation
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing validity checks on information inputs
+
+
+
+ ERROR HANDLING
+ SI-11
+ P2
+ MODERATE
+ HIGH
+
+
The information system:
+
+ SI-11a.
+
Generates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries; and
+
+
+ SI-11b.
+
Reveals error messages only to organization-defined personnel or roles.
+
+
+
+
Organizations carefully consider the structure/content of error messages. The extent to which information systems are able to identify and handle error conditions is guided by organizational policy and operational requirements. Information that could be exploited by adversaries includes, for example, erroneous logon attempts with passwords entered by mistake as the username, mission/business information that can be derived from (if not stated explicitly by) information recorded, and personal information such as account numbers, social security numbers, and credit card numbers. In addition, error messages may provide a covert channel for transmitting information.
+ AU-2
+ AU-3
+ SC-31
+
+
+ Determine if:
+
+ SI-11(a)
+ the information system generates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries;
+
+
+ SI-11(b)
+
+ SI-11(b)[1]
+ the organization defines personnel or roles to whom error messages are to be revealed; and
+
+
+ SI-11(b)[2]
+ the information system reveals error messages only to organization-defined personnel or roles.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information system error handling
+ information system design documentation
+ information system configuration settings and associated documentation
+ documentation providing structure/content of error messages
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for information input validation
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Organizational processes for error handling
+ automated mechanisms supporting and/or implementing error handling
+ automated mechanisms supporting and/or implementing management of error messages
+
+
+
+ INFORMATION HANDLING AND RETENTION
+ SI-12
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization handles and retains information within the information system and information output from the system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements.
+
+
+
Information handling and retention requirements cover the full life cycle of information, in some cases extending beyond the disposal of information systems. The National Archives and Records Administration provides guidance on records retention.
+ AC-16
+ AU-5
+ AU-11
+ MP-2
+ MP-4
+
+
+ Determine if the organization, in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements:
+
+ SI-12[1]
+ handles information within the information system;
+
+
+ SI-12[2]
+ handles output from the information system;
+
+
+ SI-12[3]
+ retains information within the information system; and
+
+
+ SI-12[4]
+ retains output from the information system.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to information handling and retention
+ media protection policy and procedures
+ procedures addressing information system output handling and retention
+ information retention records, other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for information handling and retention
+ organizational personnel with information security responsibilities/network administrators
+
+
+ TEST
+ Organizational processes for information handling and retention
+ automated mechanisms supporting and/or implementing information handling and retention
+
+
+
+ PREDICTABLE FAILURE PREVENTION
+ SI-13
+ P0
+
+
The organization:
+
+ SI-13a.
+
Determines mean time to failure (MTTF) for organization-defined information system components in specific environments of operation; and
+
+
+ SI-13b.
+
Provides substitute information system components and a means to exchange active and standby components at organization-defined MTTF substitution criteria.
+
+
+
+
While MTTF is primarily a reliability issue, this control addresses potential failures of specific information system components that provide security capability. Failure rates reflect installation-specific consideration, not industry-average. Organizations define criteria for substitution of information system components based on MTTF value with consideration for resulting potential harm from component failures. Transfer of responsibilities between active and standby components does not compromise safety, operational readiness, or security capability (e.g., preservation of state variables). Standby components remain available at all times except for maintenance issues or recovery failures in progress.
The organization takes information system components out of service by transferring component responsibilities to substitute components no later than organization-defined fraction or percentage of mean time to failure.
+
+
+ Determine if the organization:
+
+ SI-13(1)[1]
+ defines maximum fraction or percentage of mean time to failure within which to transfer the responsibilities of an information system component that is out of service to a substitute component; and
+
+
+ SI-13(1)[2]
+ takes the information system component out of service by transferring component responsibilities to substitute components no later than organization-defined fraction or percentage of mean time to failure.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing predictable failure prevention
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for MTTF activities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ organizational personnel with contingency planning responsibilities
+
+
+ TEST
+ Organizational processes for managing MTTF
+ automated mechanisms supporting and/or implementing transfer of component responsibilities to substitute components
+
+
+
+ TIME LIMIT ON PROCESS EXECUTION WITHOUT SUPERVISION
+ SI-13 (2)
+ SI-7 (16)
+
+
+ Incorporated into SI-7 (16).
+
+
+
+ MANUAL TRANSFER BETWEEN COMPONENTS
+ SI-13 (3)
+
+
The organization manually initiates transfers between active and standby information system components organization-defined frequency if the mean time to failure exceeds organization-defined time period.
+
+
+ Determine if the organization:
+
+ SI-13(3)[1]
+ defines the minimum frequency with which the organization manually initiates a transfer between active and standby information system components if the mean time to failure exceeds the organization-defined time period;
+
+
+ SI-13(3)[2]
+ defines the time period that the mean time to failure must exceed before the organization manually initiates a transfer between active and standby information system components; and
+
+
+ SI-13(3)[3]
+ manually initiates transfers between active and standby information system components at the organization-defined frequency if the mean time to failure exceeds the organization-defined time period.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing predictable failure prevention
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for MTTF activities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ organizational personnel with contingency planning responsibilities
+
+
+ TEST
+ Organizational processes for managing MTTF and conducting the manual transfer between active and standby components
+
+
+
+ STANDBY COMPONENT INSTALLATION / NOTIFICATION
+ SI-13 (4)
+
+
The organization, if information system component failures are detected:
+
+ SI-13 (4)(a)
+
Ensures that the standby components are successfully and transparently installed within organization-defined time period; and
+
+
+ SI-13 (4)(b)
+
[Selection (one or more): activates organization-defined alarm; automatically shuts down the information system].
+
+
+
+
Automatic or manual transfer of components from standby to active mode can occur, for example, upon detection of component failures.
+
+
+ Determine if the organization:
+
+ SI-13(4)(a)
+
+ SI-13(4)(a)[1]
+ defines a time period for standby information system components to be successfully and transparently installed when information system component failures are detected;
+
+
+ SI-13(4)(a)[2]
+ ensures that the standby components are successfully and transparently installed within the organization-defined time period;
+
+
+
+ SI-13(4)(b)
+
+ SI-13(4)(b)[1]
+ defines an alarm to be activated when information system component failures are detected;
+
+
+ SI-13(4)(b)[2]
+ if information system component failures are detected, does one or more of the following:
+
+ SI-13(4)(b)[2][a]
+ activates the organization-defined alarm; and/or
+
+
+ SI-13(4)(b)[2][b]
+ automatically shuts down the information system.
+
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing predictable failure prevention
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of actions to be taken once information system component failure is detected
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for MTTF activities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ organizational personnel with contingency planning responsibilities
+
+
+ TEST
+ Organizational processes for managing MTTF
+ automated mechanisms supporting and/or implementing transparent installation of standby components
+ automated mechanisms supporting and/or implementing alarms or system shutdown if component failures are detected
+
+
+
+ FAILOVER CAPABILITY
+ SI-13 (5)
+
+
The organization provides [Selection: real-time; near real-time] organization-defined failover capability for the information system.
+
+
+
Failover refers to the automatic switchover to an alternate information system upon the failure of the primary information system. Failover capability includes, for example, incorporating mirrored information system operations at alternate processing sites or periodic data mirroring at regular intervals defined by recovery time periods of organizations.
+
+
+ Determine if the organization:
+
+ SI-13(5)[1]
+ defines failover capability to be provided for the information system;
+
+
+ SI-13(5)[2]
+ provides one of the following organization-defined failover capabilities for the information system:
+
+ SI-13(5)[2][a]
+ real-time failover capability; and/or
+
+
+ SI-13(5)[2][b]
+ near real-time failover capability.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing predictable failure prevention
+ information system design documentation
+ information system configuration settings and associated documentation
+ documentation describing failover capability provided for the information system
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for failover capability
+ organizational personnel with information security responsibilities
+ system/network administrators
+ organizational personnel with contingency planning responsibilities
+
+
+ TEST
+ Organizational processes for managing failover capability
+ automated mechanisms supporting and/or implementing failover capability
+
+
+
+ Determine if the organization:
+
+ SI-13(a)
+
+ SI-13(a)[1]
+ defines information system components for which mean time to failure (MTTF) should be determined;
+
+
+ SI-13(a)[2]
+ determines MTTF for organization-defined information system components in specific environments of operation;
+
+
+
+ SI-13(b)
+
+ SI-13(b)[1]
+ defines MTTF substitution criteria to be used as a means to exchange active and standby components;
+
+
+ SI-13(b)[2]
+ provides substitute information system components at organization-defined MTTF substitution criteria; and
+
+
+ SI-13(b)[3]
+ provides a means to exchange active and standby components at organization-defined MTTF substitution criteria.
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing predictable failure prevention
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of MTTF substitution criteria
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for MTTF determinations and activities
+ organizational personnel with information security responsibilities
+ system/network administrators
+ organizational personnel with contingency planning responsibilities
+
+
+ TEST
+ Organizational processes for managing MTTF
+
+
+
+ NON-PERSISTENCE
+ SI-14
+ P0
+
+
The organization implements non-persistent organization-defined information system components and services that are initiated in a known state and terminated [Selection (one or more): upon end of session of use; periodically at organization-defined frequency].
+
+
+
This control mitigates risk from advanced persistent threats (APTs) by significantly reducing the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete cyber attacks. By implementing the concept of non-persistence for selected information system components, organizations can provide a known state computing resource for a specific period of time that does not give adversaries sufficient time on target to exploit vulnerabilities in organizational information systems and the environments in which those systems operate. Since the advanced persistent threat is a high-end threat with regard to capability, intent, and targeting, organizations assume that over an extended period of time, a percentage of cyber attacks will be successful. Non-persistent information system components and services are activated as required using protected information and terminated periodically or upon the end of sessions. Non-persistence increases the work factor of adversaries in attempting to compromise or breach organizational information systems.
+Non-persistent system components can be implemented, for example, by periodically re-imaging components or by using a variety of common virtualization techniques. Non-persistent services can be implemented using virtualization techniques as part of virtual machines or as new instances of processes on physical machines (either persistent or non-persistent).The benefit of periodic refreshes of information system components/services is that it does not require organizations to first determine whether compromises of components or services have occurred (something that may often be difficult for organizations to determine). The refresh of selected information system components and services occurs with sufficient frequency to prevent the spread or intended impact of attacks, but not with such frequency that it makes the information system unstable. In some instances, refreshes of critical components and services may be done periodically in order to hinder the ability of adversaries to exploit optimum windows of vulnerabilities.
The organization ensures that software and data employed during information system component and service refreshes are obtained from organization-defined trusted sources.
+
+
+
Trusted sources include, for example, software/data from write-once, read-only media or from selected off-line secure storage facilities.
+
+
+ Determine if the organization:
+
+ SI-14(1)[1]
+ defines trusted sources from which software and data employed during information system component and service refreshes are to be obtained; and
+
+
+ SI-14(1)[2]
+ ensures that software and data employed during information system component and service refreshes are obtained from organization-defined trusted sources.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing non-persistence for information system components
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for obtaining component and service refreshes from trusted sources
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for defining and obtaining component and service refreshes from trusted sources
+ automated mechanisms supporting and/or implementing component and service refreshes
+
+
+
+ Determine if the organization:
+
+ SI-14[1]
+ defines non-persistent information system components and services to be implemented;
+
+
+ SI-14[2]
+
+ SI-14[2][a]
+ defines a frequency to terminate non-persistent organization-defined components and services that are initiated in a known state;
+
+
+ SI-14[2][b]
+ implements non-persistent organization-defined information system components and services that are initiated in a known state and terminated one or more of the following:
+
+ SI-14[2][b][1]
+ upon end of session of use; and/or
+
+
+ SI-14[2][b][2]
+ periodically at the organization-defined frequency.
+
+
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing non-persistence for information system components
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for non-persistence
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing initiation and termination of non-persistent components
+
+
+
+ INFORMATION OUTPUT FILTERING
+ SI-15
+ P0
+
+
The information system validates information output from organization-defined software programs and/or applications to ensure that the information is consistent with the expected content.
+
+
+
Certain types of cyber attacks (e.g., SQL injections) produce output results that are unexpected or inconsistent with the output results that would normally be expected from software programs or applications. This control enhancement focuses on detecting extraneous content, preventing such extraneous content from being displayed, and alerting monitoring tools that anomalous behavior has been discovered.
+ SI-3
+ SI-4
+
+
+ Determine if:
+
+ SI-15[1]
+ the organization defines software programs and/or applications whose information output requires validation to ensure that the information is consistent with the expected content; and
+
+
+ SI-15[2]
+ the information system validates information output from organization-defined software programs and/or applications to ensure that the information is consistent with the expected content.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing information output filtering
+ information system design documentation
+ information system configuration settings and associated documentation
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for validating information output
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Organizational processes for validating information output
+ automated mechanisms supporting and/or implementing information output validation
+
+
+
+ MEMORY PROTECTION
+ SI-16
+ P1
+ MODERATE
+ HIGH
+
+
The information system implements organization-defined security safeguards to protect its memory from unauthorized code execution.
+
+
+
Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Security safeguards employed to protect memory include, for example, data execution prevention and address space layout randomization. Data execution prevention safeguards can either be hardware-enforced or software-enforced with hardware providing the greater strength of mechanism.
+ AC-25
+ SC-3
+
+
+ Determine if:
+
+ SI-16[1]
+ the organization defines security safeguards to be implemented to protect information system memory from unauthorized code execution; and
+
+
+ SI-16[2]
+ the information system implements organization-defined security safeguards to protect its memory from unauthorized code execution.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing memory protection for the information system
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of security safeguards protecting information system memory from unauthorized code execution
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for memory protection
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Automated mechanisms supporting and/or implementing safeguards to protect information system memory from unauthorized code execution
+
+
+
+ FAIL-SAFE PROCEDURES
+ SI-17
+ P0
+
+
The information system implements organization-defined fail-safe procedures when organization-defined failure conditions occur.
+
+
+
Failure conditions include, for example, loss of communications among critical system components or between system components and operational facilities. Fail-safe procedures include, for example, alerting operator personnel and providing specific instructions on subsequent steps to take (e.g., do nothing, reestablish system settings, shut down processes, restart the system, or contact designated organizational personnel).
+ CP-12
+ CP-13
+ SC-24
+ SI-13
+
+
+ Determine if:
+
+ SI-17[1]
+ the organization defines fail-safe procedures to be implemented when organization-defined failure conditions occur;
+
+
+ SI-17[2]
+ the organization defines failure conditions resulting in organization-defined fail-safe procedures being implemented when such conditions occur; and
+
+
+ SI-17[3]
+ the information system implements organization-defined fail-safe procedures when organization-defined failure conditions occur.
+
+
+
+ EXAMINE
+ System and information integrity policy
+ procedures addressing memory protection for the information system
+ information system design documentation
+ information system configuration settings and associated documentation
+ list of security safeguards protecting information system memory from unauthorized code execution
+ information system audit records
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for fail-safe procedures
+ organizational personnel with information security responsibilities
+ system/network administrators
+ system developer
+
+
+ TEST
+ Organizational fail-safe procedures
+ automated mechanisms supporting and/or implementing fail-safe procedures
+
+
+
+
+ PROGRAM MANAGEMENT
+
+ INFORMATION SECURITY PROGRAM PLAN
+ PM-1
+
+
The organization:
+
+ PM-1a.
+
Develops and disseminates an organization-wide information security program plan that:
+
+ PM-1a.1.
+
Provides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements;
+
+
+ PM-1a.2.
+
Includes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;
+
+
+ PM-1a.3.
+
Reflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical); and
+
+
+ PM-1a.4.
+
Is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;
+
+
+
+ PM-1b.
+
Reviews the organization-wide information security program plan organization-defined frequency;
+
+
+ PM-1c.
+
Updates the plan to address organizational changes and problems identified during plan implementation or security control assessments; and
+
+
+ PM-1d.
+
Protects the information security program plan from unauthorized disclosure and modification.
+
+
+
+
Information security program plans can be represented in single documents or compilations of documents at the discretion of organizations. The plans document the program management controls and organization-defined common controls. Information security program plans provide sufficient information about the program management controls/common controls (including specification of parameters for any assignment and selection statements either explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plans and a determination of the risk to be incurred if the plans are implemented as intended.
+The security plans for individual information systems and the organization-wide information security program plan together, provide complete coverage for all security controls employed within the organization. Common controls are documented in an appendix to the organization�s information security program plan unless the controls are included in a separate security plan for an information system (e.g., security controls employed as part of an intrusion detection system providing organization-wide boundary protection inherited by one or more organizational information systems). The organization-wide information security program plan will indicate which separate security plans contain descriptions of common controls.
+Organizations have the flexibility to describe common controls in a single document or in multiple documents. In the case of multiple documents, the documents describing common controls are included as attachments to the information security program plan. If the information security program plan contains multiple documents, the organization specifies in each document the organizational official or officials responsible for the development, implementation, assessment, authorization, and monitoring of the respective common controls. For example, the organization may require that the Facilities Management Office develop, implement, assess, authorize, and continuously monitor common physical and environmental protection controls from the PE family when such controls are not associated with a particular information system but instead, support multiple information systems.
+ PM-8
+
+
+ Determine if the organization:
+
+ PM-1(a)
+ develops and disseminates an organization-wide information security program plan that:
+
+ PM-1(a)(1)
+
+ PM-1(a)(1)[1]
+ provides an overview of the requirements for the security program;
+
+
+ PM-1(a)(1)[2]
+ provides a description of the:
+
+ PM-1(a)(1)[2][a]
+ security program management controls in place or planned for meeting those requirements;
+
+
+ PM-1(a)(1)[2][b]
+ common controls in place or planned for meeting those requirements;
+
+
+
+
+ PM-1(a)(2)
+ includes the identification and assignment of:
+
+ PM-1(a)(2)[1]
+ roles;
+
+
+ PM-1(a)(2)[2]
+ responsibilities;
+
+
+ PM-1(a)(2)[3]
+ management commitment;
+
+
+ PM-1(a)(2)[4]
+ coordination among organizational entities;
+
+
+ PM-1(a)(2)[5]
+ compliance;
+
+
+
+ PM-1(a)(3)
+ reflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical);
+
+
+ PM-1(a)(4)
+ is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations, organizational assets, individuals, other organizations, and the Nation;
+
+
+
+ PM-1(b)
+
+ PM-1(b)[1]
+ defines the frequency to review the security program plan for the information system;
+
+
+ PM-1(b)[2]
+ reviews the organization-wide information security program plan with the organization-defined frequency;
+
+
+
+ PM-1(c)
+ updates the plan to address organizational:
+
+ PM-1(c)[1]
+ changes identified during plan implementation;
+
+
+ PM-1(c)[2]
+ changes identified during security control assessments;
+
+
+ PM-1(c)[3]
+ problems identified during plan implementation;
+
+
+ PM-1(c)[4]
+ problems identified during security control assessments;
+
+
+
+ PM-1(d)
+ protects the information security program plan from unauthorized:
+
+ PM-1(d)[1]
+ disclosure; and
+
+
+ PM-1(d)[2]
+ modification.
+
+
+
+
+ EXAMINE
+ Information security program plan
+ procedures addressing program plan development and implementation
+ procedures addressing program plan reviews and updates
+ procedures addressing coordination of the program plan with relevant entities
+ procedures for program plan approvals
+ records of program plan reviews and updates
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security program planning and plan implementation responsibilities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for information security program plan development/review/update/approval
+ automated mechanisms supporting and/or implementing the information security program plan
+
+
+
+ SENIOR INFORMATION SECURITY OFFICER
+ PM-2
+
+
The organization appoints a senior information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program.
+
+
+
The security officer described in this control is an organizational official. For a federal agency (as defined in applicable federal laws, Executive Orders, directives, policies, or regulations) this official is the Senior Agency Information Security Officer. Organizations may also refer to this official as the Senior Information Security Officer or Chief Information Security Officer.
+
+
+ Determine if the organization appoints a senior information security officer with the mission and resources to:
+
+ PM-2[1]
+ coordinate an organization-wide information security program;
+
+
+ PM-2[2]
+ develop an organization-wide information security program;
+
+
+ PM-2[3]
+ implement an organization-wide information security program; and
+
+
+ PM-2[4]
+ maintain an organization-wide information security program.
+
+
+
+ EXAMINE
+ Information security program plan
+ procedures addressing program plan development and implementation
+ procedures addressing program plan reviews and updates
+ procedures addressing coordination of the program plan with relevant entities
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security program planning and plan implementation responsibilities
+ senior information security officer
+ organizational personnel with information security responsibilities
+
+
+
+ INFORMATION SECURITY RESOURCES
+ PM-3
+
+
The organization:
+
+ PM-3a.
+
Ensures that all capital planning and investment requests include the resources needed to implement the information security program and documents all exceptions to this requirement;
+
+
+ PM-3b.
+
Employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and
+
+
+ PM-3c.
+
Ensures that information security resources are available for expenditure as planned.
+
+
+
+
Organizations consider establishing champions for information security efforts and as part of including the necessary resources, assign specialized expertise and resources as needed. Organizations may designate and empower an Investment Review Board (or similar group) to manage and provide oversight for the information security-related aspects of the capital planning and investment control process.
+ PM-4
+ SA-2
+
+
+ Determine if the organization:
+
+ PM-3(a)
+
+ PM-3(a)[1]
+ ensures that all capital planning and investment requests include the resources needed to implement the information security program plan;
+
+
+ PM-3(a)[2]
+ documents all exceptions to the requirement;
+
+
+
+ PM-3(b)
+ employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and
+
+
+ PM-3(c)
+ ensures that information security resources are available for expenditure as planned.
+
+
+
+ EXAMINE
+ Information security program plan
+ Exhibits 300
+ Exhibits 53
+ business cases for capital planning and investment
+ procedures for capital planning and investment
+ documentation of exceptions to capital planning requirements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security program planning responsibilities
+ organizational personnel responsible for capital planning and investment
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for capital planning and investment
+ organizational processes for business case/Exhibit 300/Exhibit 53 development
+ automated mechanisms supporting the capital planning and investment process
+
+
+
+ NIST Special Publication 800-65
+
+
+
+
+ PLAN OF ACTION AND MILESTONES PROCESS
+ PM-4
+
+
The organization:
+
+ PM-4a.
+
Implements a process for ensuring that plans of action and milestones for the security program and associated organizational information systems:
+
+ PM-4a.1.
+
Are developed and maintained;
+
+
+ PM-4a.2.
+
Document the remedial information security actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and
+
+
+ PM-4a.3.
+
Are reported in accordance with OMB FISMA reporting requirements.
+
+
+
+ PM-4b.
+
Reviews plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.
+
+
+
+
The plan of action and milestones is a key document in the information security program and is subject to federal reporting requirements established by OMB. With the increasing emphasis on organization-wide risk management across all three tiers in the risk management hierarchy (i.e., organization, mission/business process, and information system), organizations view plans of action and milestones from an organizational perspective, prioritizing risk response actions and ensuring consistency with the goals and objectives of the organization. Plan of action and milestones updates are based on findings from security control assessments and continuous monitoring activities. OMB FISMA reporting guidance contains instructions regarding organizational plans of action and milestones.
+ CA-5
+
+
+ Determine if the organization:
+
+ PM-4(a)
+ implements a process for ensuring that plans of action and milestones for the security program and associated organizational information systems:
+
+ PM-4(a)(1)
+
+ PM-4(a)(1)[1]
+ are developed;
+
+
+ PM-4(a)(1)[2]
+ are maintained;
+
+
+
+ PM-4(a)(2)
+ document the remedial information security actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation;
+
+
+ PM-4(a)(3)
+ are reported in accordance with OMB FISMA reporting requirements;
+
+
+
+ PM-4(b)
+ reviews plans of action and milestones for consistency with:
+
+ PM-4(b)[1]
+ the organizational risk management strategy; and
+
+
+ PM-4(b)[2]
+ organization-wide priorities for risk response actions.
+
+
+
+
+ EXAMINE
+ Information security program plan
+ plans of action and milestones
+ procedures addressing plans of action and milestones development and maintenance
+ procedures addressing plans of action and milestones reporting
+ procedures for review of plans of action and milestones for consistency with risk management strategy and risk response priorities
+ results of risk assessments associated with plans of action and milestones
+ OMB FISMA reporting requirements
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for developing, maintaining, reviewing, and reporting plans of action and milestones
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for plan of action and milestones development, review, maintenance, reporting
+ automated mechanisms supporting plans of action and milestones
+
+
+
+ OMB Memorandum 02-01
+
+
+ NIST Special Publication 800-37
+
+
+
+
+ INFORMATION SYSTEM INVENTORY
+ PM-5
+
+
The organization develops and maintains an inventory of its information systems.
+
+
+
This control addresses the inventory requirements in FISMA. OMB provides guidance on developing information systems inventories and associated reporting requirements. For specific information system inventory reporting requirements, organizations consult OMB annual FISMA reporting guidance.
+
+
+ Determine if the organization:
+
+ PM-5[1]
+ develops an inventory of its information systems; and
+
+
+ PM-5[2]
+ maintains the inventory of its information systems.
+
+
+
+ EXAMINE
+ Information security program plan
+ information system inventory
+ procedures addressing information system inventory development and maintenance
+ OMB FISMA reporting guidance
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security program planning and plan implementation responsibilities
+ organizational personnel responsible for developing and maintaining the information system inventory
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for information system inventory development and maintenance
+ automated mechanisms supporting the information system inventory
+
+
+
+ http://www.omb.gov
+
+
+
+
+ INFORMATION SECURITY MEASURES OF PERFORMANCE
+ PM-6
+
+
The organization develops, monitors, and reports on the results of information security measures of performance.
+
+
+
Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security program and the security controls employed in support of the program.
+
+
+ Determine if the organization:
+
+ PM-6[1]
+ develops information security measures of performance;
+
+
+ PM-6[2]
+ monitors information security measures of performance; and
+
+
+ PM-6[3]
+ reports information security measures of performance.
+
+
+
+ EXAMINE
+ Information security program plan
+ information security measures of performance
+ procedures addressing development, monitoring, and reporting of information security measures of performance
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security program planning and plan implementation responsibilities
+ organizational personnel responsible for developing, monitoring, and reporting information security measures of performance
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for developing, monitoring, and reporting information security measures of performance
+ automated mechanisms supporting the development, monitoring, and reporting of information security measures of performance
+
+
+
+ NIST Special Publication 800-55
+
+
+
+
+ ENTERPRISE ARCHITECTURE
+ PM-7
+
+
The organization develops an enterprise architecture with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation.
+
+
+
The enterprise architecture developed by the organization is aligned with the Federal Enterprise Architecture. The integration of information security requirements and associated security controls into the organization�s enterprise architecture helps to ensure that security considerations are addressed by organizations early in the system development life cycle and are directly and explicitly related to the organization�s mission/business processes. This process of security requirements integration also embeds into the enterprise architecture, an integral information security architecture consistent with organizational risk management and information security strategies. For PM-7, the information security architecture is developed at a system-of-systems level (organization-wide), representing all of the organizational information systems. For PL-8, the information security architecture is developed at a level representing an individual information system but at the same time, is consistent with the information security architecture defined for the organization. Security requirements and security control integration are most effectively accomplished through the application of the Risk Management Framework and supporting security standards and guidelines. The Federal Segment Architecture Methodology provides guidance on integrating information security requirements and security controls into enterprise architectures.
+ PL-2
+ PL-8
+ PM-11
+ RA-2
+ SA-3
+
+
+ Determine if the organization develops an enterprise architecture with consideration for:
+
+ PM-7[1]
+ information security; and
+
+
+ PM-7[2]
+ the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation.
+
+
+
+ EXAMINE
+ Information security program plan
+ enterprise architecture documentation
+ procedures addressing enterprise architecture development
+ results of risk assessment of enterprise architecture
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security program planning and plan implementation responsibilities
+ organizational personnel responsible for developing enterprise architecture
+ organizational personnel responsible for risk assessment of enterprise architecture
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for enterprise architecture development
+ automated mechanisms supporting the enterprise architecture and its development
+
+
+
+ NIST Special Publication 800-39
+
+
+
+
+ CRITICAL INFRASTRUCTURE PLAN
+ PM-8
+
+
The organization addresses information security issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan.
+
+
+
Protection strategies are based on the prioritization of critical assets and resources. The requirement and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+ PM-1
+ PM-9
+ PM-11
+ RA-3
+
+
+ Determine if the organization addresses information security issues in the:
+
+ PM-8[1]
+ development of a critical infrastructure and key resources protection plan;
+
+
+ PM-8[2]
+ documentation of a critical infrastructure and key resources protection plan; and
+
+
+ PM-8[3]
+ updating of the critical infrastructure and key resources protection plan.
+
+
+
+ EXAMINE
+ Information security program plan
+ critical infrastructure and key resources protection plan
+ procedures addressing development, documentation, and updating of the critical infrastructure and key resources protection plan
+ HSPD 7
+ National Infrastructure Protection Plan
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security program planning and plan implementation responsibilities
+ organizational personnel responsible for developing, documenting, and updating the critical infrastructure and key resources protection plan
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for developing, documenting, and updating the critical infrastructure and key resources protection plan
+ automated mechanisms supporting the development, documentation, and updating of the critical infrastructure and key resources protection plan
+
+
+
+ HSPD 7
+
+
+ National Infrastructure Protection Plan
+
+
+
+
+ RISK MANAGEMENT STRATEGY
+ PM-9
+
+
The organization:
+
+ PM-9a.
+
Develops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information systems;
+
+
+ PM-9b.
+
Implements the risk management strategy consistently across the organization; and
+
+
+ PM-9c.
+
Reviews and updates the risk management strategy organization-defined frequency or as required, to address organizational changes.
+
+
+
+
An organization-wide risk management strategy includes, for example, an unambiguous expression of the risk tolerance for the organization, acceptable risk assessment methodologies, risk mitigation strategies, a process for consistently evaluating risk across the organization with respect to the organization�s risk tolerance, and approaches for monitoring risk over time. The use of a risk executive function can facilitate consistent, organization-wide application of the risk management strategy. The organization-wide risk management strategy can be informed by risk-related inputs from other sources both internal and external to the organization to ensure the strategy is both broad-based and comprehensive.
+ RA-3
+
+
+ Determine if the organization:
+
+ PM-9(a)
+ develops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information systems;
+
+
+ PM-9(b)
+ implements the risk management strategy consistently across the organization;
+
+
+ PM-9(c)
+
+ PM-9(c)[1]
+ defines the frequency to review and update the risk management strategy;
+
+
+ PM-9(c)[2]
+ reviews and updates the risk management strategy to address organizational changes:
+
+ PM-9(c)[2][a]
+ with the organization-defined frequency; or
+
+
+ PM-9(c)[2][b]
+ as required.
+
+
+
+
+
+ EXAMINE
+ Information security program plan
+ risk management strategy
+ procedures addressing development, implementation, review, and update of the risk management strategy
+ risk assessment results relevant to the risk management strategy
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security program planning and plan implementation responsibilities
+ organizational personnel responsible for development, implementation, review, and update of the risk management strategy
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for development, implementation, review, and update of the risk management strategy
+ automated mechanisms supporting the development, implementation, review, and update of the risk management strategy
+
+
+
+ NIST Special Publication 800-30
+
+
+ NIST Special Publication 800-39
+
+
+
+
+ SECURITY AUTHORIZATION PROCESS
+ PM-10
+
+
The organization:
+
+ PM-10a.
+
Manages (i.e., documents, tracks, and reports) the security state of organizational information systems and the environments in which those systems operate through security authorization processes;
+
+
+ PM-10b.
+
Designates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and
+
+
+ PM-10c.
+
Fully integrates the security authorization processes into an organization-wide risk management program.
+
+
+
+
Security authorization processes for information systems and environments of operation require the implementation of an organization-wide risk management process, a Risk Management Framework, and associated security standards and guidelines. Specific roles within the risk management process include an organizational risk executive (function) and designated authorizing officials for each organizational information system and common control provider. Security authorization processes are integrated with organizational continuous monitoring processes to facilitate ongoing understanding and acceptance of risk to organizational operations and assets, individuals, other organizations, and the Nation.
+ CA-6
+
+
+ Determine if the organization:
+
+ PM-10(a)
+ manages (i.e., documents, tracks, and reports) the security state of organizational information systems and the environments in which those systems operate through security authorization processes;
+
+
+ PM-10(b)
+ designates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and
+
+
+ PM-10(c)
+ fully integrates the security authorization processes into an organization-wide risk management program.
+
+
+
+ EXAMINE
+ Information security program plan
+ procedures addressing management (i.e., documentation, tracking, and reporting) of the security authorization process
+ security authorization documents
+ lists or other documentation about security authorization process roles and responsibilities
+ risk assessment results relevant to the security authorization process and the organization-wide risk management program
+ organizational risk management strategy
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security program planning and plan implementation responsibilities
+ organizational personnel responsible for management of the security authorization process
+ authorizing officials
+ system owners, senior information security officer
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for security authorization
+ automated mechanisms supporting the security authorization process
+
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-39
+
+
+
+
+ MISSION/BUSINESS PROCESS DEFINITION
+ PM-11
+
+
The organization:
+
+ PM-11a.
+
Defines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and
+
+
+ PM-11b.
+
Determines information protection needs arising from the defined mission/business processes and revises the processes as necessary, until achievable protection needs are obtained.
+
+
+
+
Information protection needs are technology-independent, required capabilities to counter threats to organizations, individuals, or the Nation through the compromise of information (i.e., loss of confidentiality, integrity, or availability). Information protection needs are derived from the mission/business needs defined by the organization, the mission/business processes selected to meet the stated needs, and the organizational risk management strategy. Information protection needs determine the required security controls for the organization and the associated information systems supporting the mission/business processes. Inherent in defining an organization�s information protection needs is an understanding of the level of adverse impact that could result if a compromise of information occurs. The security categorization process is used to make such potential impact determinations. Mission/business process definitions and associated information protection requirements are documented by the organization in accordance with organizational policy and procedure.
+ PM-7
+ PM-8
+ RA-2
+
+
+ Determine if the organization:
+
+ PM-11(a)
+ defines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation;
+
+
+ PM-11(b)
+
+ PM-11(b)[1]
+ determines information protection needs arising from the defined mission/business process; and
+
+
+ PM-11(b)[2]
+ revises the processes as necessary until achievable protection needs are obtained.
+
+
+
+
+ EXAMINE
+ Information security program plan
+ risk management strategy
+ procedures for determining mission/business protection needs
+ risk assessment results relevant to determination of mission/business protection needs
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security program planning and plan implementation responsibilities
+ organizational personnel responsible for mission/business processes
+ organizational personnel responsible for determining information protection needs for mission/business processes
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for defining mission/business processes and their information protection needs
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-60
+
+
+
+
+ INSIDER THREAT PROGRAM
+ PM-12
+
+
The organization implements an insider threat program that includes a cross-discipline insider threat incident handling team.
+
+
+
Organizations handling classified information are required, under Executive Order 13587 and the National Policy on Insider Threat, to establish insider threat programs. The standards and guidelines that apply to insider threat programs in classified environments can also be employed effectively to improve the security of Controlled Unclassified Information in non-national security systems. Insider threat programs include security controls to detect and prevent malicious insider activity through the centralized integration and analysis of both technical and non-technical information to identify potential insider threat concerns. A senior organizational official is designated by the department/agency head as the responsible individual to implement and provide oversight for the program. In addition to the centralized integration and analysis capability, insider threat programs as a minimum, prepare department/agency insider threat policies and implementation plans, conduct host-based user monitoring of individual employee activities on government-owned classified computers, provide insider threat awareness training to employees, receive access to information from all offices within the department/agency (e.g., human resources, legal, physical security, personnel security, information technology, information system security, and law enforcement) for insider threat analysis, and conduct self-assessments of department/agency insider threat posture.
+Insider threat programs can leverage the existence of incident handling teams organizations may already have in place, such as computer security incident response teams. Human resources records are especially important in this effort, as there is compelling evidence to show that some types of insider crimes are often preceded by nontechnical behaviors in the workplace (e.g., ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues). These precursors can better inform and guide organizational officials in more focused, targeted monitoring efforts. The participation of a legal team is important to ensure that all monitoring activities are performed in accordance with appropriate legislation, directives, regulations, policies, standards, and guidelines.
+ AC-6
+ AT-2
+ AU-6
+ AU-7
+ AU-10
+ AU-12
+ AU-13
+ CA-7
+ IA-4
+ IR-4
+ MP-7
+ PE-2
+ PS-3
+ PS-4
+ PS-5
+ PS-8
+ SC-7
+ SC-38
+ SI-4
+ PM-1
+ PM-14
+
+
+ Determine if the organization implements an insider threat program that includes a cross-discipline insider threat incident handling team.
+
+
+ EXAMINE
+ Information security program plan
+ insider threat program documentation
+ procedures for the insider threat program
+ risk assessment results relevant to insider threats
+ list or other documentation on the cross-discipline insider threat incident handling team
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security program planning and plan implementation responsibilities
+ organizational personnel responsible for the insider threat program
+ members of the cross-discipline insider threat incident handling team
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for implementing the insider threat program and the cross-discipline insider threat incident handling team
+ automated mechanisms supporting and/or implementing the insider threat program and the cross-discipline insider threat incident handling team
+
+
+
+ Executive Order 13587
+
+
+
+
+ INFORMATION SECURITY WORKFORCE
+ PM-13
+
+
The organization establishes an information security workforce development and improvement program.
+
+
+
Information security workforce development and improvement programs include, for example: (i) defining the knowledge and skill levels needed to perform information security duties and tasks; (ii) developing role-based training programs for individuals assigned information security roles and responsibilities; and (iii) providing standards for measuring and building individual qualifications for incumbents and applicants for information security-related positions. Such workforce programs can also include associated information security career paths to encourage: (i) information security professionals to advance in the field and fill positions with greater responsibility; and (ii) organizations to fill information security-related positions with qualified personnel. Information security workforce development and improvement programs are complementary to organizational security awareness and training programs. Information security workforce development and improvement programs focus on developing and institutionalizing core information security capabilities of selected personnel needed to protect organizational operations, assets, and individuals.
+ AT-2
+ AT-3
+
+
+ Determine if the organization establishes an information security workforce development and improvement program.
+
+
+ EXAMINE
+ Information security program plan
+ information security workforce development and improvement program documentation
+ procedures for the information security workforce development and improvement program
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security program planning and plan implementation responsibilities
+ organizational personnel responsible for the information security workforce development and improvement program
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for implementing information security workforce development and improvement program
+ automated mechanisms supporting and/or implementing the information security workforce development and improvement program
+
+
+
+ TESTING, TRAINING, AND MONITORING
+ PM-14
+
+
The organization:
+
+ PM-14a.
+
Implements a process for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational information systems:
+
+ PM-14a.1.
+
Are developed and maintained; and
+
+
+ PM-14a.2.
+
Continue to be executed in a timely manner;
+
+
+
+ PM-14b.
+
Reviews testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.
+
+
+
+
This control ensures that organizations provide oversight for the security testing, training, and monitoring activities conducted organization-wide and that those activities are coordinated. With the importance of continuous monitoring programs, the implementation of information security across the three tiers of the risk management hierarchy, and the widespread use of common controls, organizations coordinate and consolidate the testing and monitoring activities that are routinely conducted as part of ongoing organizational assessments supporting a variety of security controls. Security training activities, while typically focused on individual information systems and specific roles, also necessitate coordination across all organizational elements. Testing, training, and monitoring plans and activities are informed by current threat and vulnerability assessments.
+ AT-3
+ CA-7
+ CP-4
+ IR-3
+ SI-4
+
+
+ Determine if the organization:
+
+ PM-14(a)
+ implements a process for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational information systems:
+
+ PM-14(a)(1)
+
+ PM-14(a)(1)[1]
+ are developed;
+
+
+ PM-14(a)(1)[2]
+ are maintained;
+
+
+
+ PM-14(a)(2)
+ continue to be executed in a timely manner;
+
+
+
+ PM-14(b)
+ reviews testing, training, and monitoring plans for consistency with:
+
+ PM-14(b)[1]
+ the organizational risk management strategy; and
+
+
+ PM-14(b)[2]
+ organization-wide priorities for risk response actions.
+
+
+
+
+ EXAMINE
+ Information security program plan
+ plans for conducting security testing, training, and monitoring activities
+ organizational procedures addressing development and maintenance of plans for conducting security testing, training, and monitoring activities
+ risk management strategy
+ procedures for review of plans for conducting security testing, training, and monitoring activities for consistency with risk management strategy and risk response priorities
+ results of risk assessments associated with conducting security testing, training, and monitoring activities
+ evidence that plans for conducting security testing, training, and monitoring activities are executed in a timely manner
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with responsibility for developing and maintaining plans for conducting security testing, training, and monitoring activities
+ organizational personnel with information security responsibilities
+
+
+ TEST
+ Organizational processes for development and maintenance of plans for conducting security testing, training, and monitoring activities
+ automated mechanisms supporting development and maintenance of plans for conducting security testing, training, and monitoring activities
+
+
+
+ NIST Special Publication 800-16
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-53A
+
+
+ NIST Special Publication 800-137
+
+
+
+
+ CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS
+ PM-15
+
+
The organization establishes and institutionalizes contact with selected groups and associations within the security community:
+
+ PM-15a.
+
To facilitate ongoing security education and training for organizational personnel;
+
+
+ PM-15b.
+
To maintain currency with recommended security practices, techniques, and technologies; and
+
+
+ PM-15c.
+
To share current security-related information including threats, vulnerabilities, and incidents.
+
+
+
+
Ongoing contact with security groups and associations is of paramount importance in an environment of rapidly changing technologies and threats. Security groups and associations include, for example, special interest groups, forums, professional associations, news groups, and/or peer groups of security professionals in similar organizations. Organizations select groups and associations based on organizational missions/business functions. Organizations share threat, vulnerability, and incident information consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+ SI-5
+
+
+ Determine if the organization establishes and institutionalizes contact with selected groups and associations with the security community to:
+
+ PM-15(a)
+ facilitate ongoing security education and training for organizational personnel;
+
+
+ PM-15(b)
+ maintain currency with recommended security practices, techniques, and technologies; and
+
+
+ PM-15(c)
+ share current security-related information including threats, vulnerabilities, and incidents.
+
+
+
+ EXAMINE
+ Information security program plan
+ risk management strategy
+ procedures for contacts with security groups and associations
+ evidence of established and institutionalized contact with security groups and associations
+ lists or other documentation about contact with and/or membership in security groups and associations
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security program planning and plan implementation responsibilities
+ organizational personnel responsible for establishing and institutionalizing contact with security groups and associations
+ organizational personnel with information security responsibilities
+ personnel from selected groups and associations with which the organization has established and institutionalized contact
+
+
+ TEST
+ Organizational processes for establishing and institutionalizing contact with security groups and associations
+ automated mechanisms supporting contacts with security groups and associations
+
+
+
+ THREAT AWARENESS PROGRAM
+ PM-16
+
+
The organization implements a threat awareness program that includes a cross-organization information-sharing capability.
+
+
+
Because of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it is becoming more likely that adversaries may successfully breach or compromise organizational information systems. One of the best techniques to address this concern is for organizations to share threat information. This can include, for example, sharing threat events (i.e., tactics, techniques, and procedures) that organizations have experienced, mitigations that organizations have found are effective against certain types of threats, threat intelligence (i.e., indications and warnings about threats that are likely to occur). Threat information sharing may be bilateral (e.g., government-commercial cooperatives, government-government cooperatives), or multilateral (e.g., organizations taking part in threat-sharing consortia). Threat information may be highly sensitive requiring special agreements and protection, or less sensitive and freely shared.
+ PM-12
+ PM-16
+
+
+ Determine if the organization implements a threat awareness program that includes a cross-organization information-sharing capability.
+
+
+ EXAMINE
+ Information security program plan
+ threat awareness program documentation
+ procedures for the threat awareness program
+ risk assessment results relevant to threat awareness
+ list or other documentation on the cross-organization information-sharing capability
+ other relevant documents or records
+
+
+ INTERVIEW
+ Organizational personnel with information security program planning and plan implementation responsibilities
+ organizational personnel responsible for the threat awareness program
+ organizational personnel with responsibility for the cross-organization information-sharing capability
+ organizational personnel with information security responsibilities
+ personnel with whom threat awareness information is shared by the organization
+
+
+ TEST
+ Organizational processes for implementing the threat awareness program
+ Organizational processes for implementing the cross-organization information-sharing capability
+ automated mechanisms supporting and/or implementing the threat awareness program
+ automated mechanisms supporting and/or implementing the cross-organization information-sharing capability
+
+
+
+
diff --git a/working/SP800-53/SP800-53-OSCAL-refined.xml b/working/SP800-53/SP800-53-OSCAL-refined.xml
new file mode 100644
index 0000000000..15e2c71a73
--- /dev/null
+++ b/working/SP800-53/SP800-53-OSCAL-refined.xml
@@ -0,0 +1,51943 @@
+
+
+
+
+
+ NIST SP800-53
+
+
+ ACCESS CONTROL
+
+ ACCESS CONTROL POLICY AND PROCEDURES
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ AC-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-1a.
+
Develops, documents, and disseminates to :
+
+ AC-1a.1.
+
An access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ AC-1a.2.
+
Procedures to facilitate the implementation of the access control policy and associated access controls; and
+
+
+
+ AC-1b.
+
Reviews and updates the current:
+
+ AC-1b.1.
+
Access control policy ; and
+
+
+ AC-1b.2.
+
Access control procedures .
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+
+
+
+
Determine if the organization:
+
+ AC-1(a)(1)
+
+ AC-1(a)(1)[1]
+
develops and documents an access control policy that addresses:
+
+ AC-1(a)(1)[1][a]
+
purpose;
+
+
+ AC-1(a)(1)[1][b]
+
scope;
+
+
+ AC-1(a)(1)[1][c]
+
roles;
+
+
+ AC-1(a)(1)[1][d]
+
responsibilities;
+
+
+ AC-1(a)(1)[1][e]
+
management commitment;
+
+
+ AC-1(a)(1)[1][f]
+
coordination among organizational entities;
+
+
+ AC-1(a)(1)[1][g]
+
compliance;
+
+
+
+ AC-1(a)(1)[2]
+
defines personnel or roles to whom the access control policy are to be disseminated;
+
+
+ AC-1(a)(1)[3]
+
disseminates the access control policy to organization-defined personnel or roles;
+
+
+
+ AC-1(a)(2)
+
+ AC-1(a)(2)[1]
+
develops and documents procedures to facilitate the implementation of the access control policy and associated access control controls;
+
+
+ AC-1(a)(2)[2]
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ AC-1(a)(2)[3]
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ AC-1(b)(1)
+
+ AC-1(b)(1)[1]
+
defines the frequency to review and update the current access control policy;
+
+
+ AC-1(b)(1)[2]
+
reviews and updates the current access control policy with the organization-defined frequency;
+
+
+
+ AC-1(b)(2)
+
+ AC-1(b)(2)[1]
+
defines the frequency to review and update the current access control procedures; and
+
+
+ AC-1(b)(2)[2]
+
reviews and updates the current access control procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Access control policy and procedures
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with access control responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ ACCOUNT MANAGEMENT
+
+ organization-defined information system account types
+ organization-defined information system account types
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined procedures or conditions
+ organization-defined procedures or conditions
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ AC-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-2a.
+
Identifies and selects the following types of information system accounts to support organizational missions/business functions: ;
+
+
+ AC-2b.
+
Assigns account managers for information system accounts;
+
+
+ AC-2c.
+
Establishes conditions for group and role membership;
+
+
+ AC-2d.
+
Specifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;
+
+
+ AC-2e.
+
Requires approvals by for requests to create information system accounts;
+
+
+ AC-2f.
+
Creates, enables, modifies, disables, and removes information system accounts in accordance with ;
+
+
+ AC-2g.
+
Monitors the use of information system accounts;
+
+
+ AC-2h.
+
Notifies account managers:
+
+ AC-2h.1.
+
When accounts are no longer required;
+
+
+ AC-2h.2.
+
When users are terminated or transferred; and
+
+
+ AC-2h.3.
+
When individual information system usage or need-to-know changes;
+
+
+
+ AC-2i.
+
Authorizes access to the information system based on:
+
+ AC-2i.1.
+
A valid access authorization;
+
+
+ AC-2i.2.
+
Intended system usage; and
+
+
+ AC-2i.3.
+
Other attributes as required by the organization or associated missions/business functions;
+
+
+
+ AC-2j.
+
Reviews accounts for compliance with account management requirements ; and
+
+
+ AC-2k.
+
Establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.
+
+
+
+
Information system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training.
The organization employs automated mechanisms to support the management of information system accounts.
+
+
+
The use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using telephonic notification to report atypical system account usage.
+
+
+
Determine if the organization employs automated mechanisms to support the management of information system accounts.
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing account management
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+
+ REMOVAL OF TEMPORARY / EMERGENCY ACCOUNTS
+
+ organization-defined time period for each type of account
+ organization-defined time period for each type of account
+
+ AC-2 (2)
+ MODERATE
+ HIGH
+
+
The information system automatically [Selection: removes; disables] temporary and emergency accounts after .
+
+
+
This control enhancement requires the removal of both temporary and emergency accounts automatically after a predefined period of time has elapsed, rather than at the convenience of the systems administrator.
+
+
+
Determine if:
+
+ AC-2(2)[1]
+
the organization defines the time period after which the information system automatically removes or disables temporary and emergency accounts; and
+
+
+ AC-2(2)[2]
+
the information system automatically removes or disables temporary and emergency accounts after the organization-defined time period for each type of account.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing account management
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system-generated list of temporary accounts removed and/or disabled
+
information system-generated list of emergency accounts removed and/or disabled
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+
+ INACTIVITY LOGOUT
+
+ organization-defined time-period of expected inactivity or description of when to log out
+ organization-defined time-period of expected inactivity or description of when to log out
+
+ AC-2 (5)
+ HIGH
+
+
The organization requires that users log out when .
+
+
+
+
+
+
Determine if the organization:
+
+ AC-2(5)[1]
+
defines either the time period of expected inactivity that requires users to log out or the description of when users are required to log out; and
+
+
+ AC-2(5)[2]
+
requires that users log out when the organization-defined time period of inactivity is reached or in accordance with organization-defined description of when to log out.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing account management
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
security violation reports
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
users that must comply with inactivity logout policy
+
+
+
+ DYNAMIC PRIVILEGE MANAGEMENT
+
+ organization-defined list of dynamic privilege management capabilities
+ organization-defined list of dynamic privilege management capabilities
+
+ AC-2 (6)
+
+
The information system implements the following dynamic privilege management capabilities: .
+
+
+
In contrast to conventional access control approaches which employ static information system accounts and predefined sets of user privileges, dynamic access control approaches (e.g., service-oriented architectures) rely on run time access control decisions facilitated by dynamic privilege management. While user identities may remain relatively constant over time, user privileges may change more frequently based on ongoing mission/business requirements and operational needs of organizations. Dynamic privilege management can include, for example, the immediate revocation of privileges from users, as opposed to requiring that users terminate and restart their sessions to reflect any changes in privileges. Dynamic privilege management can also refer to mechanisms that change the privileges of users based on dynamic rules as opposed to editing specific user profiles. This type of privilege management includes, for example, automatic adjustments of privileges if users are operating out of their normal work times, or if information systems are under duress or in emergency maintenance situations. This control enhancement also includes the ancillary effects of privilege changes, for example, the potential changes to encryption keys used for communications. Dynamic privilege management can support requirements for information system resiliency.
+
+
+
+
Determine if:
+
+ AC-2(6)[1]
+
the organization defines a list of dynamic privilege management capabilities to be implemented by the information system; and
+
+
+ AC-2(6)[2]
+
the information system implements the organization-defined list of dynamic privilege management capabilities.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing account management
+
information system design documentation
+
information system configuration settings and associated documentation
+
system-generated list of dynamic privilege management capabilities
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Information system implementing dynamic privilege management capabilities
Establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;
+
+
+ AC-2 (7)(b)
+
Monitors privileged role assignments; and
+
+
+ AC-2 (7)(c)
+
Takes when privileged role assignments are no longer appropriate.
+
+
+
+
Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. These privileged roles include, for example, key management, account management, network and system administration, database administration, and web administration.
+
+
+
Determine if the organization:
+
+ AC-2(7)(a)
+
establishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;
+
+
+ AC-2(7)(b)
+
monitors privileged role assignments;
+
+
+ AC-2(7)(c)
+
+ AC-2(7)(c)[1]
+
defines actions to be taken when privileged role assignments are no longer appropriate; and
+
+
+ AC-2(7)(c)[2]
+
takes organization-defined actions when privileged role assignments are no longer appropriate.
+
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing account management
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system-generated list of privileged user accounts and associated role
+
records of actions taken when privileged role assignments are no longer appropriate
+
information system audit records
+
audit tracking and monitoring reports
+
information system monitoring records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
automated mechanisms monitoring privileged role assignments
+
+
+
+ DYNAMIC ACCOUNT CREATION
+
+ organization-defined information system accounts
+ organization-defined information system accounts
+
+ AC-2 (8)
+
+
The information system creates dynamically.
+
+
+
Dynamic approaches for creating information system accounts (e.g., as implemented within service-oriented architectures) rely on establishing accounts (identities) at run time for entities that were previously unknown. Organizations plan for dynamic creation of information system accounts by establishing trust relationships and mechanisms with the appropriate authorities to validate related authorizations and privileges.
+
+
+
+
Determine if:
+
+ AC-2(8)[1]
+
the organization defines information system accounts to be created by the information system dynamically; and
+
+
+ AC-2(8)[2]
+
the information system creates organization-defined information system accounts dynamically.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing account management
+
information system design documentation
+
information system configuration settings and associated documentation
+
system-generated list of information system accounts
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+
+ USAGE CONDITIONS
+
+ organization-defined circumstances and/or usage conditions
+ organization-defined circumstances and/or usage conditions
+
+
+ organization-defined information system accounts
+ organization-defined information system accounts
+
+ AC-2 (11)
+ HIGH
+
+
The information system enforces for .
+
+
+
Organizations can describe the specific conditions or circumstances under which information system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.
+
+
+
Determine if:
+
+ AC-2(11)[1]
+
the organization defines circumstances and/or usage conditions to be enforced for information system accounts;
+
+
+ AC-2(11)[2]
+
the organization defines information system accounts for which organization-defined circumstances and/or usage conditions are to be enforced; and
+
+
+ AC-2(11)[3]
+
the information system enforces organization-defined circumstances and/or usage conditions for organization-defined information system accounts.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing account management
+
information system design documentation
+
information system configuration settings and associated documentation
+
system-generated list of information system accounts and associated assignments of usage circumstances and/or usage conditions
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
Reports atypical usage of information system accounts to .
+
+
+
+
Atypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations.
+
+
+
+
Determine if the organization:
+
+ AC-2(12)(a)
+
+ AC-2(12)(a)[1]
+
defines atypical usage to be monitored for information system accounts;
+
+
+ AC-2(12)(a)[2]
+
monitors information system accounts for organization-defined atypical usage;
+
+
+
+ AC-2(12)(b)
+
+ AC-2(12)(b)[1]
+
defines personnel or roles to whom atypical usage of information system accounts are to be reported; and
+
+
+ AC-2(12)(b)[2]
+
reports atypical usage of information system accounts to organization-defined personnel or roles.
+
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing account management
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system monitoring records
+
information system audit records
+
audit tracking and monitoring reports
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+
+ DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS
+
+ organization-defined time period
+ organization-defined time period
+
+ AC-2 (13)
+ HIGH
+
+
The organization disables accounts of users posing a significant risk within of discovery of the risk.
+
+
+
Users posing a significant risk to organizations include individuals for whom reliable evidence or intelligence indicates either the intention to use authorized access to information systems to cause harm or through whom adversaries will cause harm. Harm includes potential adverse impacts to organizational operations and assets, individuals, other organizations, or the Nation. Close coordination between authorizing officials, information system administrators, and human resource managers is essential in order for timely execution of this control enhancement.
+
+
+
+
Determine if the organization:
+
+ AC-2(13)[1]
+
defines the time period within which accounts are disabled upon discovery of a significant risk posed by users of such accounts; and
+
+
+ AC-2(13)[2]
+
disables accounts of users posing a significant risk within the organization-defined time period of discovery of the risk.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing account management
+
information system design documentation
+
information system configuration settings and associated documentation
+
system-generated list of disabled accounts
+
list of user activities posing significant organizational risk
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
The information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.
+
+
+
Access control policies (e.g., identity-based policies, role-based policies, control matrices, cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, domains) in information systems. In addition to enforcing authorized access at the information system level and recognizing that information systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security.
The information system enforces dual authorization for .
+
+
+
Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety. Dual authorization may also be known as two-person control.
+
+
+
+
+
Determine if:
+
+ AC-3(2)[1]
+
the organization defines privileged commands and/or other actions for which dual authorization is to be enforced; and
+
+
+ AC-3(2)[2]
+
the information system enforces dual authorization for organization-defined privileged commands and/or other organization-defined actions.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing access enforcement and dual authorization
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of privileged commands requiring dual authorization
+
list of actions requiring dual authorization
+
list of approved authorizations (user privileges)
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with access enforcement responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Dual authorization mechanisms implementing access control policy
+
+
+
+ MANDATORY ACCESS CONTROL
+
+ organization-defined mandatory access control policy
+ organization-defined mandatory access control policy
+
+
+ organization-defined subjects
+ organization-defined subjects
+
+
+ organization-defined privileges (i.e., they are trusted subjects)
+ organization-defined privileges (i.e., they are trusted subjects)
+
+ AC-3 (3)
+
+
The information system enforces over all subjects and objects where the policy:
+
+ AC-3 (3)(a)
+
Is uniformly enforced across all subjects and objects within the boundary of the information system;
+
+
+ AC-3 (3)(b)
+
Specifies that a subject that has been granted access to information is constrained from doing any of the following;
+
+ AC-3 (3)(b)(1)
+
Passing the information to unauthorized subjects or objects;
+
+
+ AC-3 (3)(b)(2)
+
Granting its privileges to other subjects;
+
+
+ AC-3 (3)(b)(3)
+
Changing one or more security attributes on subjects, objects, the information system, or information system components;
+
+
+ AC-3 (3)(b)(4)
+
Choosing the security attributes and attribute values to be associated with newly created or modified objects; or
+
+
+ AC-3 (3)(b)(5)
+
Changing the rules governing access control; and
+
+
+
+ AC-3 (3)(c)
+
Specifies that may explicitly be granted such that they are not limited by some or all of the above constraints.
+
+
+
+
Mandatory access control as defined in this control enhancement is synonymous with nondiscretionary access control, and is not constrained only to certain historical uses (e.g., implementations using the Bell-LaPadula Model). The above class of mandatory access control policies constrains what actions subjects can take with information obtained from data objects for which they have already been granted access, thus preventing the subjects from passing the information to unauthorized subjects and objects. This class of mandatory access control policies also constrains what actions subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the information system has control. Otherwise, the access control policy can be circumvented. This enforcement typically is provided via an implementation that meets the reference monitor concept (see AC-25). The policy is bounded by the information system boundary (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect). The trusted subjects described above are granted privileges consistent with the concept of least privilege (see AC-6). Trusted subjects are only given the minimum privileges relative to the above policy necessary for satisfying organizational mission/business needs. The control is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes a policy regarding access to sensitive/classified information and some users of the information system are not authorized access to all sensitive/classified information resident in the information system. This control can operate in conjunction with AC-3 (4). A subject that is constrained in its operation by policies governed by this control is still able to operate under the less rigorous constraints of AC-3 (4), but policies governed by this control take precedence over the less rigorous constraints of AC-3 (4). For example, while a mandatory access control policy imposes a constraint preventing a subject from passing information to another subject operating at a different sensitivity label, AC-3 (4) permits the subject to pass the information to any subject with the same sensitivity label as the subject.
+
+
+
+
+
Determine if:
+
+ AC-3(3)[1]
+
the organization defines mandatory access control policies to be enforced over all subjects and objects;
+
+
+ AC-3(3)[2]
+
the organization defines subjects over which organization-defined mandatory access control policies are to be enforced;
+
+
+ AC-3(3)[3]
+
the organization defines objects over which organization-defined mandatory access control policies are to be enforced;
+
+
+ AC-3(3)[4]
+
the organization defines subjects that may explicitly be granted privileges such that they are not limited by the constraints specified elsewhere within this control;
+
+
+ AC-3(3)[5]
+
the organization defines privileges that may be granted to organization-defined subjects;
+
+
+ AC-3(3)[6]
+
the information system enforces organization-defined mandatory access control policies over all subjects and objects where the policy specifies that:
+
+ AC-3(3)[6](a)
+
the policy is uniformly enforced across all subjects and objects within the boundary of the information system;
+
+
+ AC-3(3)[6](b)
+
a subject that has been granted access to information is constrained from doing any of the following:
+
+ AC-3(3)[6](b)(1)
+
passing the information to unauthorized subjects or objects;
+
+
+ AC-3(3)[6](b)(2)
+
granting its privileges to other subjects;
+
+
+ AC-3(3)[6](b)(3)
+
changing one or more security attributes on:
+
+ AC-3(3)[6](b)(3)[a]
+
subjects;
+
+
+ AC-3(3)[6](b)(3)[b]
+
objects;
+
+
+ AC-3(3)[6](b)(3)[c]
+
the information system; or
+
+
+ AC-3(3)[6](b)(3)[d]
+
system components;
+
+
+
+ AC-3(3)[6](b)(4)
+
choosing the security attributes and attribute values to be associated with newly created or modified objects; or
+
+
+ AC-3(3)[6](b)(5)
+
changing the rules governing access control; and
+
+
+
+ AC-3(3)[6](c)
+
organization-defined subjects may explicitly be granted organization-defined privileges such that they are not limited by some or all of the above constraints.
+
+
+
+
+ EXAMINE
+
Access control policy
+
mandatory access control policies
+
procedures addressing access enforcement
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of subjects and objects (i.e., users and resources) requiring enforcement of mandatory access control policies
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with access enforcement responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing mandatory access control
+
+
+
+ DISCRETIONARY ACCESS CONTROL
+
+ organization-defined discretionary access control policy
+ organization-defined discretionary access control policy
+
+ AC-3 (4)
+
+
The information system enforces over defined subjects and objects where the policy specifies that a subject that has been granted access to information can do one or more of the following:
+
+ AC-3 (4)(a)
+
Pass the information to any other subjects or objects;
+
+
+ AC-3 (4)(b)
+
Grant its privileges to other subjects;
+
+
+ AC-3 (4)(c)
+
Change security attributes on subjects, objects, the information system, or the information system�s components;
+
+
+ AC-3 (4)(d)
+
Choose the security attributes to be associated with newly created or revised objects; or
+
+
+ AC-3 (4)(e)
+
Change the rules governing access control.
+
+
+
+
When discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing (i.e., the subjects have the discretion to pass) the information to other subjects or objects. This control enhancement can operate in conjunction with AC-3 (3). A subject that is constrained in its operation by policies governed by AC-3 (3) is still able to operate under the less rigorous constraints of this control enhancement. Thus, while AC-3 (3) imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3 (4) permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the information system boundary. Once the information is passed outside of the control of the information system, additional means may be required to ensure that the constraints remain in effect. While the older, more traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this use of discretionary access control.
+
+
+
Determine if:
+
+ AC-3(4)[1]
+
the organization defines discretionary access control policies to be enforced over defined subjects and objects;
+
+
+ AC-3(4)[2]
+
the information system enforces organization-defined discretionary access control policies over defined subjects and objects where the policy specifies that a subject has been granted access to information and can do one or more of the following:
+
+ AC-3(4)[2](a)
+
pass the information to any other subjects or objects;
+
+
+ AC-3(4)[2](b)
+
grant its privileges to other subjects;
+
+
+ AC-3(4)[2](c)
+
change security attributes on:
+
+ AC-3(4)[2](c)[a]
+
subjects,
+
+
+ AC-3(4)[2](c)[b]
+
objects,
+
+
+ AC-3(4)[2](c)[c]
+
the information system, or
+
+
+ AC-3(4)[2](c)[d]
+
the information system’s components;
+
+
+
+ AC-3(4)[2](d)
+
choose the security attributes to be associated with newly created or revised objects; or
+
+
+ AC-3(4)[2](e)
+
change the rules governing access control.
+
+
+
+
+ EXAMINE
+
Access control policy
+
discretionary access control policies
+
procedures addressing access enforcement
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of subjects and objects (i.e., users and resources) requiring enforcement of discretionary access control policies
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with access enforcement responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing discretionary access control policy
+
+
+
+ SECURITY-RELEVANT INFORMATION
+
+ organization-defined security-relevant information
+ organization-defined security-relevant information
+
+ AC-3 (5)
+
+
The information system prevents access to except during secure, non-operable system states.
+
+
+
Security-relevant information is any information within information systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security policies or maintain the isolation of code and data. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Secure, non-operable system states include the times in which information systems are not performing mission/business-related processing (e.g., the system is off-line for maintenance, troubleshooting, boot-up, shut down).
+
+
+
+
Determine if:
+
+ AC-3(5)[1]
+
the organization defines security-relevant information to which the information system prevents access except during secure, non-operable system states; and
+
+
+ AC-3(5)[2]
+
the information system prevents access to organization-defined security-relevant information except during secure, non-operable system states.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing access enforcement
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with access enforcement responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms preventing access to security-relevant information within the information system
+
+
+
+ PROTECTION OF USER AND SYSTEM INFORMATION
+ AC-3 (6)
+
+
+
+
+ Incorporated into MP-4 and SC-28.
+
+
+
+ ROLE-BASED ACCESS CONTROL
+
+ organization-defined roles and users authorized to assume such roles
+ organization-defined roles and users authorized to assume such roles
+
+ AC-3 (7)
+
+
The information system enforces a role-based access control policy over defined subjects and objects and controls access based upon .
+
+
+
Role-based access control (RBAC) is an access control policy that restricts information system access to authorized users. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on organizational information systems associated with the organization-defined roles. When users are assigned to the organizational roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for organizations because privileges are not assigned directly to every user (which can be a significant number of individuals for mid- to large-size organizations) but are instead acquired through role assignments. RBAC can be implemented either as a mandatory or discretionary form of access control. For organizations implementing RBAC with mandatory access controls, the requirements in AC-3 (3) define the scope of the subjects and objects covered by the policy.
+
+
+
Determine if:
+
+ AC-3(7)[1]
+
the organization defines roles to control information system access;
+
+
+ AC-3(7)[2]
+
the organization defines users authorized to assume the organization-defined roles;
+
+
+ AC-3(7)[3]
+
the information system controls access based on organization-defined roles and users authorized to assume such roles;
+
+
+ AC-3(7)[4]
+
the information system enforces a role-based access control policy over defined:
+
+ AC-3(7)[4][a]
+
subjects, and
+
+
+ AC-3(7)[4][b]
+
objects.
+
+
+
+
+ EXAMINE
+
Access control policy
+
role-based access control policies
+
procedures addressing access enforcement
+
security plan, information system design documentation
+
information system configuration settings and associated documentation
+
list of roles, users, and associated privileges required to control information system access
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with access enforcement responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing role-based access control policy
+
+
+
+ REVOCATION OF ACCESS AUTHORIZATIONS
+
+ organization-defined rules governing the timing of revocations of access authorizations
+ organization-defined rules governing the timing of revocations of access authorizations
+
+ AC-3 (8)
+
+
The information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on .
+
+
+
Revocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process) is removed from a group, access may not be revoked until the next time the object (e.g., file) is opened or until the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations can provide alternative approaches on how to make revocations immediate if information systems cannot provide such capability and immediate revocation is necessary.
+
+
+
Determine if:
+
+ AC-3(8)[1]
+
the organization defines rules governing the timing of revocations of access authorizations; and
+
+
+ AC-3(8)[2]
+
the information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on organization-defined rules governing the timing of revocations of access authorizations.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing access enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
rules governing revocation of access authorizations, information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with access enforcement responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+
+ CONTROLLED RELEASE
+
+ organization-defined information system or system component
+ organization-defined information system or system component
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+ AC-3 (9)
+
+
The information system does not release information outside of the established system boundary unless:
+
+ AC-3 (9)(a)
+
The receiving provides ; and
+
+
+ AC-3 (9)(b)
+
+ are used to validate the appropriateness of the information designated for release.
+
+
+
+
Information systems can only protect organizational information within the confines of established system boundaries. Additional security safeguards may be needed to ensure that such information is adequately protected once it is passed beyond the established information system boundaries. Examples of information leaving the system boundary include transmitting information to an external information system or printing the information on one of its printers. In cases where the information system is unable to make a determination of the adequacy of the protections provided by entities outside its boundary, as a mitigating control, organizations determine procedurally whether the external information systems are providing adequate security. The means used to determine the adequacy of the security provided by external information systems include, for example, conducting inspections or periodic testing, establishing agreements between the organization and its counterpart organizations, or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security policy to protect the information. This control enhancement requires information systems to employ technical or procedural means to validate the information prior to releasing it to external systems. For example, if the information system passes information to another system controlled by another organization, technical means are employed to validate that the security attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the information system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only appropriately authorized individuals gain access to the printer. This control enhancement is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes policy regarding access to the information, and that policy applies beyond the realm of a particular information system or organization.
+
+
+
Determine if:
+
+ AC-3(9)[1]
+
the organization defines the information system or system component authorized to receive information released outside of the established system boundary of the information system releasing such information;
+
+
+ AC-3(9)[2]
+
the organization defines security safeguards to be provided by organization-defined information system or system component receiving information released from an information system outside of the established system boundary;
+
+
+ AC-3(9)[3]
+
the organization defines security safeguards to be used to validate the appropriateness of the information designated for release;
+
+
+ AC-3(9)[4]
+
the information system does not release information outside of the established system boundary unless:
+
+ AC-3(9)[4](a)
+
the receiving organization-defined information system or system component provides organization-defined security safeguards; and
+
+
+ AC-3(9)[4](b)
+
the organization-defined security safeguards are used to validate the appropriateness of the information designated for release.
+
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing access enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of security safeguards provided by receiving information system or system components
+
list of security safeguards validating appropriateness of information designated for release
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with access enforcement responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
Determine if the information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing access enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of approved authorizations (user privileges)
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with access enforcement responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing access control policy
+
+
+
+ INFORMATION FLOW ENFORCEMENT
+
+ organization-defined information flow control policies
+ organization-defined information flow control policies
+
+ AC-4
+ P1
+ MODERATE
+ HIGH
+
+
The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on .
+
+
+
Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regrading mechanisms to reassign security attributes and security labels.
+Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products.
The information system uses associated with to enforce as a basis for flow control decisions.
+
+
+
Information flow enforcement mechanisms compare security attributes associated with information (data content and data structure) and source/destination objects, and respond appropriately (e.g., block, quarantine, alert administrator) when the mechanisms encounter information flows not explicitly allowed by information flow policies. For example, an information object labeled Secret would be allowed to flow to a destination object labeled Secret, but an information object labeled Top Secret would not be allowed to flow to a destination object labeled Secret. Security attributes can also include, for example, source and destination addresses employed in traffic filter firewalls. Flow enforcement using explicit security attributes can be used, for example, to control the release of certain types of information.
+
+
+
+
Determine if:
+
+ AC-4(1)[1]
+
the organization defines information flow control policies as a basis for flow control decisions;
+
+
+ AC-4(1)[2]
+
the organization defines security attributes to be associated with information, source, and destination objects;
+
+
+ AC-4(1)[3]
+
the organization defines the following objects to be associated with organization-defined security attributes:
+
+ AC-4(1)[3][a]
+
information;
+
+
+ AC-4(1)[3][b]
+
source;
+
+
+ AC-4(1)[3][c]
+
destination; and
+
+
+
+ AC-4(1)[4]
+
the information system uses organization-defined security attributes associated with organization-defined information, source, and destination objects to enforce organization-defined information flow control policies as a basis for flow control decisions.
+
+
+
+ EXAMINE
+
Access control policy
+
information flow control policies
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of security attributes and associated information, source, and destination objects enforcing information flow control policies
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement policy
+
+
+
+ PROCESSING DOMAINS
+
+ organization-defined information flow control policies
+ organization-defined information flow control policies
+
+ AC-4 (2)
+
+
The information system uses protected processing domains to enforce as a basis for flow control decisions.
+
+
+
Within information systems, protected processing domains are processing spaces that have controlled interactions with other processing spaces, thus enabling control of information flows between these spaces and to/from data/information objects. A protected processing domain can be provided, for example, by implementing domain and type enforcement. In domain and type enforcement, information system processes are assigned to domains; information is identified by types; and information flows are controlled based on allowed information accesses (determined by domain and type), allowed signaling among domains, and allowed process transitions to other domains.
+
+
+
Determine if:
+
+ AC-4(2)[1]
+
the organization defines information flow control policies as a basis for flow control decisions; and
+
+
+ AC-4(2)[2]
+
the information system uses protected processing domains to enforce organization-defined information flow control policies as a basis for flow control decisions.
+
+
+
+ EXAMINE
+
Access control policy
+
information flow control policies
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system security architecture and associated documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement policy
The information system enforces dynamic information flow control based on .
+
+
+
Organizational policies regarding dynamic information flow control include, for example, allowing or disallowing information flows based on changing conditions or mission/operational considerations. Changing conditions include, for example, changes in organizational risk tolerance due to changes in the immediacy of mission/business needs, changes in the threat environment, and detection of potentially harmful or adverse events.
+
+
+
+
Determine if:
+
+ AC-4(3)[1]
+
the organization defines policies to enforce dynamic information flow control; and
+
+
+ AC-4(3)[2]
+
the information system enforces dynamic information flow control based on organization-defined policies.
+
+
+
+ EXAMINE
+
Access control policy
+
information flow control policies
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system security architecture and associated documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement policy
+
+
+
+ CONTENT CHECK ENCRYPTED INFORMATION
+
+ organization-defined procedure or method
+ organization-defined procedure or method
+
+ AC-4 (4)
+
+
The information system prevents encrypted information from bypassing content-checking mechanisms by [Selection (one or more): decrypting the information; blocking the flow of the encrypted information; terminating communications sessions attempting to pass encrypted information; ].
+
+
+
+
+
+
Determine if:
+
+ AC-4(4)[1]
+
the organization defines a procedure or method to be employed to prevent encrypted information from bypassing content-checking mechanisms;
+
+
+ AC-4(4)[2]
+
the information system prevents encrypted information from bypassing content-checking mechanisms by doing one or more of the following:
+
+ AC-4(4)[2][a]
+
decrypting the information;
+
+
+ AC-4(4)[2][b]
+
blocking the flow of the encrypted information;
+
+
+ AC-4(4)[2][c]
+
terminating communications sessions attempting to pass encrypted information; and/or
+
+
+ AC-4(4)[2][d]
+
employing the organization-defined procedure or method.
+
+
+
+
+ EXAMINE
+
Access control policy
+
information flow control policies
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement policy
The information system enforces on embedding data types within other data types.
+
+
+
Embedding data types within other data types may result in reduced flow control effectiveness. Data type embedding includes, for example, inserting executable files as objects within word processing files, inserting references or descriptive information into a media file, and compressed or archived data types that may include multiple embedded data types. Limitations on data type embedding consider the levels of embedding and prohibit levels of data type embedding that are beyond the capability of the inspection tools.
+
+
+
Determine if:
+
+ AC-4(5)[1]
+
the organization defines limitations to be enforced on embedding data types within other data types; and
+
+
+ AC-4(5)[2]
+
the information system enforces organization-defined limitations on embedding data types within other data types.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of limitations to be enforced on embedding data types within other data types
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement policy
The information system enforces information flow control based on .
+
+
+
Metadata is information used to describe the characteristics of data. Metadata can include structural metadata describing data structures (e.g., data format, syntax, and semantics) or descriptive metadata describing data contents (e.g., age, location, telephone number). Enforcing allowed information flows based on metadata enables simpler and more effective flow control. Organizations consider the trustworthiness of metadata with regard to data accuracy (i.e., knowledge that the metadata values are correct with respect to the data), data integrity (i.e., protecting against unauthorized changes to metadata tags), and the binding of metadata to the data payload (i.e., ensuring sufficiently strong binding techniques with appropriate levels of assurance).
+
+
+
+
+
Determine if:
+
+ AC-4(6)[1]
+
the organization defines metadata to be used as a means of enforcing information flow control; and
+
+
+ AC-4(6)[2]
+
the information system enforces information flow control based on organization-defined metadata.
+
+
+
+ EXAMINE
+
Access control policy
+
information flow control policies
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
types of metadata used to enforce information flow control decisions
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement policy
The information system enforces information flow control using as a basis for flow control decisions for .
+
+
+
Organization-defined security policy filters can address data structures and content. For example, security policy filters for data structures can check for maximum file lengths, maximum field sizes, and data/file types (for structured and unstructured data). Security policy filters for data content can check for specific words (e.g., dirty/clean word filters), enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data typically refers to digital information without a particular data structure or with a data structure that does not facilitate the development of rule sets to address the particular sensitivity of the information conveyed by the data or the associated flow enforcement decisions. Unstructured data consists of: (i) bitmap objects that are inherently non language-based (i.e., image, video, or audio files); and (ii) textual objects that are based on written or printed languages (e.g., commercial off-the-shelf word processing documents, spreadsheets, or emails). Organizations can implement more than one security policy filter to meet information flow control objectives (e.g., employing clean word lists in conjunction with dirty word lists may help to reduce false positives).
+
+
+
Determine if:
+
+ AC-4(8)[1]
+
the organization defines security policy filters to be used as a basis for enforcing flow control decisions;
+
+
+ AC-4(8)[2]
+
the organization defines information flows for which flow control decisions are to be applied and enforced; and
+
+
+ AC-4(8)[3]
+
the information system enforces information flow control using organization-defined security policy filters as a basis for flow control decisions for organization-defined information flows.
+
+
+
+ EXAMINE
+
Access control policy
+
information flow control policies
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of security policy filters regulating flow control decisions
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement policy
+
+
+
+ HUMAN REVIEWS
+
+ organization-defined information flows
+ organization-defined information flows
+
+
+ organization-defined conditions
+ organization-defined conditions
+
+ AC-4 (9)
+
+
The information system enforces the use of human reviews for under the following conditions: .
+
+
+
Organizations define security policy filters for all situations where automated flow control decisions are possible. When a fully automated flow control decision is not possible, then a human review may be employed in lieu of, or as a complement to, automated security policy filtering. Human reviews may also be employed as deemed necessary by organizations.
+
+
+
Determine if:
+
+ AC-4(9)[1]
+
the organization defines information flows requiring the use of human reviews;
+
+
+ AC-4(9)[2]
+
the organization defines conditions under which the use of human reviews for organization-defined information flows is to be enforced; and
+
+
+ AC-4(9)[3]
+
the information system enforces the use of human reviews for organization-defined information flows under organization-defined conditions.
+
+
+
+ EXAMINE
+
Access control policy
+
information flow control policies
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
records of human reviews regarding information flows
+
list of conditions requiring human reviews for information flows
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with information flow enforcement responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms enforcing the use of human reviews
The information system provides the capability for privileged administrators to enable/disable under the following conditions: .
+
+
+
For example, as allowed by the information system authorization, administrators can enable security policy filters to accommodate approved data types.
+
+
+
Determine if:
+
+ AC-4(10)[1]
+
the organization defines security policy filters that privileged administrators have the capability to enable/disable;
+
+
+ AC-4(10)[2]
+
the organization-defined conditions under which privileged administrators have the capability to enable/disable organization-defined security policy filters; and
+
+
+ AC-4(10)[3]
+
the information system provides the capability for privileged administrators to enable/disable organization-defined security policy filters under organization-defined conditions.
+
+
+
+ EXAMINE
+
Access control policy
+
information flow information policies
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of security policy filters enabled/disabled by privileged administrators
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for enabling/disabling security policy filters
+
system/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement policy
The information system provides the capability for privileged administrators to configure to support different security policies.
+
+
+
For example, to reflect changes in security policies, administrators can change the list of �dirty words� that security policy mechanisms check in accordance with the definitions provided by organizations.
+
+
+
Determine if:
+
+ AC-4(11)[1]
+
the organization defines security policy filters that privileged administrators have the capability to configure to support different security policies; and
+
+
+ AC-4(11)[2]
+
the information system provides the capability for privileged administrators to configure organization-defined security policy filters to support different security policies.
+
+
+
+ EXAMINE
+
Access control policy
+
information flow control policies
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of security policy filters
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for configuring security policy filters
+
system/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement policy
+
+
+
+ DATA TYPE IDENTIFIERS
+
+ organization-defined data type identifiers
+ organization-defined data type identifiers
+
+ AC-4 (12)
+
+
The information system, when transferring information between different security domains, uses to validate data essential for information flow decisions.
+
+
+
Data type identifiers include, for example, filenames, file types, file signatures/tokens, and multiple internal file signatures/tokens. Information systems may allow transfer of data only if compliant with data type format specifications.
+
+
+
Determine if:
+
+ AC-4(12)[1]
+
the organization defines data type identifiers to be used, when transferring information between different security domains, to validate data essential for information flow decisions; and
+
+
+ AC-4(12)[2]
+
the information system, when transferring information between different security domains, uses organization-defined data type identifiers to validate data essential for information flow decisions.
+
+
+
+ EXAMINE
+
Access control policy
+
information flow control policies
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of data type identifiers
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement policy
The information system, when transferring information between different security domains, decomposes information into for submission to policy enforcement mechanisms.
+
+
+
Policy enforcement mechanisms apply filtering, inspection, and/or sanitization rules to the policy-relevant subcomponents of information to facilitate flow enforcement prior to transferring such information to different security domains. Parsing transfer files facilitates policy decisions on source, destination, certificates, classification, attachments, and other security-related component differentiators.
+
+
+
Determine if:
+
+ AC-4(13)[1]
+
the organization defines policy-relevant subcomponents to decompose information for submission to policy enforcement mechanisms when transferring such information between different security domains; and
+
+
+ AC-4(13)[2]
+
the information system, when transferring information between different security domains, decomposes information into organization-defined policy-relevant subcomponents for submission to policy enforcement mechanisms.
+
+
+
+ EXAMINE
+
Access control policy
+
information flow control policies
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement policy
The information system, when transferring information between different security domains, implements requiring fully enumerated formats that restrict data structure and content.
+
+
+
Data structure and content restrictions reduce the range of potential malicious and/or unsanctioned content in cross-domain transactions. Security policy filters that restrict data structures include, for example, restricting file sizes and field lengths. Data content policy filters include, for example: (i) encoding formats for character sets (e.g., Universal Character Set Transformation Formats, American Standard Code for Information Interchange); (ii) restricting character data fields to only contain alpha-numeric characters; (iii) prohibiting special characters; and (iv) validating schema structures.
+
+
+
Determine if:
+
+ AC-4(14)[1]
+
the organization defines security policy filters to be implemented that require fully enumerated formats restricting data structure and content when transferring information between different security domains; and
+
+
+ AC-4(14)[2]
+
the information system, when transferring information between different security domains, implements organization-defined security policy filters requiring fully enumerated formats that restrict data structure and content.
+
+
+
+ EXAMINE
+
Access control policy
+
information flow control policies
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of security policy filters
+
list of data content policy filters
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement policy
+
+
+
+ DETECTION OF UNSANCTIONED INFORMATION
+
+ organized-defined unsanctioned information
+ organized-defined unsanctioned information
+
+
+ organization-defined security policy
+ organization-defined security policy
+
+ AC-4 (15)
+
+
The information system, when transferring information between different security domains, examines the information for the presence of and prohibits the transfer of such information in accordance with the .
+
+
+
Detection of unsanctioned information includes, for example, checking all information to be transferred for malicious code and dirty words.
+
+
+
+
Determine if:
+
+ AC-4(15)[1]
+
the organization defines unsanctioned information to be detected when transferring information between different security domains;
+
+
+ AC-4(15)[2]
+
the organization defines the security policy that requires the transfer of organization-defined unsanctioned information between different security domains to be prohibited when the presence of such information is detected; and
+
+
+ AC-4(15)[3]
+
the information system, when transferring information between different security domains, examines the information for the presence of organization-defined unsanctioned information and prohibits the transfer of such information in accordance with the organization-defined security policy.
+
+
+
+ EXAMINE
+
Access control policy
+
information flow control policies
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of unsanctioned information types and associated information
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement policy
+
+
+
+ INFORMATION TRANSFERS ON INTERCONNECTED SYSTEMS
+ AC-4 (16)
+
+
+
+ Incorporated into AC-4.
+
+
+
+ DOMAIN AUTHENTICATION
+ AC-4 (17)
+
+
The information system uniquely identifies and authenticates source and destination points by [Selection (one or more): organization, system, application, individual] for information transfer.
+
+
+
Attribution is a critical component of a security concept of operations. The ability to identify source and destination points for information flowing in information systems, allows the forensic reconstruction of events when required, and encourages policy compliance by attributing policy violations to specific organizations/individuals. Successful domain authentication requires that information system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information.
+
+
+
+
+
+
+
Determine if the information system uniquely identifies and authenticates:
+
+ AC-4(17)[1]
+
+ AC-4(17)[1][a]
+
source points for information transfer;
+
+
+ AC-4(17)[1][b]
+
destination points for information transfer;
+
+
+
+ AC-4(17)[2]
+
by one or more of the following:
+
+ AC-4(17)[2][a]
+
organization;
+
+
+ AC-4(17)[2][b]
+
system;
+
+
+ AC-4(17)[2][c]
+
application; and/or
+
+
+ AC-4(17)[2][d]
+
individual.
+
+
+
+
+ EXAMINE
+
Access control policy
+
information flow control policies
+
procedures addressing information flow enforcement
+
procedures addressing source and destination domain identification and authentication
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement policy
The information system binds security attributes to information using to facilitate information flow policy enforcement.
+
+
+
Binding techniques implemented by information systems affect the strength of security attribute binding to information. Binding strength and the assurance associated with binding techniques play an important part in the trust organizations have in the information flow enforcement process. The binding techniques affect the number and degree of additional reviews required by organizations.
+
+
+
+
+
Determine if:
+
+ AC-4(18)[1]
+
the organization defines binding techniques to be used to facilitate information flow policy enforcement; and
+
+
+ AC-4(18)[2]
+
the information system binds security attributes to information using organization-defined binding techniques to facilitate information flow policy enforcement.
+
+
+
+ EXAMINE
+
Information flow enforcement policy
+
information flow control policies
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of binding techniques to bind security attributes to information
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information flow enforcement responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement functions
+
+
+
+ VALIDATION OF METADATA
+ AC-4 (19)
+
+
The information system, when transferring information between different security domains, applies the same security policy filtering to metadata as it applies to data payloads.
+
+
+
This control enhancement requires the validation of metadata and the data to which the metadata applies. Some organizations distinguish between metadata and data payloads (i.e., only the data to which the metadata is bound). Other organizations do not make such distinctions, considering metadata and the data to which the metadata applies as part of the payload. All information (including metadata and the data to which the metadata applies) is subject to filtering and inspection.
+
+
+
Determine if the information system, when transferring information between different security domains, applies the same security policy filtering to metadata as it applies to data payloads.
+
+
+ EXAMINE
+
Information flow enforcement policy
+
information flow control policies
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of security policy filtering criteria applied to metadata and data payloads
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information flow enforcement responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement functions
+
+
+
+ APPROVED SOLUTIONS
+
+ organization-defined solutions in approved configurations
+ organization-defined solutions in approved configurations
+
+
+ organization-defined information
+ organization-defined information
+
+ AC-4 (20)
+
+
The organization employs to control the flow of across security domains.
+
+
+
Organizations define approved solutions and configurations in cross-domain policies and guidance in accordance with the types of information flows across classification boundaries. The Unified Cross Domain Management Office (UCDMO) provides a baseline listing of approved cross-domain solutions.
+
+
+
Determine if the organization:
+
+ AC-4(20)[1]
+
defines solutions in approved configurations to control the flow of information across security domains;
+
+
+ AC-4(20)[2]
+
defines information for which organization-defined solutions in approved configurations are to be employed to control the flow of such information across security domains; and
+
+
+ AC-4(20)[3]
+
employs organization-defined solutions in approved configurations to control the flow of organization-defined information across security domains.
+
+
+
+ EXAMINE
+
Information flow enforcement policy
+
information flow control policies
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of solutions in approved configurations
+
approved configuration baselines
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information flow enforcement responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement functions
+
+
+
+ PHYSICAL / LOGICAL SEPARATION OF INFORMATION FLOWS
+
+ organization-defined mechanisms and/or techniques
+ organization-defined mechanisms and/or techniques
+
+
+ organization-defined required separations by types of information
+ organization-defined required separations by types of information
+
+ AC-4 (21)
+
+
The information system separates information flows logically or physically using to accomplish .
+
+
+
Enforcing the separation of information flows by type can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths perhaps not otherwise achievable. Types of separable information include, for example, inbound and outbound communications traffic, service requests and responses, and information of differing security categories.
+
+
+
Determine if:
+
+ AC-4(21)[1]
+
the organization defines the required separations of information flows by types of information;
+
+
+ AC-4(21)[2]
+
the organization defines the mechanisms and/or techniques to be used to separate information flows logically or physically; and
+
+
+ AC-4(21)[3]
+
the information system separates information flows logically or physically using organization-defined mechanisms and/or techniques to accomplish organization-defined required separations by types of information.
+
+
+
+ EXAMINE
+
Information flow enforcement policy
+
information flow control policies
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of required separation of information flows by information types
+
list of mechanisms and/or techniques used to logically or physically separate information flows
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information flow enforcement responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement functions
+
+
+
+ ACCESS ONLY
+ AC-4 (22)
+
+
The information system provides access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains.
+
+
+
The information system, for example, provides a desktop for users to access each connected security domain without providing any mechanisms to allow transfer of information between the different security domains.
+
+
+
Determine if the information system provides access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains.
+
+
+ EXAMINE
+
Information flow enforcement policy
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information flow enforcement responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement functions
+
+
+
+
Determine if:
+
+ AC-4[1]
+
the organization defines information flow control policies to control the flow of information within the system and between interconnected systems; and
+
+
+ AC-4[2]
+
the information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on organization-defined information flow control policies.
+
+
+
+ EXAMINE
+
Access control policy
+
information flow control policies
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system baseline configuration
+
list of information flow authorizations
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing information flow enforcement policy
+
+
+
+ SEPARATION OF DUTIES
+
+ organization-defined duties of individuals
+ organization-defined duties of individuals
+
+ AC-5
+ P1
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-5a.
+
Separates ;
+
+
+ AC-5b.
+
Documents separation of duties of individuals; and
+
+
+ AC-5c.
+
Defines information system access authorizations to support separation of duties.
+
+
+
+
Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes, for example: (i) dividing mission functions and information system support functions among different individuals and/or roles; (ii) conducting information system support functions with different individuals (e.g., system management, programming, configuration management, quality assurance and testing, and network security); and (iii) ensuring security personnel administering access control functions do not also administer audit functions.
+
+
+
+
+
+
+
+
Determine if the organization:
+
+ AC-5(a)
+
+ AC-5(a)[1]
+
defines duties of individuals to be separated;
+
+
+ AC-5(a)[2]
+
separates organization-defined duties of individuals;
+
+
+
+ AC-5(b)
+
documents separation of duties; and
+
+
+ AC-5(c)
+
defines information system access authorizations to support separation of duties.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing divisions of responsibility and separation of duties
+
information system configuration settings and associated documentation
+
list of divisions of responsibility and separation of duties
+
information system access authorizations
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for defining appropriate divisions of responsibility and separation of duties
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms implementing separation of duties policy
+
+
+
+ LEAST PRIVILEGE
+ AC-6
+ P1
+ MODERATE
+ HIGH
+
+
The organization employs the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.
+
+
+
Organizations employ least privilege for specific duties and information systems. The principle of least privilege is also applied to information system processes, ensuring that the processes operate at privilege levels no higher than necessary to accomplish required organizational missions/business functions. Organizations consider the creation of additional processes, roles, and information system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational information systems.
+
+
+
+
+
+
+
+
+ AUTHORIZE ACCESS TO SECURITY FUNCTIONS
+
+ organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information
+ organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information
+
+ AC-6 (1)
+ MODERATE
+ HIGH
+
+
The organization explicitly authorizes access to .
+
+
+
Security functions include, for example, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Explicitly authorized personnel include, for example, security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users.
+
+
+
+
+
+
Determine if the organization:
+
+ AC-6(1)[1]
+
defines security-relevant information for which access must be explicitly authorized;
+
+
+ AC-6(1)[2]
+
defines security functions deployed in:
+
+ AC-6(1)[2][a]
+
hardware;
+
+
+ AC-6(1)[2][b]
+
software;
+
+
+ AC-6(1)[2][c]
+
firmware;
+
+
+
+ AC-6(1)[3]
+
explicitly authorizes access to:
+
+ AC-6(1)[3][a]
+
organization-defined security functions; and
+
+
+ AC-6(1)[3][b]
+
security-relevant information.
+
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing least privilege
+
list of security functions (deployed in hardware, software, and firmware) and security-relevant information for which access must be explicitly authorized
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms implementing least privilege functions
+
+
+
+ NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS
+
+ organization-defined security functions or security-relevant information
+ organization-defined security functions or security-relevant information
+
+ AC-6 (2)
+ MODERATE
+ HIGH
+
+
The organization requires that users of information system accounts, or roles, with access to , use non-privileged accounts or roles, when accessing nonsecurity functions.
+
+
+
This control enhancement limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies such as role-based access control and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.
+
+
+
+
Determine if the organization:
+
+ AC-6(2)[1]
+
defines security functions or security-relevant information to which users of information system accounts, or roles, have access; and
+
+
+ AC-6(2)[2]
+
requires that users of information system accounts, or roles, with access to organization-defined security functions or security-relevant information, use non-privileged accounts, or roles, when accessing nonsecurity functions.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing least privilege
+
list of system-generated security functions or security-relevant information assigned to information system accounts or roles
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms implementing least privilege functions
The information system provides separate processing domains to enable finer-grained allocation of user privileges.
+
+
+
Providing separate processing domains for finer-grained allocation of user privileges includes, for example: (i) using virtualization techniques to allow additional privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying actual machine; (ii) employing hardware and/or software domain separation mechanisms; and (iii) implementing separate physical domains.
+
+
+
+
+
+
+
Determine if the information system provides separate processing domains to enable finer-grained allocation of user privileges.
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing least privilege
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing least privilege functions
+
+
+
+ PRIVILEGED ACCOUNTS
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+ AC-6 (5)
+ MODERATE
+ HIGH
+
+
The organization restricts privileged accounts on the information system to .
+
+
+
Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from having access to privileged information/functions. Organizations may differentiate in the application of this control enhancement between allowed privileges for local accounts and for domain accounts provided organizations retain the ability to control information system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk.
+
+
+
+
Determine if the organization:
+
+ AC-6(5)[1]
+
defines personnel or roles for which privileged accounts on the information system are to be restricted; and
+
+
+ AC-6(5)[2]
+
restricts privileged accounts on the information system to organization-defined personnel or roles.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing least privilege
+
list of system-generated privileged accounts
+
list of system administration personnel
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms implementing least privilege functions
The organization prohibits privileged access to the information system by non-organizational users.
+
+
+
+
+
+
Determine if the organization prohibits privileged access to the information system by non-organizational users.
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing least privilege
+
list of system-generated privileged accounts
+
list of non-organizational users
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms prohibiting privileged access to the information system
+
+
+
+ REVIEW OF USER PRIVILEGES
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined roles or classes of users
+ organization-defined roles or classes of users
+
+ AC-6 (7)
+
+
The organization:
+
+ AC-6 (7)(a)
+
Reviews the privileges assigned to to validate the need for such privileges; and
+
+
+ AC-6 (7)(b)
+
Reassigns or removes privileges, if necessary, to correctly reflect organizational mission/business needs.
+
+
+
+
The need for certain assigned user privileges may change over time reflecting changes in organizational missions/business function, environments of operation, technologies, or threat. Periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions.
+
+
+
+
Determine if the organization:
+
+ AC-6(7)(a)
+
+ AC-6(7)(a)[1]
+
defines roles or classes of users to which privileges are assigned;
+
+
+ AC-6(7)(a)[2]
+
defines the frequency to review the privileges assigned to organization-defined roles or classes of users to validate the need for such privileges;
+
+
+ AC-6(7)(a)[3]
+
reviews the privileges assigned to organization-defined roles or classes of users with the organization-defined frequency to validate the need for such privileges; and
+
+
+
+ AC-6(7)(b)
+
reassigns or removes privileges, if necessary, to correctly reflect organizational missions/business needs.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing least privilege
+
list of system-generated roles or classes of users and assigned privileges
+
information system design documentation
+
information system configuration settings and associated documentation
+
validation reviews of privileges assigned to roles or classes or users
+
records of privilege removals or reassignments for roles or classes of users
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms implementing review of user privileges
The information system prevents from executing at higher privilege levels than users executing the software.
+
+
+
In certain situations, software applications/programs need to execute with elevated privileges to perform required functions. However, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications/programs, those users are indirectly provided with greater privileges than assigned by organizations.
+
+
+
Determine if:
+
+ AC-6(8)[1]
+
the organization defines software that should not execute at higher privilege levels than users executing the software; and
+
+
+ AC-6(8)[2]
+
the information system prevents organization-defined software from executing at higher privilege levels than users executing the software.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing least privilege
+
list of software that should not execute at higher privilege levels than users executing software
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing least privilege functions for software execution
+
+
+
+ AUDITING USE OF PRIVILEGED FUNCTIONS
+ AC-6 (9)
+ MODERATE
+ HIGH
+
+
The information system audits the execution of privileged functions.
+
+
+
Misuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised information system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Auditing the use of privileged functions is one way to detect such misuse, and in doing so, help mitigate the risk from insider threats and the advanced persistent threat (APT).
+
+
+
+
Determine if the information system audits the execution of privileged functions.
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing least privilege
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of privileged functions to be audited
+
list of audited events
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms auditing the execution of least privilege functions
+
+
+
+ PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS
+ AC-6 (10)
+ MODERATE
+ HIGH
+
+
The information system prevents non-privileged users from executing privileged functions to include disabling, circumventing, or altering implemented security safeguards/countermeasures.
+
+
+
Privileged functions include, for example, establishing information system accounts, performing system integrity checks, or administering cryptographic key management activities. Non-privileged users are individuals that do not possess appropriate authorizations. Circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms are examples of privileged functions that require protection from non-privileged users.
+
+
+
Determine if the information system prevents non-privileged users from executing privileged functions to include:
information system configuration settings and associated documentation
+
list of privileged functions and associated user account assignments
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing least privilege functions for non-privileged users
+
+
+
+
Determine if the organization employs the principle of least privilege, allowing only authorized access for users (and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing least privilege
+
list of assigned access authorizations (user privileges)
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms implementing least privilege functions
+
+
+
+ UNSUCCESSFUL LOGON ATTEMPTS
+
+ organization-defined number
+ organization-defined number
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined delay algorithm
+ organization-defined delay algorithm
+
+ AC-7
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The information system:
+
+ AC-7a.
+
Enforces a limit of consecutive invalid logon attempts by a user during a ; and
+
+
+ AC-7b.
+
Automatically [Selection: locks the account/node for an ; locks the account/node until released by an administrator; delays next logon prompt according to ] when the maximum number of unsuccessful attempts is exceeded.
+
+
+
+
This control applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by information systems are usually temporary and automatically release after a predetermined time period established by organizations. If a delay algorithm is selected, organizations may choose to employ different algorithms for different information system components based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at both the operating system and the application levels.
+
+
+
+ PURGE / WIPE MOBILE DEVICE
+
+ organization-defined mobile devices
+ organization-defined mobile devices
+
+
+ organization-defined purging/wiping requirements/techniques
+ organization-defined purging/wiping requirements/techniques
+
+
+ organization-defined number
+ organization-defined number
+
+ AC-7 (2)
+
+
The information system purges/wipes information from based on after consecutive, unsuccessful device logon attempts.
+
+
+
This control enhancement applies only to mobile devices for which a logon occurs (e.g., personal digital assistants, smart phones, tablets). The logon is to the mobile device, not to any one account on the device. Therefore, successful logons to any accounts on mobile devices reset the unsuccessful logon count to zero. Organizations define information to be purged/wiped carefully in order to avoid over purging/wiping which may result in devices becoming unusable. Purging/wiping may be unnecessary if the information on the device is protected with sufficiently strong encryption mechanisms.
+
+
+
+
+
+
+
Determine if:
+
+ AC-7(2)[1]
+
the organization defines mobile devices to be purged/wiped after organization-defined number of consecutive, unsuccessful device logon attempts;
+
+
+ AC-7(2)[2]
+
the organization defines purging/wiping requirements/techniques to be used when organization-defined mobile devices are purged/wiped after organization-defined number of consecutive, unsuccessful device logon attempts;
+
+
+ AC-7(2)[3]
+
the organization defines the number of consecutive, unsuccessful logon attempts allowed for accessing mobile devices before the information system purges/wipes information from such devices; and
+
+
+ AC-7(2)[4]
+
the information system purges/wipes information from organization-defined mobile devices based on organization-defined purging/wiping requirements/techniques after organization-defined number of consecutive, unsuccessful logon attempts.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing unsuccessful login attempts on mobile devices
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of mobile devices to be purged/wiped after organization-defined consecutive, unsuccessful device logon attempts
+
list of purging/wiping requirements or techniques for mobile devices
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing access control policy for unsuccessful device logon attempts
+
+
+
+
Determine if:
+
+ AC-7(a)
+
+ AC-7(a)[1]
+
the organization defines the number of consecutive invalid logon attempts allowed to the information system by a user during an organization-defined time period;
+
+
+ AC-7(a)[2]
+
the organization defines the time period allowed by a user of the information system for an organization-defined number of consecutive invalid logon attempts;
+
+
+ AC-7(a)[3]
+
the information system enforces a limit of organization-defined number of consecutive invalid logon attempts by a user during an organization-defined time period;
+
+
+
+ AC-7(b)
+
+ AC-7(b)[1]
+
the organization defines account/node lockout time period or logon delay algorithm to be automatically enforced by the information system when the maximum number of unsuccessful logon attempts is exceeded;
+
+
+ AC-7(b)[2]
+
the information system, when the maximum number of unsuccessful logon attempts is exceeded, automatically:
+
+ AC-7(b)[2][a]
+
locks the account/node for the organization-defined time period;
+
+
+ AC-7(b)[2][b]
+
locks the account/node until released by an administrator; or
+
+
+ AC-7(b)[2][c]
+
delays next logon prompt according to the organization-defined delay algorithm.
+
+
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing unsuccessful logon attempts
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
system developers
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms implementing access control policy for unsuccessful logon attempts
+
+
+
+ SYSTEM USE NOTIFICATION
+
+ organization-defined system use notification message or banner
+ organization-defined system use notification message or banner
+
+
+ organization-defined conditions
+ organization-defined conditions
+
+ AC-8
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system:
+
+ AC-8a.
+
Displays to users before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance and states that:
+
+ AC-8a.1.
+
Users are accessing a U.S. Government information system;
+
+
+ AC-8a.2.
+
Information system usage may be monitored, recorded, and subject to audit;
+
+
+ AC-8a.3.
+
Unauthorized use of the information system is prohibited and subject to criminal and civil penalties; and
+
+
+ AC-8a.4.
+
Use of the information system indicates consent to monitoring and recording;
+
+
+
+ AC-8b.
+
Retains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system; and
+
+
+ AC-8c.
+
For publicly accessible systems:
+
+ AC-8c.1.
+
Displays system use information , before granting further access;
+
+
+ AC-8c.2.
+
Displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and
+
+
+ AC-8c.3.
+
Includes a description of the authorized uses of the system.
+
+
+
+
+
System use notifications can be implemented using messages or warning banners displayed before individuals log in to information systems. System use notifications are used only for access via logon interfaces with human users and are not required when such human interfaces do not exist. Organizations consider system use notification messages/banners displayed in multiple languages based on specific organizational needs and the demographics of information system users. Organizations also consult with the Office of the General Counsel for legal review and approval of warning banner content.
+
+
+
Determine if:
+
+ AC-8(a)
+
+ AC-8(a)[1]
+
the organization defines a system use notification message or banner to be displayed by the information system to users before granting access to the system;
+
+
+ AC-8(a)[2]
+
the information system displays to users the organization-defined system use notification message or banner before granting access to the information system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance, and states that:
+
+ AC-8(a)[2](1)
+
users are accessing a U.S. Government information system;
+
+
+ AC-8(a)[2](2)
+
information system usage may be monitored, recorded, and subject to audit;
+
+
+ AC-8(a)[2](3)
+
unauthorized use of the information system is prohibited and subject to criminal and civil penalties;
+
+
+ AC-8(a)[2](4)
+
use of the information system indicates consent to monitoring and recording;
+
+
+
+
+ AC-8(b)
+
the information system retains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system;
+
+
+ AC-8(c)
+
for publicly accessible systems:
+
+ AC-8(c)(1)
+
+ AC-8(c)(1)[1]
+
the organization defines conditions for system use to be displayed by the information system before granting further access;
+
+
+ AC-8(c)(1)[2]
+
the information system displays organization-defined conditions before granting further access;
+
+
+
+ AC-8(c)(2)
+
the information system displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and
+
+
+ AC-8(c)(3)
+
the information system includes a description of the authorized uses of the system.
+
+
+
+
+ EXAMINE
+
Access control policy
+
privacy and security policies, procedures addressing system use notification
+
documented approval of information system use notification messages or banners
+
information system audit records
+
user acknowledgements of notification message or banner
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system use notification messages
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility for providing legal advice
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing system use notification
The information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access).
+
+
+
This control is applicable to logons to information systems via human user interfaces and logons to systems that occur in other types of architectures (e.g., service-oriented architectures).
+
+
+
+
+ UNSUCCESSFUL LOGONS
+ AC-9 (1)
+
+
The information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.
+
+
+
Determine if the information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing previous logon notification
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing access control policy for previous logon notification
+
+
+
+ SUCCESSFUL / UNSUCCESSFUL LOGONS
+
+ organization-defined time period
+ organization-defined time period
+
+ AC-9 (2)
+
+
The information system notifies the user of the number of [Selection: successful logons/accesses; unsuccessful logon/access attempts; both] during .
+
+
+
Determine if:
+
+ AC-9(2)[1]
+
the organization defines the time period within which the information system must notify the user of the number of:
+
+ AC-9(2)[1][a]
+
successful logons/accesses; and/or
+
+
+ AC-9(2)[1][b]
+
unsuccessful logon/access attempts;
+
+
+
+ AC-9(2)[2]
+
the information system, during the organization-defined time period, notifies the user of the number of:
+
+ AC-9(2)[2][a]
+
successful logons/accesses; and/or
+
+
+ AC-9(2)[2][b]
+
unsuccessful logon/access attempts.
+
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing previous logon notification
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing access control policy for previous logon notification
+
+
+
+ NOTIFICATION OF ACCOUNT CHANGES
+
+ organization-defined security-related characteristics/parameters of the user�s account
+ organization-defined security-related characteristics/parameters of the user�s account
+
+
+ organization-defined time period
+ organization-defined time period
+
+ AC-9 (3)
+
+
The information system notifies the user of changes to during .
+
+
+
Determine if:
+
+ AC-9(3)[1]
+
the organization defines security-related characteristics/parameters of a user’s account;
+
+
+ AC-9(3)[2]
+
the organization defines the time period within which changes to organization-defined security-related characteristics/parameters of a user’s account must occur; and
+
+
+ AC-9(3)[3]
+
the information system notifies the user of changes to organization-defined security-related characteristics/parameters of the user’s account during the organization-defined time period.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing previous logon notification
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing access control policy for previous logon notification
+
+
+
+ ADDITIONAL LOGON INFORMATION
+
+ organization-defined information to be included in addition to the date and time of the last logon (access)
+ organization-defined information to be included in addition to the date and time of the last logon (access)
+
+ AC-9 (4)
+
+
The information system notifies the user, upon successful logon (access), of the following additional information: .
+
+
+
This control enhancement permits organizations to specify additional information to be provided to users upon logon including, for example, the location of last logon. User location is defined as that information which can be determined by information systems, for example, IP addresses from which network logons occurred, device identifiers, or notifications of local logons.
+
+
+
Determine if:
+
+ AC-9(4)[1]
+
the organization defines information to be included in addition to the date and time of the last logon (access); and
+
+
+ AC-9(4)[2]
+
the information system notifies the user, upon successful logon (access), of the organization-defined information to be included in addition to the date and time of the last logon (access).
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing previous logon notification
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing access control policy for previous logon notification
+
+
+
+
Determine if the information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access).
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing previous logon notification
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system notification messages
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing access control policy for previous logon notification
+
+
+
+ CONCURRENT SESSION CONTROL
+
+ organization-defined account and/or account type
+ organization-defined account and/or account type
+
+
+ organization-defined number
+ organization-defined number
+
+ AC-10
+ P3
+ HIGH
+
+
The information system limits the number of concurrent sessions for each to .
+
+
+
Organizations may define the maximum number of concurrent sessions for information system accounts globally, by account type (e.g., privileged user, non-privileged user, domain, specific application), by account, or a combination. For example, organizations may limit the number of concurrent sessions for system administrators or individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for information system accounts and does not address concurrent sessions by single users via multiple system accounts.
+
+
+
Determine if:
+
+ AC-10[1]
+
the organization defines account and/or account types for the information system;
+
+
+ AC-10[2]
+
the organization defines the number of concurrent sessions to be allowed for each organization-defined account and/or account type; and
+
+
+ AC-10[3]
+
the information system limits the number of concurrent sessions for each organization-defined account and/or account type to the organization-defined number of concurrent sessions allowed.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing concurrent session control
+
information system design documentation
+
information system configuration settings and associated documentation
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing access control policy for concurrent session control
+
+
+
+ SESSION LOCK
+
+ organization-defined time period
+ organization-defined time period
+
+ AC-11
+ P3
+ MODERATE
+ HIGH
+
+
The information system:
+
+ AC-11a.
+
Prevents further access to the system by initiating a session lock after of inactivity or upon receiving a request from a user; and
+
+
+ AC-11b.
+
Retains the session lock until the user reestablishes access using established identification and authentication procedures.
+
+
+
+
Session locks are temporary actions taken when users stop work and move away from the immediate vicinity of information systems but do not want to log out because of the temporary nature of their absences. Session locks are implemented where session activities can be determined. This is typically at the operating system level, but can also be at the application level. Session locks are not an acceptable substitute for logging out of information systems, for example, if organizations require users to log out at the end of workdays.
The information system conceals, via the session lock, information previously visible on the display with a publicly viewable image.
+
+
+
Publicly viewable images can include static or dynamic images, for example, patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen, with the additional caveat that none of the images convey sensitive information.
+
+
+
Determine if the information system conceals, via the session lock, information previously visible on the display with a publicly viewable image.
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing session lock
+
display screen with session lock activated
+
information system design documentation
+
information system configuration settings and associated documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Information system session lock mechanisms
+
+
+
+
Determine if:
+
+ AC-11(a)
+
+ AC-11(a)[1]
+
the organization defines the time period of user inactivity after which the information system initiates a session lock;
+
+
+ AC-11(a)[2]
+
the information system prevents further access to the system by initiating a session lock after organization-defined time period of user inactivity or upon receiving a request from a user; and
+
+
+
+ AC-11(b)
+
the information system retains the session lock until the user reestablishes access using established identification and authentication procedures.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing session lock
+
procedures addressing identification and authentication
+
information system design documentation
+
information system configuration settings and associated documentation
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing access control policy for session lock
The information system automatically terminates a user session after .
+
+
+
This control addresses the termination of user-initiated logical sessions in contrast to SC-10 which addresses the termination of network connections that are associated with communications sessions (i.e., network disconnect). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational information system. Such user sessions can be terminated (and thus terminate user access) without terminating network sessions. Session termination terminates all processes associated with a user�s logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination can include, for example, organization-defined periods of user inactivity, targeted responses to certain types of incidents, time-of-day restrictions on information system use.
Provides a logout capability for user-initiated communications sessions whenever authentication is used to gain access to ; and
+
+
+ AC-12 (1)(b)
+
Displays an explicit logout message to users indicating the reliable termination of authenticated communications sessions.
+
+
+
+
Information resources to which users gain access via authentication include, for example, local workstations, databases, and password-protected websites/web-based services. Logout messages for web page access, for example, can be displayed after authenticated sessions have been terminated. However, for some types of interactive sessions including, for example, file transfer protocol (FTP) sessions, information systems typically send logout messages as final messages prior to terminating sessions.
+
+
+
Determine if:
+
+ AC-12(1)(a)
+
+ AC-12(1)(a)[1]
+
the organization defines information resources for which user authentication is required to gain access to such resources;
+
+
+ AC-12(1)(a)[2]
+
the information system provides a logout capability for user-initiated communications sessions whenever authentication is used to gain access to organization-defined information resources; and
+
+
+
+ AC-12(1)(b)
+
the information system displays an explicit logout message to users indicating the reliable termination of authenticated communications sessions.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing session termination
+
user logout messages
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Information system session lock mechanisms
+
+
+
+
Determine if:
+
+ AC-12[1]
+
the organization defines conditions or trigger events requiring session disconnect; and
+
+
+ AC-12[2]
+
the information system automatically terminates a user session after organization-defined conditions or trigger events requiring session disconnect occurs.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing session termination
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of conditions or trigger events requiring session disconnect
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing user session termination
+
+
+
+ SUPERVISION AND REVIEW - ACCESS CONTROL
+ AC-13
+
+
+
+
+ Incorporated into AC-2 and AU-6.
+
+
+
+ PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION
+
+ organization-defined user actions
+ organization-defined user actions
+
+ AC-14
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-14a.
+
Identifies that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and
+
+
+ AC-14b.
+
Documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.
+
+
+
+
This control addresses situations in which organizations determine that no identification or authentication is required in organizational information systems. Organizations may allow a limited number of user actions without identification or authentication including, for example, when individuals access public websites or other publicly accessible federal information systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations also identify actions that normally require identification or authentication but may under certain circumstances (e.g., emergencies), allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not repeated, but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational information systems without identification and authentication and thus, the values for assignment statements can be none.
+
+
+
+
+ NECESSARY USES
+ AC-14 (1)
+
+
+
+ Incorporated into AC-14.
+
+
+
+
Determine if the organization:
+
+ AC-14(a)
+
+ AC-14(a)[1]
+
defines user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions;
+
+
+ AC-14(a)[2]
+
identifies organization-defined user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and
+
+
+
+ AC-14(b)
+
documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing permitted actions without identification or authentication
+
information system configuration settings and associated documentation
+
security plan
+
list of user actions that can be performed without identification or authentication
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
+
+
+ AUTOMATED MARKING
+ AC-15
+
+
+
+ Incorporated into MP-3.
+
+
+
+ SECURITY ATTRIBUTES
+
+ organization-defined types of security attributes
+ organization-defined types of security attributes
+
+
+ organization-defined security attribute values
+ organization-defined security attribute values
+
+
+ organization-defined security attributes
+ organization-defined security attributes
+
+
+ organization-defined information systems
+ organization-defined information systems
+
+
+ organization-defined values or ranges
+ organization-defined values or ranges
+
+ AC-16
+ P0
+
+
The organization:
+
+ AC-16a.
+
Provides the means to associate having with information in storage, in process, and/or in transmission;
+
+
+ AC-16b.
+
Ensures that the security attribute associations are made and retained with the information;
+
+
+ AC-16c.
+
Establishes the permitted for ; and
+
+
+ AC-16d.
+
Determines the permitted for each of the established security attributes.
+
+
+
+
Information is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions representing the basic properties or characteristics of active and passive entities with respect to safeguarding information. These attributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, to cause information to flow among objects, or to change the information system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of security attributes to subjects and objects is referred to as binding and is typically inclusive of setting the attribute value and the attribute type. Security attributes when bound to data/information, enables the enforcement of information security policies for access control and information flow control, either through organizational processes or information system functions or mechanisms. The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information.
+Organizations can define the types of attributes needed for selected information systems to support missions/business functions. There is potentially a wide range of values that can be assigned to any given security attribute. Release markings could include, for example, US only, NATO, or NOFORN (not releasable to foreign nationals). By specifying permitted attribute ranges and values, organizations can ensure that the security attribute values are meaningful and relevant. The term security labeling refers to the association of security attributes with subjects and objects represented by internal data structures within organizational information systems, to enable information system-based enforcement of information security policies. Security labels include, for example, access authorizations, data life cycle protection (i.e., encryption and data expiration), nationality, affiliation as contractor, and classification of information in accordance with legal and compliance requirements. The term security marking refers to the association of security attributes with objects in a human-readable form, to enable organizational process-based enforcement of information security policies. The AC-16 base control represents the requirement for user-based attribute association (marking). The enhancements to AC-16 represent additional requirements including information system-based attribute association (labeling). Types of attributes include, for example, classification level for objects and clearance (access authorization) level for subjects. An example of a value for both of these attribute types is Top Secret.
The information system dynamically associates security attributes with in accordance with as information is created and combined.
+
+
+
Dynamic association of security attributes is appropriate whenever the security characteristics of information changes over time. Security attributes may change, for example, due to information aggregation issues (i.e., the security characteristics of individual information elements are different from the combined elements), changes in individual access authorizations (i.e., privileges), and changes in the security category of information.
+
+
+
+
Determine if:
+
+ AC-16(1)[1]
+
the organization defines subjects and objects to which security attributes are to be dynamically associated as information is created and combined;
+
+
+ AC-16(1)[2]
+
the organization defines security policies requiring the information system to dynamically associate security attributes with organization-defined subjects and objects; and
+
+
+ AC-16(1)[3]
+
the information system dynamically associates security attributes with organization-defined subjects and objects in accordance with organization-defined security policies as information is created and combined.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing dynamic association of security attributes to information
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing dynamic association of security attributes to information
+
+
+
+ ATTRIBUTE VALUE CHANGES BY AUTHORIZED INDIVIDUALS
+ AC-16 (2)
+
+
The information system provides authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security attributes.
+
+
+
The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for information systems to be able to limit the ability to create or modify security attributes to authorized individuals.
+
+
+
+
+
Determine if the information system provides authorized individuals (or processes acting on behalf on individuals) the capability to define or change the value of associated security attributes.
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing the change of security attribute values
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of individuals authorized to change security attributes
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for changing values of security attributes
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms permitting changes to values of security attributes
+
+
+
+ MAINTENANCE OF ATTRIBUTE ASSOCIATIONS BY INFORMATION SYSTEM
+
+ organization-defined security attributes
+ organization-defined security attributes
+
+
+ organization-defined subjects and objects
+ organization-defined subjects and objects
+
+ AC-16 (3)
+
+
The information system maintains the association and integrity of to .
+
+
+
Maintaining the association and integrity of security attributes to subjects and objects with sufficient assurance helps to ensure that the attribute associations can be used as the basis of automated policy actions. Automated policy actions include, for example, access control decisions or information flow control decisions.
+
+
+
Determine if:
+
+ AC-16(3)[1]
+
the organization defines security attributes to be associated with organization-defined subjects and objects;
+
+
+ AC-16(3)[2]
+
the organization defines subjects and objects requiring the association and integrity of security attributes to such subjects and objects to be maintained; and
+
+
+ AC-16(3)[3]
+
the information system maintains the association and integrity of organization-defined security attributes to organization-defined subjects and objects.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing the association of security attributes to information
+
information system design documentation
+
information system configuration settings and associated documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms maintaining association and integrity of security attributes to information
+
+
+
+ ASSOCIATION OF ATTRIBUTES BY AUTHORIZED INDIVIDUALS
+
+ organization-defined security attributes
+ organization-defined security attributes
+
+
+ organization-defined subjects and objects
+ organization-defined subjects and objects
+
+ AC-16 (4)
+
+
The information system supports the association of with by authorized individuals (or processes acting on behalf of individuals).
+
+
+
The support provided by information systems can vary to include: (i) prompting users to select specific security attributes to be associated with specific information objects; (ii) employing automated mechanisms for categorizing information with appropriate attributes based on defined policies; or (iii) ensuring that the combination of selected security attributes selected is valid. Organizations consider the creation, deletion, or modification of security attributes when defining auditable events.
+
+
+
Determine if:
+
+ AC-16(4)[1]
+
the organization defines security attributes to be associated with subjects and objects by authorized individuals (or processes acting on behalf of individuals);
+
+
+ AC-16(4)[2]
+
the organization defines subjects and objects requiring the association of organization-defined security attributes by authorized individuals (or processes acting on behalf of individuals); and
+
+
+ AC-16(4)[3]
+
the information system supports the association of organization-defined security attributes with organization-defined subjects and objects by authorized individuals (or processes acting on behalf of individuals).
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing the association of security attributes to information
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of users authorized to associate security attributes to information
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for associating security attributes to information
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms supporting user associations of security attributes to information
+
+
+
+ ATTRIBUTE DISPLAYS FOR OUTPUT DEVICES
+
+ organization-identified special dissemination, handling, or distribution instructions
+ organization-identified special dissemination, handling, or distribution instructions
+
+
+ organization-identified human-readable, standard naming conventions
+ organization-identified human-readable, standard naming conventions
+
+ AC-16 (5)
+
+
The information system displays security attributes in human-readable form on each object that the system transmits to output devices to identify using .
+
+
+
Information system outputs include, for example, pages, screens, or equivalent. Information system output devices include, for example, printers and video displays on computer workstations, notebook computers, and personal digital assistants.
+
+
+
Determine if:
+
+ AC-16(5)[1]
+
the organization identifies special dissemination, handling, or distribution instructions to be used for each object that the information system transmits to output devices;
+
+
+ AC-16(5)[2]
+
the organization identifies human-readable, standard naming conventions for the security attributes to be displayed in human-readable form on each object that the information system transmits to output devices; and
+
+
+ AC-16(5)[3]
+
the information system displays security attributes in human-readable form on each object that the system transmits to output devices to identify organization-identified special dissemination, handling, or distribution instructions using organization-identified human readable, standard naming conventions.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing display of security attributes in human-readable form
+
special dissemination, handling, or distribution instructions
+
types of human-readable, standard naming conventions
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
System output devices displaying security attributes in human-readable form on each object
+
+
+
+ MAINTENANCE OF ATTRIBUTE ASSOCIATION BY ORGANIZATION
+
+ organization-defined security attributes
+ organization-defined security attributes
+
+
+ organization-defined subjects and objects
+ organization-defined subjects and objects
+
+
+ organization-defined security policies
+ organization-defined security policies
+
+ AC-16 (6)
+
+
The organization allows personnel to associate, and maintain the association of with in accordance with .
+
+
+
This control enhancement requires individual users (as opposed to the information system) to maintain associations of security attributes with subjects and objects.
+
+
+
Determine if the organization:
+
+ AC-16(6)[1]
+
defines security attributes to be associated with subjects and objects;
+
+
+ AC-16(6)[2]
+
defines subjects and objects to be associated with organization-defined security attributes;
+
+
+ AC-16(6)[3]
+
defines security policies to allow personnel to associate, and maintain the association of organization-defined security attributes with organization-defined subjects and objects; and
+
+
+ AC-16(6)[4]
+
allows personnel to associate, and maintain the association of organization-defined security attributes with organization-defined subjects and objects in accordance with organization-defined security policies.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing association of security attributes with subjects and objects
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for associating and maintaining association of security attributes with subjects and objects
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms supporting associations of security attributes to subjects and objects
The organization provides a consistent interpretation of security attributes transmitted between distributed information system components.
+
+
+
In order to enforce security policies across multiple components in distributed information systems (e.g., distributed database management systems, cloud-based systems, and service-oriented architectures), organizations provide a consistent interpretation of security attributes that are used in access enforcement and flow enforcement decisions. Organizations establish agreements and processes to ensure that all distributed information system components implement security attributes with consistent interpretations in automated access/flow enforcement actions.
+
+
+
Determine if the organization provides a consistent interpretation of security attributes transmitted between distributed information system components.
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing consistent interpretation of security attributes transmitted between distributed information system components
+
procedures addressing access enforcement
+
procedures addressing information flow enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for providing consistent interpretation of security attributes used in access enforcement and information flow enforcement actions
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing access enforcement and information flow enforcement functions
+
+
+
+ ASSOCIATION TECHNIQUES / TECHNOLOGIES
+
+ organization-defined techniques or technologies
+ organization-defined techniques or technologies
+
+
+ organization-defined level of assurance
+ organization-defined level of assurance
+
+ AC-16 (8)
+
+
The information system implements with in associating security attributes to information.
+
+
+
The association (i.e., binding) of security attributes to information within information systems is of significant importance with regard to conducting automated access enforcement and flow enforcement actions. The association of such security attributes can be accomplished with technologies/techniques providing different levels of assurance. For example, information systems can cryptographically bind security attributes to information using digital signatures with the supporting cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust).
+
+
+
Determine if:
+
+ AC-16(8)[1]
+
the organization defines techniques or technologies to be implemented in associating security attributes to information;
+
+
+ AC-16(8)[2]
+
the organization defines level of assurance to be provided when the information system implements organization-defined technologies or technologies to associate security attributes to information; and
+
+
+ AC-16(8)[3]
+
the information system implements organization-defined techniques or technologies with organization-defined level of assurance in associating security attributes to information.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing association of security attributes to information
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for associating security attributes to information
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing techniques or technologies associating security attributes to information
The organization ensures that security attributes associated with information are reassigned only via re-grading mechanisms validated using .
+
+
+
Validated re-grading mechanisms are employed by organizations to provide the requisite levels of assurance for security attribute reassignment activities. The validation is facilitated by ensuring that re-grading mechanisms are single purpose and of limited function. Since security attribute reassignments can affect security policy enforcement actions (e.g., access/flow enforcement decisions), using trustworthy re-grading mechanisms is necessary to ensure that such mechanisms perform in a consistent/correct mode of operation.
+
+
+
Determine if the organization:
+
+ AC-16(9)[1]
+
defines techniques or procedures to validate re-grading mechanisms used to reassign association of security attributes with information; and
+
+
+ AC-16(9)[2]
+
ensures that security attributes associated with information are reassigned only via re-grading mechanisms validated using organization-defined techniques or procedures.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing reassignment of security attributes to information
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for reassigning association of security attributes to information
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing techniques or procedures for reassigning association of security attributes to information
The information system provides authorized individuals the capability to define or change the type and value of security attributes available for association with subjects and objects.
+
+
+
The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for information systems to be able to limit the ability to create or modify security attributes to authorized individuals only.
+
+
+
Determine if the information system provides authorized individuals the capability to define or change the type and value of security attributes available for association with subjects and objects.
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing configuration of security attributes by authorized individuals
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for defining or changing security attributes associated with information
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing capability for defining or changing security attributes
+
+
+
+
Determine if the organization:
+
+ AC-16(a)
+
+ AC-16(a)[1]
+
defines types of security attributes to be associated with information:
+
+ AC-16(a)[1][a]
+
in storage;
+
+
+ AC-16(a)[1][b]
+
in process; and/or
+
+
+ AC-16(a)[1][c]
+
in transmission;
+
+
+
+ AC-16(a)[2]
+
defines security attribute values for organization-defined types of security attributes;
+
+
+ AC-16(a)[3]
+
provides the means to associate organization-defined types of security attributes having organization-defined security attribute values with information:
+
+ AC-16(a)[3][a]
+
in storage;
+
+
+ AC-16(a)[3][b]
+
in process; and/or
+
+
+ AC-16(a)[3][c]
+
in transmission;
+
+
+
+
+ AC-16(b)
+
ensures that the security attribute associations are made and retained with the information;
+
+
+ AC-16(c)
+
+ AC-16(c)[1]
+
defines information systems for which the permitted organization-defined security attributes are to be established;
+
+
+ AC-16(c)[2]
+
defines security attributes that are permitted for organization-defined information systems;
+
+
+ AC-16(c)[3]
+
establishes the permitted organization-defined security attributes for organization-defined information systems;
+
+
+
+ AC-16(d)
+
+ AC-16(d)[1]
+
defines values or ranges for each of the established security attributes; and
+
+
+ AC-16(d)[2]
+
determines the permitted organization-defined values or ranges for each of the established security attributes.
+
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing the association of security attributes to information in storage, in process, and in transmission
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Organizational capability supporting and maintaining the association of security attributes to information in storage, in process, and in transmission
Establishes and documents usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and
+
+
+ AC-17b.
+
Authorizes remote access to the information system prior to allowing such connections.
+
+
+
+
Remote access is access to organizational information systems by users (or processes acting on behalf of users) communicating through external networks (e.g., the Internet). Remote access methods include, for example, dial-up, broadband, and wireless. Organizations often employ encrypted virtual private networks (VPNs) to enhance confidentiality and integrity over remote connections. The use of encrypted VPNs does not make the access non-remote; however, the use of VPNs, when adequately provisioned with appropriate security controls (e.g., employing appropriate encryption techniques for confidentiality and integrity protection) may provide sufficient assurance to the organization that it can effectively treat such connections as internal networks. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. Also, VPNs with encrypted tunnels can affect the organizational capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to information systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the formats for such authorization. While organizations may use interconnection security agreements to authorize remote access connections, such agreements are not required by this control. Enforcing access restrictions for remote connections is addressed in AC-3.
The information system monitors and controls remote access methods.
+
+
+
Automated monitoring and control of remote access sessions allows organizations to detect cyber attacks and also ensure ongoing compliance with remote access policies by auditing connection activities of remote users on a variety of information system components (e.g., servers, workstations, notebook computers, smart phones, and tablets).
+
+
+
+
+
Determine if the information system monitors and controls remote access methods.
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing remote access to the information system
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
information system monitoring records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms monitoring and controlling remote access methods
+
+
+
+ PROTECTION OF CONFIDENTIALITY / INTEGRITY USING ENCRYPTION
+ AC-17 (2)
+ MODERATE
+ HIGH
+
+
The information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.
+
+
+
The encryption strength of mechanism is selected based on the security categorization of the information.
+
+
+
+
+
+
Determine if the information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing remote access to the information system
+
information system design documentation
+
information system configuration settings and associated documentation
+
cryptographic mechanisms and associated configuration documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Cryptographic mechanisms protecting confidentiality and integrity of remote access sessions
+
+
+
+ MANAGED ACCESS CONTROL POINTS
+
+ organization-defined number
+ organization-defined number
+
+ AC-17 (3)
+ MODERATE
+ HIGH
+
+
The information system routes all remote accesses through managed network access control points.
+
+
+
Limiting the number of access control points for remote accesses reduces the attack surface for organizations. Organizations consider the Trusted Internet Connections (TIC) initiative requirements for external network connections.
+
+
+
+
Determine if:
+
+ AC-17(3)[1]
+
the organization defines the number of managed network access control points through which all remote accesses are to be routed; and
+
+
+ AC-17(3)[2]
+
the information system routes all remote accesses through the organization-defined number of managed network access control points.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing remote access to the information system
+
information system design documentation
+
list of all managed network access control points
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms routing all remote accesses through managed network access control points
+
+
+
+ DISCONNECT / DISABLE ACCESS
+
+ organization-defined time period
+ organization-defined time period
+
+ AC-17 (9)
+
+
The organization provides the capability to expeditiously disconnect or disable remote access to the information system within .
+
+
+
This control enhancement requires organizations to have the capability to rapidly disconnect current users remotely accessing the information system and/or disable further remote access. The speed of disconnect or disablement varies based on the criticality of missions/business functions and the need to eliminate immediate or future remote access to organizational information systems.
+
+
+
Determine if the organization:
+
+ AC-17(9)[1]
+
defines the time period within which to expeditiously disconnect or disable remote access to the information system; and
+
+
+ AC-17(9)[2]
+
provides the capability to expeditiously disconnect or disable remote access to the information system within the organization-defined time period.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing disconnecting or disabling remote access to the information system
+
information system design documentation
+
information system configuration settings and associated documentation
+
security plan, information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing capability to disconnect or disable remote access to information system
+
+
+
+
Determine if the organization:
+
+ AC-17(a)
+
+ AC-17(a)[1]
+
identifies the types of remote access allowed to the information system;
+
+
+ AC-17(a)[2]
+
establishes for each type of remote access allowed:
+
+ AC-17(a)[2][a]
+
usage restrictions;
+
+
+ AC-17(a)[2][b]
+
configuration/connection requirements;
+
+
+ AC-17(a)[2][c]
+
implementation guidance;
+
+
+
+ AC-17(a)[3]
+
documents for each type of remote access allowed:
+
+ AC-17(a)[3][a]
+
usage restrictions;
+
+
+ AC-17(a)[3][b]
+
configuration/connection requirements;
+
+
+ AC-17(a)[3][c]
+
implementation guidance; and
+
+
+
+
+ AC-17(b)
+
authorizes remote access to the information system prior to allowing such connections.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing remote access implementation and usage (including restrictions)
+
configuration management plan
+
security plan
+
information system configuration settings and associated documentation
+
remote access authorizations
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for managing remote access connections
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Remote access management capability for the information system
+
+
+
+ NIST Special Publication 800-46
+
+
+ NIST Special Publication 800-77
+
+
+ NIST Special Publication 800-113
+
+
+ NIST Special Publication 800-114
+
+
+ NIST Special Publication 800-121
+
+
+
+
+ WIRELESS ACCESS
+ AC-18
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-18a.
+
Establishes usage restrictions, configuration/connection requirements, and implementation guidance for wireless access; and
+
+
+ AC-18b.
+
Authorizes wireless access to the information system prior to allowing such connections.
+
+
+
+
Wireless technologies include, for example, microwave, packet radio (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., EAP/TLS, PEAP), which provide credential protection and mutual authentication.
The organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.
+
+
+
+
+
+
Determine if the organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing wireless implementation and usage (including restrictions)
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms managing the disabling of wireless networking capabilities internally embedded within information system components
+
+
+
+ RESTRICT CONFIGURATIONS BY USERS
+ AC-18 (4)
+ HIGH
+
+
The organization identifies and explicitly authorizes users allowed to independently configure wireless networking capabilities.
+
+
+
Organizational authorizations to allow selected users to configure wireless networking capability are enforced in part, by the access enforcement mechanisms employed within organizational information systems.
+
+
+
+
+
Determine if the organization:
+
+ AC-18(4)[1]
+
identifies users allowed to independently configure wireless networking capabilities; and
+
+
+ AC-18(4)[2]
+
explicitly authorizes the identified users allowed to independently configure wireless networking capabilities.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing wireless implementation and usage (including restrictions)
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms authorizing independent user configuration of wireless networking capabilities
+
+
+
+ ANTENNAS / TRANSMISSION POWER LEVELS
+ AC-18 (5)
+ HIGH
+
+
The organization selects radio antennas and calibrates transmission power levels to reduce the probability that usable signals can be received outside of organization-controlled boundaries.
+
+
+
Actions that may be taken by organizations to limit unauthorized use of wireless communications outside of organization-controlled boundaries include, for example: (i) reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be used by adversaries outside of the physical perimeters of organizations; (ii) employing measures such as TEMPEST to control wireless emanations; and (iii) using directional/beam forming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational information systems as well as other systems that may be operating in the area.
+
+
+
+
Determine if the organization:
+
+ AC-18(5)[1]
+
selects radio antennas to reduce the probability that usable signals can be received outside of organization-controlled boundaries; and
+
+
+ AC-18(5)[2]
+
calibrates transmission power levels to reduce the probability that usable signals can be received outside of organization-controlled boundaries.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing wireless implementation and usage (including restrictions)
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
authorizes wireless access to the information system prior to allowing such connections.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing wireless access implementation and usage (including restrictions)
+
configuration management plan
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
wireless access authorizations
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for managing wireless access connections
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Wireless access management capability for the information system
+
+
+
+ NIST Special Publication 800-48
+
+
+ NIST Special Publication 800-94
+
+
+ NIST Special Publication 800-97
+
+
+
+
+ ACCESS CONTROL FOR MOBILE DEVICES
+ AC-19
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-19a.
+
Establishes usage restrictions, configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices; and
+
+
+ AC-19b.
+
Authorizes the connection of mobile devices to organizational information systems.
+
+
+
+
A mobile device is a computing device that: (i) has a small form factor such that it can easily be carried by a single individual; (ii) is designed to operate without a physical connection (e.g., wirelessly transmit or receive information); (iii) possesses local, non-removable or removable data storage; and (iv) includes a self-contained power source. Mobile devices may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones, E-readers, and tablets. Mobile devices are typically associated with a single individual and the device is usually in close proximity to the individual; however, the degree of proximity can vary depending upon on the form factor and size of the device. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of desktop systems, depending upon the nature and intended purpose of the device. Due to the large variety of mobile devices with different technical characteristics and capabilities, organizational restrictions may vary for the different classes/types of such devices. Usage restrictions and specific implementation guidance for mobile devices include, for example, configuration management, device identification and authentication, implementation of mandatory protective software (e.g., malicious code detection, firewall), scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the need to provide adequate security for mobile devices goes beyond the requirements in this control. Many safeguards and countermeasures for mobile devices are reflected in other security controls in the catalog allocated in the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some degree of overlap in the requirements articulated by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled.
Prohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official; and
+
+
+ AC-19 (4)(b)
+
Enforces the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information:
+
+ AC-19 (4)(b)(1)
+
Connection of unclassified mobile devices to classified information systems is prohibited;
+
+
+ AC-19 (4)(b)(2)
+
Connection of unclassified mobile devices to unclassified information systems requires approval from the authorizing official;
+
+
+ AC-19 (4)(b)(3)
+
Use of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited; and
+
+
+ AC-19 (4)(b)(4)
+
Unclassified mobile devices and the information stored on those devices are subject to random reviews and inspections by , and if classified information is found, the incident handling policy is followed.
+
+
+
+ AC-19 (4)(c)
+
Restricts the connection of classified mobile devices to classified information systems in accordance with .
+
+
+
+
+
+
+
+
Determine if the organization:
+
+ AC-19(4)(a)
+
prohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official;
+
+
+ AC-19(4)(b)
+
enforces the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information:
+
+ AC-19(4)(b)(1)
+
connection of unclassified mobile devices to classified information systems is prohibited;
+
+
+ AC-19(4)(b)(2)
+
connection of unclassified mobile devices to unclassified information systems requires approval from the authorizing official;
+
+
+ AC-19(4)(b)(3)
+
use of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited;
+
+
+ AC-19(4)(b)(4)
+
+ AC-19(4)(b)(4)[1]
+
defines security officials responsible for reviews and inspections of unclassified mobile devices and the information stored on those devices;
+
+
+ AC-19(4)(b)(4)[2]
+
unclassified mobile devices and the information stored on those devices are subject to random reviews/inspections by organization-defined security officials;
+
+
+ AC-19(4)(b)(4)[3]
+
the incident handling policy is followed if classified information is found;
+
+
+
+
+ AC-19(4)(c)
+
+ AC-19(4)(c)[1]
+
defines security policies to restrict the connection of classified mobile devices to classified information systems; and
+
+
+ AC-19(4)(c)[2]
+
restricts the connection of classified mobile devices to classified information systems in accordance with organization-defined security policies.
+
+
+
+
+ EXAMINE
+
Access control policy
+
incident handling policy
+
procedures addressing access control for mobile devices
+
information system design documentation
+
information system configuration settings and associated documentation
+
evidentiary documentation for random inspections and reviews of mobile devices
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel responsible for random reviews/inspections of mobile devices
+
organizational personnel using mobile devices in facilities containing information systems processing, storing, or transmitting classified information
+
organizational personnel with incident response responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms prohibiting the use of internal or external modems or wireless interfaces with mobile devices
+
+
+
+ FULL DEVICE / CONTAINER-BASED ENCRYPTION
+
+ organization-defined mobile devices
+ organization-defined mobile devices
+
+ AC-19 (5)
+ MODERATE
+ HIGH
+
+
The organization employs [Selection: full-device encryption; container encryption] to protect the confidentiality and integrity of information on .
+
+
+
Container-based encryption provides a more fine-grained approach to the encryption of data/information on mobile devices, including for example, encrypting selected data structures such as files, records, or fields.
+
+
+
+
+
+
Determine if the organization:
+
+ AC-19(5)[1]
+
defines mobile devices for which full-device encryption or container encryption is required to protect the confidentiality and integrity of information on such devices; and
+
+
+ AC-19(5)[2]
+
employs full-device encryption or container encryption to protect the confidentiality and integrity of information on organization-defined mobile devices.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing access control for mobile devices
+
information system design documentation
+
information system configuration settings and associated documentation
+
encryption mechanism s and associated configuration documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with access control responsibilities for mobile devices
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Encryption mechanisms protecting confidentiality and integrity of information on mobile devices
+
+
+
+
Determine if the organization:
+
+ AC-19(a)
+
establishes for organization-controlled mobile devices:
+
+ AC-19(a)[1]
+
usage restrictions;
+
+
+ AC-19(a)[2]
+
configuration/connection requirement;
+
+
+ AC-19(a)[3]
+
implementation guidance; and
+
+
+
+ AC-19(b)
+
authorizes the connection of mobile devices to organizational information systems.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing access control for mobile device usage (including restrictions)
+
configuration management plan
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
authorizations for mobile device connections to organizational information systems
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel using mobile devices to access organizational information systems
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Access control capability authorizing mobile device connections to organizational information systems
+
+
+
+ OMB Memorandum 06-16
+
+
+ NIST Special Publication 800-114
+
+
+ NIST Special Publication 800-124
+
+
+ NIST Special Publication 800-164
+
+
+
+
+ USE OF EXTERNAL INFORMATION SYSTEMS
+ AC-20
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:
+
+ AC-20a.
+
Access the information system from external information systems; and
+
+
+ AC-20b.
+
Process, store, or transmit organization-controlled information using external information systems.
+
+
+
+
External information systems are information systems or components of information systems that are outside of the authorization boundary established by organizations and for which organizations typically have no direct supervision and authority over the application of required security controls or the assessment of control effectiveness. External information systems include, for example: (i) personally owned information systems/devices (e.g., notebook computers, smart phones, tablets, personal digital assistants); (ii) privately owned computing and communications devices resident in commercial or public facilities (e.g., hotels, train stations, convention centers, shopping malls, or airports); (iii) information systems owned or controlled by nonfederal governmental organizations; and (iv) federal information systems that are not owned by, operated by, or under the direct supervision and authority of organizations. This control also addresses the use of external information systems for the processing, storage, or transmission of organizational information, including, for example, accessing cloud services (e.g., infrastructure as a service, platform as a service, or software as a service) from organizational information systems.
+For some external information systems (i.e., information systems operated by other federal agencies, including organizations subordinate to those agencies), the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. Information systems within these organizations would not be considered external. These situations occur when, for example, there are pre-existing sharing/trust agreements (either implicit or explicit) established between federal agencies or organizations subordinate to those agencies, or when such trust agreements are specified by applicable laws, Executive Orders, directives, or policies. Authorized individuals include, for example, organizational personnel, contractors, or other individuals with authorized access to organizational information systems and over which organizations have the authority to impose rules of behavior with regard to system access. Restrictions that organizations impose on authorized individuals need not be uniform, as those restrictions may vary depending upon the trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments.
+This control does not apply to the use of external information systems to access public interfaces to organizational information systems (e.g., individuals accessing federal information through www.usa.gov). Organizations establish terms and conditions for the use of external information systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: types of applications that can be accessed on organizational information systems from external information systems; and the highest security category of information that can be processed, stored, or transmitted on external information systems. If terms and conditions with the owners of external information systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.
+
+
+
+
+
+
+
+
+ LIMITS ON AUTHORIZED USE
+ AC-20 (1)
+ MODERATE
+ HIGH
+
+
The organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:
+
+ AC-20 (1)(a)
+
Verifies the implementation of required security controls on the external system as specified in the organization�s information security policy and security plan; or
+
+
+ AC-20 (1)(b)
+
Retains approved information system connection or processing agreements with the organizational entity hosting the external information system.
+
+
+
+
This control enhancement recognizes that there are circumstances where individuals using external information systems (e.g., contractors, coalition partners) need to access organizational information systems. In those situations, organizations need confidence that the external information systems contain the necessary security safeguards (i.e., security controls), so as not to compromise, damage, or otherwise harm organizational information systems. Verification that the required security controls have been implemented can be achieved, for example, by third-party, independent assessments, attestations, or other means, depending on the confidence level required by organizations.
+
+
+
+
Determine if the organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:
+
+ AC-20(1)(a)
+
verifies the implementation of required security controls on the external system as specified in the organization’s information security policy and security plan; or
+
+
+ AC-20(1)(b)
+
retains approved information system connection or processing agreements with the organizational entity hosting the external information system.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing the use of external information systems
+
security plan
+
information system connection or processing agreements
+
account management documents
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing limits on use of external information systems
The organization [Selection: restricts; prohibits] the use of organization-controlled portable storage devices by authorized individuals on external information systems.
+
+
+
Limits on the use of organization-controlled portable storage devices in external information systems include, for example, complete prohibition of the use of such devices or restrictions on how the devices may be used and under what conditions the devices may be used.
+
+
+
Determine if the organization restricts or prohibits the use of organization-controlled portable storage devices by authorized individuals on external information systems.
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing the use of external information systems
+
security plan
+
information system configuration settings and associated documentation
+
information system connection or processing agreements
+
account management documents
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for restricting or prohibiting use of organization-controlled storage devices on external information systems
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing restrictions on use of portable storage devices
The organization [Selection: restricts; prohibits] the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information.
+
+
+
Non-organizationally owned devices include devices owned by other organizations (e.g., federal/state agencies, contractors) and personally owned devices. There are risks to using non-organizationally owned devices. In some cases, the risk is sufficiently high as to prohibit such use. In other cases, it may be such that the use of non-organizationally owned devices is allowed but restricted in some way. Restrictions include, for example: (i) requiring the implementation of organization-approved security controls prior to authorizing such connections; (ii) limiting access to certain types of information, services, or applications; (iii) using virtualization techniques to limit processing and storage activities to servers or other system components provisioned by the organization; and (iv) agreeing to terms and conditions for usage. For personally owned devices, organizations consult with the Office of the General Counsel regarding legal issues associated with using such devices in operational environments, including, for example, requirements for conducting forensic analyses during investigations after an incident.
+
+
+
Determine if the organization restricts or prohibits the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information.
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing the use of external information systems
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system connection or processing agreements
+
account management documents
+
information system audit records, other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for restricting or prohibiting use of non-organizationally owned information systems, system components, or devices
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing restrictions on the use of non-organizationally owned systems/components/devices
The organization prohibits the use of in external information systems.
+
+
+
Network accessible storage devices in external information systems include, for example, online storage devices in public, hybrid, or community cloud-based systems.
+
+
+
Determine if the organization:
+
+ AC-20(4)[1]
+
defines network accessible storage devices to be prohibited from use in external information systems; and
+
+
+ AC-20(4)[2]
+
prohibits the use of organization-defined network accessible storage devices in external information systems.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing use of network accessible storage devices in external information systems
+
security plan, information system design documentation
+
information system configuration settings and associated documentation
+
information system connection or processing agreements
+
list of network accessible storage devices prohibited from use in external information systems
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for prohibiting use of network accessible storage devices in external information systems
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms prohibiting the use of network accessible storage devices in external information systems
+
+
+
+
Determine if the organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:
+
+ AC-20(a)
+
access the information system from the external information systems; and
+
+
+ AC-20(b)
+
process, store, or transmit organization-controlled information using external information systems.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing the use of external information systems
+
external information systems terms and conditions
+
list of types of applications accessible from external information systems
+
maximum security categorization for information processed, stored, or transmitted on external information systems
+
information system configuration settings and associated documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for defining terms and conditions for use of external information systems to access organizational systems
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing terms and conditions on use of external information systems
+
+
+
+ FIPS Publication 199
+
+
+
+
+ INFORMATION SHARING
+
+ organization-defined information sharing circumstances where user discretion is required
+ organization-defined information sharing circumstances where user discretion is required
+
+
+ organization-defined automated mechanisms or manual processes
+ organization-defined automated mechanisms or manual processes
+
+ AC-21
+ P2
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-21a.
+
Facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for ; and
+
+
+ AC-21b.
+
Employs to assist users in making information sharing/collaboration decisions.
+
+
+
+
This control applies to information that may be restricted in some manner (e.g., privileged medical information, contract-sensitive information, proprietary information, personally identifiable information, classified information related to special access programs or compartments) based on some formal or administrative determination. Depending on the particular information-sharing circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program/compartment.
The information system enforces information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared.
+
+
+
Determine if the information system enforces information-sharing decisions by authorized users based on:
+
+ AC-21(1)[1]
+
access authorizations of sharing partners; and
+
+
+ AC-21(1)[2]
+
access restrictions on information to be shared.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing user-based collaboration and information sharing (including restrictions)
+
information system design documentation
+
information system configuration settings and associated documentation
+
system-generated list of users authorized to make information sharing/collaboration decisions
+
system-generated list of sharing partners and access authorizations
+
system-generated list of access restrictions regarding information to be shared
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing access authorizations supporting information sharing/user collaboration decisions
+
+
+
+ INFORMATION SEARCH AND RETRIEVAL
+
+ organization-defined information sharing restrictions
+ organization-defined information sharing restrictions
+
+ AC-21 (2)
+
+
The information system implements information search and retrieval services that enforce .
+
+
+
Determine if:
+
+ AC-21(2)[1]
+
the organization defines information sharing restrictions to be enforced through information search and retrieval services; and
+
+
+ AC-21(2)[2]
+
the information system implements information search and retrieval services that enforce organization-defined information sharing restrictions.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing user-based collaboration and information sharing (including restrictions)
+
information system design documentation
+
information system configuration settings and associated documentation
+
system-generated list of access restrictions regarding information to be shared
+
information search and retrieval records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with access enforcement responsibilities for information system search and retrieval services
+
system/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Information system search and retrieval services enforcing information sharing restrictions
+
+
+
+
Determine if the organization:
+
+ AC-21(a)
+
+ AC-21(a)[1]
+
defines information sharing circumstances where user discretion is required;
+
+
+ AC-21(a)[2]
+
facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for organization-defined information sharing circumstances;
+
+
+
+ AC-21(b)
+
+ AC-21(b)[1]
+
defines automated mechanisms or manual processes to be employed to assist users in making information sharing/collaboration decisions; and
+
+
+ AC-21(b)[2]
+
employs organization-defined automated mechanisms or manual processes to assist users in making information sharing/collaboration decisions.
+
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing user-based collaboration and information sharing (including restrictions)
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of users authorized to make information sharing/collaboration decisions
+
list of information sharing circumstances requiring user discretion
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel responsible for making information sharing/collaboration decisions
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms or manual process implementing access authorizations supporting information sharing/user collaboration decisions
+
+
+
+ PUBLICLY ACCESSIBLE CONTENT
+
+ organization-defined frequency
+ organization-defined frequency
+
+ AC-22
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AC-22a.
+
Designates individuals authorized to post information onto a publicly accessible information system;
+
+
+ AC-22b.
+
Trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;
+
+
+ AC-22c.
+
Reviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included; and
+
+
+ AC-22d.
+
Reviews the content on the publicly accessible information system for nonpublic information and removes such information, if discovered.
+
+
+
+
In accordance with federal laws, Executive Orders, directives, policies, regulations, standards, and/or guidance, the general public is not authorized access to nonpublic information (e.g., information protected under the Privacy Act and proprietary information). This control addresses information systems that are controlled by the organization and accessible to the general public, typically without identification or authentication. The posting of information on non-organization information systems is covered by organizational policy.
+
+
+
+
+
+
+
+
Determine if the organization:
+
+ AC-22(a)
+
designates individuals authorized to post information onto a publicly accessible information system;
+
+
+ AC-22(b)
+
trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;
+
+
+ AC-22(c)
+
reviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included;
+
+
+ AC-22(d)
+
+ AC-22(d)[1]
+
defines the frequency to review the content on the publicly accessible information system for nonpublic information;
+
+
+ AC-22(d)[2]
+
reviews the content on the publicly accessible information system for nonpublic information with the organization-defined frequency; and
+
+
+ AC-22(d)[3]
+
removes nonpublic information from the publicly accessible information system, if discovered.
+
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing publicly accessible content
+
list of users authorized to post publicly accessible content on organizational information systems
+
training materials and/or records
+
records of publicly accessible information reviews
+
records of response to nonpublic information on public websites
+
system audit logs
+
security awareness training records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for managing publicly accessible information posted on organizational information systems
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing management of publicly accessible content
+
+
+
+ DATA MINING PROTECTION
+
+ organization-defined data mining prevention and detection techniques
+ organization-defined data mining prevention and detection techniques
+
+
+ organization-defined data storage objects
+ organization-defined data storage objects
+
+ AC-23
+ P0
+
+
The organization employs for to adequately detect and protect against data mining.
+
+
+
Data storage objects include, for example, databases, database records, and database fields. Data mining prevention and detection techniques include, for example: (i) limiting the types of responses provided to database queries; (ii) limiting the number/frequency of database queries to increase the work factor needed to determine the contents of such databases; and (iii) notifying organizational personnel when atypical database queries or accesses occur. This control focuses on the protection of organizational information from data mining while such information resides in organizational data stores. In contrast, AU-13 focuses on monitoring for organizational information that may have been mined or otherwise obtained from data stores and is now available as open source information residing on external sites, for example, through social networking or social media websites.
+
+
+
Determine if the organization:
+
+ AC-23[1]
+
defines data mining prevention and detection techniques to be employed for organization-defined storage objects to adequately detect and protect against data mining;
+
+
+ AC-23[2]
+
defines data storage objects to be protected from data mining; and
+
+
+ AC-23[3]
+
employs organization-defined data mining prevention and detection techniques for organization-defined data storage objects to adequately detect and protect against data mining.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing data mining techniques
+
procedures addressing protection of data storage objects against data mining
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit logs
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for implementing data mining detection and prevention techniques for data storage objects
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing data mining prevention and detection
+
+
+
+ ACCESS CONTROL DECISIONS
+
+ organization-defined access control decisions
+ organization-defined access control decisions
+
+ AC-24
+ P0
+
+
The organization establishes procedures to ensure are applied to each access request prior to access enforcement.
+
+
+
Access control decisions (also known as authorization decisions) occur when authorization information is applied to specific accesses. In contrast, access enforcement occurs when information systems enforce access control decisions. While it is very common to have access control decisions and access enforcement implemented by the same entity, it is not required and it is not always an optimal implementation choice. For some architectures and distributed information systems, different entities may perform access control decisions and access enforcement.
+
+
+ TRANSMIT ACCESS AUTHORIZATION INFORMATION
+
+ organization-defined access authorization information
+ organization-defined access authorization information
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined information systems
+ organization-defined information systems
+
+ AC-24 (1)
+
+
The information system transmits using to that enforce access control decisions.
+
+
+
In distributed information systems, authorization processes and access control decisions may occur in separate parts of the systems. In such instances, authorization information is transmitted securely so timely access control decisions can be enforced at the appropriate locations. To support the access control decisions, it may be necessary to transmit as part of the access authorization information, supporting security attributes. This is due to the fact that in distributed information systems, there are various access control decisions that need to be made and different entities (e.g., services) make these decisions in a serial fashion, each requiring some security attributes to make the decisions. Protecting access authorization information (i.e., access control decisions) ensures that such information cannot be altered, spoofed, or otherwise compromised during transmission.
+
+
+
Determine if:
+
+ AC-24(1)[1]
+
the organization defines access authorization information that the information system transmits to organization-defined information systems that enforce access control decisions;
+
+
+ AC-24(1)[2]
+
the organization defines security safeguards to be used when the information system transmits organization-defined authorization information to organization-defined information systems that enforce access control decisions;
+
+
+ AC-24(1)[3]
+
the organization defines the information systems that enforce access control decisions; and
+
+
+ AC-24(1)[4]
+
the information system transmits organization-defined access authorization information using organization-defined security safeguards to organization-defined information systems that enforce access control decisions.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing access enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with access enforcement responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+
+ NO USER OR PROCESS IDENTITY
+
+ organization-defined security attributes
+ organization-defined security attributes
+
+ AC-24 (2)
+
+
The information system enforces access control decisions based on that do not include the identity of the user or process acting on behalf of the user.
+
+
+
In certain situations, it is important that access control decisions can be made without information regarding the identity of the users issuing the requests. These are generally instances where preserving individual privacy is of paramount importance. In other situations, user identification information is simply not needed for access control decisions and, especially in the case of distributed information systems, transmitting such information with the needed degree of assurance may be very expensive or difficult to accomplish.
+
+
+
Determine if:
+
+ AC-24(2)[1]
+
the organization defines security attributes that support access control decisions that do not include the identity of the user or processes acting on behalf of the user; and
+
+
+ AC-24(2)[2]
+
the information system enforces access control decisions based on organization-defined security attributes that do not include the identity of the user or process acting on behalf of the user.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing access enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with access enforcement responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
The information system implements a reference monitor for that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.
+
+
+
Information is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Reference monitors typically enforce mandatory access control policies�a type of access control that restricts access to objects based on the identity of subjects or groups to which the subjects belong. The access controls are mandatory because subjects with certain privileges (i.e., access permissions) are restricted from passing those privileges on to any other subjects, either directly or indirectly�that is, the information system strictly enforces the access control policy based on the rule set established by the policy. The tamperproof property of the reference monitor prevents adversaries from compromising the functioning of the mechanism. The always invoked property prevents adversaries from bypassing the mechanism and hence violating the security policy. The smallness property helps to ensure the completeness in the analysis and testing of the mechanism to detect weaknesses or deficiencies (i.e., latent flaws) that would prevent the enforcement of the security policy.
+
+
+
+
+
+
+
Determine if:
+
+ AC-25[1]
+
the organization defines access control policies for which the information system implements a reference monitor to enforce such policies; and
+
+
+ AC-25[2]
+
the information system implements a reference monitor for organization-defined access control policies that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing access enforcement
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with access enforcement responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+
+
+ AWARENESS AND TRAINING
+
+ SECURITY AWARENESS AND TRAINING POLICY AND PROCEDURES
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ AT-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AT-1a.
+
Develops, documents, and disseminates to :
+
+ AT-1a.1.
+
A security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ AT-1a.2.
+
Procedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls; and
+
+
+
+ AT-1b.
+
Reviews and updates the current:
+
+ AT-1b.1.
+
Security awareness and training policy ; and
+
+
+ AT-1b.2.
+
Security awareness and training procedures .
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AT family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+
+
+
+
Determine if the organization:
+
+ AT-1(a)(1)
+
+ AT-1(a)(1)[1]
+
develops and documents an security awareness and training policy that addresses:
+
+ AT-1(a)(1)[1][a]
+
purpose;
+
+
+ AT-1(a)(1)[1][b]
+
scope;
+
+
+ AT-1(a)(1)[1][c]
+
roles;
+
+
+ AT-1(a)(1)[1][d]
+
responsibilities;
+
+
+ AT-1(a)(1)[1][e]
+
management commitment;
+
+
+ AT-1(a)(1)[1][f]
+
coordination among organizational entities;
+
+
+ AT-1(a)(1)[1][g]
+
compliance;
+
+
+
+ AT-1(a)(1)[2]
+
defines personnel or roles to whom the security awareness and training policy are to be disseminated;
+
+
+ AT-1(a)(1)[3]
+
disseminates the security awareness and training policy to organization-defined personnel or roles;
+
+
+
+ AT-1(a)(2)
+
+ AT-1(a)(2)[1]
+
develops and documents procedures to facilitate the implementation of the security awareness and training policy and associated awareness and training controls;
+
+
+ AT-1(a)(2)[2]
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ AT-1(a)(2)[3]
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ AT-1(b)(1)
+
+ AT-1(b)(1)[1]
+
defines the frequency to review and update the current security awareness and training policy;
+
+
+ AT-1(b)(1)[2]
+
reviews and updates the current security awareness and training policy with the organization-defined frequency;
+
+
+
+ AT-1(b)(2)
+
+ AT-1(b)(2)[1]
+
defines the frequency to review and update the current security awareness and training procedures; and
+
+
+ AT-1(b)(2)[2]
+
reviews and updates the current security awareness and training procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Security awareness and training policy and procedures
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security awareness and training responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-16
+
+
+ NIST Special Publication 800-50
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ SECURITY AWARENESS TRAINING
+
+ organization-defined frequency
+ organization-defined frequency
+
+ AT-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization provides basic security awareness training to information system users (including managers, senior executives, and contractors):
+
+ AT-2a.
+
As part of initial training for new users;
+
+
+ AT-2b.
+
When required by information system changes; and
+
+
+ AT-2c.
+
+ thereafter.
+
+
+
+
Organizations determine the appropriate content of security awareness training and security awareness techniques based on the specific organizational requirements and the information systems to which personnel have authorized access. The content includes a basic understanding of the need for information security and user actions to maintain security and to respond to suspected security incidents. The content also addresses awareness of the need for operations security. Security awareness techniques can include, for example, displaying posters, offering supplies inscribed with security reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security awareness events.
+
+
+
+
+
+ PRACTICAL EXERCISES
+ AT-2 (1)
+
+
The organization includes practical exercises in security awareness training that simulate actual cyber attacks.
+
+
+
Practical exercises may include, for example, no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments or invoking, via spear phishing attacks, malicious web links.
+
+
+
+
+
+
+
Determine if the organization includes practical exercises in security awareness training that simulate actual cyber attacks.
+
+
+ EXAMINE
+
Security awareness and training policy
+
procedures addressing security awareness training implementation
+
security awareness training curriculum
+
security awareness training materials
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel that participate in security awareness training
+
organizational personnel with responsibilities for security awareness training
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing cyber attack simulations in practical exercises
The organization includes security awareness training on recognizing and reporting potential indicators of insider threat.
+
+
+
Potential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction, attempts to gain access to information not required for job performance, unexplained access to financial resources, bullying or sexual harassment of fellow employees, workplace violence, and other serious violations of organizational policies, procedures, directives, rules, or practices. Security awareness training includes how to communicate employee and management concerns regarding potential indicators of insider threat through appropriate organizational channels in accordance with established organizational policies and procedures.
+
+
+
+
+
+
+
Determine if the organization includes security awareness training on recognizing and reporting potential indicators of insider threat.
+
+
+ EXAMINE
+
Security awareness and training policy
+
procedures addressing security awareness training implementation
+
security awareness training curriculum
+
security awareness training materials
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel that participate in security awareness training
+
organizational personnel with responsibilities for basic security awareness training
+
organizational personnel with information security responsibilities
+
+
+
+
Determine if the organization:
+
+ AT-2(a)
+
provides basic security awareness training to information system users (including managers, senior executives, and contractors) as part of initial training for new users;
+
+
+ AT-2(b)
+
provides basic security awareness training to information system users (including managers, senior executives, and contractors) when required by information system changes; and
+
+
+ AT-2(c)
+
+ AT-2(c)[1]
+
defines the frequency to provide refresher security awareness training thereafter to information system users (including managers, senior executives, and contractors); and
+
+
+ AT-2(c)[2]
+
provides refresher security awareness training to information users (including managers, senior executives, and contractors) with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Security awareness and training policy
+
procedures addressing security awareness training implementation
+
appropriate codes of federal regulations
+
security awareness training curriculum
+
security awareness training materials
+
security plan
+
training records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for security awareness training
+
organizational personnel with information security responsibilities
+
organizational personnel comprising the general information system user community
+
+
+ TEST
+
Automated mechanisms managing security awareness training
+
+
+
+ C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)
+
+
+ Executive Order 13587
+
+
+ NIST Special Publication 800-50
+
+
+
+
+ ROLE-BASED SECURITY TRAINING
+
+ organization-defined frequency
+ organization-defined frequency
+
+ AT-3
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization provides role-based security training to personnel with assigned security roles and responsibilities:
+
+ AT-3a.
+
Before authorizing access to the information system or performing assigned duties;
+
+
+ AT-3b.
+
When required by information system changes; and
+
+
+ AT-3c.
+
+ thereafter.
+
+
+
+
Organizations determine the appropriate content of security training based on the assigned roles and responsibilities of individuals and the specific security requirements of organizations and the information systems to which personnel have authorized access. In addition, organizations provide enterprise architects, information system developers, software developers, acquisition/procurement officials, information system managers, system/network administrators, personnel conducting configuration management and auditing activities, personnel performing independent verification and validation activities, security control assessors, and other personnel having access to system-level software, adequate security-related technical training specifically tailored for their assigned duties. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. Such training can include for example, policies, procedures, tools, and artifacts for the organizational security roles defined. Organizations also provide the training necessary for individuals to carry out their responsibilities related to operations and supply chain security within the context of organizational information security programs. Role-based security training also applies to contractors providing services to federal agencies.
+
+
+
+
+
+
+
+
+
+ ENVIRONMENTAL CONTROLS
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ AT-3 (1)
+
+
The organization provides with initial and training in the employment and operation of environmental controls.
+
+
+
Environmental controls include, for example, fire suppression and detection devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature/humidity, HVAC, and power within the facility. Organizations identify personnel with specific roles and responsibilities associated with environmental controls requiring specialized training.
+
+
+
+
+
+
+
Determine if the organization:
+
+ AT-3(1)[1]
+
defines personnel or roles to be provided with initial and refresher training in the employment and operation of environmental controls;
+
+
+ AT-3(1)[2]
+
provides organization-defined personnel or roles with initial and refresher training in the employment and operation of environmental controls;
+
+
+ AT-3(1)[3]
+
defines the frequency to provide refresher training in the employment and operation of environmental controls; and
+
+
+ AT-3(1)[4]
+
provides refresher training in the employment and operation of environmental controls with the organization-defined frequency.
+
+
+
+ EXAMINE
+
Security awareness and training policy
+
procedures addressing security training implementation
+
security training curriculum
+
security training materials
+
security plan
+
training records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for role-based security training
+
organizational personnel with responsibilities for employing and operating environmental controls
+
+
+
+ PHYSICAL SECURITY CONTROLS
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ AT-3 (2)
+
+
The organization provides with initial and training in the employment and operation of physical security controls.
+
+
+
Physical security controls include, for example, physical access control devices, physical intrusion alarms, monitoring/surveillance equipment, and security guards (deployment and operating procedures). Organizations identify personnel with specific roles and responsibilities associated with physical security controls requiring specialized training.
+
+
+
+
+
+
+
Determine if the organization:
+
+ AT-3(2)[1]
+
defines personnel or roles to be provided with initial and refresher training in the employment and operation of physical security controls;
+
+
+ AT-3(2)[2]
+
provides organization-defined personnel or roles with initial and refresher training in the employment and operation of physical security controls;
+
+
+ AT-3(2)[3]
+
defines the frequency to provide refresher training in the employment and operation of physical security controls; and
+
+
+ AT-3(2)[4]
+
provides refresher training in the employment and operation of physical security controls with the organization-defined frequency.
+
+
+
+ EXAMINE
+
Security awareness and training policy
+
procedures addressing security training implementation
+
security training curriculum
+
security training materials
+
security plan
+
training records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for role-based security training
+
organizational personnel with responsibilities for employing and operating physical security controls
+
+
+
+ PRACTICAL EXERCISES
+ AT-3 (3)
+
+
The organization includes practical exercises in security training that reinforce training objectives.
+
+
+
Practical exercises may include, for example, security training for software developers that includes simulated cyber attacks exploiting common software vulnerabilities (e.g., buffer overflows), or spear/whale phishing attacks targeted at senior leaders/executives. These types of practical exercises help developers better understand the effects of such vulnerabilities and appreciate the need for security coding standards and processes.
+
+
+
Determine if the organization includes practical exercises in security training that reinforce training objectives.
+
+
+ EXAMINE
+
Security awareness and training policy
+
procedures addressing security awareness training implementation
+
security awareness training curriculum
+
security awareness training materials
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for role-based security training
+
organizational personnel that participate in security awareness training
+
+
+
+ SUSPICIOUS COMMUNICATIONS AND ANOMALOUS SYSTEM BEHAVIOR
+
+ organization-defined indicators of malicious code
+ organization-defined indicators of malicious code
+
+ AT-3 (4)
+
+
The organization provides training to its personnel on to recognize suspicious communications and anomalous behavior in organizational information systems.
+
+
+
A well-trained workforce provides another organizational safeguard that can be employed as part of a defense-in-depth strategy to protect organizations against malicious code coming in to organizations via email or the web applications. Personnel are trained to look for indications of potentially suspicious email (e.g., receiving an unexpected email, receiving an email containing strange or poor grammar, or receiving an email from an unfamiliar sender but who appears to be from a known sponsor or contractor). Personnel are also trained on how to respond to such suspicious email or web communications (e.g., not opening attachments, not clicking on embedded web links, and checking the source of email addresses). For this process to work effectively, all organizational personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in organizational information systems can potentially provide early warning for the presence of malicious code. Recognition of such anomalous behavior by organizational personnel can supplement automated malicious code detection and protection tools and systems employed by organizations.
+
+
+
Determine if the organization:
+
+ AT-3(4)[1]
+
defines indicators of malicious code; and
+
+
+ AT-3(4)[2]
+
provides training to its personnel on organization-defined indicators of malicious code to recognize suspicious communications and anomalous behavior in organizational information systems.
+
+
+
+ EXAMINE
+
Security awareness and training policy
+
procedures addressing security training implementation
+
security training curriculum
+
security training materials
+
security plan
+
training records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for role-based security training
+
organizational personnel that participate in security awareness training
+
+
+
+
Determine if the organization:
+
+ AT-3(a)
+
provides role-based security training to personnel with assigned security roles and responsibilities before authorizing access to the information system or performing assigned duties;
+
+
+ AT-3(b)
+
provides role-based security training to personnel with assigned security roles and responsibilities when required by information system changes; and
+
+
+ AT-3(c)
+
+ AT-3(c)[1]
+
defines the frequency to provide refresher role-based security training thereafter to personnel with assigned security roles and responsibilities; and
+
+
+ AT-3(c)[2]
+
provides refresher role-based security training to personnel with assigned security roles and responsibilities with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Security awareness and training policy
+
procedures addressing security training implementation
+
codes of federal regulations
+
security training curriculum
+
security training materials
+
security plan
+
training records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for role-based security training
+
organizational personnel with assigned information system security roles and responsibilities
+
+
+ TEST
+
Automated mechanisms managing role-based security training
+
+
+
+ C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)
+
+
+ NIST Special Publication 800-16
+
+
+ NIST Special Publication 800-50
+
+
+
+
+ SECURITY TRAINING RECORDS
+
+ organization-defined time period
+ organization-defined time period
+
+ AT-4
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AT-4a.
+
Documents and monitors individual information system security training activities including basic security awareness training and specific information system security training; and
+
+
+ AT-4b.
+
Retains individual training records for .
+
+
+
+
Documentation for specialized training may be maintained by individual supervisors at the option of the organization.
+
+
+
+
+
+
Determine if the organization:
+
+ AT-4(a)
+
+ AT-4(a)[1]
+
documents individual information system security training activities including:
+
+ AT-4(a)[1][a]
+
basic security awareness training;
+
+
+ AT-4(a)[1][b]
+
specific role-based information system security training;
+
+
+
+ AT-4(a)[2]
+
monitors individual information system security training activities including:
+
+ AT-4(a)[2][a]
+
basic security awareness training;
+
+
+ AT-4(a)[2][b]
+
specific role-based information system security training;
+
+
+
+
+ AT-4(b)
+
+ AT-4(b)[1]
+
defines a time period to retain individual training records; and
+
+
+ AT-4(b)[2]
+
retains individual training records for the organization-defined time period.
+
+
+
+
+ EXAMINE
+
Security awareness and training policy
+
procedures addressing security training records
+
security awareness and training records
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security training record retention responsibilities
+
+
+ TEST
+
Automated mechanisms supporting management of security training records
+
+
+
+ CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS
+ AT-5
+
+
+
+ Incorporated into PM-15.
+
+
+
+
+ AUDIT AND ACCOUNTABILITY
+
+ AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ AU-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AU-1a.
+
Develops, documents, and disseminates to :
+
+ AU-1a.1.
+
An audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ AU-1a.2.
+
Procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls; and
+
+
+
+ AU-1b.
+
Reviews and updates the current:
+
+ AU-1b.1.
+
Audit and accountability policy ; and
+
+
+ AU-1b.2.
+
Audit and accountability procedures .
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AU family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+
+
+
+
Determine if the organization:
+
+ AU-1(a)(1)
+
+ AU-1(a)(1)[1]
+
develops and documents an audit and accountability policy that addresses:
+
+ AU-1(a)(1)[1][a]
+
purpose;
+
+
+ AU-1(a)(1)[1][b]
+
scope;
+
+
+ AU-1(a)(1)[1][c]
+
roles;
+
+
+ AU-1(a)(1)[1][d]
+
responsibilities;
+
+
+ AU-1(a)(1)[1][e]
+
management commitment;
+
+
+ AU-1(a)(1)[1][f]
+
coordination among organizational entities;
+
+
+ AU-1(a)(1)[1][g]
+
compliance;
+
+
+
+ AU-1(a)(1)[2]
+
defines personnel or roles to whom the audit and accountability policy are to be disseminated;
+
+
+ AU-1(a)(1)[3]
+
disseminates the audit and accountability policy to organization-defined personnel or roles;
+
+
+
+ AU-1(a)(2)
+
+ AU-1(a)(2)[1]
+
develops and documents procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls;
+
+
+ AU-1(a)(2)[2]
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ AU-1(a)(2)[3]
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ AU-1(b)(1)
+
+ AU-1(b)(1)[1]
+
defines the frequency to review and update the current audit and accountability policy;
+
+
+ AU-1(b)(1)[2]
+
reviews and updates the current audit and accountability policy with the organization-defined frequency;
+
+
+
+ AU-1(b)(2)
+
+ AU-1(b)(2)[1]
+
defines the frequency to review and update the current audit and accountability procedures; and
+
+
+ AU-1(b)(2)[2]
+
reviews and updates the current audit and accountability procedures in accordance with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Audit and accountability policy and procedures
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit and accountability responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ AUDIT EVENTS
+
+ organization-defined auditable events
+ organization-defined auditable events
+
+
+ organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event
+ organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event
+
+ AU-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AU-2a.
+
Determines that the information system is capable of auditing the following events: ;
+
+
+ AU-2b.
+
Coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;
+
+
+ AU-2c.
+
Provides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents; and
+
+
+ AU-2d.
+
Determines that the following events are to be audited within the information system: .
+
+
+
+
An event is any observable occurrence in an organizational information system. Organizations identify audit events as those events which are significant and relevant to the security of information systems and the environments in which those systems operate in order to meet specific and ongoing audit needs. Audit events can include, for example, password changes, failed logons, or failed accesses related to information systems, administrative privilege usage, PIV credential usage, or third-party credential usage. In determining the set of auditable events, organizations consider the auditing appropriate for each of the security controls to be implemented. To balance auditing requirements with other information system needs, this control also requires identifying that subset of auditable events that are audited at a given point in time. For example, organizations may determine that information systems must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. Auditing requirements, including the need for auditable events, may be referenced in other security controls and control enhancements. Organizations also include auditable events that are required by applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the appropriate level of abstraction is a critical aspect of an audit capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of auditable events, the auditing necessary to cover related events such as the steps in distributed, transaction-based processes (e.g., processes that are distributed across multiple organizations) and actions that occur in service-oriented architectures.
+
+
+
+
+
+
+
+
+
+
+ COMPILATION OF AUDIT RECORDS FROM MULTIPLE SOURCES
+ AU-2 (1)
+
+
+
+ Incorporated into AU-12.
+
+
+
+ SELECTION OF AUDIT EVENTS BY COMPONENT
+ AU-2 (2)
+
+
+
+ Incorporated into AU-12.
+
+
+
+ REVIEWS AND UPDATES
+
+ organization-defined frequency
+ organization-defined frequency
+
+ AU-2 (3)
+ MODERATE
+ HIGH
+
+
The organization reviews and updates the audited events .
+
+
+
Over time, the events that organizations believe should be audited may change. Reviewing and updating the set of audited events periodically is necessary to ensure that the current set is still necessary and sufficient.
+
+
+
Determine if the organization:
+
+ AU-2(3)[1]
+
defines the frequency to review and update the audited events; and
+
+
+ AU-2(3)[2]
+
reviews and updates the auditable events with organization-defined frequency.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing auditable events
+
security plan
+
list of organization-defined auditable events
+
auditable events review and update records
+
information system audit records
+
information system incident reports
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit and accountability responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting review and update of auditable events
+
+
+
+ PRIVILEGED FUNCTIONS
+ AU-2 (4)
+
+
+
+ Incorporated into AC-6 (9).
+
+
+
+
Determine if the organization:
+
+ AU-2(a)
+
+ AU-2(a)[1]
+
defines the auditable events that the information system must be capable of auditing;
+
+
+ AU-2(a)[2]
+
determines that the information system is capable of auditing organization-defined auditable events;
+
+
+
+ AU-2(b)
+
coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;
+
+
+ AU-2(c)
+
provides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents;
+
+
+ AU-2(d)
+
+ AU-2(d)[1]
+
defines the subset of auditable events defined in AU-2a that are to be audited within the information system;
+
+
+ AU-2(d)[2]
+
determines that the subset of auditable events defined in AU-2a are to be audited within the information system; and
+
+
+ AU-2(d)[3]
+
determines the frequency of (or situation requiring) auditing for each identified event.
+
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing auditable events
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
information system auditable events
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit and accountability responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms implementing information system auditing
+
+
+
+ NIST Special Publication 800-92
+
+
+ http://idmanagement.gov
+
+
+
+
+ CONTENT OF AUDIT RECORDS
+ AU-3
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event.
+
+
+
Audit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Event outcomes can include indicators of event success or failure and event-specific results (e.g., the security state of the information system after the event occurred).
+
+
+
+
+
+
+ ADDITIONAL AUDIT INFORMATION
+
+ organization-defined additional, more detailed information
+ organization-defined additional, more detailed information
+
+ AU-3 (1)
+ MODERATE
+ HIGH
+
+
The information system generates audit records containing the following additional information: .
+
+
+
Detailed information that organizations may consider in audit records includes, for example, full text recording of privileged commands or the individual identities of group account users. Organizations consider limiting the additional audit information to only that information explicitly needed for specific audit requirements. This facilitates the use of audit trails and audit logs by not including information that could potentially be misleading or could make it more difficult to locate information of interest.
+
+
+
Determine if:
+
+ AU-3(1)[1]
+
the organization defines additional, more detailed information to be contained in audit records that the information system generates; and
+
+
+ AU-3(1)[2]
+
the information system generates audit records containing the organization-defined additional, more detailed information.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing content of audit records
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of organization-defined auditable events
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit and accountability responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Information system audit capability
+
+
+
+ CENTRALIZED MANAGEMENT OF PLANNED AUDIT RECORD CONTENT
+
+ organization-defined information system components
+ organization-defined information system components
+
+ AU-3 (2)
+ HIGH
+
+
The information system provides centralized management and configuration of the content to be captured in audit records generated by .
+
+
+
This control enhancement requires that the content to be captured in audit records be configured from a central location (necessitating automation). Organizations coordinate the selection of required audit content to support the centralized management and configuration capability provided by the information system.
+
+
+
+
+
Determine if:
+
+ AU-3(2)[1]
+
the organization defines information system components that generate audit records whose content is to be centrally managed and configured by the information system; and
+
+
+ AU-3(2)[2]
+
the information system provides centralized management and configuration of the content to be captured in audit records generated by the organization-defined information system components.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing content of audit records
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of organization-defined auditable events
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit and accountability responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Information system capability implementing centralized management and configuration of audit record content
+
+
+
+
Determine if the information system generates audit records containing information that establishes:
+
+ AU-3[1]
+
what type of event occurred;
+
+
+ AU-3[2]
+
when the event occurred;
+
+
+ AU-3[3]
+
where the event occurred;
+
+
+ AU-3[4]
+
the source of the event;
+
+
+ AU-3[5]
+
the outcome of the event; and
+
+
+ AU-3[6]
+
the identity of any individuals or subjects associated with the event.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing content of audit records
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of organization-defined auditable events
+
information system audit records
+
information system incident reports
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit and accountability responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms implementing information system auditing of auditable events
The organization allocates audit record storage capacity in accordance with .
+
+
+
Organizations consider the types of auditing to be performed and the audit processing requirements when allocating audit storage capacity. Allocating sufficient audit storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of auditing capability.
+
+
+
+
+
+
+
+
+ TRANSFER TO ALTERNATE STORAGE
+
+ organization-defined frequency
+ organization-defined frequency
+
+ AU-4 (1)
+
+
The information system off-loads audit records onto a different system or media than the system being audited.
+
+
+
Off-loading is a process designed to preserve the confidentiality and integrity of audit records by moving the records from the primary information system to a secondary or alternate system. It is a common process in information systems with limited audit storage capacity; the audit storage is used only in a transitory fashion until the system can communicate with the secondary or alternate system designated for storing the audit records, at which point the information is transferred.
+
+
+
Determine if:
+
+ AU-4(1)[1]
+
the organization defines the frequency to off-load audit records onto a different system or media than the system being audited; and
+
+
+ AU-4(1)[2]
+
the information system off-loads audit records onto a different system or media than the system being audited with the organization-defined frequency.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing audit storage capacity
+
procedures addressing transfer of information system audit records to secondary or alternate systems
+
information system design documentation
+
information system configuration settings and associated documentation
+
logs of audit record transfers to secondary or alternate systems
+
information system audit records transferred to secondary or alternate systems
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit storage capacity planning responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms supporting transfer of audit records onto a different system
+
+
+
+
Determine if the organization:
+
+ AU-4[1]
+
defines audit record storage requirements; and
+
+
+ AU-4[2]
+
allocates audit record storage capacity in accordance with the organization-defined audit record storage requirements.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing audit storage capacity
+
information system design documentation
+
information system configuration settings and associated documentation
+
audit record storage requirements
+
audit record storage capability for information system components
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit and accountability responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Audit record storage capacity and related configuration settings
+
+
+
+ RESPONSE TO AUDIT PROCESSING FAILURES
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)
+ organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)
+
+ AU-5
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system:
+
+ AU-5a.
+
Alerts in the event of an audit processing failure; and
+
+
+ AU-5b.
+
Takes the following additional actions: .
+
+
+
+
Audit processing failures include, for example, software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. Organizations may choose to define additional actions for different audit processing failures (e.g., by type, by location, by severity, or a combination of such factors). This control applies to each audit data storage repository (i.e., distinct information system component where audit records are stored), the total audit storage capacity of organizations (i.e., all audit data storage repositories combined), or both.
+
+
+
+
+ AUDIT STORAGE CAPACITY
+
+ organization-defined personnel, roles, and/or locations
+ organization-defined personnel, roles, and/or locations
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined percentage
+ organization-defined percentage
+
+ AU-5 (1)
+ HIGH
+
+
The information system provides a warning to within when allocated audit record storage volume reaches of repository maximum audit record storage capacity.
+
+
+
Organizations may have multiple audit data storage repositories distributed across multiple information system components, with each repository having different storage volume capacities.
+
+
+
Determine if:
+
+ AU-5(1)[1]
+
the organization defines:
+
+ AU-5(1)[1][a]
+
personnel to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity;
+
+
+ AU-5(1)[1][b]
+
roles to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity; and/or
+
+
+ AU-5(1)[1][c]
+
locations to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity;
+
+
+
+ AU-5(1)[2]
+
the organization defines the time period within which the information system is to provide a warning to the organization-defined personnel, roles, and/or locations when allocated audit record storage volume reaches the organization-defined percentage of repository maximum audit record storage capacity;
+
+
+ AU-5(1)[3]
+
the organization defines the percentage of repository maximum audit record storage capacity that, if reached, requires a warning to be provided; and
+
+
+ AU-5(1)[4]
+
the information system provides a warning to the organization-defined personnel, roles, and/or locations within the organization-defined time period when allocated audit record storage volume reaches the organization-defined percentage of repository maximum audit record storage capacity.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing response to audit processing failures
+
information system design documentation
+
security plan
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit and accountability responsibilities
+
organizational personnel with information security responsibilities
The information system provides an alert in to when the following audit failure events occur: .
+
+
+
Alerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less).
+
+
+
Determine if:
+
+ AU-5(2)[1]
+
the organization defines audit failure events requiring real-time alerts;
+
+
+ AU-5(2)[2]
+
the organization defines:
+
+ AU-5(2)[2][a]
+
personnel to be alerted when organization-defined audit failure events requiring real-time alerts occur;
+
+
+ AU-5(2)[2][b]
+
roles to be alerted when organization-defined audit failure events requiring real-time alerts occur; and/or
+
+
+ AU-5(2)[2][c]
+
locations to be alerted when organization-defined audit failure events requiring real-time alerts occur;
+
+
+
+ AU-5(2)[3]
+
the organization defines the real-time period within which the information system is to provide an alert to the organization-defined personnel, roles, and/or locations when the organization-defined audit failure events requiring real-time alerts occur; and
+
+
+ AU-5(2)[4]
+
the information system provides an alert within the organization-defined real-time period to the organization-defined personnel, roles, and/or locations when organization-defined audit failure events requiring real-time alerts occur.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing response to audit processing failures
+
information system design documentation
+
security plan
+
information system configuration settings and associated documentation
+
records of notifications or real-time alerts when audit processing failures occur
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit and accountability responsibilities
+
organizational personnel with information security responsibilities
The information system enforces configurable network communications traffic volume thresholds reflecting limits on auditing capacity and [Selection: rejects; delays] network traffic above those thresholds.
+
+
+
Organizations have the capability to reject or delay the processing of network communications traffic if auditing such traffic is determined to exceed the storage capacity of the information system audit function. The rejection or delay response is triggered by the established organizational traffic volume thresholds which can be adjusted based on changes to audit storage capacity.
+
+
+
Determine if:
+
+ AU-5(3)[1]
+
the information system enforces configurable network communications traffic volume thresholds reflecting limits on auditing capacity;
+
+
+ AU-5(3)[2]
+
the organization selects if network traffic above configurable traffic volume thresholds is to be:
+
+ AU-5(3)[2][a]
+
rejected; or
+
+
+ AU-5(3)[2][b]
+
delayed; and
+
+
+
+ AU-5(3)[3]
+
the information system rejects or delays network communications traffic generated above configurable traffic volume thresholds.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing response to audit processing failures
+
information system design documentation
+
security plan
+
information system configuration settings and associated documentation
+
configuration of network communications traffic volume thresholds
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit and accountability responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Information system capability implementing configurable traffic volume thresholds
The information system invokes a [Selection: full system shutdown; partial system shutdown; degraded operational mode with limited mission/business functionality available] in the event of , unless an alternate audit capability exists.
+
+
+
Organizations determine the types of audit failures that can trigger automatic information system shutdowns or degraded operations. Because of the importance of ensuring mission/business continuity, organizations may determine that the nature of the audit failure is not so severe that it warrants a complete shutdown of the information system supporting the core organizational missions/business operations. In those instances, partial information system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives.
+
+
+
+
Determine if:
+
+ AU-5(4)[1]
+
the organization selects one of the following specific actions for the information system to invoke in the event of organization-defined audit failures:
+
+ AU-5(4)[1][a]
+
full system shutdown;
+
+
+ AU-5(4)[1][b]
+
partial system shutdown; or
+
+
+ AU-5(4)[1][c]
+
degraded operational mode with limited mission/business functionality available;
+
+
+
+ AU-5(4)[2]
+
the organization defines audit failures that, unless an alternate audit capability exists, are to trigger the information system to invoke a specific action; and
+
+
+ AU-5(4)[3]
+
the information system invokes the selected specific action in the event of organization-defined audit failures, unless an alternate audit capability exists.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing response to audit processing failures
+
information system design documentation
+
security plan
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit and accountability responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Information system capability invoking system shutdown or degraded operational mode in the event of an audit processing failure
+
+
+
+
Determine if:
+
+ AU-5(a)
+
+ AU-5(a)[1]
+
the organization defines the personnel or roles to be alerted in the event of an audit processing failure;
+
+
+ AU-5(a)[2]
+
the information system alerts the organization-defined personnel or roles in the event of an audit processing failure;
+
+
+
+ AU-5(b)
+
+ AU-5(b)[1]
+
the organization defines additional actions to be taken (e.g., shutdown information system, overwrite oldest audit records, stop generating audit records) in the event of an audit processing failure; and
+
+
+ AU-5(b)[2]
+
the information system takes the additional organization-defined actions in the event of an audit processing failure.
+
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing response to audit processing failures
+
information system design documentation
+
security plan
+
information system configuration settings and associated documentation
+
list of personnel to be notified in case of an audit processing failure
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit and accountability responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing information system response to audit processing failures
+
+
+
+ AUDIT REVIEW, ANALYSIS, AND REPORTING
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined inappropriate or unusual activity
+ organization-defined inappropriate or unusual activity
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+ AU-6
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ AU-6a.
+
Reviews and analyzes information system audit records for indications of ; and
+
+
+ AU-6b.
+
Reports findings to .
+
+
+
+
Audit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority.
The organization employs automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.
+
+
+
Organizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits.
+
+
+
+
+
Determine if the organization:
+
+ AU-6(1)[1]
+
employs automated mechanisms to integrate:
+
+ AU-6(1)[1][a]
+
audit review;
+
+
+ AU-6(1)[1][b]
+
analysis;
+
+
+ AU-6(1)[1][c]
+
reporting processes;
+
+
+
+ AU-6(1)[2]
+
uses integrated audit review, analysis and reporting processes to support organizational processes for:
+
+ AU-6(1)[2][a]
+
investigation of suspicious activities; and
+
+
+ AU-6(1)[2][b]
+
response to suspicious activities.
+
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing audit review, analysis, and reporting
+
procedures addressing investigation and response to suspicious activities
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit review, analysis, and reporting responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms integrating audit review, analysis, and reporting processes
The organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.
+
+
+
Organization-wide situational awareness includes awareness across all three tiers of risk management (i.e., organizational, mission/business process, and information system) and supports cross-organization awareness.
+
+
+
+
+
Determine if the organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing audit review, analysis, and reporting
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records across different repositories
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit review, analysis, and reporting responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting analysis and correlation of audit records
+
+
+
+ CENTRAL REVIEW AND ANALYSIS
+ AU-6 (4)
+
+
The information system provides the capability to centrally review and analyze audit records from multiple components within the system.
+
+
+
Automated mechanisms for centralized reviews and analyses include, for example, Security Information Management products.
+
+
+
+
+
Determine if the information system provides the capability to centrally review and analyze audit records from multiple components within the system.
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing audit review, analysis, and reporting
+
information system design documentation
+
information system configuration settings and associated documentation
+
security plan
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit review, analysis, and reporting responsibilities
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Information system capability to centralize review and analysis of audit records
+
+
+
+ INTEGRATION / SCANNING AND MONITORING CAPABILITIES
+
+ organization-defined data/information collected from other sources
+ organization-defined data/information collected from other sources
+
+ AU-6 (5)
+ HIGH
+
+
The organization integrates analysis of audit records with analysis of [Selection (one or more): vulnerability scanning information; performance data; information system monitoring information; ] to further enhance the ability to identify inappropriate or unusual activity.
+
+
+
This control enhancement does not require vulnerability scanning, the generation of performance data, or information system monitoring. Rather, the enhancement requires that the analysis of information being otherwise produced in these areas is integrated with the analysis of audit information. Security Event and Information Management System tools can facilitate audit record aggregation/consolidation from multiple information system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans and correlating attack detection events with scanning results. Correlation with performance data can help uncover denial of service attacks or cyber attacks resulting in unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations.
+
+
+
+
+
+
Determine if the organization:
+
+ AU-6(5)[1]
+
defines data/information to be collected from other sources;
+
+
+ AU-6(5)[2]
+
selects sources of data/information to be analyzed and integrated with the analysis of audit records from one or more of the following:
+
+ AU-6(5)[2][a]
+
vulnerability scanning information;
+
+
+ AU-6(5)[2][b]
+
performance data;
+
+
+ AU-6(5)[2][c]
+
information system monitoring information; and/or
+
+
+ AU-6(5)[2][d]
+
organization-defined data/information collected from other sources; and
+
+
+
+ AU-6(5)[3]
+
integrates the analysis of audit records with the analysis of selected data/information to further enhance the ability to identify inappropriate or unusual activity.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing audit review, analysis, and reporting
+
information system design documentation
+
information system configuration settings and associated documentation
+
integrated analysis of audit records, vulnerability scanning information, performance data, network monitoring information and associated documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit review, analysis, and reporting responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing capability to integrate analysis of audit records with analysis of data/information sources
+
+
+
+ CORRELATION WITH PHYSICAL MONITORING
+ AU-6 (6)
+ HIGH
+
+
The organization correlates information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.
+
+
+
The correlation of physical audit information and audit logs from information systems may assist organizations in identifying examples of suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual�s identity for logical access to certain information systems with the additional physical security information that the individual was actually present at the facility when the logical access occurred, may prove to be useful in investigations.
+
+
+
Determine if the organization correlates information from audit records with information obtained from monitoring physical access to enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing audit review, analysis, and reporting
+
procedures addressing physical access monitoring
+
information system design documentation
+
information system configuration settings and associated documentation
+
documentation providing evidence of correlated information obtained from audit records and physical access monitoring records
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit review, analysis, and reporting responsibilities
+
organizational personnel with physical access monitoring responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing capability to correlate information from audit records with information from monitoring physical access
+
+
+
+ PERMITTED ACTIONS
+ AU-6 (7)
+
+
The organization specifies the permitted actions for each [Selection (one or more): information system process; role; user] associated with the review, analysis, and reporting of audit information.
+
+
+
Organizations specify permitted actions for information system processes, roles, and/or users associated with the review, analysis, and reporting of audit records through account management techniques. Specifying permitted actions on audit information is a way to enforce the principle of least privilege. Permitted actions are enforced by the information system and include, for example, read, write, execute, append, and delete.
+
+
+
Determine if the organization specifies the permitted actions for each one or more of the following associated with the review, analysis and reporting of audit information:
+
+ AU-6(7)[1]
+
information system process;
+
+
+ AU-6(7)[2]
+
role; and/or
+
+
+ AU-6(7)[3]
+
user.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing process, role and/or user permitted actions from audit review, analysis, and reporting
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit review, analysis, and reporting responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting permitted actions for review, analysis, and reporting of audit information
+
+
+
+ FULL TEXT ANALYSIS OF PRIVILEGED COMMANDS
+ AU-6 (8)
+
+
The organization performs a full text analysis of audited privileged commands in a physically distinct component or subsystem of the information system, or other information system that is dedicated to that analysis.
+
+
+
This control enhancement requires a distinct environment for the dedicated analysis of audit information related to privileged users without compromising such information on the information system where the users have elevated privileges including the capability to execute privileged commands. Full text analysis refers to analysis that considers the full text of privileged commands (i.e., commands and all parameters) as opposed to analysis that considers only the name of the command. Full text analysis includes, for example, the use of pattern matching and heuristics.
+
+
+
+
+
+
+
Determine if the organization performs a full text analysis of audited privileged commands in:
+
+ AU-6(8)[1]
+
a physically distinct component or subsystem of the information system; or
+
+
+ AU-6(8)[2]
+
other information system that is dedicated to that analysis.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing audit review, analysis, and reporting
+
information system design documentation
+
information system configuration settings and associated documentation
+
text analysis tools and techniques
+
text analysis documentation of audited privileged commands
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit review, analysis, and reporting responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing capability to perform a full text analysis of audited privilege commands
+
+
+
+ CORRELATION WITH INFORMATION FROM NONTECHNICAL SOURCES
+ AU-6 (9)
+
+
The organization correlates information from nontechnical sources with audit information to enhance organization-wide situational awareness.
+
+
+
Nontechnical sources include, for example, human resources records documenting organizational policy violations (e.g., sexual harassment incidents, improper use of organizational information assets). Such information can lead organizations to a more directed analytical effort to detect potential malicious insider activity. Due to the sensitive nature of the information available from nontechnical sources, organizations limit access to such information to minimize the potential for the inadvertent release of privacy-related information to individuals that do not have a need to know. Thus, correlation of information from nontechnical sources with audit information generally occurs only when individuals are suspected of being involved in a security incident. Organizations obtain legal advice prior to initiating such actions.
+
+
+
+
Determine if the organization correlates information from nontechnical sources with audit information to enhance organization-wide situational awareness.
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing audit review, analysis, and reporting
+
information system design documentation
+
information system configuration settings and associated documentation
+
documentation providing evidence of correlated information obtained from audit records and organization-defined nontechnical sources
+
list of information types from nontechnical sources for correlation with audit information
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit review, analysis, and reporting responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing capability to correlate information from non-technical sources
+
+
+
+ AUDIT LEVEL ADJUSTMENT
+ AU-6 (10)
+
+
The organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information.
+
+
+
The frequency, scope, and/or depth of the audit review, analysis, and reporting may be adjusted to meet organizational needs based on new information received.
+
+
+
Determine if the organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on:
+
+ AU-6(10)[1]
+
law enforcement information;
+
+
+ AU-6(10)[2]
+
intelligence information; and/or
+
+
+ AU-6(10)[3]
+
other credible sources of information.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing audit review, analysis, and reporting
+
organizational risk assessment
+
security control assessment
+
vulnerability assessment
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit review, analysis, and reporting responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting review, analysis, and reporting of audit information
+
+
+
+
Determine if the organization:
+
+ AU-6(a)
+
+ AU-6(a)[1]
+
defines the types of inappropriate or unusual activity to look for when information system audit records are reviewed and analyzed;
+
+
+ AU-6(a)[2]
+
defines the frequency to review and analyze information system audit records for indications of organization-defined inappropriate or unusual activity;
+
+
+ AU-6(a)[3]
+
reviews and analyzes information system audit records for indications of organization-defined inappropriate or unusual activity with the organization-defined frequency;
+
+
+
+ AU-6(b)
+
+ AU-6(b)[1]
+
defines personnel or roles to whom findings resulting from reviews and analysis of information system audit records are to be reported; and
+
+
+ AU-6(b)[2]
+
reports findings to organization-defined personnel or roles.
+
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing audit review, analysis, and reporting
+
reports of audit findings
+
records of actions taken in response to reviews/analyses of audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit review, analysis, and reporting responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ AUDIT REDUCTION AND REPORT GENERATION
+ AU-7
+ P2
+ MODERATE
+ HIGH
+
+
The information system provides an audit reduction and report generation capability that:
+
+ AU-7a.
+
Supports on-demand audit review, analysis, and reporting requirements and after-the-fact investigations of security incidents; and
+
+
+ AU-7b.
+
Does not alter the original content or time ordering of audit records.
+
+
+
+
Audit reduction is a process that manipulates collected audit information and organizes such information in a summary format that is more meaningful to analysts. Audit reduction and report generation capabilities do not always emanate from the same information system or from the same organizational entities conducting auditing activities. Audit reduction capability can include, for example, modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the information system can generate customizable reports. Time ordering of audit records can be a significant issue if the granularity of the timestamp in the record is insufficient.
+
+
+
+ AUTOMATIC PROCESSING
+
+ organization-defined audit fields within audit records
+ organization-defined audit fields within audit records
+
+ AU-7 (1)
+ MODERATE
+ HIGH
+
+
The information system provides the capability to process audit records for events of interest based on .
+
+
+
Events of interest can be identified by the content of specific audit record fields including, for example, identities of individuals, event types, event locations, event times, event dates, system resources involved, IP addresses involved, or information objects accessed. Organizations may define audit event criteria to any degree of granularity required, for example, locations selectable by general networking location (e.g., by network or subnetwork) or selectable by specific information system component.
+
+
+
+
+
Determine if:
+
+ AU-7(1)[1]
+
the organization defines audit fields within audit records in order to process audit records for events of interest; and
+
+
+ AU-7(1)[2]
+
the information system provides the capability to process audit records for events of interest based on the organization-defined audit fields within audit records.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing audit reduction and report generation
+
information system design documentation
+
information system configuration settings and associated documentation
+
audit reduction, review, analysis, and reporting tools
+
audit record criteria (fields) establishing events of interest
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit reduction and report generation responsibilities
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Audit reduction and report generation capability
+
+
+
+ AUTOMATIC SORT AND SEARCH
+
+ organization-defined audit fields within audit records
+ organization-defined audit fields within audit records
+
+ AU-7 (2)
+
+
The information system provides the capability to sort and search audit records for events of interest based on the content of .
+
+
+
Sorting and searching of audit records may be based upon the contents of audit record fields, for example: (i) date/time of events; (ii) user identifiers; (iii) Internet Protocol (IP) addresses involved in the event; (iv) type of event; or (v) event success/failure.
+
+
+
Determine if:
+
+ AU-7(2)[1]
+
the organization defines audit fields within audit records in order to sort and search audit records for events of interest based on content of such audit fields; and
+
+
+ AU-7(2)[2]
+
the information system provides the capability to sort and search audit records for events of interest based on the content of organization-defined audit fields within audit records.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing audit reduction and report generation
+
information system design documentation
+
information system configuration settings and associated documentation
+
audit reduction, review, analysis, and reporting tools
+
audit record criteria (fields) establishing events of interest
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit reduction and report generation responsibilities
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Audit reduction and report generation capability
+
+
+
+
Determine if the information system provides an audit reduction and report generation capability that supports:
+
+ AU-7(a)
+
+ AU-7(a)[1]
+
on-demand audit review;
+
+
+ AU-7(a)[2]
+
analysis;
+
+
+ AU-7(a)[3]
+
reporting requirements;
+
+
+ AU-7(a)[4]
+
after-the-fact investigations of security incidents; and
+
+
+
+ AU-7(b)
+
does not alter the original content or time ordering of audit records.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing audit reduction and report generation
+
information system design documentation
+
information system configuration settings and associated documentation
+
audit reduction, review, analysis, and reporting tools
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit reduction and report generation responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Audit reduction and report generation capability
+
+
+
+ TIME STAMPS
+
+ organization-defined granularity of time measurement
+ organization-defined granularity of time measurement
+
+ AU-8
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system:
+
+ AU-8a.
+
Uses internal system clocks to generate time stamps for audit records; and
+
+
+ AU-8b.
+
Records time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT) and meets .
+
+
+
+
Time stamps generated by the information system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between information system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or within tens of milliseconds. Organizations may define different time granularities for different system components. Time service can also be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities.
+
+
+
+
+ SYNCHRONIZATION WITH AUTHORITATIVE TIME SOURCE
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined authoritative time source
+ organization-defined authoritative time source
+
+
+ organization-defined time period
+ organization-defined time period
+
+ AU-8 (1)
+ MODERATE
+ HIGH
+
+
The information system:
+
+ AU-8 (1)(a)
+
Compares the internal information system clocks with ; and
+
+
+ AU-8 (1)(b)
+
Synchronizes the internal system clocks to the authoritative time source when the time difference is greater than .
+
+
+
+
This control enhancement provides uniformity of time stamps for information systems with multiple system clocks and systems connected over a network.
+
+
+
Determine if:
+
+ AU-8(1)(a)
+
+ AU-8(1)(a)[1]
+
the organization defines the authoritative time source to which internal information system clocks are to be compared;
+
+
+ AU-8(1)(a)[2]
+
the organization defines the frequency to compare the internal information system clocks with the organization-defined authoritative time source; and
+
+
+ AU-8(1)(a)[3]
+
the information system compares the internal information system clocks with the organization-defined authoritative time source with organization-defined frequency; and
+
+
+
+ AU-8(1)(b)
+
+ AU-8(1)(b)[1]
+
the organization defines the time period that, if exceeded by the time difference between the internal system clocks and the authoritative time source, will result in the internal system clocks being synchronized to the authoritative time source; and
+
+
+ AU-8(1)(b)[2]
+
the information system synchronizes the internal information system clocks to the authoritative time source when the time difference is greater than the organization-defined time period.
+
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing time stamp generation
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing internal information system clock synchronization
The information system identifies a secondary authoritative time source that is located in a different geographic region than the primary authoritative time source.
+
+
+
Determine if the information system identifies a secondary authoritative time source that is located in a different geographic region than the primary authoritative time source.
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing time stamp generation
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing internal information system clock authoritative time sources
+
+
+
+
Determine if:
+
+ AU-8(a)
+
the information system uses internal system clocks to generate time stamps for audit records;
+
+
+ AU-8(b)
+
+ AU-8(b)[1]
+
the information system records time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);
+
+
+ AU-8(b)[2]
+
the organization defines the granularity of time measurement to be met when recording time stamps for audit records; and
+
+
+ AU-8(b)[3]
+
the organization records time stamps for audit records that meet the organization-defined granularity of time measurement.
+
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing time stamp generation
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing time stamp generation
+
+
+
+ PROTECTION OF AUDIT INFORMATION
+ AU-9
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system protects audit information and audit tools from unauthorized access, modification, and deletion.
+
+
+
Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. This control focuses on technical protection of audit information. Physical protection of audit information is addressed by media protection controls and physical and environmental protection controls.
The information system writes audit trails to hardware-enforced, write-once media.
+
+
+
This control enhancement applies to the initial generation of audit trails (i.e., the collection of audit records that represents the audit information to be used for detection, analysis, and reporting purposes) and to the backup of those audit trails. The enhancement does not apply to the initial generation of audit records prior to being written to an audit trail. Write-once, read-many (WORM) media includes, for example, Compact Disk-Recordable (CD-R) and Digital Video Disk-Recordable (DVD-R). In contrast, the use of switchable write-protection media such as on tape cartridges or Universal Serial Bus (USB) drives results in write-protected, but not write-once, media.
+
+
+
+
+
Determine if the information system writes audit trails to hardware-enforced, write-once media.
+
+
+ EXAMINE
+
Audit and accountability policy
+
access control policy and procedures
+
procedures addressing protection of audit information
+
information system design documentation
+
information system hardware settings
+
information system configuration settings and associated documentation
+
information system storage media
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit and accountability responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Information system media storing audit trails
+
+
+
+ AUDIT BACKUP ON SEPARATE PHYSICAL SYSTEMS / COMPONENTS
+
+ organization-defined frequency
+ organization-defined frequency
+
+ AU-9 (2)
+ HIGH
+
+
The information system backs up audit records onto a physically different system or system component than the system or component being audited.
+
+
+
This control enhancement helps to ensure that a compromise of the information system being audited does not also result in a compromise of the audit records.
+
+
+
+
+
+
Determine if:
+
+ AU-9(2)[1]
+
the organization defines the frequency to back up audit records onto a physically different system or system component than the system or component being audited; and
+
+
+ AU-9(2)[2]
+
the information system backs up audit records with the organization-defined frequency, onto a physically different system or system component than the system or component being audited.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing protection of audit information
+
information system design documentation
+
information system configuration settings and associated documentation, system or media storing backups of information system audit records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit and accountability responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing the backing up of audit records
The information system implements cryptographic mechanisms to protect the integrity of audit information and audit tools.
+
+
+
Cryptographic mechanisms used for protecting the integrity of audit information include, for example, signed hash functions using asymmetric cryptography enabling distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash.
+
+
+
+
+
+
Determine if the information system:
+
+ AU-9(3)[1]
+
uses cryptographic mechanisms to protect the integrity of audit information; and
+
+
+ AU-9(3)[2]
+
uses cryptographic mechanisms to protect the integrity of audit tools.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
access control policy and procedures
+
procedures addressing protection of audit information
+
information system design documentation
+
information system hardware settings
+
information system configuration settings and associated documentation, information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit and accountability responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Cryptographic mechanisms protecting integrity of audit information and tools
+
+
+
+ ACCESS BY SUBSET OF PRIVILEGED USERS
+
+ organization-defined subset of privileged users
+ organization-defined subset of privileged users
+
+ AU-9 (4)
+ MODERATE
+ HIGH
+
+
The organization authorizes access to management of audit functionality to only .
+
+
+
Individuals with privileged access to an information system and who are also the subject of an audit by that system, may affect the reliability of audit information by inhibiting audit activities or modifying audit records. This control enhancement requires that privileged access be further defined between audit-related privileges and other privileges, thus limiting the users with audit-related privileges.
+
+
+
+
Determine if the organization:
+
+ AU-9(4)[1]
+
defines a subset of privileged users to be authorized access to management of audit functionality; and
+
+
+ AU-9(4)[2]
+
authorizes access to management of audit functionality to only the organization-defined subset of privileged users.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
access control policy and procedures
+
procedures addressing protection of audit information
+
information system design documentation
+
information system configuration settings and associated documentation, system-generated list of privileged users with access to management of audit functionality
+
access authorizations
+
access control list
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit and accountability responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms managing access to audit functionality
The organization enforces dual authorization for [Selection (one or more): movement; deletion] of .
+
+
+
Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Dual authorization may also be known as two-person control.
+
+
+
+
+
Determine if the organization:
+
+ AU-9(5)[1]
+
defines audit information for which dual authorization is to be enforced;
+
+
+ AU-9(5)[2]
+
defines one or more of the following types of operations on audit information for which dual authorization is to be enforced:
+
+ AU-9(5)[2][a]
+
movement; and/or
+
+
+ AU-9(5)[2][b]
+
deletion; and
+
+
+
+ AU-9(5)[3]
+
enforces dual authorization for the movement and/or deletion of organization-defined audit information.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
access control policy and procedures
+
procedures addressing protection of audit information
+
information system design documentation
+
information system configuration settings and associated documentation, access authorizations
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit and accountability responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms implementing enforcement of dual authorization
+
+
+
+ READ ONLY ACCESS
+
+ organization-defined subset of privileged users
+ organization-defined subset of privileged users
+
+ AU-9 (6)
+
+
The organization authorizes read-only access to audit information to .
+
+
+
Restricting privileged user authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users (e.g., deleting audit records to cover up malicious activity).
+
+
+
Determine if the organization:
+
+ AU-9(6)[1]
+
defines the subset of privileged users to be authorized read-only access to audit information; and
+
+
+ AU-9(6)[2]
+
authorizes read-only access to audit information to the organization-defined subset of privileged users.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
access control policy and procedures
+
procedures addressing protection of audit information
+
information system design documentation
+
information system configuration settings and associated documentation, system-generated list of privileged users with read-only access to audit information
+
access authorizations
+
access control list
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit and accountability responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms managing access to audit information
+
+
+
+
Determine if:
+
+ AU-9[1]
+
the information system protects audit information from unauthorized:
+
+ AU-9[1][a]
+
access;
+
+
+ AU-9[1][b]
+
modification;
+
+
+ AU-9[1][c]
+
deletion;
+
+
+
+ AU-9[2]
+
the information system protects audit tools from unauthorized:
+
+ AU-9[2][a]
+
access;
+
+
+ AU-9[2][b]
+
modification; and
+
+
+ AU-9[2][c]
+
deletion.
+
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
access control policy and procedures
+
procedures addressing protection of audit information
+
information system design documentation
+
information system configuration settings and associated documentation, information system audit records
+
audit tools
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit and accountability responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing audit information protection
+
+
+
+ NON-REPUDIATION
+
+ organization-defined actions to be covered by non-repudiation
+ organization-defined actions to be covered by non-repudiation
+
+ AU-10
+ P2
+ HIGH
+
+
The information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed .
+
+
+
Types of individual actions covered by non-repudiation include, for example, creating information, sending and receiving messages, approving information (e.g., indicating concurrence or signing a contract). Non-repudiation protects individuals against later claims by: (i) authors of not having authored particular documents; (ii) senders of not having transmitted messages; (iii) receivers of not having received messages; or (iv) signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from a particular individual, or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request) or received specific information. Organizations obtain non-repudiation services by employing various techniques or mechanisms (e.g., digital signatures, digital message receipts).
+
+
+
+
+
+
+
+
+ ASSOCIATION OF IDENTITIES
+
+ organization-defined strength of binding
+ organization-defined strength of binding
+
+ AU-10 (1)
+
+
The information system:
+
+ AU-10 (1)(a)
+
Binds the identity of the information producer with the information to ; and
+
+
+ AU-10 (1)(b)
+
Provides the means for authorized individuals to determine the identity of the producer of the information.
+
+
+
+
This control enhancement supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of the binding between the information producer and the information based on the security category of the information and relevant risk factors.
+
+
+
+
+
Determine if:
+
+ AU-10(1)(a)
+
+ AU-10(1)(a)[1]
+
the organization defines the strength of binding to be employed between the identity of the information producer and the information;
+
+
+ AU-10(1)(a)[2]
+
the information system binds the identity of the information producer with the information to the organization-defined strength of binding; and
+
+
+
+ AU-10(1)(b)
+
the information system provides the means for authorized individuals to determine the identity of the producer of the information.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing non-repudiation
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
+
+
+ VALIDATE BINDING OF INFORMATION PRODUCER IDENTITY
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined actions
+ organization-defined actions
+
+ AU-10 (2)
+
+
The information system:
+
+ AU-10 (2)(a)
+
Validates the binding of the information producer identity to the information at ; and
+
+
+ AU-10 (2)(b)
+
Performs in the event of a validation error.
+
+
+
+
This control enhancement prevents the modification of information between production and review. The validation of bindings can be achieved, for example, by the use of cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically.
+
+
+
+
+
+
Determine if:
+
+ AU-10(2)(a)
+
+ AU-10(2)(a)[1]
+
the organization defines the frequency to validate the binding of the information producer identity to the information;
+
+
+ AU-10(2)(a)[2]
+
the information system validates the binding of the information producer identity to the information at the organization-defined frequency; and
+
+
+
+ AU-10(2)(b)
+
+ AU-10(2)(b)[1]
+
the organization defines actions to be performed in the event of a validation error; and
+
+
+ AU-10(2)(b)[2]
+
the information system performs organization-defined actions in the event of a validation error.
+
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing non-repudiation
+
information system design documentation
+
information system configuration settings and associated documentation
+
validation records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
The information system maintains reviewer/releaser identity and credentials within the established chain of custody for all information reviewed or released.
+
+
+
Chain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each person who handled the evidence, the date and time it was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release/transfer function, the information system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, this control enhancement provides organizational officials the means to identify who reviewed and released the information. In the case of automated reviews, this control enhancement ensures that only approved review functions are employed.
+
+
+
+
+
Determine if the information system:
+
+ AU-10(3)[1]
+
maintains reviewer/releaser identity within the established chain of custody for all information reviewed;
+
+
+ AU-10(3)[2]
+
maintains reviewer/releaser identity within the established chain of custody for all information released;
+
+
+ AU-10(3)[3]
+
maintains reviewer/releaser credentials within the established chain of custody for all information reviewed; and
+
+
+ AU-10(3)[4]
+
maintains reviewer/releaser credentials within the established chain of custody for all information released.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing non-repudiation
+
information system design documentation
+
information system configuration settings and associated documentation
+
records of information reviews and releases
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
Validates the binding of the information reviewer identity to the information at the transfer or release points prior to release/transfer between ; and
+
+
+ AU-10 (4)(b)
+
Performs in the event of a validation error.
+
+
+
+
This control enhancement prevents the modification of information between review and transfer/release. The validation of bindings can be achieved, for example, by the use of cryptographic checksums. Organizations determine validations are in response to user requests or generated automatically.
+
+
+
+
+
Determine if:
+
+ AU-10(4)(a)
+
+ AU-10(4)(a)[1]
+
the organization defines security domains for which the binding of the information reviewer identity to the information is to be validated at the transfer or release points prior to release/transfer between such domains;
+
+
+ AU-10(4)(a)[2]
+
the information system validates the binding of the information reviewer identity to the information at the transfer or release points prior to release/transfer between organization-defined security domains;
+
+
+
+ AU-10(4)(b)
+
+ AU-10(4)(b)[1]
+
the organization defines actions to be performed in the event of a validation error; and
+
+
+ AU-10(4)(b)[2]
+
the information system performs organization-defined actions in the event of a validation error.
+
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing non-repudiation
+
information system design documentation
+
information system configuration settings and associated documentation
+
validation records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
the organization defines actions to be covered by non-repudiation; and
+
+
+ AU-10[2]
+
the information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed organization-defined actions to be covered by non-repudiation.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing non-repudiation
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
+
+
+ AUDIT RECORD RETENTION
+
+ organization-defined time period consistent with records retention policy
+ organization-defined time period consistent with records retention policy
+
+ AU-11
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+
The organization retains audit records for to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements.
+
+
+
Organizations retain audit records until it is determined that they are no longer needed for administrative, legal, audit, or other operational purposes. This includes, for example, retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on record retention.
The organization employs to ensure that long-term audit records generated by the information system can be retrieved.
+
+
+
Measures employed by organizations to help facilitate the retrieval of audit records include, for example, converting records to newer formats, retaining equipment capable of reading the records, and retaining necessary documentation to help organizational personnel understand how to interpret the records.
+
+
+
Determine if the organization:
+
+ AU-11(1)[1]
+
defines measures to be employed to ensure that long-term audit records generated by the information system can be retrieved; and
+
+
+ AU-11(1)[2]
+
employs organization-defined measures to ensure that long-term audit records generated by the information system can be retrieved.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
audit record retention policy and procedures
+
information system design documentation
+
information system configuration settings and associated documentation
+
audit record archives
+
audit logs
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit record retention responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms implementing audit record retention capability
+
+
+
+
Determine if the organization:
+
+ AU-11[1]
+
defines a time period to retain audit records that is consistent with records retention policy;
+
+
+ AU-11[2]
+
retains audit records for the organization-defined time period consistent with records retention policy to:
+
+ AU-11[2][a]
+
provide support for after-the-fact investigations of security incidents; and
+
+
+ AU-11[2][b]
+
meet regulatory and organizational information retention requirements.
+
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
audit record retention policy and procedures
+
security plan
+
organization-defined retention period for audit records
+
audit record archives
+
audit logs
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit record retention responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+
+ AUDIT GENERATION
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+ AU-12
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system:
+
+ AU-12a.
+
Provides audit record generation capability for the auditable events defined in AU-2 a. at ;
+
+
+ AU-12b.
+
Allows to select which auditable events are to be audited by specific components of the information system; and
+
+
+ AU-12c.
+
Generates audit records for the events defined in AU-2 d. with the content defined in AU-3.
+
+
+
+
Audit records can be generated from many different information system components. The list of audited events is the set of events for which audits are to be generated. These events are typically a subset of all events for which the information system is capable of generating audit records.
+
+
+
+
+
+
+
+ SYSTEM-WIDE / TIME-CORRELATED AUDIT TRAIL
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail
+ organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail
+
+ AU-12 (1)
+ HIGH
+
+
The information system compiles audit records from into a system-wide (logical or physical) audit trail that is time-correlated to within .
+
+
+
Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances.
+
+
+
+
+
Determine if:
+
+ AU-12(1)[1]
+
the organization defines the information system components from which audit records are to be compiled into a system-wide (logical or physical) audit trail;
+
+
+ AU-12(1)[2]
+
the organization defines the level of tolerance for the relationship between time stamps of individual records in the audit trail; and
+
+
+ AU-12(1)[3]
+
the information system compiles audit records from organization-defined information system components into a system-wide (logical or physical) audit trail that is time-correlated to within the organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing audit record generation
+
information system design documentation
+
information system configuration settings and associated documentation
+
system-wide audit trail (logical or physical)
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit record generation responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing audit record generation capability
+
+
+
+ STANDARDIZED FORMATS
+ AU-12 (2)
+
+
The information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.
+
+
+
Audit information that is normalized to common standards promotes interoperability and exchange of such information between dissimilar devices and information systems. This facilitates production of event information that can be more readily analyzed and correlated. Standard formats for audit records include, for example, system log records and audit records compliant with Common Event Expressions (CEE). If logging mechanisms within information systems do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails.
+
+
+
Determine if the information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing audit record generation
+
information system design documentation
+
information system configuration settings and associated documentation
+
system-wide audit trail (logical or physical)
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit record generation responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing audit record generation capability
+
+
+
+ CHANGES BY AUTHORIZED INDIVIDUALS
+
+ organization-defined individuals or roles
+ organization-defined individuals or roles
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined selectable event criteria
+ organization-defined selectable event criteria
+
+
+ organization-defined time thresholds
+ organization-defined time thresholds
+
+ AU-12 (3)
+ HIGH
+
+
The information system provides the capability for to change the auditing to be performed on based on within .
+
+
+
This control enhancement enables organizations to extend or limit auditing as necessary to meet organizational requirements. Auditing that is limited to conserve information system resources may be extended to address certain threat situations. In addition, auditing may be limited to a specific set of events to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which audit actions are changed, for example, near real-time, within minutes, or within hours.
+
+
+
+
Determine if:
+
+ AU-12(3)[1]
+
the organization defines information system components on which auditing is to be performed;
+
+
+ AU-12(3)[2]
+
the organization defines individuals or roles authorized to change the auditing to be performed on organization-defined information system components;
+
+
+ AU-12(3)[3]
+
the organization defines time thresholds within which organization-defined individuals or roles can change the auditing to be performed on organization-defined information system components;
+
+
+ AU-12(3)[4]
+
the organization defines selectable event criteria that support the capability for organization-defined individuals or roles to change the auditing to be performed on organization-defined information system components; and
+
+
+ AU-12(3)[5]
+
the information system provides the capability for organization-defined individuals or roles to change the auditing to be performed on organization-defined information system components based on organization-defined selectable event criteria within organization-defined time thresholds.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing audit record generation
+
information system design documentation
+
information system configuration settings and associated documentation
+
system-generated list of individuals or roles authorized to change auditing to be performed
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit record generation responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing audit record generation capability
+
+
+
+
Determine if:
+
+ AU-12(a)
+
+ AU-12(a)[1]
+
the organization defines the information system components which are to provide audit record generation capability for the auditable events defined in AU-2a;
+
+
+ AU-12(a)[2]
+
the information system provides audit record generation capability, for the auditable events defined in AU-2a, at organization-defined information system components;
+
+
+
+ AU-12(b)
+
+ AU-12(b)[1]
+
the organization defines the personnel or roles allowed to select which auditable events are to be audited by specific components of the information system;
+
+
+ AU-12(b)[2]
+
the information system allows the organization-defined personnel or roles to select which auditable events are to be audited by specific components of the system; and
+
+
+
+ AU-12(c)
+
the information system generates audit records for the events defined in AU-2d with the content in defined in AU-3.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing audit record generation
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of auditable events
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with audit record generation responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing audit record generation capability
+
+
+
+ MONITORING FOR INFORMATION DISCLOSURE
+
+ organization-defined open source information and/or information sites
+ organization-defined open source information and/or information sites
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ AU-13
+ P0
+
+
The organization monitors
+ for evidence of unauthorized disclosure of organizational information.
+
+
+
Open source information includes, for example, social networking sites.
+
+
+
+
+ USE OF AUTOMATED TOOLS
+ AU-13 (1)
+
+
The organization employs automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner.
+
+
+
Automated mechanisms can include, for example, automated scripts to monitor new posts on selected websites, and commercial services providing notifications and alerts to organizations.
+
+
+
Determine if the organization employs automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner.
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing information disclosure monitoring
+
information system design documentation
+
information system configuration settings and associated documentation
+
automated monitoring tools
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for monitoring information disclosures
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing monitoring for information disclosure
+
+
+
+ REVIEW OF MONITORED SITES
+
+ organization-defined frequency
+ organization-defined frequency
+
+ AU-13 (2)
+
+
The organization reviews the open source information sites being monitored .
+
+
+
Determine if the organization:
+
+ AU-13(2)[1]
+
defines a frequency to review the open source information sites being monitored; and
+
+
+ AU-13(2)[2]
+
reviews the open source information sites being monitored with the organization-defined frequency.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing information disclosure monitoring
+
information system design documentation
+
information system configuration settings and associated documentation
+
reviews for open source information sites being monitored
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for monitoring open source information sites
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing monitoring for information disclosure
+
+
+
+
Determine if the organization:
+
+ AU-13[1]
+
defines open source information and/or information sites to be monitored for evidence of unauthorized disclosure of organizational information;
+
+
+ AU-13[2]
+
defines a frequency to monitor organization-defined open source information and/or information sites for evidence of unauthorized disclosure of organizational information; and
+
+
+ AU-13[3]
+
monitors organization-defined open source information and/or information sites for evidence of unauthorized disclosure of organizational information with the organization-defined frequency.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing information disclosure monitoring
+
information system design documentation
+
information system configuration settings and associated documentation
+
monitoring records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for monitoring open source information and/or information sites
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing monitoring for information disclosure
+
+
+
+ SESSION AUDIT
+ AU-14
+ P0
+
+
The information system provides the capability for authorized users to select a user session to capture/record or view/hear.
+
+
+
Session audits include, for example, monitoring keystrokes, tracking websites visited, and recording information and/or file transfers. Session auditing activities are developed, integrated, and used in consultation with legal counsel in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, or standards.
+
+
+
+
+
+
+
+ SYSTEM START-UP
+ AU-14 (1)
+
+
The information system initiates session audits at system start-up.
+
+
+
Determine if the information system initiates session audits at system start-up.
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing user session auditing
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing user session auditing capability
The information system provides the capability for authorized users to remotely view/hear all content related to an established user session in real time.
+
+
+
Determine if the information system provides the capability for authorized users to remotely view/hear all content related to an established user session in real time.
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing user session auditing
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing user session auditing capability
+
+
+
+
Determine if the information system provides the capability for authorized users to select a user session to:
+
+ AU-14[1]
+
capture/record; and/or
+
+
+ AU-14[2]
+
view/hear.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing user session auditing
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing user session auditing capability
The organization provides an alternate audit capability in the event of a failure in primary audit capability that provides .
+
+
+
Since an alternate audit capability may be a short-term protection employed until the failure in the primary auditing capability is corrected, organizations may determine that the alternate audit capability need only provide a subset of the primary audit functionality that is impacted by the failure.
+
+
+
+
Determine if the organization:
+
+ AU-15[1]
+
defines alternative audit functionality to be provided in the event of a failure in primary audit capability; and
+
+
+ AU-15[2]
+
provides an alternative audit capability in the event of a failure in primary audit capability that provides organization-defined alternative audit functionality.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing alternate audit capability
+
information system design documentation
+
information system configuration settings and associated documentation
+
test records for alternative audit capability
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel responsible for providing alternate audit capability
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing alternative audit capability
The organization employs for coordinating among external organizations when audit information is transmitted across organizational boundaries.
+
+
+
When organizations use information systems and/or services of external organizations, the auditing capability necessitates a coordinated approach across organizations. For example, maintaining the identity of individuals that requested particular services across organizational boundaries may often be very difficult, and doing so may prove to have significant performance ramifications. Therefore, it is often the case that cross-organizational auditing (e.g., the type of auditing capability provided by service-oriented architectures) simply captures the identity of individuals issuing requests at the initial information system, and subsequent systems record that the requests emanated from authorized individuals.
+
+
+
+ IDENTITY PRESERVATION
+ AU-16 (1)
+
+
The organization requires that the identity of individuals be preserved in cross-organizational audit trails.
+
+
+
This control enhancement applies when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual.
+
+
+
Determine if the organization requires that the identity of individuals be preserved in cross- organizational audit trails.
The organization provides cross-organizational audit information to based on .
+
+
+
Because of the distributed nature of the audit information, cross-organization sharing of audit information may be essential for effective analysis of the auditing being performed. For example, the audit records of one organization may not provide sufficient information to determine the appropriate or inappropriate use of organizational information resources by individuals in other organizations. In some instances, only the home organizations of individuals have the appropriate knowledge to make such determinations, thus requiring the sharing of audit information among organizations.
+
+
+
Determine if the organization:
+
+ AU-16(2)[1]
+
defines organizations with whom cross-organizational audit information is to be shared;
+
+
+ AU-16(2)[2]
+
defines cross-organizational sharing agreements to be used when providing cross-organizational audit information to organization-defined organizations; and
+
+
+ AU-16(2)[3]
+
provides cross-organizational audit information to organization-defined organizations based on organization-defined cross-organizational sharing agreements.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing cross-organizational sharing of audit information
+
cross-organizational sharing agreements
+
data sharing agreements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for sharing cross-organizational audit information
+
organizational personnel with information security responsibilities
+
+
+
+
Determine if the organization:
+
+ AU-16[1]
+
defines audit information to be coordinated among external organizations when audit information is transmitted across organizational boundaries;
+
+
+ AU-16[2]
+
defines methods for coordinating organization-defined audit information among external organizations when audit information is transmitted across organizational boundaries; and
+
+
+ AU-16[3]
+
employs organization-defined methods for coordinating organization-defined audit information among external organizations when audit information is transmitted across organizational boundaries.
+
+
+
+ EXAMINE
+
Audit and accountability policy
+
procedures addressing methods for coordinating audit information among external organizations
+
information system design documentation
+
information system configuration settings and associated documentation
+
methods for coordinating audit information among external organizations
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for coordinating audit information among external organizations
+
organizational personnel with information security responsibilities
+
+
+
+
+ SECURITY ASSESSMENT AND AUTHORIZATION
+
+ SECURITY ASSESSMENT AND AUTHORIZATION POLICY AND PROCEDURES
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ CA-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CA-1a.
+
Develops, documents, and disseminates to :
+
+ CA-1a.1.
+
A security assessment and authorization policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ CA-1a.2.
+
Procedures to facilitate the implementation of the security assessment and authorization policy and associated security assessment and authorization controls; and
+
+
+
+ CA-1b.
+
Reviews and updates the current:
+
+ CA-1b.1.
+
Security assessment and authorization policy ; and
+
+
+ CA-1b.2.
+
Security assessment and authorization procedures .
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+
+
+
+
Determine if the organization:
+
+ CA-1(a)(1)
+
+ CA-1(a)(1)[1]
+
develops and documents a security assessment and authorization policy that addresses:
+
+ CA-1(a)(1)[1][a]
+
purpose;
+
+
+ CA-1(a)(1)[1][b]
+
scope;
+
+
+ CA-1(a)(1)[1][c]
+
roles;
+
+
+ CA-1(a)(1)[1][d]
+
responsibilities;
+
+
+ CA-1(a)(1)[1][e]
+
management commitment;
+
+
+ CA-1(a)(1)[1][f]
+
coordination among organizational entities;
+
+
+ CA-1(a)(1)[1][g]
+
compliance;
+
+
+
+ CA-1(a)(1)[2]
+
defines personnel or roles to whom the security assessment and authorization policy is to be disseminated;
+
+
+ CA-1(a)(1)[3]
+
disseminates the security assessment and authorization policy to organization-defined personnel or roles;
+
+
+
+ CA-1(a)(2)
+
+ CA-1(a)(2)[1]
+
develops and documents procedures to facilitate the implementation of the security assessment and authorization policy and associated assessment and authorization controls;
+
+
+ CA-1(a)(2)[2]
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ CA-1(a)(2)[3]
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ CA-1(b)(1)
+
+ CA-1(b)(1)[1]
+
defines the frequency to review and update the current security assessment and authorization policy;
+
+
+ CA-1(b)(1)[2]
+
reviews and updates the current security assessment and authorization policy with the organization-defined frequency;
+
+
+
+ CA-1(b)(2)
+
+ CA-1(b)(2)[1]
+
defines the frequency to review and update the current security assessment and authorization procedures; and
+
+
+ CA-1(b)(2)[2]
+
reviews and updates the current security assessment and authorization procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Security assessment and authorization policy and procedures
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security assessment and authorization responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-53A
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ SECURITY ASSESSMENTS
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined individuals or roles
+ organization-defined individuals or roles
+
+ CA-2
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CA-2a.
+
Develops a security assessment plan that describes the scope of the assessment including:
+
+ CA-2a.1.
+
Security controls and control enhancements under assessment;
+
+
+ CA-2a.2.
+
Assessment procedures to be used to determine security control effectiveness; and
+
+
+ CA-2a.3.
+
Assessment environment, assessment team, and assessment roles and responsibilities;
+
+
+
+ CA-2b.
+
Assesses the security controls in the information system and its environment of operation to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;
+
+
+ CA-2c.
+
Produces a security assessment report that documents the results of the assessment; and
+
+
+ CA-2d.
+
Provides the results of the security control assessment to .
+
+
+
+
Organizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F (main catalog) and Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives.
+To satisfy annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control.
The organization employs assessors or assessment teams with to conduct security control assessments.
+
+
+
Independent assessors or assessment teams are individuals or groups who conduct impartial assessments of organizational information systems. Impartiality implies that assessors are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the organizational information systems under assessment or to the determination of security control effectiveness. To achieve impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of information systems and/or the ultimate risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. This includes determining whether contracted security assessment services have sufficient independence, for example, when information system owners are not directly involved in contracting processes or cannot unduly influence the impartiality of assessors conducting assessments. In special situations, for example, when organizations that own the information systems are small or organizational structures require that assessments are conducted by individuals that are in the developmental, operational, or management chain of system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Organizations recognize that assessments performed for purposes other than direct support to authorization decisions are, when performed by assessors with sufficient independence, more likely to be useable for such decisions, thereby reducing the need to repeat assessments.
+
+
+
Determine if the organization:
+
+ CA-2(1)[1]
+
defines the level of independence to be employed to conduct security control assessments; and
+
+
+ CA-2(1)[2]
+
employs assessors or assessment teams with the organization-defined level of independence to conduct security control assessments.
+
+
+
+ EXAMINE
+
Security assessment and authorization policy
+
procedures addressing security assessments
+
security authorization package (including security plan, security assessment plan, security assessment report, plan of action and milestones, authorization statement)
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security assessment responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ SPECIALIZED ASSESSMENTS
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined other forms of security assessment
+ organization-defined other forms of security assessment
+
+ CA-2 (2)
+ HIGH
+
+
The organization includes as part of security control assessments, , [Selection: announced; unannounced], [Selection (one or more): in-depth monitoring; vulnerability scanning; malicious user testing; insider threat assessment; performance/load testing; ].
+
+
+
Organizations can employ information system monitoring, insider threat assessments, malicious user testing, and other forms of testing (e.g., verification and validation) to improve readiness by exercising organizational capabilities and indicating current performance levels as a means of focusing actions to improve security. Organizations conduct assessment activities in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can incorporate vulnerabilities uncovered during assessments into vulnerability remediation processes.
+
+
+
+
+
Determine if the organization:
+
+ CA-2(2)[1]
+
selects one or more of the following forms of specialized security assessment to be included as part of security control assessments:
+
+ CA-2(2)[1][a]
+
in-depth monitoring;
+
+
+ CA-2(2)[1][b]
+
vulnerability scanning;
+
+
+ CA-2(2)[1][c]
+
malicious user testing;
+
+
+ CA-2(2)[1][d]
+
insider threat assessment;
+
+
+ CA-2(2)[1][e]
+
performance/load testing; and/or
+
+
+ CA-2(2)[1][f]
+
other forms of organization-defined specialized security assessment;
+
+
+
+ CA-2(2)[2]
+
defines the frequency for conducting the selected form(s) of specialized security assessment;
+
+
+ CA-2(2)[3]
+
defines whether the specialized security assessment will be announced or unannounced; and
+
+
+ CA-2(2)[4]
+
conducts announced or unannounced organization-defined forms of specialized security assessments with the organization-defined frequency as part of security control assessments.
+
+
+
+ EXAMINE
+
Security assessment and authorization policy
+
procedures addressing security assessments
+
security plan
+
security assessment plan
+
security assessment report
+
security assessment evidence
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security assessment responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting security control assessment
+
+
+
+ EXTERNAL ORGANIZATIONS
+
+ organization-defined information system
+ organization-defined information system
+
+
+ organization-defined external organization
+ organization-defined external organization
+
+
+ organization-defined requirements
+ organization-defined requirements
+
+ CA-2 (3)
+
+
The organization accepts the results of an assessment of performed by when the assessment meets .
+
+
+
Organizations may often rely on assessments of specific information systems by other (external) organizations. Utilizing such existing assessments (i.e., reusing existing assessment evidence) can significantly decrease the time and resources required for organizational assessments by limiting the amount of independent assessment activities that organizations need to perform. The factors that organizations may consider in determining whether to accept assessment results from external organizations can vary. Determinations for accepting assessment results can be based on, for example, past assessment experiences one organization has had with another organization, the reputation that organizations have with regard to assessments, the level of detail of supporting assessment documentation provided, or mandates imposed upon organizations by federal legislation, policies, or directives.
+
+
+
Determine if the organization:
+
+ CA-2(3)[1]
+
defines an information system for which the results of a security assessment performed by an external organization are to be accepted;
+
+
+ CA-2(3)[2]
+
defines an external organization from which to accept a security assessment performed on an organization-defined information system;
+
+
+ CA-2(3)[3]
+
defines the requirements to be met by a security assessment performed by organization-defined external organization on organization-defined information system; and
+
+
+ CA-2(3)[4]
+
accepts the results of an assessment of an organization-defined information system performed by an organization-defined external organization when the assessment meets organization-defined requirements.
+
+
+
+ EXAMINE
+
Security assessment and authorization policy
+
procedures addressing security assessments
+
security plan
+
security assessment requirements
+
security assessment plan
+
security assessment report
+
security assessment evidence
+
plan of action and milestones
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security assessment responsibilities
+
organizational personnel with information security responsibilities
+
personnel performing security assessments for the specified external organization
+
+
+
+
Determine if the organization:
+
+ CA-2(a)
+
develops a security assessment plan that describes the scope of the assessment including:
+
+ CA-2(a)(1)
+
security controls and control enhancements under assessment;
+
+
+ CA-2(a)(2)
+
assessment procedures to be used to determine security control effectiveness;
+
+
+ CA-2(a)(3)
+
+ CA-2(a)(3)[1]
+
assessment environment;
+
+
+ CA-2(a)(3)[2]
+
assessment team;
+
+
+ CA-2(a)(3)[3]
+
assessment roles and responsibilities;
+
+
+
+
+ CA-2(b)
+
+ CA-2(b)[1]
+
defines the frequency to assess the security controls in the information system and its environment of operation;
+
+
+ CA-2(b)[2]
+
assesses the security controls in the information system with the organization-defined frequency to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;
+
+
+
+ CA-2(c)
+
produces a security assessment report that documents the results of the assessment;
+
+
+ CA-2(d)
+
+ CA-2(d)[1]
+
defines individuals or roles to whom the results of the security control assessment are to be provided; and
+
+
+ CA-2(d)[2]
+
provides the results of the security control assessment to organization-defined individuals or roles.
+
+
+
+ Executive Order 13587
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-39
+
+
+ NIST Special Publication 800-53A
+
+
+ NIST Special Publication 800-115
+
+
+ NIST Special Publication 800-137
+
+
+
+
+ SYSTEM INTERCONNECTIONS
+
+ organization-defined frequency
+ organization-defined frequency
+
+ CA-3
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CA-3a.
+
Authorizes connections from the information system to other information systems through the use of Interconnection Security Agreements;
+
+
+ CA-3b.
+
Documents, for each interconnection, the interface characteristics, security requirements, and the nature of the information communicated; and
+
+
+ CA-3c.
+
Reviews and updates Interconnection Security Agreements .
+
+
+
+
This control applies to dedicated connections between information systems (i.e., system interconnections) and does not apply to transitory, user-controlled connections such as email and website browsing. Organizations carefully consider the risks that may be introduced when information systems are connected to other systems with different security requirements and security controls, both within organizations and external to organizations. Authorizing officials determine the risk associated with information system connections and the appropriate controls employed. If interconnecting systems have the same authorizing official, organizations do not need to develop Interconnection Security Agreements. Instead, organizations can describe the interface characteristics between those interconnecting systems in their respective security plans. If interconnecting systems have different authorizing officials within the same organization, organizations can either develop Interconnection Security Agreements or describe the interface characteristics between systems in the security plans for the respective systems. Organizations may also incorporate Interconnection Security Agreement information into formal contracts, especially for interconnections established between federal agencies and nonfederal (i.e., private sector) organizations. Risk considerations also include information systems sharing the same networks. For certain technologies (e.g., space, unmanned aerial vehicles, and medical devices), there may be specialized connections in place during preoperational testing. Such connections may require Interconnection Security Agreements and be subject to additional security controls.
+
+
+
+
+
+
+
+
+
+
+
+
+
+ UNCLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS
+
+ organization-defined unclassified, national security system
+ organization-defined unclassified, national security system
+
+
+ organization-defined boundary protection device
+ organization-defined boundary protection device
+
+ CA-3 (1)
+
+
The organization prohibits the direct connection of an to an external network without the use of .
+
+
+
Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).
+
+
+
Determine if the organization:
+
+ CA-3(1)[1]
+
defines an unclassified, national security system whose direct connection to an external network is to be prohibited without the use of approved boundary protection device;
+
+
+ CA-3(1)[2]
+
defines a boundary protection device to be used to establish the direct connection of an organization-defined unclassified, national security system to an external network; and
+
+
+ CA-3(1)[3]
+
prohibits the direct connection of an organization-defined unclassified, national security system to an external network without the use of an organization-defined boundary protection device.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing information system connections
+
system and communications protection policy
+
information system interconnection security agreements
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
security assessment report
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for managing direct connections to external networks
+
network administrators
+
organizational personnel with information security responsibilities
The organization prohibits the direct connection of a classified, national security system to an external network without the use of .
+
+
+
Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between classified national security systems and external networks. In addition, approved boundary protection devices (typically managed interface/cross-domain systems) provide information flow enforcement from information systems to external networks.
+
+
+
Determine if the organization:
+
+ CA-3(2)[1]
+
defines a boundary protection device to be used to establish the direct connection of a classified, national security system to an external network; and
+
+
+ CA-3(2)[2]
+
prohibits the direct connection of a classified, national security system to an external network without the use of an organization-defined boundary protection device.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing information system connections
+
system and communications protection policy
+
information system interconnection security agreements
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
security assessment report
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for managing direct connections to external networks
+
network administrators
+
organizational personnel with information security responsibilities
The organization prohibits the direct connection of an to an external network without the use of .
+
+
+
Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified non-national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).
+
+
+
Determine if the organization:
+
+ CA-3(3)[1]
+
defines an unclassified, non-national security system whose direct connection to an external network is to be prohibited without the use of approved boundary protection device;
+
+
+ CA-3(3)[2]
+
defines a boundary protection device to be used to establish the direct connection of an organization-defined unclassified, non-national security system to an external network; and
+
+
+ CA-3(3)[3]
+
prohibits the direct connection of an organization-defined unclassified, non-national security system to an external network without the use of an organization-defined boundary protection device.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing information system connections
+
system and communications protection policy
+
information system interconnection security agreements
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
security assessment report
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for managing direct connections to external networks
+
network administrators
+
organizational personnel with information security responsibilities
Automated mechanisms supporting the management of external network connections
+
+
+
+ CONNECTIONS TO PUBLIC NETWORKS
+
+ organization-defined information system
+ organization-defined information system
+
+ CA-3 (4)
+
+
The organization prohibits the direct connection of an to a public network.
+
+
+
A public network is any network accessible to the general public including, for example, the Internet and organizational extranets with public access.
+
+
+
Determine if the organization:
+
+ CA-3(4)[1]
+
defines an information system whose direct connection to a public network is to be prohibited; and
+
+
+ CA-3(4)[2]
+
prohibits the direct connection of an organization-defined information system to a public network.
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing information system connections
+
system and communications protection policy
+
information system interconnection security agreements
+
security plan
+
information system design documentation
+
+
information system configuration settings and associated documentation
+
security assessment report
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting the management of public network connections
+
+
+
+ RESTRICTIONS ON EXTERNAL SYSTEM CONNECTIONS
+
+ organization-defined information systems
+ organization-defined information systems
+
+ CA-3 (5)
+ MODERATE
+ HIGH
+
+
The organization employs [Selection: allow-all, deny-by-exception; deny-all, permit-by-exception] policy for allowing to connect to external information systems.
+
+
+
Organizations can constrain information system connectivity to external domains (e.g., websites) by employing one of two policies with regard to such connectivity: (i) allow-all, deny by exception, also known as blacklisting (the weaker of the two policies); or (ii) deny-all, allow by exception, also known as whitelisting (the stronger of the two policies). For either policy, organizations determine what exceptions, if any, are acceptable.
+
+
+
+
Determine if the organization:
+
+ CA-3(5)[1]
+
defines information systems to be allowed to connect to external information systems;
+
+
+ CA-3(5)[2]
+
employs one of the following policies for allowing organization-defined information systems to connect to external information systems:
+
+ CA-3(5)[2][a]
+
allow-all policy;
+
+
+ CA-3(5)[2][b]
+
deny-by-exception policy;
+
+
+ CA-3(5)[2][c]
+
deny-all policy; or
+
+
+ CA-3(5)[2][d]
+
permit-by-exception policy.
+
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing information system connections
+
system and communications protection policy
+
information system interconnection agreements
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
security assessment report
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for managing connections to external information systems
+
network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing restrictions on external system connections
+
+
+
+
Determine if the organization:
+
+ CA-3(a)
+
authorizes connections from the information system to other information systems through the use of Interconnection Security Agreements;
+
+
+ CA-3(b)
+
documents, for each interconnection:
+
+ CA-3(b)[1]
+
the interface characteristics;
+
+
+ CA-3(b)[2]
+
the security requirements;
+
+
+ CA-3(b)[3]
+
the nature of the information communicated;
+
+
+
+ CA-3(c)
+
+ CA-3(c)[1]
+
defines the frequency to review and update Interconnection Security Agreements; and
+
+
+ CA-3(c)[2]
+
reviews and updates Interconnection Security Agreements with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing information system connections
+
system and communications protection policy
+
information system Interconnection Security Agreements
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for developing, implementing, or approving information system interconnection agreements
+
organizational personnel with information security responsibilities
+
personnel managing the system(s) to which the Interconnection Security Agreement applies
+
+
+
+ PLAN OF ACTION AND MILESTONES
+
+ organization-defined frequency
+ organization-defined frequency
+
+ CA-5
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CA-5a.
+
Develops a plan of action and milestones for the information system to document the organization�s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system; and
+
+
+ CA-5b.
+
Updates existing plan of action and milestones based on the findings from security controls assessments, security impact analyses, and continuous monitoring activities.
+
+
+
+
Plans of action and milestones are key documents in security authorization packages and are subject to federal reporting requirements established by OMB.
+
+
+
+
+
+
+ AUTOMATION SUPPORT FOR ACCURACY / CURRENCY
+ CA-5 (1)
+
+
The organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is accurate, up to date, and readily available.
+
+
+
Determine if the organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is:
+
+ CA-5(1)[1]
+
accurate;
+
+
+ CA-5(1)[2]
+
up to date; and
+
+
+ CA-5(1)[3]
+
readily available.
+
+
+
+ EXAMINE
+
Security assessment and authorization policy
+
procedures addressing plan of action and milestones
+
information system design documentation, information system configuration settings and associated documentation
+
information system audit records
+
plan of action and milestones
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with plan of action and milestones development and implementation responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms for developing, implementing and maintaining plan of action and milestones
+
+
+
+
Determine if the organization:
+
+ CA-5(a)
+
develops a plan of action and milestones for the information system to:
+
+ CA-5(a)[1]
+
document the organization’s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls;
+
+
+ CA-5(a)[2]
+
reduce or eliminate known vulnerabilities in the system;
+
+
+
+ CA-5(b)
+
+ CA-5(b)[1]
+
defines the frequency to update the existing plan of action and milestones;
+
+
+ CA-5(b)[2]
+
updates the existing plan of action and milestones with the organization-defined frequency based on the findings from:
+
+ CA-5(b)[2][a]
+
security controls assessments;
+
+
+ CA-5(b)[2][b]
+
security impact analyses; and
+
+
+ CA-5(b)[2][c]
+
continuous monitoring activities.
+
+
+
+
+
+ EXAMINE
+
Security assessment and authorization policy
+
procedures addressing plan of action and milestones
+
security plan
+
security assessment plan
+
security assessment report
+
security assessment evidence
+
plan of action and milestones
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with plan of action and milestones development and implementation responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms for developing, implementing, and maintaining plan of action and milestones
Assigns a senior-level executive or manager as the authorizing official for the information system;
+
+
+ CA-6b.
+
Ensures that the authorizing official authorizes the information system for processing before commencing operations; and
+
+
+ CA-6c.
+
Updates the security authorization .
+
+
+
+
Security authorizations are official management decisions, conveyed through authorization decision documents, by senior organizational officials or executives (i.e., authorizing officials) to authorize operation of information systems and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon security controls. Authorizing officials provide budgetary oversight for organizational information systems or assume responsibility for the mission/business operations supported by those systems. The security authorization process is an inherently federal responsibility and therefore, authorizing officials must be federal employees. Through the security authorization process, authorizing officials assume responsibility and are accountable for security risks associated with the operation and use of organizational information systems. Accordingly, authorizing officials are in positions with levels of authority commensurate with understanding and accepting such information security-related risks. OMB policy requires that organizations conduct ongoing authorizations of information systems by implementing continuous monitoring programs. Continuous monitoring programs can satisfy three-year reauthorization requirements, so separate reauthorization processes are not necessary. Through the employment of comprehensive continuous monitoring processes, critical information contained in authorization packages (i.e., security plans, security assessment reports, and plans of action and milestones) is updated on an ongoing basis, providing authorizing officials and information system owners with an up-to-date status of the security state of organizational information systems and environments of operation. To reduce the administrative cost of security reauthorization, authorizing officials use the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.
+
+
+
+
+
+
+
Determine if the organization:
+
+ CA-6(a)
+
assigns a senior-level executive or manager as the authorizing official for the information system;
+
+
+ CA-6(b)
+
ensures that the authorizing official authorizes the information system for processing before commencing operations;
+
+
+ CA-6(c)
+
+ CA-6(c)[1]
+
defines the frequency to update the security authorization; and
+
+
+ CA-6(c)[2]
+
updates the security authorization with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Security assessment and authorization policy
+
procedures addressing security authorization
+
security authorization package (including security plan
+
security assessment report
+
plan of action and milestones
+
authorization statement)
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security authorization responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms that facilitate security authorizations and updates
The organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes:
+
+ CA-7a.
+
Establishment of to be monitored;
+
+
+ CA-7b.
+
Establishment of for monitoring and for assessments supporting such monitoring;
+
+
+ CA-7c.
+
Ongoing security control assessments in accordance with the organizational continuous monitoring strategy;
+
+
+ CA-7d.
+
Ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;
+
+
+ CA-7e.
+
Correlation and analysis of security-related information generated by assessments and monitoring;
+
+
+ CA-7f.
+
Response actions to address results of the analysis of security-related information; and
+
+
+ CA-7g.
+
Reporting the security status of organization and the information system to
+ .
+
+
+
+
Continuous monitoring programs facilitate ongoing awareness of threats, vulnerabilities, and information security to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess/analyze security controls and information security-related risks at a frequency sufficient to support organizational risk-based decisions. The results of continuous monitoring programs generate appropriate risk response actions by organizations. Continuous monitoring programs also allow organizations to maintain the security authorizations of information systems and common controls over time in highly dynamic environments of operation with changing mission/business needs, threats, vulnerabilities, and technologies. Having access to security-related information on a continuing basis through reports/dashboards gives organizational officials the capability to make more effective and timely risk management decisions, including ongoing security authorization decisions. Automation supports more frequent updates to security authorization packages, hardware/software/firmware inventories, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of information systems.
The organization employs assessors or assessment teams with to monitor the security controls in the information system on an ongoing basis.
+
+
+
Organizations can maximize the value of assessments of security controls during the continuous monitoring process by requiring that such assessments be conducted by assessors or assessment teams with appropriate levels of independence based on continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in advocacy positions for the organizations acquiring their services.
+
+
+
Determine if the organization:
+
+ CA-7(1)[1]
+
defines a level of independence to be employed to monitor the security controls in the information system on an ongoing basis; and
+
+
+ CA-7(1)[2]
+
employs assessors or assessment teams with the organization-defined level of independence to monitor the security controls in the information system on an ongoing basis.
+
+
+
+ EXAMINE
+
Security assessment and authorization policy
+
procedures addressing continuous monitoring of information system security controls
+
security plan
+
security assessment report
+
plan of action and milestones
+
information system monitoring records
+
security impact analyses
+
status reports
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with continuous monitoring responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ TYPES OF ASSESSMENTS
+ CA-7 (2)
+
+
+
+ Incorporated into CA-2.
+
+
+
+ TREND ANALYSES
+ CA-7 (3)
+
+
The organization employs trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/or the types of activities used in the continuous monitoring process need to be modified based on empirical data.
+
+
+
Trend analyses can include, for example, examining recent threat information regarding the types of threat events that have occurred within the organization or across the federal government, success rates of certain types of cyber attacks, emerging vulnerabilities in information technologies, evolving social engineering techniques, results from multiple security control assessments, the effectiveness of configuration settings, and findings from Inspectors General or auditors.
+
+
+
Determine if the organization employs trend analyses to determine if the following items need to be modified based on empirical data:
+
+ CA-7(3)[1]
+
security control implementations;
+
+
+ CA-7(3)[2]
+
the frequency of continuous monitoring activities; and/or
+
+
+ CA-7(3)[3]
+
the types of activities used in the continuous monitoring process.
+
+
+
+ EXAMINE
+
Continuous monitoring strategy
+
Security assessment and authorization policy
+
procedures addressing continuous monitoring of information system security controls
+
security plan
+
security assessment report
+
plan of action and milestones
+
information system monitoring records
+
security impact analyses
+
status reports
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with continuous monitoring responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+
Determine if the organization:
+
+ CA-7(a)
+
+ CA-7(a)[1]
+
develops a continuous monitoring strategy that defines metrics to be monitored;
+
+
+ CA-7(a)[2]
+
develops a continuous monitoring strategy that includes monitoring of organization-defined metrics;
+
+
+ CA-7(a)[3]
+
implements a continuous monitoring program that includes monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;
+
+
+
+ CA-7(b)
+
+ CA-7(b)[1]
+
develops a continuous monitoring strategy that defines frequencies for monitoring;
+
+
+ CA-7(b)[2]
+
defines frequencies for assessments supporting monitoring;
+
+
+ CA-7(b)[3]
+
develops a continuous monitoring strategy that includes establishment of the organization-defined frequencies for monitoring and for assessments supporting monitoring;
+
+
+ CA-7(b)[4]
+
implements a continuous monitoring program that includes establishment of organization-defined frequencies for monitoring and for assessments supporting such monitoring in accordance with the organizational continuous monitoring strategy;
+
+
+
+ CA-7(c)
+
+ CA-7(c)[1]
+
develops a continuous monitoring strategy that includes ongoing security control assessments;
+
+
+ CA-7(c)[2]
+
implements a continuous monitoring program that includes ongoing security control assessments in accordance with the organizational continuous monitoring strategy;
+
+
+
+ CA-7(d)
+
+ CA-7(d)[1]
+
develops a continuous monitoring strategy that includes ongoing security status monitoring of organization-defined metrics;
+
+
+ CA-7(d)[2]
+
implements a continuous monitoring program that includes ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;
+
+
+
+ CA-7(e)
+
+ CA-7(e)[1]
+
develops a continuous monitoring strategy that includes correlation and analysis of security-related information generated by assessments and monitoring;
+
+
+ CA-7(e)[2]
+
implements a continuous monitoring program that includes correlation and analysis of security-related information generated by assessments and monitoring in accordance with the organizational continuous monitoring strategy;
+
+
+
+ CA-7(f)
+
+ CA-7(f)[1]
+
develops a continuous monitoring strategy that includes response actions to address results of the analysis of security-related information;
+
+
+ CA-7(f)[2]
+
implements a continuous monitoring program that includes response actions to address results of the analysis of security-related information in accordance with the organizational continuous monitoring strategy;
+
+
+
+ CA-7(g)
+
+ CA-7(g)[1]
+
develops a continuous monitoring strategy that defines the personnel or roles to whom the security status of the organization and information system are to be reported;
+
+
+ CA-7(g)[2]
+
develops a continuous monitoring strategy that defines the frequency to report the security status of the organization and information system to organization-defined personnel or roles;
+
+
+ CA-7(g)[3]
+
develops a continuous monitoring strategy that includes reporting the security status of the organization or information system to organizational-defined personnel or roles with the organization-defined frequency; and
+
+
+ CA-7(g)[4]
+
implements a continuous monitoring program that includes reporting the security status of the organization and information system to organization-defined personnel or roles with the organization-defined frequency in accordance with the organizational continuous monitoring strategy.
+
+
+
+
+ EXAMINE
+
Security assessment and authorization policy
+
procedures addressing continuous monitoring of information system security controls
Organizational personnel with continuous monitoring responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Mechanisms implementing continuous monitoring
+
+
+
+ OMB Memorandum 11-33
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-39
+
+
+ NIST Special Publication 800-53A
+
+
+ NIST Special Publication 800-115
+
+
+ NIST Special Publication 800-137
+
+
+ US-CERT Technical Cyber Security Alerts
+
+
+ DoD Information Assurance Vulnerability Alerts
+
+
+
+
+ PENETRATION TESTING
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined information systems or system components
+ organization-defined information systems or system components
+
+ CA-8
+ P2
+ HIGH
+
+
The organization conducts penetration testing on .
+
+
+
Penetration testing is a specialized type of assessment conducted on information systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Such testing can be used to either validate vulnerabilities or determine the degree of resistance organizational information systems have to adversaries within a set of specified constraints (e.g., time, resources, and/or skills). Penetration testing attempts to duplicate the actions of adversaries in carrying out hostile cyber attacks against organizations and provides a more in-depth analysis of security-related weaknesses/deficiencies. Organizations can also use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted on the hardware, software, or firmware components of an information system and can exercise both physical and technical security controls. A standard method for penetration testing includes, for example: (i) pretest analysis based on full knowledge of the target system; (ii) pretest identification of potential vulnerabilities based on pretest analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. All parties agree to the rules of engagement before the commencement of penetration testing scenarios. Organizations correlate the penetration testing rules of engagement with the tools, techniques, and procedures that are anticipated to be employed by adversaries carrying out attacks. Organizational risk assessments guide decisions on the level of independence required for personnel conducting penetration testing.
+
+
+
+ INDEPENDENT PENETRATION AGENT OR TEAM
+ CA-8 (1)
+
+
The organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components.
+
+
+
Independent penetration agents or teams are individuals or groups who conduct impartial penetration testing of organizational information systems. Impartiality implies that penetration agents or teams are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the information systems that are the targets of the penetration testing. Supplemental guidance for CA-2 (1) provides additional information regarding independent assessments that can be applied to penetration testing.
+
+
+
+
Determine if the organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components.
+
+
+ EXAMINE
+
Security assessment and authorization policy
+
procedures addressing penetration testing
+
security plan
+
security assessment plan
+
penetration test report
+
security assessment report
+
security assessment evidence
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security assessment responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ RED TEAM EXERCISES
+
+ organization-defined red team exercises
+ organization-defined red team exercises
+
+
+ organization-defined rules of engagement
+ organization-defined rules of engagement
+
+ CA-8 (2)
+
+
The organization employs to simulate attempts by adversaries to compromise organizational information systems in accordance with .
+
+
+
Red team exercises extend the objectives of penetration testing by examining the security posture of organizations and their ability to implement effective cyber defenses. As such, red team exercises reflect simulated adversarial attempts to compromise organizational mission/business functions and provide a comprehensive assessment of the security state of information systems and organizations. Simulated adversarial attempts to compromise organizational missions/business functions and the information systems that support those missions/functions may include technology-focused attacks (e.g., interactions with hardware, software, or firmware components and/or mission/business processes) and social engineering-based attacks (e.g., interactions via email, telephone, shoulder surfing, or personal conversations). While penetration testing may be largely laboratory-based testing, organizations use red team exercises to provide more comprehensive assessments that reflect real-world conditions. Red team exercises can be used to improve security awareness and training and to assess levels of security control effectiveness.
+
+
+
Determine if the organization:
+
+ CA-8(2)[1]
+
defines red team exercises to be employed to simulate attempts by adversaries to compromise organizational information systems;
+
+
+ CA-8(2)[2]
+
defines rules of engagement for employing organization-defined red team exercises; and
+
+
+ CA-8(2)[3]
+
employs organization-defined red team exercises to simulate attempts by adversaries to compromise organizational information systems in accordance with organization-defined rules of engagement.
+
+
+
+ EXAMINE
+
Security assessment and authorization policy
+
procedures addressing penetration testing
+
procedures addressing red team exercises
+
security plan
+
security assessment plan
+
results of red team exercise
+
penetration test report
+
security assessment report
+
rules of engagement
+
security assessment evidence
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security assessment responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms supporting employment of red team exercises
+
+
+
+
Determine if the organization:
+
+ CA-8[1]
+
defines information systems or system components on which penetration testing is to be conducted;
+
+
+ CA-8[2]
+
defines the frequency to conduct penetration testing on organization-defined information systems or system components; and
+
+
+ CA-8[3]
+
conducts penetration testing on organization-defined information systems or system components with the organization-defined frequency.
+
+
+
+ EXAMINE
+
Security assessment and authorization policy
+
procedures addressing penetration testing
+
security plan
+
security assessment plan
+
penetration test report
+
security assessment report
+
security assessment evidence
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security assessment responsibilities
+
organizational personnel with information security responsibilities, system/network administrators
+
+
+
+ INTERNAL SYSTEM CONNECTIONS
+
+ organization-defined information system components or classes of components
+ organization-defined information system components or classes of components
+
+ CA-9
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CA-9a.
+
Authorizes internal connections of to the information system; and
+
+
+ CA-9b.
+
Documents, for each internal connection, the interface characteristics, security requirements, and the nature of the information communicated.
+
+
+
+
This control applies to connections between organizational information systems and (separate) constituent system components (i.e., intra-system connections) including, for example, system connections with mobile devices, notebook/desktop computers, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal connection, organizations can authorize internal connections for a class of components with common characteristics and/or configurations, for example, all digital printers, scanners, and copiers with a specified processing, storage, and transmission capability or all smart phones with a specific baseline configuration.
The information system performs security compliance checks on constituent system components prior to the establishment of the internal connection.
+
+
+
Security compliance checks may include, for example, verification of the relevant baseline configuration.
+
+
+
+
Determine if the information system performs security compliance checks on constituent system components prior to the establishment of the internal connection.
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing information system connections
+
system and communications protection policy
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of components or classes of components authorized as internal system connections
+
security assessment report
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for developing, implementing, or authorizing internal system connections
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting compliance checks
+
+
+
+
Determine if the organization:
+
+ CA-9(a)
+
+ CA-9(a)[1]
+
defines information system components or classes of components to be authorized as internal connections to the information system;
+
+
+ CA-9(a)[2]
+
authorizes internal connections of organization-defined information system components or classes of components to the information system;
+
+
+
+ CA-9(b)
+
documents, for each internal connection:
+
+ CA-9(b)[1]
+
the interface characteristics;
+
+
+ CA-9(b)[2]
+
the security requirements; and
+
+
+ CA-9(b)[3]
+
the nature of the information communicated.
+
+
+
+
+ EXAMINE
+
Access control policy
+
procedures addressing information system connections
+
system and communications protection policy
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of components or classes of components authorized as internal system connections
+
security assessment report
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for developing, implementing, or authorizing internal system connections
+
organizational personnel with information security responsibilities
+
+
+
+
+ CONFIGURATION MANAGEMENT
+
+ CONFIGURATION MANAGEMENT POLICY AND PROCEDURES
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ CM-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CM-1a.
+
Develops, documents, and disseminates to :
+
+ CM-1a.1.
+
A configuration management policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ CM-1a.2.
+
Procedures to facilitate the implementation of the configuration management policy and associated configuration management controls; and
+
+
+
+ CM-1b.
+
Reviews and updates the current:
+
+ CM-1b.1.
+
Configuration management policy ; and
+
+
+ CM-1b.2.
+
Configuration management procedures .
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CM family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+
+
+
+
Determine if the organization:
+
+ CM-1(a)(1)
+
+ CM-1(a)(1)[1]
+
develops and documents a configuration management policy that addresses:
+
+ CM-1(a)(1)[1][a]
+
purpose;
+
+
+ CM-1(a)(1)[1][b]
+
scope;
+
+
+ CM-1(a)(1)[1][c]
+
roles;
+
+
+ CM-1(a)(1)[1][d]
+
responsibilities;
+
+
+ CM-1(a)(1)[1][e]
+
management commitment;
+
+
+ CM-1(a)(1)[1][f]
+
coordination among organizational entities;
+
+
+ CM-1(a)(1)[1][g]
+
compliance;
+
+
+
+ CM-1(a)(1)[2]
+
defines personnel or roles to whom the configuration management policy is to be disseminated;
+
+
+ CM-1(a)(1)[3]
+
disseminates the configuration management policy to organization-defined personnel or roles;
+
+
+
+ CM-1(a)(2)
+
+ CM-1(a)(2)[1]
+
develops and documents procedures to facilitate the implementation of the configuration management policy and associated configuration management controls;
+
+
+ CM-1(a)(2)[2]
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ CM-1(a)(2)[3]
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ CM-1(b)(1)
+
+ CM-1(b)(1)[1]
+
defines the frequency to review and update the current configuration management policy;
+
+
+ CM-1(b)(1)[2]
+
reviews and updates the current configuration management policy with the organization-defined frequency;
+
+
+
+ CM-1(b)(2)
+
+ CM-1(b)(2)[1]
+
defines the frequency to review and update the current configuration management procedures; and
+
+
+ CM-1(b)(2)[2]
+
reviews and updates the current configuration management procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Configuration management policy and procedures
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with configuration management responsibilities
+
organizational personnel with information security responsibilities
The organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system.
+
+
+
This control establishes baseline configurations for information systems and system components including communications and connectivity-related aspects of systems. Baseline configurations are documented, formally reviewed and agreed-upon sets of specifications for information systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, and/or changes to information systems. Baseline configurations include information about information system components (e.g., standard software packages installed on workstations, notebook computers, servers, network components, or mobile devices; current version numbers and patch information on operating systems and applications; and configuration settings/parameters), network topology, and the logical placement of those components within the system architecture. Maintaining baseline configurations requires creating new baselines as organizational information systems change over time. Baseline configurations of information systems reflect the current enterprise architecture.
+
+
+
+
+
+
+
+
+
+ REVIEWS AND UPDATES
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ Assignment organization-defined circumstances
+ Assignment organization-defined circumstances
+
+ CM-2 (1)
+ MODERATE
+ HIGH
+
+
The organization reviews and updates the baseline configuration of the information system:
+
+ CM-2 (1)(a)
+
+ ;
+
+
+ CM-2 (1)(b)
+
When required due to ; and
+
+
+ CM-2 (1)(c)
+
As an integral part of information system component installations and upgrades.
+
+
+
+
+
+
+
Determine if the organization:
+
+ CM-2(1)(a)
+
+ CM-2(1)(a)[1]
+
defines the frequency to review and update the baseline configuration of the information system;
+
+
+ CM-2(1)(a)[2]
+
reviews and updates the baseline configuration of the information system with the organization-defined frequency;
+
+
+
+ CM-2(1)(b)
+
+ CM-2(1)(b)[1]
+
defines circumstances that require the baseline configuration of the information system to be reviewed and updated;
+
+
+ CM-2(1)(b)[2]
+
reviews and updates the baseline configuration of the information system when required due to organization-defined circumstances; and
+
+
+
+ CM-2(1)(c)
+
reviews and updates the baseline configuration of the information system as an integral part of information system component installations and upgrades.
+
+
+
+ EXAMINE
+
Configuration management policy
+
configuration management plan
+
procedures addressing the baseline configuration of the information system
+
procedures addressing information system component installations and upgrades
+
information system architecture and configuration documentation
+
information system configuration settings and associated documentation
+
records of information system baseline configuration reviews and updates
+
information system component installations/upgrades and associated records
+
change control records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with configuration management responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for managing baseline configurations
+
automated mechanisms supporting review and update of the baseline configuration
+
+
+
+ AUTOMATION SUPPORT FOR ACCURACY / CURRENCY
+ CM-2 (2)
+ HIGH
+
+
The organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the information system.
+
+
+
Automated mechanisms that help organizations maintain consistent baseline configurations for information systems include, for example, hardware and software inventory tools, configuration management tools, and network management tools. Such tools can be deployed and/or allocated as common controls, at the information system level, or at the operating system or component level (e.g., on workstations, servers, notebook computers, network components, or mobile devices). Tools can be used, for example, to track version numbers on operating system applications, types of software installed, and current patch levels. This control enhancement can be satisfied by the implementation of CM-8 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.
+
+
+
+
+
Determine if the organization employs automated mechanisms to maintain:
+
+ CM-2(2)[1]
+
an up-to-date baseline configuration of the information system;
+
+
+ CM-2(2)[2]
+
a complete baseline configuration of the information system;
+
+
+ CM-2(2)[3]
+
an accurate baseline configuration of the information system; and
+
+
+ CM-2(2)[4]
+
a readily available baseline configuration of the information system.
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing the baseline configuration of the information system
+
configuration management plan
+
information system design documentation
+
information system architecture and configuration documentation
+
information system configuration settings and associated documentation
+
configuration change control records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with configuration management responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for managing baseline configurations
+
+
+
+ RETENTION OF PREVIOUS CONFIGURATIONS
+
+ organization-defined previous versions of baseline configurations of the information system
+ organization-defined previous versions of baseline configurations of the information system
+
+ CM-2 (3)
+ MODERATE
+ HIGH
+
+
The organization retains to support rollback.
+
+
+
Retaining previous versions of baseline configurations to support rollback may include, for example, hardware, software, firmware, configuration files, and configuration records.
+
+
+
Determine if the organization:
+
+ CM-2(3)[1]
+
defines previous versions of baseline configurations of the information system to be retained to support rollback; and
+
+
+ CM-2(3)[2]
+
retains organization-defined previous versions of baseline configurations of the information system to support rollback.
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing the baseline configuration of the information system
+
configuration management plan
+
information system architecture and configuration documentation
+
information system configuration settings and associated documentation
+
copies of previous baseline configuration versions
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with configuration management responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for managing baseline configurations
+
+
+
+ UNAUTHORIZED SOFTWARE
+ CM-2 (4)
+
+
+
+ Incorporated into CM-7.
+
+
+
+ AUTHORIZED SOFTWARE
+ CM-2 (5)
+
+
+
+ Incorporated into CM-7.
+
+
+
+ DEVELOPMENT AND TEST ENVIRONMENTS
+ CM-2 (6)
+
+
The organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration.
+
+
+
Establishing separate baseline configurations for development, testing, and operational environments helps protect information systems from unplanned/unexpected events related to development and testing activities. Separate baseline configurations allow organizations to apply the configuration management that is most appropriate for each type of configuration. For example, management of operational configurations typically emphasizes the need for stability, while management of development/test configurations requires greater flexibility. Configurations in the test environment mirror the configurations in the operational environment to the extent practicable so that the results of the testing are representative of the proposed changes to the operational systems. This control enhancement requires separate configurations but not necessarily separate physical environments.
+
+
+
+
+
+
Determine if the organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration.
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing the baseline configuration of the information system
+
configuration management plan
+
information system design documentation
+
information system architecture and configuration documentation
+
information system configuration settings and associated documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with configuration management responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for managing baseline configurations
+
automated mechanisms implementing separate baseline configurations for development, test, and operational environments
+
+
+
+ CONFIGURE SYSTEMS, COMPONENTS, OR DEVICES FOR HIGH-RISK AREAS
+
+ organization-defined information systems, system components, or devices
+ organization-defined information systems, system components, or devices
+
+
+ organization-defined configurations
+ organization-defined configurations
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+ CM-2 (7)
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CM-2 (7)(a)
+
Issues with to individuals traveling to locations that the organization deems to be of significant risk; and
+
+
+ CM-2 (7)(b)
+
Applies to the devices when the individuals return.
+
+
+
+
When it is known that information systems, system components, or devices (e.g., notebook computers, mobile devices) will be located in high-risk areas, additional security controls may be implemented to counter the greater threat in such areas coupled with the lack of physical security relative to organizational-controlled areas. For example, organizational policies and procedures for notebook computers used by individuals departing on and returning from travel include, for example, determining which locations are of concern, defining required configurations for the devices, ensuring that the devices are configured as intended before travel is initiated, and applying specific safeguards to the device after travel is completed. Specially configured notebook computers include, for example, computers with sanitized hard drives, limited applications, and additional hardening (e.g., more stringent configuration settings). Specified safeguards applied to mobile devices upon return from travel include, for example, examining the device for signs of physical tampering and purging/reimaging the hard disk drive. Protecting information residing on mobile devices is covered in the media protection family.
+
+
+
Determine if the organization:
+
+ CM-2(7)(a)
+
+ CM-2(7)(a)[1]
+
defines information systems, system components, or devices to be issued to individuals traveling to locations that the organization deems to be of significant risk;
+
+
+ CM-2(7)(a)[2]
+
defines configurations to be employed on organization-defined information systems, system components, or devices issued to individuals traveling to such locations;
+
+
+ CM-2(7)(a)[3]
+
issues organization-defined information systems, system components, or devices with organization-defined configurations to individuals traveling to locations that the organization deems to be of significant risk;
+
+
+
+ CM-2(7)(b)
+
+ CM-2(7)(b)[1]
+
defines security safeguards to be applied to the devices when the individuals return; and
+
+
+ CM-2(7)(b)[2]
+
applies organization-defined safeguards to the devices when the individuals return.
+
+
+
+
+ EXAMINE
+
Configuration management policy
+
configuration management plan
+
procedures addressing the baseline configuration of the information system
+
procedures addressing information system component installations and upgrades
+
information system architecture and configuration documentation
+
information system configuration settings and associated documentation
+
records of information system baseline configuration reviews and updates
+
information system component installations/upgrades and associated records
+
change control records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with configuration management responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for managing baseline configurations
+
+
+
+
Determine if the organization:
+
+ CM-2[1]
+
develops and documents a current baseline configuration of the information system; and
+
+
+ CM-2[2]
+
maintains, under configuration control, a current baseline configuration of the information system.
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing the baseline configuration of the information system
+
configuration management plan
+
enterprise architecture documentation
+
information system design documentation
+
information system architecture and configuration documentation
+
information system configuration settings and associated documentation
+
change control records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with configuration management responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for managing baseline configurations
+
automated mechanisms supporting configuration control of the baseline configuration
+
+
+
+ NIST Special Publication 800-128
+
+
+
+
+ CONFIGURATION CHANGE CONTROL
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined configuration change control element (e.g., committee, board)
+ organization-defined configuration change control element (e.g., committee, board)
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined configuration change conditions
+ organization-defined configuration change conditions
+
+ CM-3
+ P1
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CM-3a.
+
Determines the types of changes to the information system that are configuration-controlled;
+
+
+ CM-3b.
+
Reviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses;
+
+
+ CM-3c.
+
Documents configuration change decisions associated with the information system;
+
+
+ CM-3d.
+
Implements approved configuration-controlled changes to the information system;
+
+
+ CM-3e.
+
Retains records of configuration-controlled changes to the information system for ;
+
+
+ CM-3f.
+
Audits and reviews activities associated with configuration-controlled changes to the information system; and
+
+
+ CM-3g.
+
Coordinates and provides oversight for configuration change control activities through that convenes [Selection (one or more): ; ].
+
+
+
+
Configuration change controls for organizational information systems involve the systematic proposal, justification, implementation, testing, review, and disposition of changes to the systems, including system upgrades and modifications. Configuration change control includes changes to baseline configurations for components and configuration items of information systems, changes to configuration settings for information technology products (e.g., operating systems, applications, firewalls, routers, and mobile devices), unscheduled/unauthorized changes, and changes to remediate vulnerabilities. Typical processes for managing configuration changes to information systems include, for example, Configuration Control Boards that approve proposed changes to systems. For new development information systems or systems undergoing major upgrades, organizations consider including representatives from development organizations on the Configuration Control Boards. Auditing of changes includes activities before and after changes are made to organizational information systems and the auditing activities required to implement such changes.
+
+
+
+
+
+
+
+
+
+
+
+ AUTOMATED DOCUMENT / NOTIFICATION / PROHIBITION OF CHANGES
+
+ organized-defined approval authorities
+ organized-defined approval authorities
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined personnel
+ organization-defined personnel
+
+ CM-3 (1)
+ HIGH
+
+
The organization employs automated mechanisms to:
+
+ CM-3 (1)(a)
+
Document proposed changes to the information system;
+
+
+ CM-3 (1)(b)
+
Notify of proposed changes to the information system and request change approval;
+
+
+ CM-3 (1)(c)
+
Highlight proposed changes to the information system that have not been approved or disapproved by ;
+
+
+ CM-3 (1)(d)
+
Prohibit changes to the information system until designated approvals are received;
+
+
+ CM-3 (1)(e)
+
Document all changes to the information system; and
+
+
+ CM-3 (1)(f)
+
Notify when approved changes to the information system are completed.
+
+
+
+
Determine if the organization:
+
+ CM-3(1)(a)
+
employs automated mechanisms to document proposed changes to the information system;
+
+
+ CM-3(1)(b)
+
+ CM-3(1)(b)[1]
+
defines approval authorities to be notified of proposed changes to the information system and request change approval;
+
+
+ CM-3(1)(b)[2]
+
employs automated mechanisms to notify organization-defined approval authorities of proposed changes to the information system and request change approval;
+
+
+
+ CM-3(1)(c)
+
+ CM-3(1)(c)[1]
+
defines the time period within which proposed changes to the information system that have not been approved or disapproved must be highlighted;
+
+
+ CM-3(1)(c)[2]
+
employs automated mechanisms to highlight proposed changes to the information system that have not been approved or disapproved by organization-defined time period;
+
+
+
+ CM-3(1)(d)
+
employs automated mechanisms to prohibit changes to the information system until designated approvals are received;
+
+
+ CM-3(1)(e)
+
employs automated mechanisms to document all changes to the information system;
+
+
+ CM-3(1)(f)
+
+ CM-3(1)(f)[1]
+
defines personnel to be notified when approved changes to the information system are completed; and
+
+
+ CM-3(1)(f)[2]
+
employs automated mechanisms to notify organization-defined personnel when approved changes to the information system are completed.
+
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing information system configuration change control
+
configuration management plan
+
information system design documentation
+
information system architecture and configuration documentation
+
automated configuration control mechanisms
+
information system configuration settings and associated documentation
+
change control records
+
information system audit records
+
change approval requests
+
change approvals
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with configuration change control responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Organizational processes for configuration change control
+
automated mechanisms implementing configuration change control activities
+
+
+
+ TEST / VALIDATE / DOCUMENT CHANGES
+ CM-3 (2)
+ MODERATE
+ HIGH
+
+
The organization tests, validates, and documents changes to the information system before implementing the changes on the operational system.
+
+
+
Changes to information systems include modifications to hardware, software, or firmware components and configuration settings defined in CM-6. Organizations ensure that testing does not interfere with information system operations. Individuals/groups conducting tests understand organizational security policies and procedures, information system security policies and procedures, and the specific health, safety, and environmental risks associated with particular facilities/processes. Operational systems may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If information systems must be taken off-line for testing, the tests are scheduled to occur during planned system outages whenever possible. If testing cannot be conducted on operational systems, organizations employ compensating controls (e.g., testing on replicated systems).
+
+
+
Determine if the organization, before implementing changes on the operational system:
+
+ CM-3(2)[1]
+
tests changes to the information system;
+
+
+ CM-3(2)[2]
+
validates changes to the information system; and
+
+
+ CM-3(2)[3]
+
documents changes to the information system.
+
+
+
+ EXAMINE
+
Configuration management policy
+
configuration management plan
+
procedures addressing information system configuration change control
+
information system design documentation
+
information system architecture and configuration documentation
+
information system configuration settings and associated documentation
+
test records
+
validation records
+
change control records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with configuration change control responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for configuration change control
+
automated mechanisms supporting and/or implementing testing, validating, and documenting information system changes
The organization employs automated mechanisms to implement changes to the current information system baseline and deploys the updated baseline across the installed base.
+
+
+
Determine if the organization:
+
+ CM-3(3)[1]
+
employs automated mechanisms to implement changes to the current information system baseline; and
+
+
+ CM-3(3)[2]
+
deploys the updated baseline across the installed base.
+
+
+
+ EXAMINE
+
Configuration management policy
+
configuration management plan
+
procedures addressing information system configuration change control
+
information system design documentation
+
information system architecture and configuration documentation
+
automated configuration control mechanisms
+
change control records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with configuration change control responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Organizational processes for configuration change control
+
automated mechanisms implementing changes to current information system baseline
+
+
+
+ SECURITY REPRESENTATIVE
+
+ organization-defined configuration change control element
+ organization-defined configuration change control element
+
+ CM-3 (4)
+
+
The organization requires an information security representative to be a member of the .
+
+
+
Information security representatives can include, for example, senior agency information security officers, information system security officers, or information system security managers. Representation by personnel with information security expertise is important because changes to information system configurations can have unintended side effects, some of which may be security-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security state of organizational information systems. The configuration change control element in this control enhancement reflects the change control elements defined by organizations in CM-3.
+
+
+
Determine if the organization:
+
+ CM-3(4)[1]
+
specifies the configuration change control elements (as defined in CM-3g) of which an information security representative is to be a member; and
+
+
+ CM-3(4)[2]
+
requires an information security representative to be a member of the specified configuration control element.
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing information system configuration change control
+
configuration management plan
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with configuration change control responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for configuration change control
The information system implements automatically if baseline configurations are changed in an unauthorized manner.
+
+
+
Security responses include, for example, halting information system processing, halting selected system functions, or issuing alerts/notifications to organizational personnel when there is an unauthorized modification of a configuration item.
+
+
+
Determine if:
+
+ CM-3(5)[1]
+
the organization defines security responses to be implemented automatically if baseline configurations are changed in an unauthorized manner; and
+
+
+ CM-3(5)[2]
+
the information system implements organization-defined security responses automatically if baseline configurations are changed in an unauthorized manner.
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing information system configuration change control
+
configuration management plan
+
security plan
+
information system design documentation
+
information system architecture and configuration documentation
+
information system configuration settings and associated documentation
+
alerts/notifications of unauthorized baseline configuration changes
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with configuration change control responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Organizational processes for configuration change control
+
automated mechanisms implementing security responses to changes to the baseline configurations
The organization ensures that cryptographic mechanisms used to provide are under configuration management.
+
+
+
Regardless of the cryptographic means employed (e.g., public key, private key, shared secrets), organizations ensure that there are processes and procedures in place to effectively manage those means. For example, if devices use certificates as a basis for identification and authentication, there needs to be a process in place to address the expiration of those certificates.
+
+
+
+
Determine if the organization:
+
+ CM-3(6)[1]
+
defines security safeguards provided by cryptographic mechanisms that are to be under configuration management; and
+
+
+ CM-3(6)[2]
+
ensures that cryptographic mechanisms used to provide organization-defined security safeguards are under configuration management.
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing information system configuration change control
+
configuration management plan
+
security plan
+
information system design documentation
+
information system architecture and configuration documentation
+
information system configuration settings and associated documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with configuration change control responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for configuration change control
determines the type of changes to the information system that must be configuration-controlled;
+
+
+ CM-3(b)
+
reviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses;
+
+
+ CM-3(c)
+
documents configuration change decisions associated with the information system;
+
+
+ CM-3(d)
+
implements approved configuration-controlled changes to the information system;
+
+
+ CM-3(e)
+
+ CM-3(e)[1]
+
defines a time period to retain records of configuration-controlled changes to the information system;
+
+
+ CM-3(e)[2]
+
retains records of configuration-controlled changes to the information system for the organization-defined time period;
+
+
+
+ CM-3(f)
+
audits and reviews activities associated with configuration-controlled changes to the information system;
+
+
+ CM-3(g)
+
+ CM-3(g)[1]
+
defines a configuration change control element (e.g., committee, board) responsible for coordinating and providing oversight for configuration change control activities;
+
+
+ CM-3(g)[2]
+
defines the frequency with which the configuration change control element must convene; and/or
+
+
+ CM-3(g)[3]
+
defines configuration change conditions that prompt the configuration change control element to convene; and
+
+
+ CM-3(g)[4]
+
coordinates and provides oversight for configuration change control activities through organization-defined configuration change control element that convenes at organization-defined frequency and/or for any organization-defined configuration change conditions.
+
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing information system configuration change control
+
configuration management plan
+
information system architecture and configuration documentation
+
security plan
+
change control records
+
information system audit records
+
change control audit and review reports
+
agenda /minutes from configuration change control oversight meetings
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with configuration change control responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
members of change control board or similar
+
+
+ TEST
+
Organizational processes for configuration change control
+
automated mechanisms that implement configuration change control
The organization analyzes changes to the information system to determine potential security impacts prior to change implementation.
+
+
+
Organizational personnel with information security responsibilities (e.g., Information System Administrators, Information System Security Officers, Information System Security Managers, and Information System Security Engineers) conduct security impact analyses. Individuals conducting security impact analyses possess the necessary skills/technical expertise to analyze the changes to information systems and the associated security ramifications. Security impact analysis may include, for example, reviewing security plans to understand security control requirements and reviewing system design documentation to understand control implementation and how specific changes might affect the controls. Security impact analyses may also include assessments of risk to better understand the impact of the changes and to determine if additional security controls are required. Security impact analyses are scaled in accordance with the security categories of the information systems.
+
+
+
+
+
+
+
+
+
+
+ SEPARATE TEST ENVIRONMENTS
+ CM-4 (1)
+ HIGH
+
+
The organization analyzes changes to the information system in a separate test environment before implementation in an operational environment, looking for security impacts due to flaws, weaknesses, incompatibility, or intentional malice.
+
+
+
Separate test environment in this context means an environment that is physically or logically isolated and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment, and information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not used, organizations determine the strength of mechanism required when implementing logical separation (e.g., separation achieved through virtual machines).
+
+
+
+
+
+
Determine if the organization:
+
+ CM-4(1)[1]
+
analyzes changes to the information system in a separate test environment before implementation in an operational environment;
+
+
+ CM-4(1)[2]
+
when analyzing changes to the information system in a separate test environment, looks for security impacts due to:
+
+ CM-4(1)[2][a]
+
flaws;
+
+
+ CM-4(1)[2][b]
+
weaknesses;
+
+
+ CM-4(1)[2][c]
+
incompatibility; and
+
+
+ CM-4(1)[2][d]
+
intentional malice.
+
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing security impact analysis for changes to the information system
+
configuration management plan
+
security impact analysis documentation
+
analysis tools and associated outputs information system design documentation
+
information system architecture and configuration documentation
+
change control records
+
information system audit records
+
documentation evidence of separate test and operational environments
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for conducting security impact analysis
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for security impact analysis
+
automated mechanisms supporting and/or implementing security impact analysis of changes
The organization, after the information system is changed, checks the security functions to verify that the functions are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security requirements for the system.
+
+
+
Implementation is this context refers to installing changed code in the operational information system.
+
+
+
+
Determine if the organization, after the information system is changed, checks the security functions to verify that the functions are:
+
+ CM-4(2)[1]
+
implemented correctly;
+
+
+ CM-4(2)[2]
+
operating as intended; and
+
+
+ CM-4(2)[3]
+
producing the desired outcome with regard to meeting the security requirements for the system.
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing security impact analysis for changes to the information system
+
configuration management plan
+
security impact analysis documentation
+
analysis tools and associated outputs
+
change control records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for conducting security impact analysis
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for security impact analysis
+
automated mechanisms supporting and/or implementing verification of security functions
+
+
+
+
Determine if the organization analyzes changes to the information system to determine potential security impacts prior to change implementation.
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing security impact analysis for changes to the information system
+
configuration management plan
+
security impact analysis documentation
+
analysis tools and associated outputs
+
change control records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for conducting security impact analysis
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for security impact analysis
+
+
+
+ NIST Special Publication 800-128
+
+
+
+
+ ACCESS RESTRICTIONS FOR CHANGE
+ CM-5
+ P1
+ MODERATE
+ HIGH
+
+
The organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system.
+
+
+
Any changes to the hardware, software, and/or firmware components of information systems can potentially have significant effects on the overall security of the systems. Therefore, organizations permit only qualified and authorized individuals to access information systems for purposes of initiating changes, including upgrades and modifications. Organizations maintain records of access to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes. Access restrictions for change also include software libraries. Access restrictions include, for example, physical and logical access controls (see AC-3 and PE-3), workflow automation, media libraries, abstract layers (e.g., changes implemented into third-party interfaces rather than directly into information systems), and change windows (e.g., changes occur only during specified times, making unauthorized changes easy to discover).
The information system enforces access restrictions and supports auditing of the enforcement actions.
+
+
+
+
+
+
+
+
+
+
Determine if the information system:
+
+ CM-5(1)[1]
+
enforces access restrictions for change; and
+
+
+ CM-5(1)[2]
+
supports auditing of the enforcement actions.
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing access restrictions for changes to the information system
+
information system design documentation
+
information system architecture and configuration documentation
+
information system configuration settings and associated documentation
+
change control records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Organizational processes for managing access restrictions to change
+
automated mechanisms implementing enforcement of access restrictions for changes to the information system
+
automated mechanisms supporting auditing of enforcement actions
+
+
+
+ REVIEW SYSTEM CHANGES
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined circumstances
+ organization-defined circumstances
+
+ CM-5 (2)
+ HIGH
+
+
The organization reviews information system changes and to determine whether unauthorized changes have occurred.
+
+
+
Indications that warrant review of information system changes and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process.
+
+
+
+
+
+
+
+
+
Determine if the organization, in an effort to ascertain whether unauthorized changes have occurred:
+
+ CM-5(2)[1]
+
defines the frequency to review information system changes;
+
+
+ CM-5(2)[2]
+
defines circumstances that warrant review of information system changes;
+
+
+ CM-5(2)[3]
+
reviews information system changes with the organization-defined frequency; and
+
+
+ CM-5(2)[4]
+
reviews information system changes with the organization-defined circumstances.
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing access restrictions for changes to the information system
+
configuration management plan
+
security plan
+
reviews of information system changes
+
audit and review reports
+
change control records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for managing access restrictions to change
+
automated mechanisms supporting/implementing information system reviews to determine whether unauthorized changes have occurred
+
+
+
+ SIGNED COMPONENTS
+
+ organization-defined software and firmware components
+ organization-defined software and firmware components
+
+ CM-5 (3)
+ HIGH
+
+
The information system prevents the installation of without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization.
+
+
+
Software and firmware components prevented from installation unless signed with recognized and approved certificates include, for example, software and firmware version updates, patches, service packs, device drivers, and basic input output system (BIOS) updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures, is a method of code authentication.
+
+
+
+
+
+
Determine if:
+
+ CM-5(3)[1]
+
the organization defines software and firmware components that the information system will prevent from being installed without verification that such components have been digitally signed using a certificate that is recognized and approved by the organization; and
+
+
+ CM-5(3)[2]
+
the information system prevents the installation of organization-defined software and firmware components without verification that such components have been digitally signed using a certificate that is recognized and approved by the organization.
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing access restrictions for changes to the information system
+
configuration management plan
+
security plan
+
list of software and firmware components to be prohibited from installation without a recognized and approved certificate
+
information system design documentation
+
information system architecture and configuration documentation
+
information system configuration settings and associated documentation
+
change control records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Organizational processes for managing access restrictions to change
+
automated mechanisms preventing installation of software and firmware components not signed with an organization-recognized and approved certificate
+
+
+
+ DUAL AUTHORIZATION
+
+ organization-defined information system components and system-level information
+ organization-defined information system components and system-level information
+
+ CM-5 (4)
+
+
The organization enforces dual authorization for implementing changes to .
+
+
+
Organizations employ dual authorization to ensure that any changes to selected information system components and information cannot occur unless two qualified individuals implement such changes. The two individuals possess sufficient skills/expertise to determine if the proposed changes are correct implementations of approved changes. Dual authorization may also be known as two-person control.
+
+
+
+
+
Determine if the organization:
+
+ CM-5(4)[1]
+
defines information system components and system-level information requiring dual authorization to be enforced when implementing changes; and
+
+
+ CM-5(4)[2]
+
enforces dual authorization for implementing changes to organization-defined information system components and system-level information.
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing access restrictions for changes to the information system
+
configuration management plan
+
security plan
+
information system design documentation
+
information system architecture and configuration documentation
+
information system configuration settings and associated documentation
+
change control records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with dual authorization enforcement responsibilities for implementing information system changes
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for managing access restrictions to change
+
+
+
+ LIMIT PRODUCTION / OPERATIONAL PRIVILEGES
+
+ organization-defined frequency
+ organization-defined frequency
+
+ CM-5 (5)
+
+
The organization:
+
+ CM-5 (5)(a)
+
Limits privileges to change information system components and system-related information within a production or operational environment; and
+
+
+ CM-5 (5)(b)
+
Reviews and reevaluates privileges .
+
+
+
+
In many organizations, information systems support multiple core missions/business functions. Limiting privileges to change information system components with respect to operational systems is necessary because changes to a particular information system component may have far-reaching effects on mission/business processes supported by the system where the component resides. The complex, many-to-many relationships between systems and mission/business processes are in some cases, unknown to developers.
+
+
+
+
Determine if the organization:
+
+ CM-5(5)(a)
+
limits privileges to change information system components and system-related information within a production or operational environment;
+
+
+ CM-5(5)(b)
+
+ CM-5(5)(b)[1]
+
defines the frequency to review and reevaluate privileges; and
+
+
+ CM-5(5)(b)[2]
+
reviews and reevaluates privileges with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing access restrictions for changes to the information system
+
configuration management plan
+
security plan
+
information system design documentation
+
information system architecture and configuration documentation
+
information system configuration settings and associated documentation
+
user privilege reviews
+
user privilege recertifications
+
change control records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for managing access restrictions to change
+
automated mechanisms supporting and/or implementing access restrictions for change
+
+
+
+ LIMIT LIBRARY PRIVILEGES
+ CM-5 (6)
+
+
The organization limits privileges to change software resident within software libraries.
+
+
+
Software libraries include privileged programs.
+
+
+
+
Determine if the organization limits privileges to change software resident within software libraries.
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing access restrictions for changes to the information system
+
configuration management plan
+
information system design documentation
+
information system architecture and configuration documentation
+
information system configuration settings and associated documentation
+
change control records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for managing access restrictions to change
+
automated mechanisms supporting and/or implementing access restrictions for change
Establishes and documents configuration settings for information technology products employed within the information system using that reflect the most restrictive mode consistent with operational requirements;
+
+
+ CM-6b.
+
Implements the configuration settings;
+
+
+ CM-6c.
+
Identifies, documents, and approves any deviations from established configuration settings for based on ; and
+
+
+ CM-6d.
+
Monitors and controls changes to the configuration settings in accordance with organizational policies and procedures.
+
+
+
+
Configuration settings are the set of parameters that can be changed in hardware, software, or firmware components of the information system that affect the security posture and/or functionality of the system. Information technology products for which security-related configuration settings can be defined include, for example, mainframe computers, servers (e.g., database, electronic mail, authentication, web, proxy, file, domain name), workstations, input/output devices (e.g., scanners, copiers, and printers), network components (e.g., firewalls, routers, gateways, voice and data switches, wireless access points, network appliances, sensors), operating systems, middleware, and applications. Security-related parameters are those parameters impacting the security state of information systems including the parameters required to satisfy other security control requirements. Security-related parameters include, for example: (i) registry settings; (ii) account, file, directory permission settings; and (iii) settings for functions, ports, protocols, services, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific settings for information systems. The established settings become part of the systems configuration baseline.
+Common secure configurations (also referred to as security configuration checklists, lockdown and hardening guides, security reference guides, security technical implementation guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for specific information technology platforms/products and instructions for configuring those information system components to meet operational requirements. Common secure configurations can be developed by a variety of organizations including, for example, information technology product developers, manufacturers, vendors, consortia, academia, industry, federal agencies, and other organizations in the public and private sectors. Common secure configurations include the United States Government Configuration Baseline (USGCB) which affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and the defined standards within the protocol (e.g., Common Configuration Enumeration) provide an effective method to uniquely identify, track, and control configuration settings. OMB establishes federal policy on configuration requirements for federal information systems.
+
+
+
+
+
+
+
+ AUTOMATED CENTRAL MANAGEMENT / APPLICATION / VERIFICATION
+
+ organization-defined information system components
+ organization-defined information system components
+
+ CM-6 (1)
+ HIGH
+
+
The organization employs automated mechanisms to centrally manage, apply, and verify configuration settings for .
+
+
+
+
+
+
+
Determine if the organization:
+
+ CM-6(1)[1]
+
defines information system components for which automated mechanisms are to be employed to:
+
+ CM-6(1)[1][a]
+
centrally manage configuration settings of such components;
+
+
+ CM-6(1)[1][b]
+
apply configuration settings of such components;
+
+
+ CM-6(1)[1][c]
+
verify configuration settings of such components;
+
+
+
+ CM-6(1)[2]
+
employs automated mechanisms to:
+
+ CM-6(1)[2][a]
+
centrally manage configuration settings for organization-defined information system components;
+
+
+ CM-6(1)[2][b]
+
apply configuration settings for organization-defined information system components; and
+
+
+ CM-6(1)[2][c]
+
verify configuration settings for organization-defined information system components.
+
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing configuration settings for the information system
+
configuration management plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
security configuration checklists
+
change control records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security configuration management responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Organizational processes for managing configuration settings
+
automated mechanisms implemented to centrally manage, apply, and verify information system configuration settings
The organization employs to respond to unauthorized changes to .
+
+
+
Responses to unauthorized changes to configuration settings can include, for example, alerting designated organizational personnel, restoring established configuration settings, or in extreme cases, halting affected information system processing.
+
+
+
+
+
Determine if the organization:
+
+ CM-6(2)[1]
+
defines configuration settings that, if modified by unauthorized changes, result in organizational security safeguards being employed to respond to such changes;
+
+
+ CM-6(2)[2]
+
defines security safeguards to be employed to respond to unauthorized changes to organization-defined configuration settings; and
+
+
+ CM-6(2)[3]
+
employs organization-defined security safeguards to respond to unauthorized changes to organization-defined configuration settings.
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing configuration settings for the information system
+
configuration management plan
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
alerts/notifications of unauthorized changes to information system configuration settings
+
documented responses to unauthorized changes to information system configuration settings
+
change control records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security configuration management responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational process for responding to unauthorized changes to information system configuration settings
+
automated mechanisms supporting and/or implementing security safeguards for response to unauthorized changes
defines security configuration checklists to be used to establish and document configuration settings for the information technology products employed;
+
+
+ CM-6(a)[2]
+
ensures the defined security configuration checklists reflect the most restrictive mode consistent with operational requirements;
+
+
+ CM-6(a)[3]
+
establishes and documents configuration settings for information technology products employed within the information system using organization-defined security configuration checklists;
+
+
+
+ CM-6(b)
+
implements the configuration settings established/documented in CM-6(a);;
+
+
+ CM-6(c)
+
+ CM-6(c)[1]
+
defines information system components for which any deviations from established configuration settings must be:
+
+ CM-6(c)[1][a]
+
identified;
+
+
+ CM-6(c)[1][b]
+
documented;
+
+
+ CM-6(c)[1][c]
+
approved;
+
+
+
+ CM-6(c)[2]
+
defines operational requirements to support:
+
+ CM-6(c)[2][a]
+
the identification of any deviations from established configuration settings;
+
+
+ CM-6(c)[2][b]
+
the documentation of any deviations from established configuration settings;
+
+
+ CM-6(c)[2][c]
+
the approval of any deviations from established configuration settings;
+
+
+
+ CM-6(c)[3]
+
identifies any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;
+
+
+ CM-6(c)[4]
+
documents any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;
+
+
+ CM-6(c)[5]
+
approves any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;
+
+
+
+ CM-6(d)
+
+ CM-6(d)[1]
+
monitors changes to the configuration settings in accordance with organizational policies and procedures; and
+
+
+ CM-6(d)[2]
+
controls changes to the configuration settings in accordance with organizational policies and procedures.
+
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing configuration settings for the information system
+
configuration management plan
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
security configuration checklists
+
evidence supporting approved deviations from established configuration settings
+
change control records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security configuration management responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for managing configuration settings
+
automated mechanisms that implement, monitor, and/or control information system configuration settings
+
automated mechanisms that identify and/or document deviations from established configuration settings
Configures the information system to provide only essential capabilities; and
+
+
+ CM-7b.
+
Prohibits or restricts the use of the following functions, ports, protocols, and/or services: .
+
+
+
+
Information systems can provide a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions). Additionally, it is sometimes convenient to provide multiple services from single information system components, but doing so increases risk over limiting the services provided by any one component. Where feasible, organizations limit component functionality to a single function per device (e.g., email servers or web servers, but not both). Organizations review functions and services provided by information systems or individual components of information systems, to determine which functions and services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant Messaging, auto-execute, and file sharing). Organizations consider disabling unused or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize network scanning tools, intrusion detection and prevention systems, and end-point protections such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, ports, protocols, and services.
+
+
+
+
+
+
+
+ PERIODIC REVIEW
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure
+ organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure
+
+ CM-7 (1)
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CM-7 (1)(a)
+
Reviews the information system to identify unnecessary and/or nonsecure functions, ports, protocols, and services; and
+
+
+ CM-7 (1)(b)
+
Disables .
+
+
+
+
The organization can either make a determination of the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are examples of less than secure protocols.
+
+
+
+
+
+
Determine if the organization:
+
+ CM-7(1)(a)
+
+ CM-7(1)(a)[1]
+
defines the frequency to review the information system to identify unnecessary and/or nonsecure:
+
+ CM-7(1)(a)[1][a]
+
functions;
+
+
+ CM-7(1)(a)[1][b]
+
ports;
+
+
+ CM-7(1)(a)[1][c]
+
protocols; and/or
+
+
+ CM-7(1)(a)[1][d]
+
services;
+
+
+
+ CM-7(1)(a)[2]
+
reviews the information system with the organization-defined frequency to identify unnecessary and/or nonsecure:
+
+ CM-7(1)(a)[2][a]
+
functions;
+
+
+ CM-7(1)(a)[2][b]
+
ports;
+
+
+ CM-7(1)(a)[2][c]
+
protocols; and/or
+
+
+ CM-7(1)(a)[2][d]
+
services;
+
+
+
+
+ CM-7(1)(b)
+
+ CM-7(1)(b)[1]
+
defines, within the information system, unnecessary and/or nonsecure:
procedures addressing least functionality in the information system
+
configuration management plan
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
security configuration checklists
+
documented reviews of functions, ports, protocols, and/or services
+
change control records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the information system
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for reviewing/disabling nonsecure functions, ports, protocols, and/or services
+
automated mechanisms implementing review and disabling of nonsecure functions, ports, protocols, and/or services
+
+
+
+ PREVENT PROGRAM EXECUTION
+
+ organization-defined policies regarding software program usage and restrictions
+ organization-defined policies regarding software program usage and restrictions
+
+ CM-7 (2)
+ MODERATE
+ HIGH
+
+
The information system prevents program execution in accordance with [Selection (one or more): ; rules authorizing the terms and conditions of software program usage].
+
+
+
+
+
+
+
Determine if:
+
+ CM-7(2)[1]
+
the organization defines policies regarding software program usage and restrictions;
+
+
+ CM-7(2)[2]
+
the information system prevents program execution in accordance with one or more of the following:
+
+ CM-7(2)[2][a]
+
organization-defined policies regarding program usage and restrictions; and/or
+
+
+ CM-7(2)[2][b]
+
rules authorizing the terms and conditions of software program usage.
+
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing least functionality in the information system
+
configuration management plan
+
security plan
+
information system design documentation
+
specifications for preventing software program execution
+
information system configuration settings and associated documentation
+
change control records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Organizational processes preventing program execution on the information system
+
organizational processes for software program usage and restrictions
+
automated mechanisms preventing program execution on the information system
+
automated mechanisms supporting and/or implementing software program usage and restrictions
+
+
+
+ REGISTRATION COMPLIANCE
+
+ organization-defined registration requirements for functions, ports, protocols, and services
+ organization-defined registration requirements for functions, ports, protocols, and services
+
+ CM-7 (3)
+
+
The organization ensures compliance with .
+
+
+
Organizations use the registration process to manage, track, and provide oversight for information systems and implemented functions, ports, protocols, and services.
+
+
+
Determine if the organization:
+
+ CM-7(3)[1]
+
defines registration requirements for:
+
+ CM-7(3)[1][a]
+
functions;
+
+
+ CM-7(3)[1][b]
+
ports;
+
+
+ CM-7(3)[1][c]
+
protocols; and/or
+
+
+ CM-7(3)[1][d]
+
services;
+
+
+
+ CM-7(3)[2]
+
ensures compliance with organization-defined registration requirements for:
+
+ CM-7(3)[2][a]
+
functions;
+
+
+ CM-7(3)[2][b]
+
ports;
+
+
+ CM-7(3)[2][c]
+
protocols; and/or
+
+
+ CM-7(3)[2][d]
+
services.
+
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing least functionality in the information system
+
configuration management plan
+
security plan
+
information system configuration settings and associated documentation
+
audit and compliance reviews
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes ensuring compliance with registration requirements for functions, ports, protocols, and/or services
+
automated mechanisms implementing compliance with registration requirements for functions, ports, protocols, and/or services
+
+
+
+ UNAUTHORIZED SOFTWARE / BLACKLISTING
+
+ organization-defined software programs not authorized to execute on the information system
+ organization-defined software programs not authorized to execute on the information system
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ CM-7 (4)
+ MODERATE
+
+
The organization:
+
+ CM-7 (4)(a)
+
Identifies ;
+
+
+ CM-7 (4)(b)
+
Employs an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the information system; and
+
+
+ CM-7 (4)(c)
+
Reviews and updates the list of unauthorized software programs .
+
+
+
+
The process used to identify software programs that are not authorized to execute on organizational information systems is commonly referred to as blacklisting. Organizations can implement CM-7 (5) instead of this control enhancement if whitelisting (the stronger of the two policies) is the preferred approach for restricting software program execution.
+
+
+
+
+
+
Determine if the organization:
+
+ CM-7(4)(a)
+
Identifies/defines software programs not authorized to execute on the information system;
+
+
+ CM-7(4)(b)
+
employs an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the information system;
+
+
+ CM-7(4)(c)
+
+ CM-7(4)(c)[1]
+
defines the frequency to review and update the list of unauthorized software programs on the information system; and
+
+
+ CM-7(4)(c)[2]
+
reviews and updates the list of unauthorized software programs with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing least functionality in the information system
+
configuration management plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of software programs not authorized to execute on the information system
+
security configuration checklists
+
review and update records associated with list of unauthorized software programs
+
change control records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for identifying software not authorized to execute on the information system
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational process for identifying, reviewing, and updating programs not authorized to execute on the information system
+
organizational process for implementing blacklisting
+
+
+
+ AUTHORIZED SOFTWARE / WHITELISTING
+
+ organization-defined software programs authorized to execute on the information system
+ organization-defined software programs authorized to execute on the information system
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ CM-7 (5)
+ HIGH
+
+
The organization:
+
+ CM-7 (5)(a)
+
Identifies ;
+
+
+ CM-7 (5)(b)
+
Employs a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system; and
+
+
+ CM-7 (5)(c)
+
Reviews and updates the list of authorized software programs .
+
+
+
+
The process used to identify software programs that are authorized to execute on organizational information systems is commonly referred to as whitelisting. In addition to whitelisting, organizations consider verifying the integrity of white-listed software programs using, for example, cryptographic checksums, digital signatures, or hash functions. Verification of white-listed software can occur either prior to execution or at system startup.
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+ CM-7(5)(a)
+
Identifies/defines software programs authorized to execute on the information system;
+
+
+ CM-7(5)(b)
+
employs a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system;
+
+
+ CM-7(5)(c)
+
+ CM-7(5)(c)[1]
+
defines the frequency to review and update the list of authorized software programs on the information system; and
+
+
+ CM-7(5)(c)[2]
+
reviews and updates the list of authorized software programs with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing least functionality in the information system
+
configuration management plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of software programs authorized to execute on the information system
+
security configuration checklists
+
review and update records associated with list of authorized software programs
+
change control records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for identifying software authorized to execute on the information system
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational process for identifying, reviewing, and updating programs authorized to execute on the information system
+
organizational process for implementing whitelisting
+
automated mechanisms implementing whitelisting
+
+
+
+
Determine if the organization:
+
+ CM-7(a)
+
configures the information system to provide only essential capabilities;
+
+
+ CM-7(b)
+
+ CM-7(b)[1]
+
defines prohibited or restricted:
+
+ CM-7(b)[1][a]
+
functions;
+
+
+ CM-7(b)[1][b]
+
ports;
+
+
+ CM-7(b)[1][c]
+
protocols; and/or
+
+
+ CM-7(b)[1][d]
+
services;
+
+
+
+ CM-7(b)[2]
+
prohibits or restricts the use of organization-defined:
+
+ CM-7(b)[2][a]
+
functions;
+
+
+ CM-7(b)[2][b]
+
ports;
+
+
+ CM-7(b)[2][c]
+
protocols; and/or
+
+
+ CM-7(b)[2][d]
+
services.
+
+
+
+
+
+ EXAMINE
+
Configuration management policy
+
configuration management plan
+
procedures addressing least functionality in the information system
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
security configuration checklists
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security configuration management responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes prohibiting or restricting functions, ports, protocols, and/or services
+
automated mechanisms implementing restrictions or prohibition of functions, ports, protocols, and/or services
+
+
+
+ DoD Instruction 8551.01
+
+
+
+
+ INFORMATION SYSTEM COMPONENT INVENTORY
+
+ organization-defined information deemed necessary to achieve effective information system component accountability
+ organization-defined information deemed necessary to achieve effective information system component accountability
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ CM-8
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CM-8a.
+
Develops and documents an inventory of information system components that:
+
+ CM-8a.1.
+
Accurately reflects the current information system;
+
+
+ CM-8a.2.
+
Includes all components within the authorization boundary of the information system;
+
+
+ CM-8a.3.
+
Is at the level of granularity deemed necessary for tracking and reporting; and
+
+
+ CM-8a.4.
+
Includes ; and
+
+
+
+ CM-8b.
+
Reviews and updates the information system component inventory .
+
+
+
+
Organizations may choose to implement centralized information system component inventories that include components from all organizational information systems. In such situations, organizations ensure that the resulting inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner). Information deemed necessary for effective accountability of information system components includes, for example, hardware inventory specifications, software license information, software version numbers, component owners, and for networked components or devices, machine names and network addresses. Inventory specifications include, for example, manufacturer, device type, model, serial number, and physical location.
+
+
+
+
+
+ UPDATES DURING INSTALLATIONS / REMOVALS
+ CM-8 (1)
+ MODERATE
+ HIGH
+
+
The organization updates the inventory of information system components as an integral part of component installations, removals, and information system updates.
+
+
+
Determine if the organization updates the inventory of information system components as an integral part of:
+
+ CM-8(1)[1]
+
component installations;
+
+
+ CM-8(1)[2]
+
component removals; and
+
+
+ CM-8(1)[3]
+
information system updates.
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing information system component inventory
+
configuration management plan
+
security plan
+
information system inventory records
+
inventory reviews and update records
+
component installation records
+
component removal records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for updating the information system component inventory
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for updating inventory of information system components
+
automated mechanisms implementing updating of the information system component inventory
The organization employs automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of information system components.
+
+
+
Organizations maintain information system inventories to the extent feasible. Virtual machines, for example, can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. This control enhancement can be satisfied by the implementation of CM-2 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.
+
+
+
+
Determine if the organization employs automated mechanisms to maintain an inventory of information system components that is:
+
+ CM-8(2)[1]
+
up-to-date;
+
+
+ CM-8(2)[2]
+
complete;
+
+
+ CM-8(2)[3]
+
accurate; and
+
+
+ CM-8(2)[4]
+
readily available.
+
+
+
+ EXAMINE
+
Configuration management policy
+
configuration management plan
+
procedures addressing information system component inventory
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system inventory records
+
change control records
+
information system maintenance records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for managing the automated mechanisms implementing the information system component inventory
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Organizational processes for maintaining the inventory of information system components
+
automated mechanisms implementing the information system component inventory
+
+
+
+ AUTOMATED UNAUTHORIZED COMPONENT DETECTION
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+ CM-8 (3)
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CM-8 (3)(a)
+
Employs automated mechanisms to detect the presence of unauthorized hardware, software, and firmware components within the information system; and
+
+
+ CM-8 (3)(b)
+
Takes the following actions when unauthorized components are detected: [Selection (one or more): disables network access by such components; isolates the components; notifies ].
+
+
+
+
This control enhancement is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms can be implemented within information systems or in other separate devices. Isolation can be achieved, for example, by placing unauthorized information system components in separate domains or subnets or otherwise quarantining such components. This type of component isolation is commonly referred to as sandboxing.
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+ CM-8(3)(a)
+
+ CM-8(3)(a)[1]
+
defines the frequency to employ automated mechanisms to detect the presence of unauthorized:
+
+ CM-8(3)(a)[1][a]
+
hardware components within the information system;
+
+
+ CM-8(3)(a)[1][b]
+
software components within the information system;
+
+
+ CM-8(3)(a)[1][c]
+
firmware components within the information system;
+
+
+
+ CM-8(3)(a)[2]
+
employs automated mechanisms with the organization-defined frequency to detect the presence of unauthorized:
+
+ CM-8(3)(a)[2][a]
+
hardware components within the information system;
+
+
+ CM-8(3)(a)[2][b]
+
software components within the information system;
+
+
+ CM-8(3)(a)[2][c]
+
firmware components within the information system;
+
+
+
+
+ CM-8(3)(b)
+
+ CM-8(3)(b)[1]
+
defines personnel or roles to be notified when unauthorized components are detected;
+
+
+ CM-8(3)(b)[2]
+
takes one or more of the following actions when unauthorized components are detected:
+
+ CM-8(3)(b)[2][a]
+
disables network access by such components;
+
+
+ CM-8(3)(b)[2][b]
+
isolates the components; and/or
+
+
+ CM-8(3)(b)[2][c]
+
notifies organization-defined personnel or roles.
+
+
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing information system component inventory
+
configuration management plan
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system inventory records
+
alerts/notifications of unauthorized components within the information system
+
information system monitoring records
+
change control records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized information system component detection
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Organizational processes for detection of unauthorized information system components
+
automated mechanisms implementing the detection of unauthorized information system components
+
+
+
+ ACCOUNTABILITY INFORMATION
+ CM-8 (4)
+ HIGH
+
+
The organization includes in the information system component inventory information, a means for identifying by [Selection (one or more): name; position; role], individuals responsible/accountable for administering those components.
+
+
+
Identifying individuals who are both responsible and accountable for administering information system components helps to ensure that the assigned components are properly administered and organizations can contact those individuals if some action is required (e.g., component is determined to be the source of a breach/compromise, component needs to be recalled/replaced, or component needs to be relocated).
+
+
+
Determine if the organization includes in the information system component inventory for information system components, a means for identifying the individuals responsible and accountable for administering those components by one or more of the following:
+
+ CM-8(4)[1]
+
name;
+
+
+ CM-8(4)[2]
+
position; and/or
+
+
+ CM-8(4)[3]
+
role.
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing information system component inventory
+
configuration management plan
+
security plan
+
information system inventory records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for managing the information system component inventory
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for maintaining the inventory of information system components
+
automated mechanisms implementing the information system component inventory
+
+
+
+ NO DUPLICATE ACCOUNTING OF COMPONENTS
+ CM-8 (5)
+ MODERATE
+ HIGH
+
+
The organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system component inventories.
+
+
+
This control enhancement addresses the potential problem of duplicate accounting of information system components in large or complex interconnected systems.
+
+
+
Determine if the organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system inventories.
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing information system component inventory
+
configuration management plan
+
security plan
+
information system inventory records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system inventory responsibilities
+
organizational personnel with responsibilities for defining information system components within the authorization boundary of the system
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for maintaining the inventory of information system components
+
automated mechanisms implementing the information system component inventory
The organization includes assessed component configurations and any approved deviations to current deployed configurations in the information system component inventory.
+
+
+
This control enhancement focuses on configuration settings established by organizations for information system components, the specific components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings.
+
+
+
+
+
Determine if the organization includes in the information system component inventory:
+
+ CM-8(6)[1]
+
assessed component configurations; and
+
+
+ CM-8(6)[2]
+
any approved deviations to current deployed configurations.
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing information system component inventory
+
configuration management plan
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system inventory records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with inventory management and assessment responsibilities for information system components
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for maintaining the inventory of information system components
+
automated mechanisms implementing the information system component inventory
+
+
+
+ CENTRALIZED REPOSITORY
+ CM-8 (7)
+
+
The organization provides a centralized repository for the inventory of information system components.
+
+
+
Organizations may choose to implement centralized information system component inventories that include components from all organizational information systems. Centralized repositories of information system component inventories provide opportunities for efficiencies in accounting for organizational hardware, software, and firmware assets. Such repositories may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions. Organizations ensure that the resulting centralized inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner).
+
+
+
Determine if the organization provides a centralized repository for the inventory of information system components.
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing information system component inventory
+
configuration management plan
+
information system design documentation
+
information system inventory repository
+
information system inventory records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with inventory management responsibilities for information system components
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms implementing the information system component inventory in a centralized repository
The organization employs automated mechanisms to support tracking of information system components by geographic location.
+
+
+
The use of automated mechanisms to track the location of information system components can increase the accuracy of component inventories. Such capability may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions.
+
+
+
Determine if the organization employs automated mechanisms to support tracking of information system components by geographic location.
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing information system component inventory
+
configuration management plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system inventory records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with inventory management responsibilities for information system components
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing the information system component inventory
+
automated mechanisms supporting tracking of information system components by geographic location
+
+
+
+ ASSIGNMENT OF COMPONENTS TO SYSTEMS
+
+ organization-defined acquired information system components
+ organization-defined acquired information system components
+
+ CM-8 (9)
+
+
The organization:
+
+ CM-8 (9)(a)
+
Assigns to an information system; and
+
+
+ CM-8 (9)(b)
+
Receives an acknowledgement from the information system owner of this assignment.
+
+
+
+
Organizations determine the criteria for or types of information system components (e.g., microprocessors, motherboards, software, programmable logic controllers, and network devices) that are subject to this control enhancement.
+
+
+
+
Determine if the organization:
+
+ CM-8(9)(a)
+
+ CM-8(9)(a)[1]
+
defines acquired information system components to be assigned to an information system; and
+
+
+ CM-8(9)(a)[2]
+
assigns organization-defined acquired information system components to an information system; and
+
+
+
+ CM-8(9)(b)
+
receives an acknowledgement from the information system owner of the assignment.
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing information system component inventory
+
configuration management plan
+
security plan
+
information system design documentation
+
acknowledgements of information system component assignments
+
information system inventory records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with inventory management responsibilities for information system components
+
information system owner
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for assigning components to systems
+
organizational processes for acknowledging assignment of components to systems
+
automated mechanisms implementing assignment of acquired components to the information system
+
automated mechanisms implementing acknowledgment of assignment of acquired components to the information system
+
+
+
+
Determine if the organization:
+
+ CM-8(a)
+
+ CM-8(a)(1)
+
develops and documents an inventory of information system components that accurately reflects the current information system;
+
+
+ CM-8(a)(2)
+
develops and documents an inventory of information system components that includes all components within the authorization boundary of the information system;
+
+
+ CM-8(a)(3)
+
develops and documents an inventory of information system components that is at the level of granularity deemed necessary for tracking and reporting;
+
+
+ CM-8(a)(4)
+
+ CM-8(a)(4)[1]
+
defines the information deemed necessary to achieve effective information system component accountability;
+
+
+ CM-8(a)(4)[2]
+
develops and documents an inventory of information system components that includes organization-defined information deemed necessary to achieve effective information system component accountability;
+
+
+
+
+ CM-8(b)
+
+ CM-8(b)[1]
+
defines the frequency to review and update the information system component inventory; and
+
+
+ CM-8(b)[2]
+
reviews and updates the information system component inventory with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing information system component inventory
+
configuration management plan
+
security plan
+
information system inventory records
+
inventory reviews and update records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for information system component inventory
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for developing and documenting an inventory of information system components
+
automated mechanisms supporting and/or implementing the information system component inventory
+
+
+
+ NIST Special Publication 800-128
+
+
+
+
+ CONFIGURATION MANAGEMENT PLAN
+ CM-9
+ P1
+ MODERATE
+ HIGH
+
+
The organization develops, documents, and implements a configuration management plan for the information system that:
+
+ CM-9a.
+
Addresses roles, responsibilities, and configuration management processes and procedures;
+
+
+ CM-9b.
+
Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;
+
+
+ CM-9c.
+
Defines the configuration items for the information system and places the configuration items under configuration management; and
+
+
+ CM-9d.
+
Protects the configuration management plan from unauthorized disclosure and modification.
+
+
+
+
Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual information systems. Such plans define detailed processes and procedures for how configuration management is used to support system development life cycle activities at the information system level. Configuration management plans are typically developed during the development/acquisition phase of the system development life cycle. The plans describe how to move changes through change management processes, how to update configuration settings and baselines, how to maintain information system component inventories, how to control development, test, and operational environments, and how to develop, release, and update key documents. Organizations can employ templates to help ensure consistent and timely development and implementation of configuration management plans. Such templates can represent a master configuration management plan for the organization at large with subsets of the plan implemented on a system by system basis. Configuration management approval processes include designation of key management stakeholders responsible for reviewing and approving proposed changes to information systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the information system items (hardware, software, firmware, and documentation) to be configuration-managed. As information systems continue through the system development life cycle, new configuration items may be identified and some existing configuration items may no longer need to be under configuration control.
The organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in information system development.
+
+
+
In the absence of dedicated configuration management teams assigned within organizations, system developers may be tasked to develop configuration management processes using personnel who are not directly involved in system development or integration. This separation of duties ensures that organizations establish and maintain a sufficient degree of independence between the information system development and integration processes and configuration management processes to facilitate quality control and more effective oversight.
+
+
+
Determine if the organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in information system development.
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing responsibilities for configuration management process development
+
configuration management plan
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for configuration management process development
+
organizational personnel with information security responsibilities
+
+
+
+
Determine if the organization develops, documents, and implements a configuration management plan for the information system that:
+
+ CM-9(a)
+
+ CM-9(a)[1]
+
addresses roles;
+
+
+ CM-9(a)[2]
+
addresses responsibilities;
+
+
+ CM-9(a)[3]
+
addresses configuration management processes and procedures;
+
+
+
+ CM-9(b)
+
establishes a process for:
+
+ CM-9(b)[1]
+
identifying configuration items throughout the SDLC;
+
+
+ CM-9(b)[2]
+
managing the configuration of the configuration items;
+
+
+
+ CM-9(c)
+
+ CM-9(c)[1]
+
defines the configuration items for the information system;
+
+
+ CM-9(c)[2]
+
places the configuration items under configuration management;
+
+
+
+ CM-9(d)
+
protects the configuration management plan from unauthorized:
Uses software and associated documentation in accordance with contract agreements and copyright laws;
+
+
+ CM-10b.
+
Tracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and
+
+
+ CM-10c.
+
Controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.
+
+
+
+
Software license tracking can be accomplished by manual methods (e.g., simple spreadsheets) or automated methods (e.g., specialized tracking applications) depending on organizational needs.
The organization establishes the following restrictions on the use of open source software: .
+
+
+
Open source software refers to software that is available in source code form. Certain software rights normally reserved for copyright holders are routinely provided under software license agreements that permit individuals to study, change, and improve the software. From a security perspective, the major advantage of open source software is that it provides organizations with the ability to examine the source code. However, there are also various licensing issues associated with open source software including, for example, the constraints on derivative use of such software.
+
+
+
Determine if the organization:
+
+ CM-10(1)[1]
+
defines restrictions on the use of open source software; and
+
+
+ CM-10(1)[2]
+
establishes organization-defined restrictions on the use of open source software.
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing restrictions on use of open source software
+
configuration management plan
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for establishing and enforcing restrictions on use of open source software
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational process for restricting the use of open source software
+
automated mechanisms implementing restrictions on the use of open source software
+
+
+
+
Determine if the organization:
+
+ CM-10(a)
+
uses software and associated documentation in accordance with contract agreements and copyright laws;
+
+
+ CM-10(b)
+
tracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and
+
+
+ CM-10(c)
+
controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing software usage restrictions
+
configuration management plan
+
security plan
+
software contract agreements and copyright laws
+
site license documentation
+
list of software usage restrictions
+
software license tracking reports
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
system/network administrators
+
organizational personnel operating, using, and/or maintaining the information system
+
organizational personnel with software license management responsibilities
+
+
+ TEST
+
Organizational process for tracking the use of software protected by quantity licenses
+
organization process for controlling/documenting the use of peer-to-peer file sharing technology
Establishes governing the installation of software by users;
+
+
+ CM-11b.
+
Enforces software installation policies through ; and
+
+
+ CM-11c.
+
Monitors policy compliance at .
+
+
+
+
If provided the necessary privileges, users have the ability to install software in organizational information systems. To maintain control over the types of software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations may include, for example, updates and security patches to existing software and downloading applications from organization-approved �app stores.� Prohibited software installations may include, for example, software with unknown or suspect pedigrees or software that organizations consider potentially malicious. The policies organizations select governing user-installed software may be organization-developed or provided by some external entity. Policy enforcement methods include procedural methods (e.g., periodic examination of user accounts), automated methods (e.g., configuration settings implemented on organizational information systems), or both.
The information system alerts when the unauthorized installation of software is detected.
+
+
+
+
+
+
+
Determine if:
+
+ CM-11(1)[1]
+
the organization defines personnel or roles to be alerted when the unauthorized installation of software is detected; and
+
+
+ CM-11(1)[2]
+
the information system alerts organization-defined personnel or roles when the unauthorized installation of software is detected.
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing user installed software
+
configuration management plan
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for governing user-installed software
+
organizational personnel operating, using, and/or maintaining the information system
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Organizational processes governing user-installed software on the information system
+
automated mechanisms for alerting personnel/roles when unauthorized installation of software is detected
+
+
+
+ PROHIBIT INSTALLATION WITHOUT PRIVILEGED STATUS
+ CM-11 (2)
+
+
The information system prohibits user installation of software without explicit privileged status.
+
+
+
Privileged status can be obtained, for example, by serving in the role of system administrator.
+
+
+
+
Determine if the information system prohibits user installation of software without explicit privileged status.
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing user installed software
+
configuration management plan
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
alerts/notifications of unauthorized software installations
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for governing user-installed software
+
organizational personnel operating, using, and/or maintaining the information system
+
+
+ TEST
+
Organizational processes governing user-installed software on the information system
+
automated mechanisms for prohibiting installation of software without privileged status (e.g., access controls)
+
+
+
+
Determine if the organization:
+
+ CM-11(a)
+
+ CM-11(a)[1]
+
defines policies to govern the installation of software by users;
+
+
+ CM-11(a)[2]
+
establishes organization-defined policies governing the installation of software by users;
+
+
+
+ CM-11(b)
+
+ CM-11(b)[1]
+
defines methods to enforce software installation policies;
+
+
+ CM-11(b)[2]
+
enforces software installation policies through organization-defined methods;
+
+
+
+ CM-11(c)
+
+ CM-11(c)[1]
+
defines frequency to monitor policy compliance; and
+
+
+ CM-11(c)[2]
+
monitors policy compliance at organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Configuration management policy
+
procedures addressing user installed software
+
configuration management plan
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of rules governing user installed software
+
information system monitoring records
+
information system audit records
+
other relevant documents or records
+
continuous monitoring strategy
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for governing user-installed software
+
organizational personnel operating, using, and/or maintaining the information system
+
organizational personnel monitoring compliance with user-installed software policy
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes governing user-installed software on the information system
+
automated mechanisms enforcing rules/methods for governing the installation of software by users
+
automated mechanisms monitoring policy compliance
+
+
+
+
+ CONTINGENCY PLANNING
+
+ CONTINGENCY PLANNING POLICY AND PROCEDURES
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ CP-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CP-1a.
+
Develops, documents, and disseminates to :
+
+ CP-1a.1.
+
A contingency planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ CP-1a.2.
+
Procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls; and
+
+
+
+ CP-1b.
+
Reviews and updates the current:
+
+ CP-1b.1.
+
Contingency planning policy ; and
+
+
+ CP-1b.2.
+
Contingency planning procedures .
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+
+
+
+
Determine if:
+
+ CP-1(a)(1)
+
+ CP-1(a)(1)[1]
+
the organization develops and documents a contingency planning policy that addresses:
+
+ CP-1(a)(1)[1][a]
+
purpose;
+
+
+ CP-1(a)(1)[1][b]
+
scope;
+
+
+ CP-1(a)(1)[1][c]
+
roles;
+
+
+ CP-1(a)(1)[1][d]
+
responsibilities;
+
+
+ CP-1(a)(1)[1][e]
+
management commitment;
+
+
+ CP-1(a)(1)[1][f]
+
coordination among organizational entities;
+
+
+ CP-1(a)(1)[1][g]
+
compliance;
+
+
+
+ CP-1(a)(1)[2]
+
the organization defines personnel or roles to whom the contingency planning policy is to be disseminated;
+
+
+ CP-1(a)(1)[3]
+
the organization disseminates the contingency planning policy to organization-defined personnel or roles;
+
+
+
+ CP-1(a)(2)
+
+ CP-1(a)(2)[1]
+
the organization develops and documents procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls;
+
+
+ CP-1(a)(2)[2]
+
the organization defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ CP-1(a)(2)[3]
+
the organization disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ CP-1(b)(1)
+
+ CP-1(b)(1)[1]
+
the organization defines the frequency to review and update the current contingency planning policy;
+
+
+ CP-1(b)(1)[2]
+
the organization reviews and updates the current contingency planning with the organization-defined frequency;
+
+
+
+ CP-1(b)(2)
+
+ CP-1(b)(2)[1]
+
the organization defines the frequency to review and update the current contingency planning procedures; and
+
+
+ CP-1(b)(2)[2]
+
the organization reviews and updates the current contingency planning procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Contingency planning policy and procedures
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency planning responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ Federal Continuity Directive 1
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-34
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ CONTINGENCY PLAN
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined key contingency personnel (identified by name and/or by role) and organizational elements
+ organization-defined key contingency personnel (identified by name and/or by role) and organizational elements
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined key contingency personnel (identified by name and/or by role) and organizational elements
+ organization-defined key contingency personnel (identified by name and/or by role) and organizational elements
+
+ CP-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CP-2a.
+
Develops a contingency plan for the information system that:
+
+ CP-2a.1.
+
Identifies essential missions and business functions and associated contingency requirements;
+
+
+ CP-2a.2.
+
Provides recovery objectives, restoration priorities, and metrics;
+
+
+ CP-2a.3.
+
Addresses contingency roles, responsibilities, assigned individuals with contact information;
+
+
+ CP-2a.4.
+
Addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;
+
+
+ CP-2a.5.
+
Addresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented; and
+
+
+ CP-2a.6.
+
Is reviewed and approved by ;
+
+
+
+ CP-2b.
+
Distributes copies of the contingency plan to ;
+
+
+ CP-2c.
+
Coordinates contingency planning activities with incident handling activities;
+
+
+ CP-2d.
+
Reviews the contingency plan for the information system ;
+
+
+ CP-2e.
+
Updates the contingency plan to address changes to the organization, information system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;
+
+
+ CP-2f.
+
Communicates contingency plan changes to ; and
+
+
+ CP-2g.
+
Protects the contingency plan from unauthorized disclosure and modification.
+
+
+
+
Contingency planning for information systems is part of an overall organizational program for achieving continuity of operations for mission/business functions. Contingency planning addresses both information system restoration and implementation of alternative mission/business processes when systems are compromised. The effectiveness of contingency planning is maximized by considering such planning throughout the phases of the system development life cycle. Performing contingency planning on hardware, software, and firmware development can be an effective means of achieving information system resiliency. Contingency plans reflect the degree of restoration required for organizational information systems since not all systems may need to fully recover to achieve the level of continuity of operations desired. Information system recovery objectives reflect applicable laws, Executive Orders, directives, policies, standards, regulations, and guidelines. In addition to information system availability, contingency plans also address other security-related events resulting in a reduction in mission and/or business effectiveness, such as malicious attacks compromising the confidentiality or integrity of information systems. Actions addressed in contingency plans include, for example, orderly/graceful degradation, information system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By closely coordinating contingency planning with incident handling activities, organizations can ensure that the necessary contingency planning activities are in place and activated in the event of a security incident.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ COORDINATE WITH RELATED PLANS
+ CP-2 (1)
+ MODERATE
+ HIGH
+
+
The organization coordinates contingency plan development with organizational elements responsible for related plans.
+
+
+
Plans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant Emergency Plans.
+
+
+
Determine if the organization coordinates contingency plan development with organizational elements responsible for related plans.
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing contingency operations for the information system
+
contingency plan
+
business contingency plans
+
disaster recovery plans
+
continuity of operations plans
+
crisis communications plans
+
critical infrastructure plans
+
cyber incident response plan
+
insider threat implementation plans
+
occupant emergency plans
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
organizational personnel with information security responsibilities
+
personnel with responsibility for related plans
+
+
+
+ CAPACITY PLANNING
+ CP-2 (2)
+ HIGH
+
+
The organization conducts capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.
+
+
+
Capacity planning is needed because different types of threats (e.g., natural disasters, targeted cyber attacks) can result in a reduction of the available processing, telecommunications, and support services originally intended to support the organizational missions/business functions. Organizations may need to anticipate degraded operations during contingency operations and factor such degradation into capacity planning.
+
+
+
Determine if the organization conducts capacity planning so that necessary capacity exists during contingency operations for:
+
+ CP-2(2)[1]
+
information processing;
+
+
+ CP-2(2)[2]
+
telecommunications; and
+
+
+ CP-2(2)[3]
+
environmental support.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing contingency operations for the information system
+
contingency plan
+
capacity planning documents
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ RESUME ESSENTIAL MISSIONS / BUSINESS FUNCTIONS
+
+ organization-defined time period
+ organization-defined time period
+
+ CP-2 (3)
+ MODERATE
+ HIGH
+
+
The organization plans for the resumption of essential missions and business functions within of contingency plan activation.
+
+
+
Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time period for resumption of essential missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.
+
+
+
+
Determine if the organization:
+
+ CP-2(3)[1]
+
defines the time period to plan for the resumption of essential missions and business functions as a result of contingency plan activation; and
+
+
+ CP-2(3)[2]
+
plans for the resumption of essential missions and business functions within organization-defined time period of contingency plan activation.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing contingency operations for the information system
+
contingency plan
+
security plan
+
business impact assessment
+
other related plans
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for resumption of missions and business functions
+
+
+
+ RESUME ALL MISSIONS / BUSINESS FUNCTIONS
+
+ organization-defined time period
+ organization-defined time period
+
+ CP-2 (4)
+ HIGH
+
+
The organization plans for the resumption of all missions and business functions within of contingency plan activation.
+
+
+
Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time period for resumption of all missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.
+
+
+
+
Determine if the organization:
+
+ CP-2(4)[1]
+
defines the time period to plan for the resumption of all missions and business functions as a result of contingency plan activation; and
+
+
+ CP-2(4)[2]
+
plans for the resumption of all missions and business functions within organization-defined time period of contingency plan activation.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing contingency operations for the information system
+
contingency plan
+
security plan
+
business impact assessment
+
other related plans
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for resumption of missions and business functions
+
+
+
+ CONTINUE ESSENTIAL MISSIONS / BUSINESS FUNCTIONS
+ CP-2 (5)
+ HIGH
+
+
The organization plans for the continuance of essential missions and business functions with little or no loss of operational continuity and sustains that continuity until full information system restoration at primary processing and/or storage sites.
+
+
+
Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency (e.g., backup sites may become primary sites).
+
+
+
+
Determine if the organization:
+
+ CP-2(5)[1]
+
plans for the continuance of essential missions and business functions with little or no loss of operational continuity; and
+
+
+ CP-2(5)[2]
+
sustains that operational continuity until full information system restoration at primary processing and/or storage sites.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing contingency operations for the information system
+
contingency plan
+
business impact assessment
+
primary processing site agreements
+
primary storage site agreements
+
alternate processing site agreements
+
alternate storage site agreements
+
contingency plan test documentation
+
contingency plan test results
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for continuing missions and business functions
The organization plans for the transfer of essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity and sustains that continuity through information system restoration to primary processing and/or storage sites.
+
+
+
Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency (e.g., backup sites may become primary sites).
+
+
+
+
Determine if the organization:
+
+ CP-2(6)[1]
+
plans for the transfer of essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity; and
+
+
+ CP-2(6)[2]
+
sustains that operational continuity through information system restoration to primary processing and/or storage sites.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing contingency operations for the information system
+
contingency plan
+
business impact assessment
+
alternate processing site agreements
+
alternate storage site agreements
+
contingency plan testing documentation
+
contingency plan test results
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for transfer of essential missions and business functions to alternate processing/storage sites
+
+
+
+ COORDINATE WITH EXTERNAL SERVICE PROVIDERS
+ CP-2 (7)
+
+
The organization coordinates its contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.
+
+
+
When the capability of an organization to successfully carry out its core missions/business functions is dependent on external service providers, developing a timely and comprehensive contingency plan may become more challenging. In this situation, organizations coordinate contingency planning activities with the external entities to ensure that the individual plans reflect the overall contingency needs of the organization.
+
+
+
+
Determine if the organization coordinates its contingency plan with the contingency plans of external service provides to ensure contingency requirements can be satisfied.
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing contingency operations for the information system
+
contingency plan
+
contingency plans of external
+
service providers
+
service level agreements
+
security plan
+
contingency plan requirements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
external service providers
+
organizational personnel with information security responsibilities
The organization identifies critical information system assets supporting essential missions and business functions.
+
+
+
Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Organizations identify critical information system assets so that additional safeguards and countermeasures can be employed (above and beyond those safeguards and countermeasures routinely implemented) to help ensure that organizational missions/business functions can continue to be conducted during contingency operations. In addition, the identification of critical information assets facilitates the prioritization of organizational resources. Critical information system assets include technical and operational aspects. Technical aspects include, for example, information technology services, information system components, information technology products, and mechanisms. Operational aspects include, for example, procedures (manually executed operations) and personnel (individuals operating technical safeguards and/or executing manual procedures). Organizational program protection plans can provide assistance in identifying critical assets.
+
+
+
+
+
Determine if the organization identifies critical information system assets supporting essential missions and business functions.
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing contingency operations for the information system
+
contingency plan
+
business impact assessment
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+
Determine if the organization:
+
+ CP-2(a)
+
develops and documents a contingency plan for the information system that:
+
+ CP-2(a)(1)
+
identifies essential missions and business functions and associated contingency requirements;
+
+
+ CP-2(a)(2)
+
+ CP-2(a)(2)[1]
+
provides recovery objectives;
+
+
+ CP-2(a)(2)[2]
+
provides restoration priorities;
+
+
+ CP-2(a)(2)[3]
+
provides metrics;
+
+
+
+ CP-2(a)(3)
+
+ CP-2(a)(3)[1]
+
addresses contingency roles;
+
+
+ CP-2(a)(3)[2]
+
addresses contingency responsibilities;
+
+
+ CP-2(a)(3)[3]
+
addresses assigned individuals with contact information;
+
+
+
+ CP-2(a)(4)
+
addresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;
+
+
+ CP-2(a)(5)
+
addresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented;
+
+
+ CP-2(a)(6)
+
+ CP-2(a)(6)[1]
+
defines personnel or roles to review and approve the contingency plan for the information system;
+
+
+ CP-2(a)(6)[2]
+
is reviewed and approved by organization-defined personnel or roles;
+
+
+
+
+ CP-2(b)
+
+ CP-2(b)[1]
+
defines key contingency personnel (identified by name and/or by role) and organizational elements to whom copies of the contingency plan are to be distributed;
+
+
+ CP-2(b)[2]
+
distributes copies of the contingency plan to organization-defined key contingency personnel and organizational elements;
+
+
+
+ CP-2(c)
+
coordinates contingency planning activities with incident handling activities;
+
+
+ CP-2(d)
+
+ CP-2(d)[1]
+
defines a frequency to review the contingency plan for the information system;
+
+
+ CP-2(d)[2]
+
reviews the contingency plan with the organization-defined frequency;
+
+
+
+ CP-2(e)
+
updates the contingency plan to address:
+
+ CP-2(e)[1]
+
changes to the organization, information system, or environment of operation;
+
+
+ CP-2(e)[2]
+
problems encountered during plan implementation, execution, and testing;
+
+
+
+ CP-2(f)
+
+ CP-2(f)[1]
+
defines key contingency personnel (identified by name and/or by role) and organizational elements to whom contingency plan changes are to be communicated;
+
+
+ CP-2(f)[2]
+
communicates contingency plan changes to organization-defined key contingency personnel and organizational elements; and
+
+
+
+ CP-2(g)
+
protects the contingency plan from unauthorized disclosure and modification.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing contingency operations for the information system
+
contingency plan
+
security plan
+
evidence of contingency plan reviews and updates
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
organizational personnel with incident handling responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for contingency plan development, review, update, and protection
+
automated mechanisms for developing, reviewing, updating and/or protecting the contingency plan
+
+
+
+ Federal Continuity Directive 1
+
+
+ NIST Special Publication 800-34
+
+
+
+
+ CONTINGENCY TRAINING
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ CP-3
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization provides contingency training to information system users consistent with assigned roles and responsibilities:
+
+ CP-3a.
+
Within of assuming a contingency role or responsibility;
+
+
+ CP-3b.
+
When required by information system changes; and
+
+
+ CP-3c.
+
+ thereafter.
+
+
+
+
Contingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, regular users may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to set up information systems at alternate processing and storage sites; and managers/senior leaders may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles/responsibilities reflects the specific continuity requirements in the contingency plan.
The organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.
+
+
+
Determine if the organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing contingency training
+
contingency plan
+
contingency training curriculum
+
contingency training material
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency planning, plan implementation, and training responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for contingency training
+
automated mechanisms for simulating contingency events
The organization employs automated mechanisms to provide a more thorough and realistic contingency training environment.
+
+
+
Determine if the organization employs automated mechanisms to provide a more thorough and realistic contingency training environment.
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing contingency training
+
contingency plan
+
contingency training curriculum
+
contingency training material
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency planning, plan implementation, and training responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for contingency training
+
automated mechanisms for providing contingency training environments
+
+
+
+
Determine if the organization:
+
+ CP-3(a)
+
+ CP-3(a)[1]
+
defines a time period within which contingency training is to be provided to information system users assuming a contingency role or responsibility;
+
+
+ CP-3(a)[2]
+
provides contingency training to information system users consistent with assigned roles and responsibilities within the organization-defined time period of assuming a contingency role or responsibility;
+
+
+
+ CP-3(b)
+
provides contingency training to information system users consistent with assigned roles and responsibilities when required by information system changes;
+
+
+ CP-3(c)
+
+ CP-3(c)[1]
+
defines the frequency for contingency training thereafter; and
+
+
+ CP-3(c)[2]
+
provides contingency training to information system users consistent with assigned roles and responsibilities with the organization-defined frequency thereafter.
+
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing contingency training
+
contingency plan
+
contingency training curriculum
+
contingency training material
+
security plan
+
contingency training records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency planning, plan implementation, and training responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for contingency training
+
+
+
+ Federal Continuity Directive 1
+
+
+ NIST Special Publication 800-16
+
+
+ NIST Special Publication 800-50
+
+
+
+
+ CONTINGENCY PLAN TESTING
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined tests
+ organization-defined tests
+
+ CP-4
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CP-4a.
+
Tests the contingency plan for the information system using to determine the effectiveness of the plan and the organizational readiness to execute the plan;
+
+
+ CP-4b.
+
Reviews the contingency plan test results; and
+
+
+ CP-4c.
+
Initiates corrective actions, if needed.
+
+
+
+
Methods for testing contingency plans to determine the effectiveness of the plans and to identify potential weaknesses in the plans include, for example, walk-through and tabletop exercises, checklists, simulations (parallel, full interrupt), and comprehensive exercises. Organizations conduct testing based on the continuity requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals arising due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions.
+
+
+
+
+
+ COORDINATE WITH RELATED PLANS
+ CP-4 (1)
+ MODERATE
+ HIGH
+
+
The organization coordinates contingency plan testing with organizational elements responsible for related plans.
+
+
+
Plans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. This control enhancement does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. It does require, however, that if such organizational elements are responsible for related plans, organizations should coordinate with those elements.
+
+
+
+
+
Determine if the organization coordinates contingency plan testing with organizational elements responsible for related plans.
+
+
+ EXAMINE
+
Contingency planning policy
+
incident response policy
+
procedures addressing contingency plan testing
+
contingency plan testing documentation
+
contingency plan
+
business continuity plans
+
disaster recovery plans
+
continuity of operations plans
+
crisis communications plans
+
critical infrastructure plans
+
cyber incident response plans
+
occupant emergency plans
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency plan testing responsibilities
+
organizational personnel
+
personnel with responsibilities for related plans
+
organizational personnel with information security responsibilities
+
+
+
+ ALTERNATE PROCESSING SITE
+ CP-4 (2)
+ HIGH
+
+
The organization tests the contingency plan at the alternate processing site:
+
+ CP-4 (2)(a)
+
To familiarize contingency personnel with the facility and available resources; and
+
+
+ CP-4 (2)(b)
+
To evaluate the capabilities of the alternate processing site to support contingency operations.
+
+
+
+
+
+
+
Determine if the organization tests the contingency plan at the alternate processing site to:
+
+ CP-4(2)(a)
+
familiarize contingency personnel with the facility and available resources; and
+
+
+ CP-4(2)(b)
+
evaluate the capabilities of the alternate processing site to support contingency operations.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing contingency plan testing
+
contingency plan
+
contingency plan test documentation
+
contingency plan test results
+
alternate processing site agreements
+
service-level agreements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for contingency plan testing
+
automated mechanisms supporting the contingency plan and/or contingency plan testing
+
+
+
+ AUTOMATED TESTING
+ CP-4 (3)
+
+
The organization employs automated mechanisms to more thoroughly and effectively test the contingency plan.
+
+
+
Automated mechanisms provide more thorough and effective testing of contingency plans, for example: (i) by providing more complete coverage of contingency issues; (ii) by selecting more realistic test scenarios and environments; and (iii) by effectively stressing the information system and supported missions.
+
+
+
Determine if the organization employs automated mechanisms to more thoroughly and effectively test the contingency plan.
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing contingency plan testing
+
contingency plan
+
automated mechanisms supporting contingency plan testing
+
contingency plan test documentation
+
contingency plan test results
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency plan testing responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for contingency plan testing
+
automated mechanisms supporting contingency plan testing
The organization includes a full recovery and reconstitution of the information system to a known state as part of contingency plan testing.
+
+
+
+
+
+
+
Determine if the organization:
+
+ CP-4(4)[1]
+
includes a full recovery of the information system to a known state as part of contingency plan testing; and
+
+
+ CP-4(4)[2]
+
includes a full reconstitution of the information system to a known state as part of contingency plan testing.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing information system recovery and reconstitution
+
contingency plan
+
contingency plan test documentation
+
contingency plan test results
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency plan testing responsibilities
+
organizational personnel with information system recovery and reconstitution responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for contingency plan testing
+
automated mechanisms supporting contingency plan testing
+
automated mechanisms supporting recovery and reconstitution of the information system
+
+
+
+
Determine if the organization:
+
+ CP-4(a)
+
+ CP-4(a)[1]
+
defines tests to determine the effectiveness of the contingency plan and the organizational readiness to execute the plan;
+
+
+ CP-4(a)[2]
+
defines a frequency to test the contingency plan for the information system;
+
+
+ CP-4(a)[3]
+
tests the contingency plan for the information system with the organization-defined frequency, using organization-defined tests to determine the effectiveness of the plan and the organizational readiness to execute the plan;
+
+
+
+ CP-4(b)
+
reviews the contingency plan test results; and
+
+
+ CP-4(c)
+
initiates corrective actions, if needed.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing contingency plan testing
+
contingency plan
+
security plan
+
contingency plan test documentation
+
contingency plan test results
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for contingency plan testing, reviewing or responding to contingency plan tests
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for contingency plan testing
+
automated mechanisms supporting the contingency plan and/or contingency plan testing
+
+
+
+ Federal Continuity Directive 1
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-34
+
+
+ NIST Special Publication 800-84
+
+
+
+
+ CONTINGENCY PLAN UPDATE
+ CP-5
+
+
+
+ Incorporated into CP-2.
+
+
+
+ ALTERNATE STORAGE SITE
+ CP-6
+ P1
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CP-6a.
+
Establishes an alternate storage site including necessary agreements to permit the storage and retrieval of information system backup information; and
+
+
+ CP-6b.
+
Ensures that the alternate storage site provides information security safeguards equivalent to that of the primary site.
+
+
+
+
Alternate storage sites are sites that are geographically distinct from primary storage sites. An alternate storage site maintains duplicate copies of information and data in the event that the primary storage site is not available. Items covered by alternate storage site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination of delivery/retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.
+
+
+
+
+
+
+
+ SEPARATION FROM PRIMARY SITE
+ CP-6 (1)
+ MODERATE
+ HIGH
+
+
The organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats.
+
+
+
Threats that affect alternate storage sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant.
+
+
+
+
Determine if the organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats.
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing alternate storage sites
+
contingency plan
+
alternate storage site
+
alternate storage site agreements
+
primary storage site agreements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency plan alternate storage site responsibilities
+
organizational personnel with information system recovery responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ RECOVERY TIME / POINT OBJECTIVES
+ CP-6 (2)
+ HIGH
+
+
The organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.
+
+
+
Determine if the organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time objectives and recovery point objectives (as specified in the information system contingency plan).
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing alternate storage sites
+
contingency plan
+
alternate storage site
+
alternate storage site agreements
+
alternate storage site configurations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency plan testing responsibilities
+
organizational personnel with responsibilities for testing related plans
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for contingency plan testing
The organization identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.
+
+
+
Area-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include, for example: (i) duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites; or (ii) planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted.
+
+
+
+
Determine if the organization:
+
+ CP-6(3)[1]
+
identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster; and
+
+
+ CP-6(3)[2]
+
outlines explicit mitigation actions for such potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing alternate storage sites
+
contingency plan
+
alternate storage site
+
list of potential accessibility problems to alternate storage site
+
mitigation actions for accessibility problems to alternate storage site
+
organizational risk assessments
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency plan alternate storage site responsibilities
+
organizational personnel with information system recovery responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+
Determine if the organization:
+
+ CP-6[1]
+
establishes an alternate storage site including necessary agreements to permit the storage and retrieval of information system backup information; and
+
+
+ CP-6[2]
+
ensures that the alternate storage site provides information security safeguards equivalent to that of the primary site.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing alternate storage sites
+
contingency plan
+
alternate storage site agreements
+
primary storage site agreements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency plan alternate storage site responsibilities
+
organizational personnel with information system recovery responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for storing and retrieving information system backup information at the alternate storage site
+
automated mechanisms supporting and/or implementing storage and retrieval of information system backup information at the alternate storage site
+
+
+
+ NIST Special Publication 800-34
+
+
+
+
+ ALTERNATE PROCESSING SITE
+
+ organization-defined information system operations
+ organization-defined information system operations
+
+
+ organization-defined time period consistent with recovery time and recovery point objectives
+ organization-defined time period consistent with recovery time and recovery point objectives
+
+ CP-7
+ P1
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CP-7a.
+
Establishes an alternate processing site including necessary agreements to permit the transfer and resumption of for essential missions/business functions within when the primary processing capabilities are unavailable;
+
+
+ CP-7b.
+
Ensures that equipment and supplies required to transfer and resume operations are available at the alternate processing site or contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption; and
+
+
+ CP-7c.
+
Ensures that the alternate processing site provides information security safeguards equivalent to those of the primary site.
+
+
+
+
Alternate processing sites are sites that are geographically distinct from primary processing sites. An alternate processing site provides processing capability in the event that the primary processing site is not available. Items covered by alternate processing site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination for the transfer/assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.
+
+
+
+
+
+
+
+
+ SEPARATION FROM PRIMARY SITE
+ CP-7 (1)
+ MODERATE
+ HIGH
+
+
The organization identifies an alternate processing site that is separated from the primary processing site to reduce susceptibility to the same threats.
+
+
+
Threats that affect alternate processing sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant.
+
+
+
+
Determine if the organization identifies an alternate processing site that is separated from the primary storage site to reduce susceptibility to the same threats.
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing alternate processing sites
+
contingency plan
+
alternate processing site
+
alternate processing site agreements
+
primary processing site agreements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency plan alternate processing site responsibilities
+
organizational personnel with information system recovery responsibilities
+
organizational personnel with information security responsibilities
The organization identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.
+
+
+
Area-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk.
+
+
+
+
Determine if the organization:
+
+ CP-7(2)[1]
+
identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster; and
+
+
+ CP-7(2)[2]
+
outlines explicit mitigation actions for such potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing alternate processing sites
+
contingency plan
+
alternate processing site
+
alternate processing site agreements
+
primary processing site agreements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency plan alternate processing site responsibilities
+
organizational personnel with information system recovery responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ PRIORITY OF SERVICE
+ CP-7 (3)
+ MODERATE
+ HIGH
+
+
The organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives).
+
+
+
Priority-of-service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources at the alternate processing site.
+
+
+
Determine if the organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives as specified in the information system contingency plan).
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing alternate processing sites
+
contingency plan
+
alternate processing site agreements
+
service-level agreements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency plan alternate processing site responsibilities
+
organizational personnel with information system recovery responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility for acquisitions/contractual agreements
+
+
+
+ PREPARATION FOR USE
+ CP-7 (4)
+ HIGH
+
+
The organization prepares the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.
+
+
+
Site preparation includes, for example, establishing configuration settings for information system components at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and other logistical considerations are in place.
+
+
+
+
+
Determine if the organization prepares the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing alternate processing sites
+
contingency plan
+
alternate processing site
+
alternate processing site agreements
+
alternate processing site configurations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency plan alternate processing site responsibilities
+
organizational personnel with information system recovery responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing recovery at the alternate processing site
+
+
+
+ INABILITY TO RETURN TO PRIMARY SITE
+ CP-7 (6)
+
+
The organization plans and prepares for circumstances that preclude returning to the primary processing site.
+
+
+
Determine if the organization plans and prepares for circumstances that preclude returning to the primary processing site.
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing alternate processing sites
+
contingency plan
+
alternate processing site
+
alternate processing site agreements
+
alternate processing site configurations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system reconstitution responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+
Determine if the organization:
+
+ CP-7(a)
+
+ CP-7(a)[1]
+
defines information system operations requiring an alternate processing site to be established to permit the transfer and resumption of such operations;
+
+
+ CP-7(a)[2]
+
defines the time period consistent with recovery time objectives and recovery point objectives (as specified in the information system contingency plan) for transfer/resumption of organization-defined information system operations for essential missions/business functions;
+
+
+ CP-7(a)[3]
+
establishes an alternate processing site including necessary agreements to permit the transfer and resumption of organization-defined information system operations for essential missions/business functions, within the organization-defined time period, when the primary processing capabilities are unavailable;
+
+
+
+ CP-7(b)
+
+ CP-7(b)[1]
+
ensures that equipment and supplies required to transfer and resume operations are available at the alternate processing site; or
+
+
+ CP-7(b)[2]
+
ensures that contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption; and
+
+
+
+ CP-7(c)
+
ensures that the alternate processing site provides information security safeguards equivalent to those of the primary site.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing alternate processing sites
+
contingency plan
+
alternate processing site agreements
+
primary processing site agreements
+
spare equipment and supplies inventory at alternate processing site
+
equipment and supply contracts
+
service-level agreements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for contingency planning and/or alternate site arrangements
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for recovery at the alternate site
+
automated mechanisms supporting and/or implementing recovery at the alternate processing site
+
+
+
+ NIST Special Publication 800-34
+
+
+
+
+ TELECOMMUNICATIONS SERVICES
+
+ organization-defined information system operations
+ organization-defined information system operations
+
+
+ organization-defined time period
+ organization-defined time period
+
+ CP-8
+ P1
+ MODERATE
+ HIGH
+
+
The organization establishes alternate telecommunications services including necessary agreements to permit the resumption of for essential missions and business functions within when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.
+
+
+
This control applies to telecommunications services (data and voice) for primary and alternate processing and storage sites. Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential missions/business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary/alternate sites. Alternate telecommunications services include, for example, additional organizational or commercial ground-based circuits/lines or satellites in lieu of ground-based communications. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements.
+
+
+
+
+
+ PRIORITY OF SERVICE PROVISIONS
+ CP-8 (1)
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CP-8 (1)(a)
+
Develops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives); and
+
+
+ CP-8 (1)(b)
+
Requests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.
+
+
+
+
Organizations consider the potential mission/business impact in situations where telecommunications service providers are servicing other organizations with similar priority-of-service provisions.
+
+
+
Determine if the organization:
+
+ CP-8(1)[1]
+
develops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives as specified in the information system contingency plan); and
+
+
+ CP-8(1)[2]
+
requests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing primary and alternate telecommunications services
+
contingency plan
+
primary and alternate telecommunications service agreements
+
Telecommunications Service Priority documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency plan telecommunications responsibilities
+
organizational personnel with information system recovery responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility for acquisitions/contractual agreements
+
+
+
+ SINGLE POINTS OF FAILURE
+ CP-8 (2)
+ MODERATE
+ HIGH
+
+
The organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.
+
+
+
Determine if the organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing primary and alternate telecommunications services
+
contingency plan
+
primary and alternate telecommunications service agreements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency plan telecommunications responsibilities
+
organizational personnel with information system recovery responsibilities
+
primary and alternate telecommunications service providers
+
organizational personnel with information security responsibilities
+
+
+
+ SEPARATION OF PRIMARY / ALTERNATE PROVIDERS
+ CP-8 (3)
+ HIGH
+
+
The organization obtains alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.
+
+
+
Threats that affect telecommunications services are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber/physical attacks, and errors of omission/commission. Organizations seek to reduce common susceptibilities by, for example, minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services meeting the separation needs addressed in the risk assessment.
+
+
+
Determine if the organization obtains alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing primary and alternate telecommunications services
+
contingency plan
+
primary and alternate telecommunications service agreements
+
alternate telecommunications service provider site
+
primary telecommunications service provider site
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency plan telecommunications responsibilities
+
organizational personnel with information system recovery responsibilities
+
primary and alternate telecommunications service providers
+
organizational personnel with information security responsibilities
+
+
+
+ PROVIDER CONTINGENCY PLAN
+
+ organization-defined frequency
+ organization-defined frequency
+
+ CP-8 (4)
+ HIGH
+
+
The organization:
+
+ CP-8 (4)(a)
+
Requires primary and alternate telecommunications service providers to have contingency plans;
+
+
+ CP-8 (4)(b)
+
Reviews provider contingency plans to ensure that the plans meet organizational contingency requirements; and
+
+
+ CP-8 (4)(c)
+
Obtains evidence of contingency testing/training by providers .
+
+
+
+
Reviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with the Department of Homeland Security, state, and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training.
+
+
+
Determine if the organization:
+
+ CP-8(4)(a)
+
+ CP-8(4)(a)[1]
+
requires primary telecommunications service provider to have contingency plans;
+
+
+ CP-8(4)(a)[2]
+
requires alternate telecommunications service provider(s) to have contingency plans;
+
+
+
+ CP-8(4)(b)
+
reviews provider contingency plans to ensure that the plans meet organizational contingency requirements;
+
+
+ CP-8(4)(c)
+
+ CP-8(4)(c)[1]
+
defines the frequency to obtain evidence of contingency testing/training by providers; and
+
+
+ CP-8(4)(c)[2]
+
obtains evidence of contingency testing/training by providers with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing primary and alternate telecommunications services
+
contingency plan
+
provider contingency plans
+
evidence of contingency testing/training by providers
+
primary and alternate telecommunications service agreements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency planning, plan implementation, and testing responsibilities
+
primary and alternate telecommunications service providers
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility for acquisitions/contractual agreements
+
+
+
+ ALTERNATE TELECOMMUNICATION SERVICE TESTING
+
+ organization-defined frequency
+ organization-defined frequency
+
+ CP-8 (5)
+
+
The organization tests alternate telecommunication services .
+
+
+
Determine if the organization:
+
+ CP-8(5)[1]
+
defines the frequency to test alternate telecommunication services; and
+
+
+ CP-8(5)[2]
+
tests alternate telecommunication services with the organization-defined frequency.
defines information system operations requiring alternate telecommunications services to be established to permit the resumption of such operations;
+
+
+ CP-8[2]
+
defines the time period to permit resumption of organization-defined information system operations for essential missions and business functions; and
+
+
+ CP-8[3]
+
establishes alternate telecommunications services including necessary agreements to permit the resumption of organization-defined information system operations for essential missions and business functions, within the organization-defined time period, when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.
+
+
+
+ NIST Special Publication 800-34
+
+
+ National Communications Systems Directive 3-10
+
+
+ http://www.dhs.gov/telecommunications-service-priority-tsp
+
+
+
+
+ INFORMATION SYSTEM BACKUP
+
+ organization-defined frequency consistent with recovery time and recovery point objectives
+ organization-defined frequency consistent with recovery time and recovery point objectives
+
+
+ organization-defined frequency consistent with recovery time and recovery point objectives
+ organization-defined frequency consistent with recovery time and recovery point objectives
+
+
+ organization-defined frequency consistent with recovery time and recovery point objectives
+ organization-defined frequency consistent with recovery time and recovery point objectives
+
+ CP-9
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ CP-9a.
+
Conducts backups of user-level information contained in the information system ;
+
+
+ CP-9b.
+
Conducts backups of system-level information contained in the information system ;
+
+
+ CP-9c.
+
Conducts backups of information system documentation including security-related documentation ; and
+
+
+ CP-9d.
+
Protects the confidentiality, integrity, and availability of backup information at storage locations.
+
+
+
+
System-level information includes, for example, system-state information, operating system and application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed by organizations to protect the integrity of information system backups include, for example, digital signatures and cryptographic hashes. Protection of system backup information while in transit is beyond the scope of this control. Information system backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information.
+
+
+
+
+
+
+
+ TESTING FOR RELIABILITY / INTEGRITY
+
+ organization-defined frequency
+ organization-defined frequency
+
+ CP-9 (1)
+ MODERATE
+ HIGH
+
+
The organization tests backup information to verify media reliability and information integrity.
+
+
+
+
+
+
Determine if the organization:
+
+ CP-9(1)[1]
+
defines the frequency to test backup information to verify media reliability and information integrity; and
+
+
+ CP-9(1)[2]
+
tests backup information with the organization-defined frequency to verify media reliability and information integrity.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing information system backup
+
contingency plan
+
information system backup test results
+
contingency plan test documentation
+
contingency plan test results
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system backup responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for conducting information system backups
+
automated mechanisms supporting and/or implementing information system backups
+
+
+
+ TEST RESTORATION USING SAMPLING
+ CP-9 (2)
+ HIGH
+
+
The organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing.
+
+
+
+
+
+
Determine if the organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing.
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing information system backup
+
contingency plan
+
information system backup test results
+
contingency plan test documentation
+
contingency plan test results
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system backup responsibilities
+
organizational personnel with contingency planning/contingency plan testing responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for conducting information system backups
+
automated mechanisms supporting and/or implementing information system backups
+
+
+
+ SEPARATE STORAGE FOR CRITICAL INFORMATION
+
+ organization-defined critical information system software and other security-related information
+ organization-defined critical information system software and other security-related information
+
+ CP-9 (3)
+ HIGH
+
+
The organization stores backup copies of in a separate facility or in a fire-rated container that is not collocated with the operational system.
+
+
+
Critical information system software includes, for example, operating systems, cryptographic key management systems, and intrusion detection/prevention systems. Security-related information includes, for example, organizational inventories of hardware, software, and firmware components. Alternate storage sites typically serve as separate storage facilities for organizations.
+
+
+
+
+
Determine if the organization:
+
+ CP-9(3)[1]
+
+ CP-9(3)[1][a]
+
defines critical information system software and other security-related information requiring backup copies to be stored in a separate facility; or
+
+
+ CP-9(3)[1][b]
+
defines critical information system software and other security-related information requiring backup copies to be stored in a fire-rated container that is not collocated with the operational system; and
+
+
+
+ CP-9(3)[2]
+
stores backup copies of organization-defined critical information system software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the operational system.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing information system backup
+
contingency plan
+
backup storage location(s)
+
information system backup configurations and associated documentation
+
information system backup logs or records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
organizational personnel with information system backup responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ TRANSFER TO ALTERNATE STORAGE SITE
+
+ organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives
+ organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives
+
+ CP-9 (5)
+ HIGH
+
+
The organization transfers information system backup information to the alternate storage site .
+
+
+
Information system backup information can be transferred to alternate storage sites either electronically or by physical shipment of storage media.
+
+
+
Determine if the organization:
+
+ CP-9(5)[1]
+
defines a time period, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to transfer information system backup information to the alternate storage site;
+
+
+ CP-9(5)[2]
+
defines a transfer rate, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to transfer information system backup information to the alternate storage site; and
+
+
+ CP-9(5)[3]
+
transfers information system backup information to the alternate storage site with the organization-defined time period and transfer rate.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing information system backup
+
contingency plan
+
information system backup logs or records
+
evidence of system backup information transferred to alternate storage site
+
alternate storage site agreements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system backup responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for transferring information system backups to the alternate storage site
+
automated mechanisms supporting and/or implementing information system backups
+
automated mechanisms supporting and/or implementing information transfer to the alternate storage site
+
+
+
+ REDUNDANT SECONDARY SYSTEM
+ CP-9 (6)
+
+
The organization accomplishes information system backup by maintaining a redundant secondary system that is not collocated with the primary system and that can be activated without loss of information or disruption to operations.
+
+
+
+
+
+
+
Determine if the organization accomplishes information system backup by maintaining a redundant secondary system that:
+
+ CP-9(6)[1]
+
is not collocated with the primary system; and
+
+
+ CP-9(6)[2]
+
can be activated without loss of information or disruption to operations.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing information system backup
+
contingency plan
+
information system backup test results
+
contingency plan test results
+
contingency plan test documentation
+
redundant secondary system for information system backups
+
location(s) of redundant secondary backup system(s)
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system backup responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility for the redundant secondary system
+
+
+ TEST
+
Organizational processes for maintaining redundant secondary systems
+
automated mechanisms supporting and/or implementing information system backups
+
automated mechanisms supporting and/or implementing information transfer to a redundant secondary system
The organization enforces dual authorization for the deletion or destruction of .
+
+
+
Dual authorization ensures that the deletion or destruction of backup information cannot occur unless two qualified individuals carry out the task. Individuals deleting/destroying backup information possess sufficient skills/expertise to determine if the proposed deletion/destruction of backup information reflects organizational policies and procedures. Dual authorization may also be known as two-person control.
+
+
+
+
+
Determine if the organization:
+
+ CP-9(7)[1]
+
defines backup information that requires dual authorization to be enforced for the deletion or destruction of such information; and
+
+
+ CP-9(7)[2]
+
enforces dual authorization for the deletion or destruction of organization-defined backup information.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing information system backup
+
contingency plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
system generated list of dual authorization credentials or rules
+
logs or records of deletion or destruction of backup information
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system backup responsibilities
+
organizational personnel with information security responsibilities
automated mechanisms supporting and/or implementing deletion/destruction of backup information
+
+
+
+
Determine if the organization:
+
+ CP-9(a)
+
+ CP-9(a)[1]
+
defines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of user-level information contained in the information system;
+
+
+ CP-9(a)[2]
+
conducts backups of user-level information contained in the information system with the organization-defined frequency;
+
+
+
+ CP-9(b)
+
+ CP-9(b)[1]
+
defines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of system-level information contained in the information system;
+
+
+ CP-9(b)[2]
+
conducts backups of system-level information contained in the information system with the organization-defined frequency;
+
+
+
+ CP-9(c)
+
+ CP-9(c)[1]
+
defines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of information system documentation including security-related documentation;
+
+
+ CP-9(c)[2]
+
conducts backups of information system documentation, including security-related documentation, with the organization-defined frequency; and
+
+
+
+ CP-9(d)
+
protects the confidentiality, integrity, and availability of backup information at storage locations.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing information system backup
+
contingency plan
+
backup storage location(s)
+
information system backup logs or records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system backup responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for conducting information system backups
+
automated mechanisms supporting and/or implementing information system backups
+
+
+
+ NIST Special Publication 800-34
+
+
+
+
+ INFORMATION SYSTEM RECOVERY AND RECONSTITUTION
+ CP-10
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization provides for the recovery and reconstitution of the information system to a known state after a disruption, compromise, or failure.
+
+
+
Recovery is executing information system contingency plan activities to restore organizational missions/business functions. Reconstitution takes place following recovery and includes activities for returning organizational information systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities, recovery point/time and reconstitution objectives, and established organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of any interim information system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored information system capabilities, reestablishment of continuous monitoring activities, potential information system reauthorizations, and activities to prepare the systems against future disruptions, compromises, or failures. Recovery/reconstitution capabilities employed by organizations can include both automated mechanisms and manual procedures.
The information system implements transaction recovery for systems that are transaction-based.
+
+
+
Transaction-based information systems include, for example, database management systems and transaction processing systems. Mechanisms supporting transaction recovery include, for example, transaction rollback and transaction journaling.
+
+
+
Determine if the information system implements transaction recovery for systems that are transaction-based.
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing information system recovery and reconstitution
+
contingency plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
contingency plan test documentation
+
contingency plan test results
+
information system transaction recovery records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for transaction recovery
+
organizational personnel with information security responsibilities
+
+
+
+ RESTORE WITHIN TIME PERIOD
+
+ organization-defined restoration time-periods
+ organization-defined restoration time-periods
+
+ CP-10 (4)
+ HIGH
+
+
The organization provides the capability to restore information system components within from configuration-controlled and integrity-protected information representing a known, operational state for the components.
+
+
+
Restoration of information system components includes, for example, reimaging which restores components to known, operational states.
+
+
+
+
Determine if the organization:
+
+ CP-10(4)[1]
+
defines a time period to restore information system components from configuration-controlled and integrity-protected information representing a known, operational state for the components; and
+
+
+ CP-10(4)[2]
+
provides the capability to restore information system components within the organization-defined time period from configuration-controlled and integrity-protected information representing a known, operational state for the components.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing information system recovery and reconstitution
+
contingency plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
contingency plan test documentation
+
contingency plan test results
+
evidence of information system recovery and reconstitution operations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system recovery and reconstitution responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing recovery/reconstitution of information system information
+
+
+
+ FAILOVER CAPABILITY
+ CP-10 (5)
+
+
+
+ Incorporated into SI-13.
+
+
+
+ COMPONENT PROTECTION
+ CP-10 (6)
+
+
The organization protects backup and restoration hardware, firmware, and software.
+
+
+
Protection of backup and restoration hardware, firmware, and software components includes both physical and technical safeguards. Backup and restoration software includes, for example, router tables, compilers, and other security-relevant system software.
+
+
+
+
+
+
Determine if the organization protects backup and restoration:
+
+ CP-10(6)[1]
+
hardware;
+
+
+ CP-10(6)[2]
+
firmware; and
+
+
+ CP-10(6)[3]
+
software.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing information system recovery and reconstitution
+
contingency plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
logical access credentials
+
physical access credentials
+
logical access authorization records
+
physical access authorization records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system recovery and reconstitution responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for protecting backup and restoration hardware, firmware, and software
+
automated mechanisms supporting and/or implementing protection of backup and restoration hardware, firmware, and software
+
+
+
+
Determine if the organization provides for:
+
+ CP-10[1]
+
the recovery of the information system to a known state after:
+
+ CP-10[1][a]
+
a disruption;
+
+
+ CP-10[1][b]
+
a compromise; or
+
+
+ CP-10[1][c]
+
a failure;
+
+
+
+ CP-10[2]
+
the reconstitution of the information system to a known state after:
+
+ CP-10[2][a]
+
a disruption;
+
+
+ CP-10[2][b]
+
a compromise; or
+
+
+ CP-10[2][c]
+
a failure.
+
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing information system backup
+
contingency plan
+
information system backup test results
+
contingency plan test results
+
contingency plan test documentation
+
redundant secondary system for information system backups
+
location(s) of redundant secondary backup system(s)
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency planning, recovery, and/or reconstitution responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes implementing information system recovery and reconstitution operations
+
automated mechanisms supporting and/or implementing information system recovery and reconstitution operations
The information system provides the capability to employ in support of maintaining continuity of operations.
+
+
+
Contingency plans and the associated training and testing for those plans, incorporate an alternate communications protocol capability as part of increasing the resilience of organizational information systems. Alternate communications protocols include, for example, switching from Transmission Control Protocol/Internet Protocol (TCP/IP) Version 4 to TCP/IP Version 6. Switching communications protocols may affect software applications and therefore, the potential side effects of introducing alternate communications protocols are analyzed prior to implementation.
+
+
+
Determine if:
+
+ CP-11[1]
+
the organization defines alternative communications protocols to be employed in support of maintaining continuity of operations; and
+
+
+ CP-11[2]
+
the information system provides the capability to employ organization-defined alternative communications protocols in support of maintaining continuity of operations.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing alternative communications protocols
+
contingency plan
+
continuity of operations plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of alternative communications protocols supporting continuity of operations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with contingency planning and plan implementation responsibilities
+
organizational personnel with continuity of operations planning and plan implementation responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms employing alternative communications protocols
+
+
+
+ SAFE MODE
+
+ organization-defined conditions
+ organization-defined conditions
+
+
+ organization-defined restrictions of safe mode of operation
+ organization-defined restrictions of safe mode of operation
+
+ CP-12
+ P0
+
+
The information system, when are detected, enters a safe mode of operation with .
+
+
+
For information systems supporting critical missions/business functions including, for example, military operations and weapons systems, civilian space operations, nuclear power plant operations, and air traffic control operations (especially real-time operational environments), organizations may choose to identify certain conditions under which those systems revert to a predefined safe mode of operation. The safe mode of operation, which can be activated automatically or manually, restricts the types of activities or operations information systems could execute when those conditions are encountered. Restriction includes, for example, allowing only certain functions that could be carried out under limited power or with reduced communications bandwidth.
+
+
+
Determine if:
+
+ CP-12[1]
+
the organization defines conditions that, when detected, requires the information system to enter a safe mode of operation;
+
+
+ CP-12[2]
+
the organization defines restrictions of safe mode of operation; and
+
+
+ CP-12[3]
+
the information system, when organization-defined conditions are detected, enters a safe mode of operation with organization-defined restrictions of safe mode of operation.
+
+
+
+ EXAMINE
+
Contingency planning policy
+
procedures addressing safe mode of operation for the information system
+
contingency plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system administration manuals
+
information system operation manuals
+
information system installation manuals
+
contingency plan test records
+
incident handling records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operation responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms implementing safe mode of operation
+
+
+
+ ALTERNATIVE SECURITY MECHANISMS
+
+ organization-defined alternative or supplemental security mechanisms
+ organization-defined alternative or supplemental security mechanisms
+
+
+ organization-defined security functions
+ organization-defined security functions
+
+ CP-13
+ P0
+
+
The organization employs for satisfying when the primary means of implementing the security function is unavailable or compromised.
+
+
+
This control supports information system resiliency and contingency planning/continuity of operations. To ensure mission/business continuity, organizations can implement alternative or supplemental security mechanisms. These mechanisms may be less effective than the primary mechanisms (e.g., not as easy to use, not as scalable, or not as secure). However, having the capability to readily employ these alternative/supplemental mechanisms enhances overall mission/business continuity that might otherwise be adversely impacted if organizational operations had to be curtailed until the primary means of implementing the functions was restored. Given the cost and level of effort required to provide such alternative capabilities, this control would typically be applied only to critical security capabilities provided by information systems, system components, or information system services. For example, an organization may issue to senior executives and system administrators one-time pads in case multifactor tokens, the organization�s standard means for secure remote authentication, is compromised.
+
+
+
+
Determine if the organization:
+
+ CP-13[1]
+
defines alternative or supplemental security mechanisms to be employed when the primary means of implementing the security function is unavailable or compromised;
+
+
+ CP-13[2]
+
defines security functions to be satisfied using organization-defined alternative or supplemental security mechanisms when the primary means of implementing the security function is unavailable or compromised; and
+
+
+ CP-13[3]
+
employs organization-defined alternative or supplemental security mechanisms satisfying organization-defined security functions when the primary means of implementing the security function is unavailable or compromised.
information system configuration settings and associated documentation
+
contingency plan test records
+
contingency plan test results
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operation responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Information system capability implementing alternative security mechanisms
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION
+
+ IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ IA-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ IA-1a.
+
Develops, documents, and disseminates to :
+
+ IA-1a.1.
+
An identification and authentication policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ IA-1a.2.
+
Procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls; and
+
+
+
+ IA-1b.
+
Reviews and updates the current:
+
+ IA-1b.1.
+
Identification and authentication policy ; and
+
+
+ IA-1b.2.
+
Identification and authentication procedures .
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+
+
+
+
Determine if the organization:
+
+ IA-1(a)(1)
+
+ IA-1(a)(1)[1]
+
develops and documents an identification and authentication policy that addresses:
+
+ IA-1(a)(1)[1][a]
+
purpose;
+
+
+ IA-1(a)(1)[1][b]
+
scope;
+
+
+ IA-1(a)(1)[1][c]
+
roles;
+
+
+ IA-1(a)(1)[1][d]
+
responsibilities;
+
+
+ IA-1(a)(1)[1][e]
+
management commitment;
+
+
+ IA-1(a)(1)[1][f]
+
coordination among organizational entities;
+
+
+ IA-1(a)(1)[1][g]
+
compliance;
+
+
+
+ IA-1(a)(1)[2]
+
defines personnel or roles to whom the identification and authentication policy is to be disseminated; and
+
+
+ IA-1(a)(1)[3]
+
disseminates the identification and authentication policy to organization-defined personnel or roles;
+
+
+
+ IA-1(a)(2)
+
+ IA-1(a)(2)[1]
+
develops and documents procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls;
+
+
+ IA-1(a)(2)[2]
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ IA-1(a)(2)[3]
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ IA-1(b)(1)
+
+ IA-1(b)(1)[1]
+
defines the frequency to review and update the current identification and authentication policy;
+
+
+ IA-1(b)(1)[2]
+
reviews and updates the current identification and authentication policy with the organization-defined frequency; and
+
+
+
+ IA-1(b)(2)
+
+ IA-1(b)(2)[1]
+
defines the frequency to review and update the current identification and authentication procedures; and
+
+
+ IA-1(b)(2)[2]
+
reviews and updates the current identification and authentication procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Identification and authentication policy and procedures
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with identification and authentication responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-63
+
+
+ NIST Special Publication 800-73
+
+
+ NIST Special Publication 800-76
+
+
+ NIST Special Publication 800-78
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
+ IA-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).
+
+
+
Organizational users include employees or individuals that organizations deem to have equivalent status of employees (e.g., contractors, guest researchers). This control applies to all accesses other than: (i) accesses that are explicitly identified and documented in AC-14; and (ii) accesses that occur through authorized use of group authenticators without individual authentication. Organizations may require unique identification of individuals in group accounts (e.g., shared privilege accounts) or for detailed accountability of individual activity. Organizations employ passwords, tokens, or biometrics to authenticate user identities, or in the case multifactor authentication, or some combination thereof. Access to organizational information systems is defined as either local access or network access. Local access is any access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained by direct connections without the use of networks. Network access is access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks (e.g., the Internet). Internal networks include local area networks and wide area networks. In addition, the use of encrypted virtual private networks (VPNs) for network connections between organization-controlled endpoints and non-organization controlled endpoints may be treated as internal networks from the perspective of protecting the confidentiality and integrity of information traversing the network.
+Organizations can satisfy the identification and authentication requirements in this control by complying with the requirements in Homeland Security Presidential Directive 12 consistent with the specific organizational implementation plans. Multifactor authentication requires the use of two or more different factors to achieve authentication. The factors are defined as: (i) something you know (e.g., password, personal identification number [PIN]); (ii) something you have (e.g., cryptographic identification device, token); or (iii) something you are (e.g., biometric). Multifactor solutions that require devices separate from information systems gaining access include, for example, hardware tokens providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card and the DoD common access card. In addition to identifying and authenticating users at the information system level (i.e., at logon), organizations also employ identification and authentication mechanisms at the application level, when necessary, to provide increased information security. Identification and authentication requirements for other than organizational users are described in IA-8.
The organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed.
+
+
+
Requiring individuals to use individual authenticators as a second level of authentication helps organizations to mitigate the risk of using group authenticators.
+
+
+
Determine if the organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed.
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing user identification and authentication
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
list of information system accounts
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operations responsibilities
+
organizational personnel with account management responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing authentication capability for group accounts
+
+
+
+ NETWORK ACCESS TO PRIVILEGED ACCOUNTS - SEPARATE DEVICE
+
+ organization-defined strength of mechanism requirements
+ organization-defined strength of mechanism requirements
+
+ IA-2 (6)
+
+
The information system implements multifactor authentication for network access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets .
+
+
+
+
+
+
Determine if:
+
+ IA-2(6)[1]
+
the information system implements multifactor authentication for network access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access;
+
+
+ IA-2(6)[2]
+
the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining network access to privileged accounts; and
+
+
+ IA-2(6)[3]
+
the information system implements multifactor authentication for network access to privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing user identification and authentication
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
list of information system accounts
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operations responsibilities
+
organizational personnel with account management responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - SEPARATE DEVICE
+
+ organization-defined strength of mechanism requirements
+ organization-defined strength of mechanism requirements
+
+ IA-2 (7)
+
+
The information system implements multifactor authentication for network access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets .
+
+
+
Determine if:
+
+ IA-2(7)[1]
+
the information system implements multifactor authentication for network access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access;
+
+
+ IA-2(7)[2]
+
the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining network access to non-privileged accounts; and
+
+
+ IA-2(7)[3]
+
the information system implements multifactor authentication for network access to non-privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing user identification and authentication
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
list of information system accounts
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operations responsibilities
+
organizational personnel with account management responsibilities
+
organizational personnel with information security responsibilities
The information system implements replay-resistant authentication mechanisms for network access to privileged accounts.
+
+
+
Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.
+
+
+
Determine if the information system implements replay-resistant authentication mechanisms for network access to privileged accounts.
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing user identification and authentication
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
list of privileged information system accounts
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operations responsibilities
+
organizational personnel with account management responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing identification and authentication capability
+
+
+
+ NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - REPLAY RESISTANT
+ IA-2 (9)
+ HIGH
+
+
The information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts.
+
+
+
Authentication processes resist replay attacks if it is impractical to achieve successful authentications by recording/replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.
+
+
+
Determine if the information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts.
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing user identification and authentication
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
list of non-privileged information system accounts
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operations responsibilities
+
organizational personnel with account management responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing identification and authentication capability
+
+
+
+ SINGLE SIGN-ON
+
+ organization-defined information system accounts and services
+ organization-defined information system accounts and services
+
+ IA-2 (10)
+
+
The information system provides a single sign-on capability for .
+
+
+
Single sign-on enables users to log in once and gain access to multiple information system resources. Organizations consider the operational efficiencies provided by single sign-on capabilities with the increased risk from disclosures of single authenticators providing access to multiple system resources.
+
+
+
Determine if:
+
+ IA-2(10)[1]
+
the organization defines a list of information system accounts and services for which a single sign-on capability must be provided; and
+
+
+ IA-2(10)[2]
+
the information system provides a single sign-on capability for organization-defined information system accounts and services.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing single sign-on capability for information system accounts and services
+
procedures addressing identification and authentication
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
list of information system accounts and services requiring single sign-on capability
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operations responsibilities
+
organizational personnel with account management responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing identification and authentication capability
+
automated mechanisms supporting and/or implementing single sign-on capability for information system accounts and services
+
+
+
+ REMOTE ACCESS - SEPARATE DEVICE
+
+ organization-defined strength of mechanism requirements
+ organization-defined strength of mechanism requirements
+
+ IA-2 (11)
+ MODERATE
+ HIGH
+
+
The information system implements multifactor authentication for remote access to privileged and non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets .
+
+
+
For remote access to privileged/non-privileged accounts, the purpose of requiring a device that is separate from the information system gaining access for one of the factors during multifactor authentication is to reduce the likelihood of compromising authentication credentials stored on the system. For example, adversaries deploying malicious code on organizational information systems can potentially compromise such credentials resident on the system and subsequently impersonate authorized users.
+
+
+
+
Determine if:
+
+ IA-2(11)[1]
+
the information system implements multifactor authentication for remote access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access;
+
+
+ IA-2(11)[2]
+
the information system implements multifactor authentication for remote access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access;
+
+
+ IA-2(11)[3]
+
the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining remote access to privileged accounts;
+
+
+ IA-2(11)[4]
+
the organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining remote access to non-privileged accounts;
+
+
+ IA-2(11)[5]
+
the information system implements multifactor authentication for remote access to privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements; and
+
+
+ IA-2(11)[6]
+
the information system implements multifactor authentication for remote access to non-privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing user identification and authentication
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
list of privileged and non-privileged information system accounts
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operations responsibilities
+
organizational personnel with account management responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing identification and authentication capability
+
+
+
+ ACCEPTANCE OF PIV CREDENTIALS
+ IA-2 (12)
+ LOW
+ MODERATE
+ HIGH
+
+
The information system accepts and electronically verifies Personal Identity Verification (PIV) credentials.
+
+
+
This control enhancement applies to organizations implementing logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.
+
+
+
+
+
+
Determine if the information system:
+
+ IA-2(12)[1]
+
accepts Personal Identity Verification (PIV) credentials; and
+
+
+ IA-2(12)[2]
+
electronically verifies Personal Identity Verification (PIV) credentials.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing user identification and authentication
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
PIV verification records
+
evidence of PIV credentials
+
PIV credential authorizations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operations responsibilities
+
organizational personnel with account management responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing acceptance and verification of PIV credentials
Out-of-band authentication (OOBA) refers to the use of two separate communication paths to identify and authenticate users or devices to an information system. The first path (i.e., the in-band path), is used to identify and authenticate users or devices, and generally is the path through which information flows. The second path (i.e., the out-of-band path) is used to independently verify the authentication and/or requested action. For example, a user authenticates via a notebook computer to a remote server to which the user desires access, and requests some action of the server via that communication path. Subsequently, the server contacts the user via the user�s cell phone to verify that the requested action originated from the user. The user may either confirm the intended action to an individual on the telephone or provide an authentication code via the telephone. This type of authentication can be employed by organizations to mitigate actual or suspected man-in the-middle attacks. The conditions for activation can include, for example, suspicious activities, new threat indicators or elevated threat levels, or the impact level or classification level of information in requested transactions.
+
+
+
+
+
+
Determine if:
+
+ IA-2(13)[1]
+
the organization defines out-of-band authentication to be implemented by the information system;
+
+
+ IA-2(13)[2]
+
the organization defines conditions under which the information system implements organization-defined out-of-band authentication; and
+
+
+ IA-2(13)[3]
+
the information system implements organization-defined out-of-band authentication under organization-defined conditions.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing user identification and authentication
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
system-generated list of out-of-band authentication paths
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operations responsibilities
+
organizational personnel with account management responsibilities
+
organizational personnel with information security responsibilities
Determine if the information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing user identification and authentication
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
list of information system accounts
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operations responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
organizational personnel with account management responsibilities
+
system developers
+
+
+ TEST
+
Organizational processes for uniquely identifying and authenticating users
+
automated mechanisms supporting and/or implementing identification and authentication capability
+
+
+
+ HSPD-12
+
+
+ OMB Memorandum 04-04
+
+
+ OMB Memorandum 06-16
+
+
+ OMB Memorandum 11-11
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-63
+
+
+ NIST Special Publication 800-73
+
+
+ NIST Special Publication 800-76
+
+
+ NIST Special Publication 800-78
+
+
+ FICAM Roadmap and Implementation Guidance
+
+
+ http://idmanagement.gov
+
+
+
+
+ DEVICE IDENTIFICATION AND AUTHENTICATION
+
+ organization-defined specific and/or types of devices
+ organization-defined specific and/or types of devices
+
+ IA-3
+ P1
+ MODERATE
+ HIGH
+
+
The information system uniquely identifies and authenticates before establishing a [Selection (one or more): local; remote; network] connection.
+
+
+
Organizational devices requiring unique device-to-device identification and authentication may be defined by type, by device, or by a combination of type/device. Information systems typically use either shared known information (e.g., Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on local and/or wide area networks. Organizations determine the required strength of authentication mechanisms by the security categories of information systems. Because of the challenges of applying this control on large scale, organizations are encouraged to only apply the control to those limited number (and type) of devices that truly need to support this capability.
+
+
+
+
+
+
+
+
+ CRYPTOGRAPHIC BIDIRECTIONAL AUTHENTICATION
+
+ organization-defined specific devices and/or types of devices
+ organization-defined specific devices and/or types of devices
+
+ IA-3 (1)
+
+
The information system authenticates before establishing [Selection (one or more): local; remote; network] connection using bidirectional authentication that is cryptographically based.
+
+
+
A local connection is any connection with a device communicating without the use of a network. A network connection is any connection with a device that communicates through a network (e.g., local area or wide area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Bidirectional authentication provides stronger safeguards to validate the identity of other devices for connections that are of greater risk (e.g., remote connections).
+
+
+
+
+
+
Determine if:
+
+ IA-3(1)[1]
+
the organization defines specific and/or types of devices requiring use of cryptographically based, bidirectional authentication to authenticate before establishing one or more of the following:
+
+ IA-3(1)[1][a]
+
a local connection;
+
+
+ IA-3(1)[1][b]
+
a remote connection; and/or
+
+
+ IA-3(1)[1][c]
+
a network connection;
+
+
+
+ IA-3(1)[2]
+
the information system uses cryptographically based bidirectional authentication to authenticate organization-defined devices before establishing one or more of the following:
+
+ IA-3(1)[2][a]
+
a local connection;
+
+
+ IA-3(1)[2][b]
+
a remote connection; and/or
+
+
+ IA-3(1)[2][c]
+
a network connection.
+
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing device identification and authentication
+
information system design documentation
+
list of devices requiring unique identification and authentication
+
device connection reports
+
information system configuration settings and associated documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with operational responsibilities for device identification and authentication
+
organizational personnel with information security responsibilities
The organization ensures that device identification and authentication based on attestation is handled by .
+
+
+
Device attestation refers to the identification and authentication of a device based on its configuration and known operating state. This might be determined via some cryptographic hash of the device. If device attestation is the means of identification and authentication, then it is important that patches and updates to the device are handled via a configuration management process such that the those patches/updates are done securely and at the same time do not disrupt the identification and authentication to other devices.
+
+
+
Determine if the organization:
+
+ IA-3(4)[1]
+
defines configuration management process to be employed to handle device identification and authentication based on attestation; and
+
+
+ IA-3(4)[2]
+
ensures that device identification and authentication based on attestation is handled by organization-defined configuration management process.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing device identification and authentication
the organization defines specific and/or types of devices that the information system uniquely identifies and authenticates before establishing one or more of the following:
+
+ IA-3[1][a]
+
a local connection;
+
+
+ IA-3[1][b]
+
a remote connection; and/or
+
+
+ IA-3[1][c]
+
a network connection; and
+
+
+
+ IA-3[2]
+
the information system uniquely identifies and authenticates organization-defined devices before establishing one or more of the following:
+
+ IA-3[2][a]
+
a local connection;
+
+
+ IA-3[2][b]
+
a remote connection; and/or
+
+
+ IA-3[2][c]
+
a network connection.
+
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing device identification and authentication
+
information system design documentation
+
list of devices requiring unique identification and authentication
+
device connection reports
+
information system configuration settings and associated documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with operational responsibilities for device identification and authentication
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing device identification and authentication capability
+
+
+
+ IDENTIFIER MANAGEMENT
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined time period of inactivity
+ organization-defined time period of inactivity
+
+ IA-4
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization manages information system identifiers by:
+
+ IA-4a.
+
Receiving authorization from to assign an individual, group, role, or device identifier;
+
+
+ IA-4b.
+
Selecting an identifier that identifies an individual, group, role, or device;
+
+
+ IA-4c.
+
Assigning the identifier to the intended individual, group, role, or device;
+
+
+ IA-4d.
+
Preventing reuse of identifiers for ; and
+
+
+ IA-4e.
+
Disabling the identifier after .
+
+
+
+
Common device identifiers include, for example, media access control (MAC), Internet protocol (IP) addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared information system accounts (e.g., guest and anonymous accounts). Typically, individual identifiers are the user names of the information system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4. This control also addresses individual identifiers not necessarily associated with information system accounts (e.g., identifiers used in physical security control databases accessed by badge reader systems for access to information systems). Preventing reuse of identifiers implies preventing the assignment of previously used individual, group, role, or device identifiers to different individuals, groups, roles, or devices.
+
+
+
+
+
+
+
+
+ PROHIBIT ACCOUNT IDENTIFIERS AS PUBLIC IDENTIFIERS
+ IA-4 (1)
+
+
The organization prohibits the use of information system account identifiers that are the same as public identifiers for individual electronic mail accounts.
+
+
+
Prohibiting the use of information systems account identifiers that are the same as some public identifier such as the individual identifier section of an electronic mail address, makes it more difficult for adversaries to guess user identifiers on organizational information systems.
+
+
+
+
Determine if the organization prohibits the use of information system account identifiers that are the same as public identifiers for individual electronic mail accounts.
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing identifier management
+
procedures addressing account management
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with identifier management responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ MULTIPLE FORMS OF CERTIFICATION
+ IA-4 (3)
+
+
The organization requires multiple forms of certification of individual identification be presented to the registration authority.
+
+
+
Requiring multiple forms of identification, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity, or at least increases the work factor of potential adversaries.
+
+
+
Determine if the organization requires multiple forms of certification of individual identification such as documentary evidence or a combination of documents and biometrics be presented to the registration authority.
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing identifier management
+
procedures addressing account management
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with identifier management responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ IDENTIFY USER STATUS
+
+ organization-defined characteristic identifying individual status
+ organization-defined characteristic identifying individual status
+
+ IA-4 (4)
+
+
The organization manages individual identifiers by uniquely identifying each individual as .
+
+
+
Characteristics identifying the status of individuals include, for example, contractors and foreign nationals. Identifying the status of individuals by specific characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor.
+
+
+
+
Determine if the organization:
+
+ IA-4(4)[1]
+
defines a characteristic to be used to identify individual status; and
+
+
+ IA-4(4)[2]
+
manages individual identifiers by uniquely identifying each individual as the organization-defined characteristic identifying individual status.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing identifier management
+
procedures addressing account management
+
list of characteristics identifying individual status
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with identifier management responsibilities
+
organizational personnel with information security responsibilities
The information system dynamically manages identifiers.
+
+
+
In contrast to conventional approaches to identification which presume static accounts for preregistered users, many distributed information systems including, for example, service-oriented architectures, rely on establishing identifiers at run time for entities that were previously unknown. In these situations, organizations anticipate and provision for the dynamic establishment of identifiers. Preestablished trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.
+
+
+
+
Determine if the information system dynamically manages identifiers.
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing identifier management
+
procedures addressing account management
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with identifier management responsibilities
+
organizational personnel with information security responsibilities
The organization coordinates with for cross-organization management of identifiers.
+
+
+
Cross-organization identifier management provides the capability for organizations to appropriately identify individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.
+
+
+
Determine if the organization:
+
+ IA-4(6)[1]
+
defines external organizations with whom to coordinate cross-organization management of identifiers; and
+
+
+ IA-4(6)[2]
+
coordinates with organization-defined external organizations for cross-organization management of identifiers.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing identifier management
+
procedures addressing account management
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with identifier management responsibilities
+
organizational personnel with information security responsibilities
The organization requires that the registration process to receive an individual identifier be conducted in person before a designated registration authority.
+
+
+
In-person registration reduces the likelihood of fraudulent identifiers being issued because it requires the physical presence of individuals and actual face-to-face interactions with designated registration authorities.
+
+
+
Determine if the organization requires that the registration process to receive an individual identifier be conducted in person before a designated registration authority.
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing identifier management
+
procedures addressing account management
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with identifier management responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+
Determine if the organization manages information system identifiers by:
+
+ IA-4(a)
+
+ IA-4(a)[1]
+
defining personnel or roles from whom authorization must be received to assign:
+
+ IA-4(a)[1][a]
+
an individual identifier;
+
+
+ IA-4(a)[1][b]
+
a group identifier;
+
+
+ IA-4(a)[1][c]
+
a role identifier; and/or
+
+
+ IA-4(a)[1][d]
+
a device identifier;
+
+
+
+ IA-4(a)[2]
+
receiving authorization from organization-defined personnel or roles to assign:
+
+ IA-4(a)[2][a]
+
an individual identifier;
+
+
+ IA-4(a)[2][b]
+
a group identifier;
+
+
+ IA-4(a)[2][c]
+
a role identifier; and/or
+
+
+ IA-4(a)[2][d]
+
a device identifier;
+
+
+
+
+ IA-4(b)
+
selecting an identifier that identifies:
+
+ IA-4(b)[1]
+
an individual;
+
+
+ IA-4(b)[2]
+
a group;
+
+
+ IA-4(b)[3]
+
a role; and/or
+
+
+ IA-4(b)[4]
+
a device;
+
+
+
+ IA-4(c)
+
assigning the identifier to the intended:
+
+ IA-4(c)[1]
+
individual;
+
+
+ IA-4(c)[2]
+
group;
+
+
+ IA-4(c)[3]
+
role; and/or
+
+
+ IA-4(c)[4]
+
device;
+
+
+
+ IA-4(d)
+
+ IA-4(d)[1]
+
defining a time period for preventing reuse of identifiers;
+
+
+ IA-4(d)[2]
+
preventing reuse of identifiers for the organization-defined time period;
+
+
+
+ IA-4(e)
+
+ IA-4(e)[1]
+
defining a time period of inactivity to disable the identifier; and
+
+
+ IA-4(e)[2]
+
disabling the identifier after the organization-defined time period of inactivity.
+
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing identifier management
+
procedures addressing account management
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of information system accounts
+
list of identifiers generated from physical access control devices
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with identifier management responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-73
+
+
+ NIST Special Publication 800-76
+
+
+ NIST Special Publication 800-78
+
+
+
+
+ AUTHENTICATOR MANAGEMENT
+
+ organization-defined time period by authenticator type
+ organization-defined time period by authenticator type
+
+ IA-5
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization manages information system authenticators by:
+
+ IA-5a.
+
Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, or device receiving the authenticator;
+
+
+ IA-5b.
+
Establishing initial authenticator content for authenticators defined by the organization;
+
+
+ IA-5c.
+
Ensuring that authenticators have sufficient strength of mechanism for their intended use;
+
+
+ IA-5d.
+
Establishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators;
+
+
+ IA-5e.
+
Changing default content of authenticators prior to information system installation;
+
+
+ IA-5f.
+
Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators;
+
+
+ IA-5g.
+
Changing/refreshing authenticators ;
+
+
+ IA-5h.
+
Protecting authenticator content from unauthorized disclosure and modification;
+
+
+ IA-5i.
+
Requiring individuals to take, and having devices implement, specific security safeguards to protect authenticators; and
+
+
+ IA-5j.
+
Changing authenticators for group/role accounts when membership to those accounts changes.
+
+
+
+
Individual authenticators include, for example, passwords, tokens, biometrics, PKI certificates, and key cards. Initial authenticator content is the actual content (e.g., the initial password) as opposed to requirements about authenticator content (e.g., minimum password length). In many cases, developers ship information system components with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant security risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 for authenticators stored within organizational information systems (e.g., passwords stored in hashed or encrypted formats, files containing encrypted or hashed passwords accessible with administrator privileges). Information systems support individual authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, password composition, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication. Specific actions that can be taken to safeguard authenticators include, for example, maintaining possession of individual authenticators, not loaning or sharing individual authenticators with others, and reporting lost, stolen, or compromised authenticators immediately. Authenticator management includes issuing and revoking, when no longer needed, authenticators for temporary access such as that required for remote maintenance. Device authenticators include, for example, certificates and passwords.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ PASSWORD-BASED AUTHENTICATION
+
+ organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type
+ organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type
+
+
+ organization-defined number
+ organization-defined number
+
+
+ organization-defined numbers for lifetime minimum, lifetime maximum
+ organization-defined numbers for lifetime minimum, lifetime maximum
+
+
+ organization-defined number
+ organization-defined number
+
+ IA-5 (1)
+ LOW
+ MODERATE
+ HIGH
+
+
The information system, for password-based authentication:
+
+ IA-5 (1)(a)
+
Enforces minimum password complexity of ;
+
+
+ IA-5 (1)(b)
+
Enforces at least the following number of changed characters when new passwords are created: ;
+
+
+ IA-5 (1)(c)
+
Stores and transmits only cryptographically-protected passwords;
+
+
+ IA-5 (1)(d)
+
Enforces password minimum and maximum lifetime restrictions of ;
+
+
+ IA-5 (1)(e)
+
Prohibits password reuse for generations; and
+
+
+ IA-5 (1)(f)
+
Allows the use of a temporary password for system logons with an immediate change to a permanent password.
+
+
+
+
This control enhancement applies to single-factor authentication of individuals using passwords as individual or group authenticators, and in a similar manner, when passwords are part of multifactor authenticators. This control enhancement does not apply when passwords are used to unlock hardware authenticators (e.g., Personal Identity Verification cards). The implementation of such password mechanisms may not meet all of the requirements in the enhancement. Cryptographically-protected passwords include, for example, encrypted versions of passwords and one-way cryptographic hashes of passwords. The number of changed characters refers to the number of changes required with respect to the total number of positions in the current password. Password lifetime restrictions do not apply to temporary passwords. To mitigate certain brute force attacks against passwords, organizations may also consider salting passwords.
+
+
+
+
Determine if, for password-based authentication:
+
+ IA-5(1)(a)
+
+ IA-5(1)(a)[1]
+
the organization defines requirements for case sensitivity;
+
+
+ IA-5(1)(a)[2]
+
the organization defines requirements for number of characters;
+
+
+ IA-5(1)(a)[3]
+
the organization defines requirements for the mix of upper-case letters, lower-case letters, numbers and special characters;
+
+
+ IA-5(1)(a)[4]
+
the organization defines minimum requirements for each type of character;
+
+
+ IA-5(1)(a)[5]
+
the information system enforces minimum password complexity of organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type;
+
+
+
+ IA-5(1)(b)
+
+ IA-5(1)(b)[1]
+
the organization defines a minimum number of changed characters to be enforced when new passwords are created;
+
+
+ IA-5(1)(b)[2]
+
the information system enforces at least the organization-defined minimum number of characters that must be changed when new passwords are created;
+
+
+
+ IA-5(1)(c)
+
the information system stores and transmits only encrypted representations of passwords;
+
+
+ IA-5(1)(d)
+
+ IA-5(1)(d)[1]
+
the organization defines numbers for password minimum lifetime restrictions to be enforced for passwords;
+
+
+ IA-5(1)(d)[2]
+
the organization defines numbers for password maximum lifetime restrictions to be enforced for passwords;
+
+
+ IA-5(1)(d)[3]
+
the information system enforces password minimum lifetime restrictions of organization-defined numbers for lifetime minimum;
+
+
+ IA-5(1)(d)[4]
+
the information system enforces password maximum lifetime restrictions of organization-defined numbers for lifetime maximum;
+
+
+
+ IA-5(1)(e)
+
+ IA-5(1)(e)[1]
+
the organization defines the number of password generations to be prohibited from password reuse;
+
+
+ IA-5(1)(e)[2]
+
the information system prohibits password reuse for the organization-defined number of generations; and
+
+
+
+ IA-5(1)(f)
+
the information system allows the use of a temporary password for system logons with an immediate change to a permanent password.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
password policy
+
procedures addressing authenticator management
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
password configurations and associated documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with authenticator management responsibilities
+
organizational personnel with information security responsibilities
The information system, for PKI-based authentication:
+
+ IA-5 (2)(a)
+
Validates certifications by constructing and verifying a certification path to an accepted trust anchor including checking certificate status information;
+
+
+ IA-5 (2)(b)
+
Enforces authorized access to the corresponding private key;
+
+
+ IA-5 (2)(c)
+
Maps the authenticated identity to the account of the individual or group; and
+
+
+ IA-5 (2)(d)
+
Implements a local cache of revocation data to support path discovery and validation in case of inability to access revocation information via the network.
+
+
+
+
Status information for certification paths includes, for example, certificate revocation lists or certificate status protocol responses. For PIV cards, validation of certifications involves the construction and verification of a certification path to the Common Policy Root trust anchor including certificate policy processing.
+
+
+
+
Determine if the information system, for PKI-based authentication:
+
+ IA-5(2)(a)
+
+ IA-5(2)(a)[1]
+
validates certifications by constructing a certification path to an accepted trust anchor;
+
+
+ IA-5(2)(a)[2]
+
validates certifications by verifying a certification path to an accepted trust anchor;
+
+
+ IA-5(2)(a)[3]
+
includes checking certificate status information when constructing and verifying the certification path;
+
+
+
+ IA-5(2)(b)
+
enforces authorized access to the corresponding private key;
+
+
+ IA-5(2)(c)
+
maps the authenticated identity to the account of the individual or group; and
+
+
+ IA-5(2)(d)
+
implements a local cache of revocation data to support path discovery and validation in case of inability to access revocation information via the network.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing authenticator management
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
PKI certification validation records
+
PKI certification revocation lists
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with PKI-based, authenticator management responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ IN-PERSON OR TRUSTED THIRD-PARTY REGISTRATION
+
+ organization-defined types of and/or specific authenticators
+ organization-defined types of and/or specific authenticators
+
+
+ organization-defined registration authority
+ organization-defined registration authority
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+ IA-5 (3)
+ MODERATE
+ HIGH
+
+
The organization requires that the registration process to receive be conducted [Selection: in person; by a trusted third party] before with authorization by .
+
+
+
Determine if the organization:
+
+ IA-5(3)[1]
+
defines types of and/or specific authenticators to be received in person or by a trusted third party;
+
+
+ IA-5(3)[2]
+
defines the registration authority with oversight of the registration process for receipt of organization-defined types of and/or specific authenticators;
+
+
+ IA-5(3)[3]
+
defines personnel or roles responsible for authorizing organization-defined registration authority;
+
+
+ IA-5(3)[4]
+
defines if the registration process is to be conducted:
+
+ IA-5(3)[4][a]
+
in person; or
+
+
+ IA-5(3)[4][b]
+
by a trusted third party; and
+
+
+
+ IA-5(3)[5]
+
requires that the registration process to receive organization-defined types of and/or specific authenticators be conducted in person or by a trusted third party before organization-defined registration authority with authorization by organization-defined personnel or roles.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing authenticator management
+
registration process for receiving information system authenticators
+
list of authenticators requiring in-person registration
+
list of authenticators requiring trusted third party registration
+
authenticator registration documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with authenticator management responsibilities
+
registration authority
+
organizational personnel with information security responsibilities
The organization employs automated tools to determine if password authenticators are sufficiently strong to satisfy .
+
+
+
This control enhancement focuses on the creation of strong passwords and the characteristics of such passwords (e.g., complexity) prior to use, the enforcement of which is carried out by organizational information systems in IA-5 (1).
+
+
+
+
+
+
Determine if the organization:
+
+ IA-5(4)[1]
+
defines requirements to be satisfied by password authenticators; and
+
+
+ IA-5(4)[2]
+
employs automated tools to determine if password authenticators are sufficiently strong to satisfy organization-defined requirements.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing authenticator management
+
information system design documentation
+
information system configuration settings and associated documentation
+
automated tools for evaluating password authenticators
+
password strength assessment results
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with authenticator management responsibilities
+
organizational personnel with information security responsibilities
The organization requires developers/installers of information system components to provide unique authenticators or change default authenticators prior to delivery/installation.
+
+
+
This control enhancement extends the requirement for organizations to change default authenticators upon information system installation, by requiring developers and/or installers to provide unique authenticators or change default authenticators for system components prior to delivery and/or installation. However, it typically does not apply to the developers of commercial off-the-shelve information technology products. Requirements for unique authenticators can be included in acquisition documents prepared by organizations when procuring information systems or system components.
+
+
+
Determine if the organization requires developers/installers of information system components to:
+
+ IA-5(5)[1]
+
provide unique authenticators prior to delivery/installation; or
+
+
+ IA-5(5)[2]
+
change default authenticators prior to delivery/installation.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
system and services acquisition policy
+
procedures addressing authenticator management
+
procedures addressing the integration of security requirements into the acquisition process
+
acquisition documentation
+
acquisition contracts for information system procurements or services
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with authenticator management responsibilities
+
organizational personnel with information system security, acquisition, and contracting responsibilities
The organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access.
+
+
+
For information systems containing multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems.
+
+
+
Determine if the organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access.
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing authenticator management
+
security categorization documentation for the information system
+
security assessments of authenticator protections
+
risk assessment results
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with authenticator management responsibilities
The organization ensures that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys.
+
+
+
Organizations exercise caution in determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators. This is irrespective of whether that representation is perhaps an encrypted version of something else (e.g., a password).
+
+
+
Determine if the organization ensures that unencrypted static authenticators are not:
+
+ IA-5(7)[1]
+
embedded in applications;
+
+
+ IA-5(7)[2]
+
embedded in access scripts; or
+
+
+ IA-5(7)[3]
+
stored on function keys.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing authenticator management
+
information system design documentation
+
information system configuration settings and associated documentation
+
logical access scripts
+
application code reviews for detecting unencrypted static authenticators
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with authenticator management responsibilities
+
organizational personnel with information security responsibilities
The organization implements to manage the risk of compromise due to individuals having accounts on multiple information systems.
+
+
+
When individuals have accounts on multiple information systems, there is the risk that the compromise of one account may lead to the compromise of other accounts if individuals use the same authenticators. Possible alternatives include, for example: (i) having different authenticators on all systems; (ii) employing some form of single sign-on mechanism; or (iii) including some form of one-time passwords on all systems.
+
+
+
Determine if the organization:
+
+ IA-5(8)[1]
+
defines security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems; and
+
+
+ IA-5(8)[2]
+
implements organization-defined security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing authenticator management
+
security plan
+
list of individuals having accounts on multiple information systems
+
list of security safeguards intended to manage risk of compromise due to individuals having accounts on multiple information systems
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with authenticator management responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing safeguards for authenticator management
The organization coordinates with for cross-organization management of credentials.
+
+
+
Cross-organization management of credentials provides the capability for organizations to appropriately authenticate individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.
+
+
+
Determine if the organization:
+
+ IA-5(9)[1]
+
defines external organizations with whom to coordinate cross-organizational management of credentials; and
+
+
+ IA-5(9)[2]
+
coordinates with organization-defined external organizations for cross-organizational management of credentials.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing authenticator management
+
procedures addressing account management
+
security plan
+
information security agreements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with authenticator management responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing safeguards for authenticator management
The information system dynamically provisions identities.
+
+
+
Authentication requires some form of binding between an identity and the authenticator used to confirm the identity. In conventional approaches, this binding is established by pre-provisioning both the identity and the authenticator to the information system. For example, the binding between a username (i.e., identity) and a password (i.e., authenticator) is accomplished by provisioning the identity and authenticator as a pair in the information system. New authentication techniques allow the binding between the identity and the authenticator to be implemented outside an information system. For example, with smartcard credentials, the identity and the authenticator are bound together on the card. Using these credentials, information systems can authenticate identities that have not been pre-provisioned, dynamically provisioning the identity after authentication. In these situations, organizations can anticipate the dynamic provisioning of identities. Preestablished trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.
+
+
+
Determine if the information system dynamically provisions identifiers.
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing identifier management
+
security plan
+
information system design documentation
+
automated mechanisms providing dynamic binding of identifiers and authenticators
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with identifier management responsibilities
+
organizational personnel with information security responsibilities
The information system, for hardware token-based authentication, employs mechanisms that satisfy .
+
+
+
Hardware token-based authentication typically refers to the use of PKI-based tokens, such as the U.S. Government Personal Identity Verification (PIV) card. Organizations define specific requirements for tokens, such as working with a particular PKI.
+
+
+
Determine if, for hardware token-based authentication:
+
+ IA-5(11)[1]
+
the organization defines token quality requirements to be satisfied; and
+
+
+ IA-5(11)[2]
+
the information system employs mechanisms that satisfy organization-defined token quality requirements.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing authenticator management
+
security plan
+
information system design documentation
+
automated mechanisms employing hardware token-based authentication for the information system
+
list of token quality requirements
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with authenticator management responsibilities
+
organizational personnel with information security responsibilities
The information system, for biometric-based authentication, employs mechanisms that satisfy .
+
+
+
Unlike password-based authentication which provides exact matches of user-input passwords to stored passwords, biometric authentication does not provide such exact matches. Depending upon the type of biometric and the type of collection mechanism, there is likely to be some divergence from the presented biometric and stored biometric which serves as the basis of comparison. There will likely be both false positives and false negatives when making such comparisons. The rate at which the false accept and false reject rates are equal is known as the crossover rate. Biometric quality requirements include, for example, acceptable crossover rates, as that essentially reflects the accuracy of the biometric.
+
+
+
Determine if, for biometric-based authentication:
+
+ IA-5(12)[1]
+
the organization defines biometric quality requirements to be satisfied; and
+
+
+ IA-5(12)[2]
+
the information system employs mechanisms that satisfy organization-defined biometric quality requirements.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing authenticator management
+
security plan
+
information system design documentation
+
automated mechanisms employing biometric-based authentication for the information system
+
list of biometric quality requirements
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with authenticator management responsibilities
+
organizational personnel with information security responsibilities
The organization, for PKI-based authentication, employs a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including networks, operating systems, browsers, and applications.
+
+
+
Determine if the organization, for PKI-based authentication, employs a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including:
+
+ IA-5(14)[1]
+
networks;
+
+
+ IA-5(14)[2]
+
operating systems;
+
+
+ IA-5(14)[3]
+
browsers; and
+
+
+ IA-5(14)[4]
+
applications.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing authenticator management
+
security plan
+
organizational methodology for managing content of PKI trust stores across installed all platforms
+
information system design documentation
+
information system configuration settings and associated documentation
+
enterprise security architecture documentation
+
enterprise architecture documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with authenticator management responsibilities
+
organizational personnel with information security responsibilities
The organization uses only FICAM-approved path discovery and validation products and services.
+
+
+
Federal Identity, Credential, and Access Management (FICAM)-approved path discovery and validation products and services are those products and services that have been approved through the FICAM conformance program, where applicable.
+
+
+
Determine if the organization uses only FICAM-approved path discovery and validation products and services.
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing identifier management
+
security plan
+
information system design documentation
+
automated mechanisms providing dynamic binding of identifiers and authenticators
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with identification and authentication management responsibilities
+
organizational personnel with information security responsibilities
The information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.
+
+
+
The feedback from information systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of information systems or system components, for example, desktops/notebooks with relatively large monitors, the threat (often referred to as shoulder surfing) may be significant. For other types of systems or components, for example, mobile devices with 2-4 inch screens, this threat may be less significant, and may need to be balanced against the increased likelihood of typographic input errors due to the small keyboards. Therefore, the means for obscuring the authenticator feedback is selected accordingly. Obscuring the feedback of authentication information includes, for example, displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before fully obscuring it.
+
+
+
+
Determine if the information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing authenticator feedback
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing the obscuring of feedback of authentication information during authentication
The information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.
+
+
+
Authentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role.
+
+
+
+
+
Determine if the information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.
The information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).
+
+
+
Non-organizational users include information system users other than organizational users explicitly covered by IA-2. These individuals are uniquely identified and authenticated for accesses other than those accesses explicitly identified and documented in AC-14. In accordance with the E-Authentication E-Government initiative, authentication of non-organizational users accessing federal information systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations use risk assessments to determine authentication needs and consider scalability, practicality, and security in balancing the need to ensure ease of use for access to federal information and information systems with the need to protect and adequately mitigate risk. IA-2 addresses identification and authentication requirements for access to information systems by organizational users.
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ACCEPTANCE OF PIV CREDENTIALS FROM OTHER AGENCIES
+ IA-8 (1)
+ LOW
+ MODERATE
+ HIGH
+
+
The information system accepts and electronically verifies Personal Identity Verification (PIV) credentials from other federal agencies.
+
+
+
This control enhancement applies to logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.
+
+
+
+
+
+
Determine if the information system:
+
+ IA-8(1)[1]
+
accepts Personal Identity Verification (PIV) credentials from other agencies; and
+
+
+ IA-8(1)[2]
+
electronically verifies Personal Identity Verification (PIV) credentials from other agencies.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing user identification and authentication
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
PIV verification records
+
evidence of PIV credentials
+
PIV credential authorizations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operations responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
organizational personnel with account management responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing identification and authentication capability
+
automated mechanisms that accept and verify PIV credentials
+
+
+
+ ACCEPTANCE OF THIRD-PARTY CREDENTIALS
+ IA-8 (2)
+ LOW
+ MODERATE
+ HIGH
+
+
The information system accepts only FICAM-approved third-party credentials.
+
+
+
This control enhancement typically applies to organizational information systems that are accessible to the general public, for example, public-facing websites. Third-party credentials are those credentials issued by nonfederal government entities approved by the Federal Identity, Credential, and Access Management (FICAM) Trust Framework Solutions initiative. Approved third-party credentials meet or exceed the set of minimum federal government-wide technical, security, privacy, and organizational maturity requirements. This allows federal government relying parties to trust such credentials at their approved assurance levels.
+
+
+
+
Determine if the information system accepts only FICAM-approved third-party credentials.
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing user identification and authentication
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
list of FICAM-approved, third-party credentialing products, components, or services procured and implemented by organization
+
third-party credential verification records
+
evidence of FICAM-approved third-party credentials
+
third-party credential authorizations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operations responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
organizational personnel with account management responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing identification and authentication capability
+
automated mechanisms that accept FICAM-approved credentials
+
+
+
+ USE OF FICAM-APPROVED PRODUCTS
+
+ organization-defined information systems
+ organization-defined information systems
+
+ IA-8 (3)
+ LOW
+ MODERATE
+ HIGH
+
+
The organization employs only FICAM-approved information system components in to accept third-party credentials.
+
+
+
This control enhancement typically applies to information systems that are accessible to the general public, for example, public-facing websites. FICAM-approved information system components include, for example, information technology products and software libraries that have been approved by the Federal Identity, Credential, and Access Management conformance program.
+
+
+
+
Determine if the organization:
+
+ IA-8(3)[1]
+
defines information systems in which only FICAM-approved information system components are to be employed to accept third-party credentials; and
+
+
+ IA-8(3)[2]
+
employs only FICAM-approved information system components in organization-defined information systems to accept third-party credentials.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
system and services acquisition policy
+
procedures addressing user identification and authentication
+
procedures addressing the integration of security requirements into the acquisition process
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
third-party credential validations
+
third-party credential authorizations
+
third-party credential records
+
list of FICAM-approved information system components procured and implemented by organization
+
acquisition documentation
+
acquisition contracts for information system procurements or services
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operations responsibilities
+
system/network administrators
+
organizational personnel with account management responsibilities
+
organizational personnel with information system security, acquisition, and contracting responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing identification and authentication capability
+
+
+
+ USE OF FICAM-ISSUED PROFILES
+ IA-8 (4)
+ LOW
+ MODERATE
+ HIGH
+
+
The information system conforms to FICAM-issued profiles.
+
+
+
This control enhancement addresses open identity management standards. To ensure that these standards are viable, robust, reliable, sustainable (e.g., available in commercial information technology products), and interoperable as documented, the United States Government assesses and scopes identity management standards and technology implementations against applicable federal legislation, directives, policies, and requirements. The result is FICAM-issued implementation profiles of approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute Exchange).
+
+
+
+
Determine if the information system conforms to FICAM-issued profiles.
+
+
+ EXAMINE
+
Identification and authentication policy
+
system and services acquisition policy
+
procedures addressing user identification and authentication
+
procedures addressing the integration of security requirements into the acquisition process
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
list of FICAM-issued profiles and associated, approved protocols
+
acquisition documentation
+
acquisition contracts for information system procurements or services
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operations responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
organizational personnel with account management responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing identification and authentication capability
+
automated mechanisms supporting and/or implementing conformance with FICAM-issued profiles
The information system accepts and electronically verifies Personal Identity Verification-I (PIV-I) credentials.
+
+
+
This control enhancement: (i) applies to logical and physical access control systems; and (ii) addresses Non-Federal Issuers (NFIs) of identity cards that desire to interoperate with United States Government Personal Identity Verification (PIV) information systems and that can be trusted by federal government-relying parties. The X.509 certificate policy for the Federal Bridge Certification Authority (FBCA) addresses PIV-I requirements. The PIV-I card is suitable for Assurance Level 4 as defined in OMB Memorandum 04-04 and NIST Special Publication 800-63, and multifactor authentication as defined in NIST Special Publication 800-116. PIV-I credentials are those credentials issued by a PIV-I provider whose PIV-I certificate policy maps to the Federal Bridge PIV-I Certificate Policy. A PIV-I provider is cross-certified (directly or through another PKI bridge) with the FBCA with policies that have been mapped and approved as meeting the requirements of the PIV-I policies defined in the FBCA certificate policy.
+
+
+
+
Determine if the information system:
+
+ IA-8(5)[1]
+
accepts Personal Identity Verification-I (PIV-I) credentials; and
+
+
+ IA-8(5)[2]
+
electronically verifies Personal Identity Verification-I (PIV-I) credentials.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing user identification and authentication
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
PIV-I verification records
+
evidence of PIV-I credentials
+
PIV-I credential authorizations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operations responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
organizational personnel with account management responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing identification and authentication capability
+
automated mechanisms that accept and verify PIV-I credentials
+
+
+
+
Determine if the information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing user identification and authentication
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
list of information system accounts
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operations responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
organizational personnel with account management responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing identification and authentication capability
+
+
+
+ OMB Memorandum 04-04
+
+
+ OMB Memorandum 11-11
+
+
+ OMB Memorandum 10-06-2011
+
+
+ FICAM Roadmap and Implementation Guidance
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-63
+
+
+ NIST Special Publication 800-116
+
+
+ National Strategy for Trusted Identities in Cyberspace
+
+
+ http://idmanagement.gov
+
+
+
+
+ SERVICE IDENTIFICATION AND AUTHENTICATION
+
+ organization-defined information system services
+ organization-defined information system services
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+ IA-9
+ P0
+
+
The organization identifies and authenticates using .
+
+
+
This control supports service-oriented architectures and other distributed architectural approaches requiring the identification and authentication of information system services. In such architectures, external services often appear dynamically. Therefore, information systems should be able to determine in a dynamic manner, if external providers and associated services are authentic. Safeguards implemented by organizational information systems to validate provider and service authenticity include, for example, information or code signing, provenance graphs, and/or electronic signatures indicating or including the sources of services.
+
+
+ INFORMATION EXCHANGE
+ IA-9 (1)
+
+
The organization ensures that service providers receive, validate, and transmit identification and authentication information.
+
+
+
Determine if the organization ensures that service providers:
+
+ IA-9(1)[1]
+
receive identification and authentication information;
+
+
+ IA-9(1)[2]
+
validate identification and authentication information; and
+
+
+ IA-9(1)[3]
+
transmit identification and authentication information.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing service identification and authentication
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with identification and authentication responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
service providers
+
+
+ TEST
+
Automated mechanisms implementing service identification and authentication capabilities
The organization ensures that identification and authentication decisions are transmitted between consistent with organizational policies.
+
+
+
For distributed architectures (e.g., service-oriented architectures), the decisions regarding the validation of identification and authentication claims may be made by services separate from the services acting on those decisions. In such situations, it is necessary to provide the identification and authentication decisions (as opposed to the actual identifiers and authenticators) to the services that need to act on those decisions.
+
+
+
+
Determine if the organization:
+
+ IA-9(2)[1]
+
defines services for which identification and authentication decisions transmitted between such services are to be consistent with organizational policies; and
+
+
+ IA-9(2)[2]
+
ensures that identification and authentication decisions are transmitted between organization-defined services consistent with organizational policies.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing service identification and authentication
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
transmission records
+
transmission verification records
+
rules for identification and authentication transmission decisions between organizational services
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with identification and authentication responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms implementing service identification and authentication capabilities
+
+
+
+
Determine if the organization:
+
+ IA-9[1]
+
defines information system services to be identified and authenticated using security safeguards;
+
+
+ IA-9[2]
+
defines security safeguards to be used to identify and authenticate organization-defined information system services; and
+
+
+ IA-9[3]
+
identifies and authenticates organization-defined information system services using organization-defined security safeguards.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing service identification and authentication
+
security plan
+
information system design documentation
+
security safeguards used to identify and authenticate information system services
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operations responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
organizational personnel with identification and authentication responsibilities
+
+
+ TEST
+
Security safeguards implementing service identification and authentication capability
+
+
+
+ ADAPTIVE IDENTIFICATION AND AUTHENTICATION
+
+ organization-defined supplemental authentication techniques or mechanisms
+ organization-defined supplemental authentication techniques or mechanisms
+
+
+ organization-defined circumstances or situations
+ organization-defined circumstances or situations
+
+ IA-10
+ P0
+
+
The organization requires that individuals accessing the information system employ under specific .
+
+
+
Adversaries may compromise individual authentication mechanisms and subsequently attempt to impersonate legitimate users. This situation can potentially occur with any authentication mechanisms employed by organizations. To address this threat, organizations may employ specific techniques/mechanisms and establish protocols to assess suspicious behavior (e.g., individuals accessing information that they do not typically access as part of their normal duties, roles, or responsibilities, accessing greater quantities of information than the individuals would routinely access, or attempting to access information from suspicious network addresses). In these situations when certain preestablished conditions or triggers occur, organizations can require selected individuals to provide additional authentication information. Another potential use for adaptive identification and authentication is to increase the strength of mechanism based on the number and/or types of records being accessed.
+
+
+
+
+
Determine if the organization:
+
+ IA-10[1]
+
defines specific circumstances or situations that require individuals accessing the information system to employ supplemental authentication techniques or mechanisms;
+
+
+ IA-10[2]
+
defines supplemental authentication techniques or mechanisms to be employed when accessing the information system under specific organization-defined circumstances or situations; and
+
+
+ IA-10[3]
+
requires that individuals accessing the information system employ organization-defined supplemental authentication techniques or mechanisms under specific organization-defined circumstances or situations.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing adaptive/ supplemental identification and authentication techniques or mechanisms
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
supplemental identification and authentication techniques or mechanisms
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operations responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
organizational personnel with identification and authentication responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing identification and authentication capability
The organization requires users and devices to re-authenticate when .
+
+
+
In addition to the re-authentication requirements associated with session locks, organizations may require re-authentication of individuals and/or devices in other situations including, for example: (i) when authenticators change; (ii), when roles change; (iii) when security categories of information systems change; (iv), when the execution of privileged functions occurs; (v) after a fixed period of time; or (vi) periodically.
+
+
+
+
Determine if the organization:
+
+ IA-11[1]
+
defines circumstances or situations requiring re-authentication;
+
+
+ IA-11[2]
+
requires users to re-authenticate when organization-defined circumstances or situations require re-authentication; and
+
+
+ IA-11[3]
+
requires devices to re-authenticate when organization-defined circumstances or situations require re-authentication.
+
+
+
+ EXAMINE
+
Identification and authentication policy
+
procedures addressing user and device re-authentication
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of circumstances or situations requiring re-authentication
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system operations responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
organizational personnel with identification and authentication responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing identification and authentication capability
+
+
+
+
+ INCIDENT RESPONSE
+
+ INCIDENT RESPONSE POLICY AND PROCEDURES
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ IR-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ IR-1a.
+
Develops, documents, and disseminates to :
+
+ IR-1a.1.
+
An incident response policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ IR-1a.2.
+
Procedures to facilitate the implementation of the incident response policy and associated incident response controls; and
+
+
+
+ IR-1b.
+
Reviews and updates the current:
+
+ IR-1b.1.
+
Incident response policy ; and
+
+
+ IR-1b.2.
+
Incident response procedures .
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IR family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+
+
+
+
Determine if the organization:
+
+ IR-1(a)(1)
+
+ IR-1(a)(1)[1]
+
develops and documents an incident response policy that addresses:
+
+ IR-1(a)(1)[1][a]
+
purpose;
+
+
+ IR-1(a)(1)[1][b]
+
scope;
+
+
+ IR-1(a)(1)[1][c]
+
roles;
+
+
+ IR-1(a)(1)[1][d]
+
responsibilities;
+
+
+ IR-1(a)(1)[1][e]
+
management commitment;
+
+
+ IR-1(a)(1)[1][f]
+
coordination among organizational entities;
+
+
+ IR-1(a)(1)[1][g]
+
compliance;
+
+
+
+ IR-1(a)(1)[2]
+
defines personnel or roles to whom the incident response policy is to be disseminated;
+
+
+ IR-1(a)(1)[3]
+
disseminates the incident response policy to organization-defined personnel or roles;
+
+
+
+ IR-1(a)(2)
+
+ IR-1(a)(2)[1]
+
develops and documents procedures to facilitate the implementation of the incident response policy and associated incident response controls;
+
+
+ IR-1(a)(2)[2]
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ IR-1(a)(2)[3]
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ IR-1(b)(1)
+
+ IR-1(b)(1)[1]
+
defines the frequency to review and update the current incident response policy;
+
+
+ IR-1(b)(1)[2]
+
reviews and updates the current incident response policy with the organization-defined frequency;
+
+
+
+ IR-1(b)(2)
+
+ IR-1(b)(2)[1]
+
defines the frequency to review and update the current incident response procedures; and
+
+
+ IR-1(b)(2)[2]
+
reviews and updates the current incident response procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Incident response policy and procedures
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident response responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-61
+
+
+ NIST Special Publication 800-83
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ INCIDENT RESPONSE TRAINING
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ IR-2
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization provides incident response training to information system users consistent with assigned roles and responsibilities:
+
+ IR-2a.
+
Within of assuming an incident response role or responsibility;
+
+
+ IR-2b.
+
When required by information system changes; and
+
+
+ IR-2c.
+
+ thereafter.
+
+
+
+
Incident response training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, regular users may only need to know who to call or how to recognize an incident on the information system; system administrators may require additional training on how to handle/remediate incidents; and incident responders may receive more specific training on forensics, reporting, system recovery, and restoration. Incident response training includes user training in the identification and reporting of suspicious activities, both from external and internal sources.
The organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations.
+
+
+
Determine if the organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations.
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing incident response training
+
incident response training curriculum
+
incident response training materials
+
incident response plan
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident response training and operational responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms that support and/or implement simulated events for incident response training
+
+
+
+ AUTOMATED TRAINING ENVIRONMENTS
+ IR-2 (2)
+ HIGH
+
+
The organization employs automated mechanisms to provide a more thorough and realistic incident response training environment.
+
+
+
Determine if the organization employs automated mechanisms to provide a more thorough and realistic incident response training environment.
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing incident response training
+
incident response training curriculum
+
incident response training materials
+
automated mechanisms supporting incident response training
+
incident response plan
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident response training and operational responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms that provide a thorough and realistic incident response training environment
+
+
+
+
Determine if the organization:
+
+ IR-2(a)
+
+ IR-2(a)[1]
+
defines a time period within which incident response training is to be provided to information system users assuming an incident response role or responsibility;
+
+
+ IR-2(a)[2]
+
provides incident response training to information system users consistent with assigned roles and responsibilities within the organization-defined time period of assuming an incident response role or responsibility;
+
+
+
+ IR-2(b)
+
provides incident response training to information system users consistent with assigned roles and responsibilities when required by information system changes;
+
+
+ IR-2(c)
+
+ IR-2(c)[1]
+
defines the frequency to provide refresher incident response training to information system users consistent with assigned roles or responsibilities; and
+
+
+ IR-2(c)[2]
+
after the initial incident response training, provides refresher incident response training to information system users consistent with assigned roles and responsibilities in accordance with the organization-defined frequency to provide refresher training.
+
+
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing incident response training
+
incident response training curriculum
+
incident response training materials
+
security plan
+
incident response plan
+
security plan
+
incident response training records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident response training and operational responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-16
+
+
+ NIST Special Publication 800-50
+
+
+
+
+ INCIDENT RESPONSE TESTING
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined tests
+ organization-defined tests
+
+ IR-3
+ P2
+ MODERATE
+ HIGH
+
+
The organization tests the incident response capability for the information system using to determine the incident response effectiveness and documents the results.
+
+
+
Organizations test incident response capabilities to determine the overall effectiveness of the capabilities and to identify potential weaknesses or deficiencies. Incident response testing includes, for example, the use of checklists, walk-through or tabletop exercises, simulations (parallel/full interrupt), and comprehensive exercises. Incident response testing can also include a determination of the effects on organizational operations (e.g., reduction in mission capabilities), organizational assets, and individuals due to incident response.
+
+
+
+
+ AUTOMATED TESTING
+ IR-3 (1)
+
+
The organization employs automated mechanisms to more thoroughly and effectively test the incident response capability.
+
+
+
Organizations use automated mechanisms to more thoroughly and effectively test incident response capabilities, for example: (i) by providing more complete coverage of incident response issues; (ii) by selecting more realistic test scenarios and test environments; and (iii) by stressing the response capability.
+
+
+
+
Determine if the organization employs automated mechanisms to more thoroughly and effectively test the incident response capability.
Organizational personnel with incident response testing responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms that more thoroughly and effectively test the incident response capability
+
+
+
+ COORDINATION WITH RELATED PLANS
+ IR-3 (2)
+ MODERATE
+ HIGH
+
+
The organization coordinates incident response testing with organizational elements responsible for related plans.
+
+
+
Organizational plans related to incident response testing include, for example, Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, and Occupant Emergency Plans.
+
+
+
Determine if the organization coordinates incident response testing with organizational elements responsible for related plans.
+
+
+ EXAMINE
+
Incident response policy
+
contingency planning policy
+
procedures addressing incident response testing
+
incident response testing documentation
+
incident response plan
+
business continuity plans
+
contingency plans
+
disaster recovery plans
+
continuity of operations plans
+
crisis communications plans
+
critical infrastructure plans
+
occupant emergency plans
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident response testing responsibilities
+
organizational personnel with responsibilities for testing organizational plans related to incident response testing
+
organizational personnel with information security responsibilities
+
+
+
+
Determine if the organization:
+
+ IR-3[1]
+
defines incident response tests to test the incident response capability for the information system;
+
+
+ IR-3[2]
+
defines the frequency to test the incident response capability for the information system; and
+
+
+ IR-3[3]
+
tests the incident response capability for the information system with the organization-defined frequency, using organization-defined tests to determine the incident response effectiveness and documents the results.
+
+
+
+ EXAMINE
+
Incident response policy
+
contingency planning policy
+
procedures addressing incident response testing
+
procedures addressing contingency plan testing
+
incident response testing material
+
incident response test results
+
incident response test plan
+
incident response plan
+
contingency plan
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident response testing responsibilities
+
organizational personnel with information security responsibilities
Implements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery;
+
+
+ IR-4b.
+
Coordinates incident handling activities with contingency planning activities; and
+
+
+ IR-4c.
+
Incorporates lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implements the resulting changes accordingly.
+
+
+
+
Organizations recognize that incident response capability is dependent on the capabilities of organizational information systems and the mission/business processes being supported by those systems. Therefore, organizations consider incident response as part of the definition, design, and development of mission/business processes and information systems. Incident-related information can be obtained from a variety of sources including, for example, audit monitoring, network monitoring, physical access monitoring, user/administrator reports, and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities including, for example, mission/business owners, information system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive (function).
The organization employs automated mechanisms to support the incident handling process.
+
+
+
Automated mechanisms supporting incident handling processes include, for example, online incident management systems.
+
+
+
Determine if the organization employs automated mechanisms to support the incident handling process.
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing incident handling
+
automated mechanisms supporting incident handling
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
incident response plan
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident handling responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms that support and/or implement the incident handling process
+
+
+
+ DYNAMIC RECONFIGURATION
+
+ organization-defined information system components
+ organization-defined information system components
+
+ IR-4 (2)
+
+
The organization includes dynamic reconfiguration of as part of the incident response capability.
+
+
+
Dynamic reconfiguration includes, for example, changes to router rules, access control lists, intrusion detection/prevention system parameters, and filter rules for firewalls and gateways. Organizations perform dynamic reconfiguration of information systems, for example, to stop attacks, to misdirect attackers, and to isolate components of systems, thus limiting the extent of the damage from breaches or compromises. Organizations include time frames for achieving the reconfiguration of information systems in the definition of the reconfiguration capability, considering the potential need for rapid response in order to effectively address sophisticated cyber threats.
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+ IR-4(2)[1]
+
defines information system components to be dynamically reconfigured as part of the incident response capability; and
+
+
+ IR-4(2)[2]
+
includes dynamic reconfiguration of organization-defined information system components as part of the incident response capability.
+
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing incident handling
+
automated mechanisms supporting incident handling
+
list of system components to be dynamically reconfigured as part of incident response capability
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
incident response plan
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident handling responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms that support and/or implement dynamic reconfiguration of components as part of incident response
+
+
+
+ CONTINUITY OF OPERATIONS
+
+ organization-defined classes of incidents
+ organization-defined classes of incidents
+
+
+ organization-defined actions to take in response to classes of incidents
+ organization-defined actions to take in response to classes of incidents
+
+ IR-4 (3)
+
+
The organization identifies and to ensure continuation of organizational missions and business functions.
+
+
+
Classes of incidents include, for example, malfunctions due to design/implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Appropriate incident response actions include, for example, graceful degradation, information system shutdown, fall back to manual mode/alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved solely for when systems are under attack.
+
+
+
Determine if the organization:
+
+ IR-4(3)[1]
+
defines classes of incidents requiring an organization-defined action to be taken;
+
+
+ IR-4(3)[2]
+
defines actions to be taken in response to organization-defined classes of incidents; and
+
+
+ IR-4(3)[3]
+
identifies organization-defined classes of incidents and organization-defined actions to take in response to classes of incidents to ensure continuation of organizational missions and business functions.
+
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing incident handling
+
incident response plan
+
security plan
+
list of classes of incidents
+
list of appropriate incident response actions
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident handling responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms that support and/or implement continuity of operations
+
+
+
+ INFORMATION CORRELATION
+ IR-4 (4)
+ HIGH
+
+
The organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.
+
+
+
Sometimes the nature of a threat event, for example, a hostile cyber attack, is such that it can only be observed by bringing together information from different sources including various reports and reporting procedures established by organizations.
+
+
+
Determine if the organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing incident handling
+
incident response plan
+
security plan
+
automated mechanisms supporting incident and event correlation
+
information system design documentation
+
information system configuration settings and associated documentation
+
incident management correlation logs
+
event management correlation logs
+
security information and event management logs
+
incident management correlation reports
+
event management correlation reports
+
security information and event management reports
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident handling responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with whom incident information and individual incident responses are to be correlated
+
+
+ TEST
+
Organizational processes for correlating incident information and individual incident responses
+
automated mechanisms that support and or implement correlation of incident response information with individual incident responses
+
+
+
+ AUTOMATIC DISABLING OF INFORMATION SYSTEM
+
+ organization-defined security violations
+ organization-defined security violations
+
+ IR-4 (5)
+
+
The organization implements a configurable capability to automatically disable the information system if are detected.
+
+
+
Determine if the organization:
+
+ IR-4(5)[1]
+
defines security violations that, if detected, initiate a configurable capability to automatically disable the information system; and
+
+
+ IR-4(5)[2]
+
implements a configurable capability to automatically disable the information system if any of the organization-defined security violations are detected.
+
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing incident handling
+
automated mechanisms supporting incident handling
+
information system design documentation
+
information system configuration settings and associated documentation
+
incident response plan
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident handling responsibilities
+
organizational personnel with information security responsibilities
+
system developers
+
+
+ TEST
+
Incident handling capability for the organization
+
automated mechanisms supporting and/or implementing automatic disabling of the information system
The organization implements incident handling capability for insider threats.
+
+
+
While many organizations address insider threat incidents as an inherent part of their organizational incident response capability, this control enhancement provides additional emphasis on this type of threat and the need for specific incident handling capabilities (as defined within organizations) to provide appropriate and timely responses.
+
+
+
Determine if the organization implements incident handling capability for insider threats.
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing incident handling
+
automated mechanisms supporting incident handling
+
information system design documentation
+
information system configuration settings and associated documentation
+
incident response plan
+
security plan
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident handling responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Incident handling capability for the organization
+
+
+
+ INSIDER THREATS - INTRA-ORGANIZATION COORDINATION
+
+ organization-defined components or elements of the organization
+ organization-defined components or elements of the organization
+
+ IR-4 (7)
+
+
The organization coordinates incident handling capability for insider threats across .
+
+
+
Incident handling for insider threat incidents (including preparation, detection and analysis, containment, eradication, and recovery) requires close coordination among a variety of organizational components or elements to be effective. These components or elements include, for example, mission/business owners, information system owners, human resources offices, procurement offices, personnel/physical security offices, operations personnel, and risk executive (function). In addition, organizations may require external support from federal, state, and local law enforcement agencies.
+
+
+
Determine if the organization:
+
+ IR-4(7)[1]
+
defines components or elements of the organization with whom the incident handling capability for insider threats is to be coordinated; and
+
+
+ IR-4(7)[2]
+
coordinates incident handling capability for insider threats across organization-defined components or elements of the organization.
+
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing incident handling
+
incident response plan
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident handling responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel/elements with whom incident handling capability is to be coordinated
+
+
+ TEST
+
Organizational processes for coordinating incident handling
The organization coordinates with to correlate and share to achieve a cross-organization perspective on incident awareness and more effective incident responses.
+
+
+
The coordination of incident information with external organizations including, for example, mission/business partners, military/coalition partners, customers, and multitiered developers, can provide significant benefits. Cross-organizational coordination with respect to incident handling can serve as an important risk management capability. This capability allows organizations to leverage critical information from a variety of sources to effectively respond to information security-related incidents potentially affecting the organization�s operations, assets, and individuals.
+
+
+
Determine if the organization:
+
+ IR-4(8)[1]
+
defines external organizations with whom organizational incident information is to be coordinated;
+
+
+ IR-4(8)[2]
+
defines incident information to be correlated and shared with organization-defined external organizations; and
+
+
+ IR-4(8)[3]
+
the organization coordinates with organization-defined external organizations to correlate and share organization-defined information to achieve a cross-organization perspective on incident awareness and more effective incident responses.
+
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing incident handling
+
list of external organizations
+
records of incident handling coordination with external organizations
+
incident response plan
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident handling responsibilities
+
organizational personnel with information security responsibilities
+
personnel from external organizations with whom incident response information is to be coordinated/shared/correlated
+
+
+ TEST
+
Organizational processes for coordinating incident handling information with external organizations
The organization employs to effectively respond to security incidents.
+
+
+
This control enhancement addresses the deployment of replacement or new capabilities in a timely manner in response to security incidents (e.g., adversary actions during hostile cyber attacks). This includes capabilities implemented at the mission/business process level (e.g., activating alternative mission/business processes) and at the information system level.
+
+
+
+
Determine if the organization:
+
+ IR-4(9)[1]
+
defines dynamic response capabilities to be employed to effectively respond to security incidents; and
+
+
+ IR-4(9)[2]
+
employs organization-defined dynamic response capabilities to effectively respond to security incidents.
information system configuration settings and associated documentation
+
incident response plan
+
security plan
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident handling responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for dynamic response capability
+
automated mechanisms supporting and/or implementing the dynamic response capability for the organization
+
+
+
+ SUPPLY CHAIN COORDINATION
+ IR-4 (10)
+
+
The organization coordinates incident handling activities involving supply chain events with other organizations involved in the supply chain.
+
+
+
Organizations involved in supply chain activities include, for example, system/product developers, integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include, for example, compromises/breaches involving information system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities.
+
+
+
Determine if the organization coordinates incident handling activities involving supply chain events with other organizations involved in the supply chain.
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing supply chain coordination
+
acquisition contracts
+
service-level agreements
+
incident response plan
+
security plan
+
incident response plans of other organization involved in supply chain activities
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident handling responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with supply chain responsibilities
+
+
+
+
Determine if the organization:
+
+ IR-4(a)
+
implements an incident handling capability for security incidents that includes:
+
+ IR-4(a)[1]
+
preparation;
+
+
+ IR-4(a)[2]
+
detection and analysis;
+
+
+ IR-4(a)[3]
+
containment;
+
+
+ IR-4(a)[4]
+
eradication;
+
+
+ IR-4(a)[5]
+
recovery;
+
+
+
+ IR-4(b)
+
coordinates incident handling activities with contingency planning activities;
+
+
+ IR-4(c)
+
+ IR-4(c)[1]
+
incorporates lessons learned from ongoing incident handling activities into:
+
+ IR-4(c)[1][a]
+
incident response procedures;
+
+
+ IR-4(c)[1][b]
+
training;
+
+
+ IR-4(c)[1][c]
+
testing/exercises;
+
+
+
+ IR-4(c)[2]
+
implements the resulting changes accordingly to:
+
+ IR-4(c)[2][a]
+
incident response procedures;
+
+
+ IR-4(c)[2][b]
+
training; and
+
+
+ IR-4(c)[2][c]
+
testing/exercises.
+
+
+
+
+
+ EXAMINE
+
Incident response policy
+
contingency planning policy
+
procedures addressing incident handling
+
incident response plan
+
contingency plan
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident handling responsibilities
+
organizational personnel with contingency planning responsibilities
+
organizational personnel with information security responsibilities
The organization tracks and documents information system security incidents.
+
+
+
Documenting information system security incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics, evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources including, for example, incident reports, incident response teams, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports.
The organization employs automated mechanisms to assist in the tracking of security incidents and in the collection and analysis of incident information.
+
+
+
Automated mechanisms for tracking security incidents and collecting/analyzing incident information include, for example, the Einstein network monitoring device and monitoring online Computer Incident Response Centers (CIRCs) or other electronic databases of incidents.
+
+
+
+
+
Determine if the organization employs automated mechanisms to assist in:
information system configuration settings and associated documentation
+
incident response plan
+
security plan
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident monitoring responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms assisting in tracking of security incidents and in the collection and analysis of incident information
+
+
+
+
Determine if the organization:
+
+ IR-5[1]
+
tracks information system security incidents; and
+
+
+ IR-5[2]
+
documents information system security incidents.
+
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing incident monitoring
+
incident response records and documentation
+
incident response plan
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident monitoring responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Incident monitoring capability for the organization
+
automated mechanisms supporting and/or implementing tracking and documenting of system security incidents
+
+
+
+ NIST Special Publication 800-61
+
+
+
+
+ INCIDENT REPORTING
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined authorities
+ organization-defined authorities
+
+ IR-6
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ IR-6a.
+
Requires personnel to report suspected security incidents to the organizational incident response capability within ; and
+
+
+ IR-6b.
+
Reports security incident information to .
+
+
+
+
The intent of this control is to address both specific incident reporting requirements within an organization and the formal incident reporting requirements for federal agencies and their subordinate organizations. Suspected security incidents include, for example, the receipt of suspicious email communications that can potentially contain malicious code. The types of security incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Current federal policy requires that all federal agencies (unless specifically exempted from such requirements) report security incidents to the United States Computer Emergency Readiness Team (US-CERT) within specified time frames designated in the US-CERT Concept of Operations for Federal Cyber Security Incident Handling.
The organization provides security incident information to other organizations involved in the supply chain for information systems or information system components related to the incident.
+
+
+
Organizations involved in supply chain activities include, for example, system/product developers, integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include, for example, compromises/breaches involving information system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities. Organizations determine the appropriate information to share considering the value gained from support by external organizations with the potential for harm due to sensitive information being released to outside organizations of perhaps questionable trustworthiness.
+
+
+
Determine if the organization provides security incident information to other organizations involved in the supply chain for information systems or information system components related to the incident.
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing supply chain coordination
+
acquisition contracts
+
service-level agreements
+
incident response plan
+
security plan
+
plans of other organization involved in supply chain activities
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident reporting responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with supply chain responsibilities
+
+
+ TEST
+
Organizational processes for incident reporting
+
automated mechanisms supporting and/or implementing reporting of incident information involved in the supply chain
+
+
+
+
Determine if the organization:
+
+ IR-6(a)
+
+ IR-6(a)[1]
+
defines the time period within which personnel report suspected security incidents to the organizational incident response capability;
+
+
+ IR-6(a)[2]
+
requires personnel to report suspected security incidents to the organizational incident response capability within the organization-defined time period;
+
+
+
+ IR-6(b)
+
+ IR-6(b)[1]
+
defines authorities to whom security incident information is to be reported; and
+
+
+ IR-6(b)[2]
+
reports security incident information to organization-defined authorities.
+
+
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing incident reporting
+
incident reporting records and documentation
+
incident response plan
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident reporting responsibilities
+
organizational personnel with information security responsibilities
+
personnel who have/should have reported incidents
+
personnel (authorities) to whom incident information is to be reported
The organization provides an incident response support resource, integral to the organizational incident response capability that offers advice and assistance to users of the information system for the handling and reporting of security incidents.
+
+
+
Incident response support resources provided by organizations include, for example, help desks, assistance groups, and access to forensics services, when required.
+
+
+
+
+
+
+
+ AUTOMATION SUPPORT FOR AVAILABILITY OF INFORMATION / SUPPORT
+ IR-7 (1)
+ MODERATE
+ HIGH
+
+
The organization employs automated mechanisms to increase the availability of incident response-related information and support.
+
+
+
Automated mechanisms can provide a push and/or pull capability for users to obtain incident response assistance. For example, individuals might have access to a website to query the assistance capability, or conversely, the assistance capability may have the ability to proactively send information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.
+
+
+
Determine if the organization employs automated mechanisms to increase the availability of incident response-related information and support.
Establishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and
+
+
+ IR-7 (2)(b)
+
Identifies organizational incident response team members to the external providers.
+
+
+
+
External providers of information system protection capability include, for example, the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks.
+
+
+
Determine if the organization:
+
+ IR-7(2)(a)
+
establishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and
+
+
+ IR-7(2)(b)
+
identifies organizational incident response team members to the external providers.
+
+
+
+ INCIDENT RESPONSE PLAN
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined incident response personnel (identified by name and/or by role) and organizational elements
+ organization-defined incident response personnel (identified by name and/or by role) and organizational elements
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined incident response personnel (identified by name and/or by role) and organizational elements
+ organization-defined incident response personnel (identified by name and/or by role) and organizational elements
+
+ IR-8
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ IR-8a.
+
Develops an incident response plan that:
+
+ IR-8a.1.
+
Provides the organization with a roadmap for implementing its incident response capability;
+
+
+ IR-8a.2.
+
Describes the structure and organization of the incident response capability;
+
+
+ IR-8a.3.
+
Provides a high-level approach for how the incident response capability fits into the overall organization;
+
+
+ IR-8a.4.
+
Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;
+
+
+ IR-8a.5.
+
Defines reportable incidents;
+
+
+ IR-8a.6.
+
Provides metrics for measuring the incident response capability within the organization;
+
+
+ IR-8a.7.
+
Defines the resources and management support needed to effectively maintain and mature an incident response capability; and
+
+
+ IR-8a.8.
+
Is reviewed and approved by ;
+
+
+
+ IR-8b.
+
Distributes copies of the incident response plan to ;
+
+
+ IR-8c.
+
Reviews the incident response plan ;
+
+
+ IR-8d.
+
Updates the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing;
+
+
+ IR-8e.
+
Communicates incident response plan changes to ; and
+
+
+ IR-8f.
+
Protects the incident response plan from unauthorized disclosure and modification.
+
+
+
+
It is important that organizations develop and implement a coordinated approach to incident response. Organizational missions, business functions, strategies, goals, and objectives for incident response help to determine the structure of incident response capabilities. As part of a comprehensive incident response capability, organizations consider the coordination and sharing of information with external organizations, including, for example, external service providers and organizations involved in the supply chain for organizational information systems.
+
+
+
+
+
+
Determine if the organization:
+
+ IR-8(a)
+
develops an incident response plan that:
+
+ IR-8(a)(1)
+
provides the organization with a roadmap for implementing its incident response capability;
+
+
+ IR-8(a)(2)
+
describes the structure and organization of the incident response capability;
+
+
+ IR-8(a)(3)
+
provides a high-level approach for how the incident response capability fits into the overall organization;
+
+
+ IR-8(a)(4)
+
meets the unique requirements of the organization, which relate to:
+
+ IR-8(a)(4)[1]
+
mission;
+
+
+ IR-8(a)(4)[2]
+
size;
+
+
+ IR-8(a)(4)[3]
+
structure;
+
+
+ IR-8(a)(4)[4]
+
functions;
+
+
+
+ IR-8(a)(5)
+
defines reportable incidents;
+
+
+ IR-8(a)(6)
+
provides metrics for measuring the incident response capability within the organization;
+
+
+ IR-8(a)(7)
+
defines the resources and management support needed to effectively maintain and mature an incident response capability;
+
+
+ IR-8(a)(8)
+
+ IR-8(a)(8)[1]
+
defines personnel or roles to review and approve the incident response plan;
+
+
+ IR-8(a)(8)[2]
+
is reviewed and approved by organization-defined personnel or roles;
defines incident response personnel (identified by name and/or by role) to whom copies of the incident response plan are to be distributed;
+
+
+ IR-8(b)[1][b]
+
defines organizational elements to whom copies of the incident response plan are to be distributed;
+
+
+
+ IR-8(b)[2]
+
distributes copies of the incident response plan to organization-defined incident response personnel (identified by name and/or by role) and organizational elements;
+
+
+
+ IR-8(c)
+
+ IR-8(c)[1]
+
defines the frequency to review the incident response plan;
+
+
+ IR-8(c)[2]
+
reviews the incident response plan with the organization-defined frequency;
+
+
+
+ IR-8(d)
+
updates the incident response plan to address system/organizational changes or problems encountered during plan:
defines incident response personnel (identified by name and/or by role) to whom incident response plan changes are to be communicated;
+
+
+ IR-8(e)[1][b]
+
defines organizational elements to whom incident response plan changes are to be communicated;
+
+
+
+ IR-8(e)[2]
+
communicates incident response plan changes to organization-defined incident response personnel (identified by name and/or by role) and organizational elements; and
+
+
+
+ IR-8(f)
+
protects the incident response plan from unauthorized disclosure and modification.
+
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing incident response planning
+
incident response plan
+
records of incident response plan reviews and approvals
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident response planning responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational incident response plan and related organizational processes
The organization responds to information spills by:
+
+ IR-9a.
+
Identifying the specific information involved in the information system contamination;
+
+
+ IR-9b.
+
Alerting of the information spill using a method of communication not associated with the spill;
+
+
+ IR-9c.
+
Isolating the contaminated information system or system component;
+
+
+ IR-9d.
+
Eradicating the information from the contaminated information system or component;
+
+
+ IR-9e.
+
Identifying other information systems or system components that may have been subsequently contaminated; and
+
+
+ IR-9f.
+
Performing other .
+
+
+
+
Information spillage refers to instances where either classified or sensitive information is inadvertently placed on information systems that are not authorized to process such information. Such information spills often occur when information that is initially thought to be of lower sensitivity is transmitted to an information system and then is subsequently determined to be of higher sensitivity. At that point, corrective action is required. The nature of the organizational response is generally based upon the degree of sensitivity of the spilled information (e.g., security category or classification level), the security capabilities of the information system, the specific nature of contaminated storage media, and the access authorizations (e.g., security clearances) of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated.
The organization implements to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.
+
+
+
Correction actions for information systems contaminated due to information spillages may be very time-consuming. During those periods, personnel may not have access to the contaminated systems, which may potentially affect their ability to conduct organizational business.
+
+
+
Determine if the organization:
+
+ IR-9(3)[1]
+
defines procedures that ensure organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions; and
+
+
+ IR-9(3)[2]
+
implements organization-defined procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.
+
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing incident handling
+
procedures addressing information spillage
+
incident response plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident response responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for post-spill operations
The organization employs for personnel exposed to information not within assigned access authorizations.
+
+
+
Security safeguards include, for example, making personnel exposed to spilled information aware of the federal laws, directives, policies, and/or regulations regarding the information and the restrictions imposed based on exposure to such information.
+
+
+
Determine if the organization:
+
+ IR-9(4)[1]
+
defines security safeguards to be employed for personnel exposed to information not within assigned access authorizations; and
+
+
+ IR-9(4)[2]
+
employs organization-defined security safeguards for personnel exposed to information not within assigned access authorizations.
+
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing incident handling
+
procedures addressing information spillage
+
incident response plan
+
security safeguards regarding information spillage/exposure to unauthorized personnel
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident response responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for dealing with information exposed to unauthorized personnel
+
automated mechanisms supporting and/or implementing safeguards for personnel exposed to information not within assigned access authorizations
+
+
+
+
Determine if the organization:
+
+ IR-9(a)
+
responds to information spills by identifying the specific information causing the information system contamination;
+
+
+ IR-9(b)
+
+ IR-9(b)[1]
+
defines personnel to be alerted of the information spillage;
+
+
+ IR-9(b)[2]
+
identifies a method of communication not associated with the information spill to use to alert organization-defined personnel of the spill;
+
+
+ IR-9(b)[3]
+
responds to information spills by alerting organization-defined personnel of the information spill using a method of communication not associated with the spill;
+
+
+
+ IR-9(c)
+
responds to information spills by isolating the contaminated information system;
+
+
+ IR-9(d)
+
responds to information spills by eradicating the information from the contaminated information system;
+
+
+ IR-9(e)
+
responds to information spills by identifying other information systems that may have been subsequently contaminated;
+
+
+ IR-9(f)
+
+ IR-9(f)[1]
+
defines other actions to be performed in response to information spills; and
+
+
+ IR-9(f)[2]
+
responds to information spills by performing other organization-defined actions.
+
+
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing information spillage
+
incident response plan
+
records of information spillage alerts/notifications, list of personnel who should receive alerts of information spillage
+
list of actions to be performed regarding information spillage
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident response responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for information spillage response
+
automated mechanisms supporting and/or implementing information spillage response actions and related communications
+
+
+
+ INTEGRATED INFORMATION SECURITY ANALYSIS TEAM
+ IR-10
+ P0
+
+
The organization establishes an integrated team of forensic/malicious code analysts, tool developers, and real-time operations personnel.
+
+
+
Having an integrated team for incident response facilitates information sharing. Such capability allows organizational personnel, including developers, implementers, and operators, to leverage the team knowledge of the threat in order to implement defensive measures that will enable organizations to deter intrusions more effectively. Moreover, it promotes the rapid detection of intrusions, development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated security analysis team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing intelligence development. This enables the team to identify adversary TTPs that are linked to the operations tempo or to specific missions/business functions, and to define responsive actions in a way that does not disrupt the mission/business operations. Ideally, information security analysis teams are distributed within organizations to make the capability more resilient.
+
+
+
Determine if the organization establishes an integrated team of forensic/malicious code analyst, tool developers, and real-time operations personnel.
+
+
+ EXAMINE
+
Incident response policy
+
procedures addressing incident response planning and security analysis team integration
+
incident response plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with incident response and information security analysis responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel participating on integrated security analysis teams
+
+
+
+
+ MAINTENANCE
+
+ SYSTEM MAINTENANCE POLICY AND PROCEDURES
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ MA-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ MA-1a.
+
Develops, documents, and disseminates to :
+
+ MA-1a.1.
+
A system maintenance policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ MA-1a.2.
+
Procedures to facilitate the implementation of the system maintenance policy and associated system maintenance controls; and
+
+
+
+ MA-1b.
+
Reviews and updates the current:
+
+ MA-1b.1.
+
System maintenance policy ; and
+
+
+ MA-1b.2.
+
System maintenance procedures .
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+
+
+
+
Determine if the organization:
+
+ MA-1(a)(1)
+
+ MA-1(a)(1)[1]
+
develops and documents a system maintenance policy that addresses:
+
+ MA-1(a)(1)[1][a]
+
purpose;
+
+
+ MA-1(a)(1)[1][b]
+
scope;
+
+
+ MA-1(a)(1)[1][c]
+
roles;
+
+
+ MA-1(a)(1)[1][d]
+
responsibilities;
+
+
+ MA-1(a)(1)[1][e]
+
management commitment;
+
+
+ MA-1(a)(1)[1][f]
+
coordination among organizational entities;
+
+
+ MA-1(a)(1)[1][g]
+
compliance;
+
+
+
+ MA-1(a)(1)[2]
+
defines personnel or roles to whom the system maintenance policy is to be disseminated;
+
+
+ MA-1(a)(1)[3]
+
disseminates the system maintenance policy to organization-defined personnel or roles;
+
+
+
+ MA-1(a)(2)
+
+ MA-1(a)(2)[1]
+
develops and documents procedures to facilitate the implementation of the maintenance policy and associated system maintenance controls;
+
+
+ MA-1(a)(2)[2]
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ MA-1(a)(2)[3]
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ MA-1(b)(1)
+
+ MA-1(b)(1)[1]
+
defines the frequency to review and update the current system maintenance policy;
+
+
+ MA-1(b)(1)[2]
+
reviews and updates the current system maintenance policy with the organization-defined frequency;
+
+
+
+ MA-1(b)(2)
+
+ MA-1(b)(2)[1]
+
defines the frequency to review and update the current system maintenance procedures; and
+
+
+ MA-1(b)(2)[2]
+
reviews and updates the current system maintenance procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Maintenance policy and procedures
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with maintenance responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ CONTROLLED MAINTENANCE
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined maintenance-related information
+ organization-defined maintenance-related information
+
+ MA-2
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ MA-2a.
+
Schedules, performs, documents, and reviews records of maintenance and repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements;
+
+
+ MA-2b.
+
Approves and monitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;
+
+
+ MA-2c.
+
Requires that explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;
+
+
+ MA-2d.
+
Sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs;
+
+
+ MA-2e.
+
Checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions; and
+
+
+ MA-2f.
+
Includes in organizational maintenance records.
+
+
+
+
This control addresses the information security aspects of the information system maintenance program and applies to all types of maintenance to any system component (including applications) conducted by any local or nonlocal entity (e.g., in-contract, warranty, in-house, software maintenance agreement). System maintenance also includes those components not directly associated with information processing and/or data/information retention such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes, for example: (i) date and time of maintenance; (ii) name of individuals or group performing the maintenance; (iii) name of escort, if necessary; (iv) a description of the maintenance performed; and (v) information system components/equipment removed or replaced (including identification numbers, if applicable). The level of detail included in maintenance records can be informed by the security categories of organizational information systems. Organizations consider supply chain issues associated with replacement components for information systems.
automated mechanisms supporting and/or implementing production of records of maintenance and repair actions
+
+
+
+
Determine if the organization:
+
+ MA-2(a)
+
+ MA-2(a)[1]
+
schedules maintenance and repairs on information system components in accordance with:
+
+ MA-2(a)[1][a]
+
manufacturer or vendor specifications; and/or
+
+
+ MA-2(a)[1][b]
+
organizational requirements;
+
+
+
+ MA-2(a)[2]
+
performs maintenance and repairs on information system components in accordance with:
+
+ MA-2(a)[2][a]
+
manufacturer or vendor specifications; and/or
+
+
+ MA-2(a)[2][b]
+
organizational requirements;
+
+
+
+ MA-2(a)[3]
+
documents maintenance and repairs on information system components in accordance with:
+
+ MA-2(a)[3][a]
+
manufacturer or vendor specifications; and/or
+
+
+ MA-2(a)[3][b]
+
organizational requirements;
+
+
+
+ MA-2(a)[4]
+
reviews records of maintenance and repairs on information system components in accordance with:
+
+ MA-2(a)[4][a]
+
manufacturer or vendor specifications; and/or
+
+
+ MA-2(a)[4][b]
+
organizational requirements;
+
+
+
+
+ MA-2(b)
+
+ MA-2(b)[1]
+
approves all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;
+
+
+ MA-2(b)[2]
+
monitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;
+
+
+
+ MA-2(c)
+
+ MA-2(c)[1]
+
defines personnel or roles required to explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;
+
+
+ MA-2(c)[2]
+
requires that organization-defined personnel or roles explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;
+
+
+
+ MA-2(d)
+
sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs;
+
+
+ MA-2(e)
+
checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions;
+
+
+ MA-2(f)
+
+ MA-2(f)[1]
+
defines maintenance-related information to be included in organizational maintenance records; and
+
+
+ MA-2(f)[2]
+
includes organization-defined maintenance-related information in organizational maintenance records.
+
+
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing controlled information system maintenance
+
maintenance records
+
manufacturer/vendor maintenance specifications
+
equipment sanitization records
+
media sanitization records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system maintenance responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel responsible for media sanitization
+
system/network administrators
+
+
+ TEST
+
Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the information system
+
organizational processes for sanitizing information system components
The organization approves, controls, and monitors information system maintenance tools.
+
+
+
This control addresses security-related issues associated with maintenance tools used specifically for diagnostic and repair actions on organizational information systems. Maintenance tools can include hardware, software, and firmware items. Maintenance tools are potential vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into organizational information systems. Maintenance tools can include, for example, hardware/software diagnostic test equipment and hardware/software packet sniffers. This control does not cover hardware/software components that may support information system maintenance, yet are a part of the system, for example, the software implementing �ping,� �ls,� �ipconfig,� or the hardware and software implementing the monitoring port of an Ethernet switch.
The organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications.
+
+
+
If, upon inspection of maintenance tools, organizations determine that the tools have been modified in an improper/unauthorized manner or contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling.
+
+
+
+
Determine if the organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications.
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing information system maintenance tools
+
information system maintenance tools and associated documentation
+
maintenance tool inspection records
+
maintenance records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system maintenance responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for inspecting maintenance tools
+
automated mechanisms supporting and/or implementing inspection of maintenance tools
+
+
+
+ INSPECT MEDIA
+ MA-3 (2)
+ MODERATE
+ HIGH
+
+
The organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system.
+
+
+
If, upon inspection of media containing maintenance diagnostic and test programs, organizations determine that the media contain malicious code, the incident is handled consistent with organizational incident handling policies and procedures.
+
+
+
+
Determine if the organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system.
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing information system maintenance tools
+
information system maintenance tools and associated documentation
+
maintenance records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system maintenance responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational process for inspecting media for malicious code
+
automated mechanisms supporting and/or implementing inspection of media used for maintenance
+
+
+
+ PREVENT UNAUTHORIZED REMOVAL
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+ MA-3 (3)
+ HIGH
+
+
The organization prevents the unauthorized removal of maintenance equipment containing organizational information by:
+
+ MA-3 (3)(a)
+
Verifying that there is no organizational information contained on the equipment;
+
+
+ MA-3 (3)(b)
+
Sanitizing or destroying the equipment;
+
+
+ MA-3 (3)(c)
+
Retaining the equipment within the facility; or
+
+
+ MA-3 (3)(d)
+
Obtaining an exemption from explicitly authorizing removal of the equipment from the facility.
+
+
+
+
Organizational information includes all information specifically owned by organizations and information provided to organizations in which organizations serve as information stewards.
+
+
+
Determine if the organization prevents the unauthorized removal of maintenance equipment containing organizational information by:
+
+ MA-3(3)(a)
+
verifying that there is no organizational information contained on the equipment;
+
+
+ MA-3(3)(b)
+
sanitizing or destroying the equipment;
+
+
+ MA-3(3)(c)
+
retaining the equipment within the facility; or
+
+
+ MA-3(3)(d)
+
+ MA-3(3)(d)[1]
+
defining personnel or roles that can grant an exemption from explicitly authorizing removal of the equipment from the facility; and
+
+
+ MA-3(3)(d)[2]
+
obtaining an exemption from organization-defined personnel or roles explicitly authorizing removal of the equipment from the facility.
+
+
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing information system maintenance tools
+
information system maintenance tools and associated documentation
+
maintenance records
+
equipment sanitization records
+
media sanitization records
+
exemptions for equipment removal
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system maintenance responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel responsible for media sanitization
+
+
+ TEST
+
Organizational process for preventing unauthorized removal of information
+
automated mechanisms supporting media sanitization or destruction of equipment
+
automated mechanisms supporting verification of media sanitization
+
+
+
+ RESTRICTED TOOL USE
+ MA-3 (4)
+
+
The information system restricts the use of maintenance tools to authorized personnel only.
+
+
+
This control enhancement applies to information systems that are used to carry out maintenance functions.
+
+
+
+
+
+
+
Determine if the organization restricts the use of maintenance tools to authorized personnel only.
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing information system maintenance tools
+
information system maintenance tools and associated documentation
+
list of personnel authorized to use maintenance tools
+
maintenance tool usage records
+
maintenance records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system maintenance responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational process for restricting use of maintenance tools
+
automated mechanisms supporting and/or implementing restricted use of maintenance tools
+
+
+
+
Determine if the organization:
+
+ MA-3[1]
+
approves information system maintenance tools;
+
+
+ MA-3[2]
+
controls information system maintenance tools; and
+
+
+ MA-3[3]
+
monitors information system maintenance tools.
+
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing information system maintenance tools
+
information system maintenance tools and associated documentation
+
maintenance records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system maintenance responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for approving, controlling, and monitoring maintenance tools
Approves and monitors nonlocal maintenance and diagnostic activities;
+
+
+ MA-4b.
+
Allows the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the information system;
+
+
+ MA-4c.
+
Employs strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;
+
+
+ MA-4d.
+
Maintains records for nonlocal maintenance and diagnostic activities; and
+
+
+ MA-4e.
+
Terminates session and network connections when nonlocal maintenance is completed.
+
+
+
+
Nonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. Authentication techniques used in the establishment of nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2. Typically, strong authentication requires authenticators that are resistant to replay attacks and employ multifactor authentication. Strong authenticators include, for example, PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by other controls.
The organization documents in the security plan for the information system, the policies and procedures for the establishment and use of nonlocal maintenance and diagnostic connections.
+
+
+
Determine if the organization documents in the security plan for the information system:
+
+ MA-4(2)[1]
+
the policies for the establishment and use of nonlocal maintenance and diagnostic connections; and
+
+
+ MA-4(2)[2]
+
the procedures for the establishment and use of nonlocal maintenance and diagnostic connections.
+
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing non-local information system maintenance
+
security plan
+
maintenance records
+
diagnostic records
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system maintenance responsibilities
+
organizational personnel with information security responsibilities
Requires that nonlocal maintenance and diagnostic services be performed from an information system that implements a security capability comparable to the capability implemented on the system being serviced; or
+
+
+ MA-4 (3)(b)
+
Removes the component to be serviced from the information system prior to nonlocal maintenance or diagnostic services, sanitizes the component (with regard to organizational information) before removal from organizational facilities, and after the service is performed, inspects and sanitizes the component (with regard to potentially malicious software) before reconnecting the component to the information system.
+
+
+
+
Comparable security capability on information systems, diagnostic tools, and equipment providing maintenance services implies that the implemented security controls on those systems, tools, and equipment are at least as comprehensive as the controls on the information system being serviced.
+
+
+
+
+
+
+
Determine if the organization:
+
+ MA-4(3)(a)
+
requires that nonlocal maintenance and diagnostic services be performed from an information system that implements a security capability comparable to the capability implemented on the system being serviced; or
+
+
+ MA-4(3)(b)
+
+ MA-4(3)(b)[1]
+
removes the component to be serviced from the information system;
+
+
+ MA-4(3)(b)[2]
+
sanitizes the component (with regard to organizational information) prior to nonlocal maintenance or diagnostic services and/or before removal from organizational facilities; and
+
+
+ MA-4(3)(b)[3]
+
inspects and sanitizes the component (with regard to potentially malicious software) after service is performed on the component and before reconnecting the component to the information system.
+
+
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing nonlocal information system maintenance
+
service provider contracts and/or service-level agreements
+
maintenance records
+
inspection records
+
audit records
+
equipment sanitization records
+
media sanitization records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system maintenance responsibilities
+
information system maintenance provider
+
organizational personnel with information security responsibilities
+
organizational personnel responsible for media sanitization
+
system/network administrators
+
+
+ TEST
+
Organizational processes for comparable security and sanitization for nonlocal maintenance
+
organizational processes for removal, sanitization, and inspection of components serviced via nonlocal maintenance
+
automated mechanisms supporting and/or implementing component sanitization and inspection
+
+
+
+ AUTHENTICATION / SEPARATION OF MAINTENANCE SESSIONS
+
+ organization-defined authenticators that are replay resistant
+ organization-defined authenticators that are replay resistant
+
+ MA-4 (4)
+
+
The organization protects nonlocal maintenance sessions by:
+
+ MA-4 (4)(a)
+
Employing ; and
+
+
+ MA-4 (4)(b)
+
Separating the maintenance sessions from other network sessions with the information system by either:
+
+ MA-4 (4)(b)(1)
+
Physically separated communications paths; or
+
+
+ MA-4 (4)(b)(2)
+
Logically separated communications paths based upon encryption.
+
+
+
+
+
+
+
+
Determine if the organization protects nonlocal maintenance sessions by:
+
+ MA-4(4)(a)
+
+ MA-4(4)(a)[1]
+
defining replay resistant authenticators to be employed to protect nonlocal maintenance sessions;
+
+
+ MA-4(4)(a)[2]
+
employing organization-defined authenticators that are replay resistant;
+
+
+
+ MA-4(4)(b)
+
separating the maintenance sessions from other network sessions with the information system by either:
+
+ MA-4(4)(b)(1)
+
physically separated communications paths; or
+
+
+ MA-4(4)(b)(2)
+
logically separated communications paths based upon encryption.
+
+
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing nonlocal information system maintenance
+
information system design documentation
+
information system configuration settings and associated documentation
+
maintenance records
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system maintenance responsibilities
+
network engineers
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for protecting nonlocal maintenance sessions
+
+
+
+ APPROVALS AND NOTIFICATIONS
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+ MA-4 (5)
+
+
The organization:
+
+ MA-4 (5)(a)
+
Requires the approval of each nonlocal maintenance session by ; and
+
+
+ MA-4 (5)(b)
+
Notifies of the date and time of planned nonlocal maintenance.
+
+
+
+
Notification may be performed by maintenance personnel. Approval of nonlocal maintenance sessions is accomplished by organizational personnel with sufficient information security and information system knowledge to determine the appropriateness of the proposed maintenance.
+
+
+
Determine if the organization:
+
+ MA-4(5)(a)
+
+ MA-4(5)(a)[1]
+
defines personnel or roles required to approve each nonlocal maintenance session;
+
+
+ MA-4(5)(a)[2]
+
requires the approval of each nonlocal maintenance session by organization-defined personnel or roles;
+
+
+
+ MA-4(5)(b)
+
+ MA-4(5)(b)[1]
+
defines personnel or roles to be notified of the date and time of planned nonlocal maintenance; and
+
+
+ MA-4(5)(b)[2]
+
notifies organization-defined personnel roles of the date and time of planned nonlocal maintenance.
+
+
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing non-local information system maintenance
Organizational personnel with information system maintenance responsibilities
+
organizational personnel with notification responsibilities
+
organizational personnel with approval responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for approving and notifying personnel regarding nonlocal maintenance
+
automated mechanisms supporting notification and approval of nonlocal maintenance
+
+
+
+ CRYPTOGRAPHIC PROTECTION
+ MA-4 (6)
+
+
The information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications.
+
+
+
+
+
+
+
Determine if the information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications.
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing non-local information system maintenance
+
information system design documentation
+
information system configuration settings and associated documentation
The information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions.
+
+
+
Remote disconnect verification ensures that remote connections from nonlocal maintenance sessions have been terminated and are no longer available for use.
+
+
+
+
Determine if the information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions.
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing non-local information system maintenance
+
information system design documentation
+
information system configuration settings and associated documentation
automated mechanisms for strong authentication of nonlocal maintenance diagnostic sessions
+
automated mechanisms for terminating nonlocal maintenance sessions and network connections
+
+
+
+ FIPS Publication 140-2
+
+
+ FIPS Publication 197
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-63
+
+
+ NIST Special Publication 800-88
+
+
+ CNSS Policy 15
+
+
+
+
+ MAINTENANCE PERSONNEL
+ MA-5
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ MA-5a.
+
Establishes a process for maintenance personnel authorization and maintains a list of authorized maintenance organizations or personnel;
+
+
+ MA-5b.
+
Ensures that non-escorted personnel performing maintenance on the information system have required access authorizations; and
+
+
+ MA-5c.
+
Designates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.
+
+
+
+
This control applies to individuals performing hardware or software maintenance on organizational information systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems (e.g., custodial staff, physical plant maintenance personnel). Technical competence of supervising individuals relates to the maintenance performed on the information systems while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel, such as information technology manufacturers, vendors, systems integrators, and consultants, may require privileged access to organizational information systems, for example, when required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods.
Implements procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:
+
+ MA-5 (1)(a)(1)
+
Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;
+
+
+ MA-5 (1)(a)(2)
+
Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the information system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and
+
+
+
+ MA-5 (1)(b)
+
Develops and implements alternate security safeguards in the event an information system component cannot be sanitized, removed, or disconnected from the system.
+
+
+
+
This control enhancement denies individuals who lack appropriate security clearances (i.e., individuals who do not possess security clearances or possess security clearances at a lower level than required) or who are not U.S. citizens, visual and electronic access to any classified information, Controlled Unclassified Information (CUI), or any other sensitive information contained on organizational information systems. Procedures for the use of maintenance personnel can be documented in security plans for the information systems.
+
+
+
+
+
Determine if the organization:
+
+ MA-5(1)(a)
+
implements procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:
+
+ MA-5(1)(a)(1)
+
maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who:
+
+ MA-5(1)(a)(1)[1]
+
are fully cleared;
+
+
+ MA-5(1)(a)(1)[2]
+
have appropriate access authorizations;
+
+
+ MA-5(1)(a)(1)[3]
+
are technically qualified;
+
+
+
+ MA-5(1)(a)(2)
+
prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances, or formal access approvals:
+
+ MA-5(1)(a)(2)[1]
+
all volatile information storage components within the information system are sanitized; and
+
+
+ MA-5(1)(a)(2)[2]
+
all nonvolatile storage media are removed; or
+
+
+ MA-5(1)(a)(2)[3]
+
all nonvolatile storage media are physically disconnected from the system and secured; and
+
+
+
+
+ MA-5(1)(b)
+
develops and implements alternative security safeguards in the event an information system component cannot be sanitized, removed, or disconnected from the system.
+
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing maintenance personnel
+
information system media protection policy
+
physical and environmental protection policy
+
security plan
+
list of maintenance personnel requiring escort/supervision
+
maintenance records
+
access control records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system maintenance responsibilities
+
organizational personnel with personnel security responsibilities
+
organizational personnel with physical access control responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel responsible for media sanitization
+
system/network administrators
+
+
+ TEST
+
Organizational processes for managing maintenance personnel without appropriate access
+
automated mechanisms supporting and/or implementing alternative security safeguards
+
automated mechanisms supporting and/or implementing information storage component sanitization
+
+
+
+ SECURITY CLEARANCES FOR CLASSIFIED SYSTEMS
+ MA-5 (2)
+
+
The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information possess security clearances and formal access approvals for at least the highest classification level and for all compartments of information on the system.
+
+
+
+
+
+
Determine if the organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information possess:
+
+ MA-5(2)[1]
+
security clearances for at least the highest classification level on the system;
+
+
+ MA-5(2)[2]
+
security clearances for all compartments of information on the system;
+
+
+ MA-5(2)[3]
+
formal access approvals for at least the highest classification level on the system; and
+
+
+ MA-5(2)[4]
+
formal access approvals for all compartments of information on the system.
+
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing maintenance personnel
+
personnel records
+
maintenance records
+
access control records
+
access credentials
+
access authorizations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system maintenance responsibilities
+
organizational personnel with personnel security responsibilities
+
organizational personnel with physical access control responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for managing security clearances for maintenance personnel
+
+
+
+ CITIZENSHIP REQUIREMENTS FOR CLASSIFIED SYSTEMS
+ MA-5 (3)
+
+
The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens.
+
+
+
+
+
+
Determine if the organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens.
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing maintenance personnel
+
personnel records
+
maintenance records
+
access control records
+
access credentials
+
access authorizations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system maintenance responsibilities
+
organizational personnel with personnel security responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ FOREIGN NATIONALS
+ MA-5 (4)
+
+
The organization ensures that:
+
+ MA-5 (4)(a)
+
Cleared foreign nationals (i.e., foreign nationals with appropriate security clearances), are used to conduct maintenance and diagnostic activities on classified information systems only when the systems are jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and
+
+
+ MA-5 (4)(b)
+
Approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified information systems are fully documented within Memoranda of Agreements.
+
+
+
+
+
+
+
Determine if the organization ensures that:
+
+ MA-5(4)(a)
+
cleared foreign nationals (i.e., foreign nationals with appropriate security clearances) are used to conduct maintenance and diagnostic activities on classified information systems only when the systems are:
+
+ MA-5(4)(a)[1]
+
jointly owned and operated by the United States and foreign allied governments; or
+
+
+ MA-5(4)(a)[2]
+
owned and operated solely by foreign allied governments; and
+
+
+
+ MA-5(4)(b)
+
approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified information systems are fully documented within Memoranda of Agreements.
+
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing maintenance personnel
+
information system media protection policy
+
access control policy and procedures
+
physical and environmental protection policy and procedures
+
memorandum of agreement
+
maintenance records
+
access control records
+
access credentials
+
access authorizations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system maintenance responsibilities, organizational personnel with personnel security responsibilities
+
organizational personnel managing memoranda of agreements
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for managing foreign national maintenance personnel
The organization ensures that non-escorted personnel performing maintenance activities not directly associated with the information system but in the physical proximity of the system, have required access authorizations.
+
+
+
Personnel performing maintenance activities in other capacities not directly related to the information system include, for example, physical plant personnel and janitorial personnel.
+
+
+
Determine if the organization ensures that non-escorted personnel performing maintenance activities not directly associated with the information system but in the physical proximity of the system, have required access authorizations.
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing maintenance personnel
+
information system media protection policy
+
access control policy and procedures
+
physical and environmental protection policy and procedures
+
maintenance records
+
access control records
+
access authorizations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system maintenance responsibilities
+
organizational personnel with personnel security responsibilities
+
organizational personnel with physical access control responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+
Determine if the organization:
+
+ MA-5(a)
+
+ MA-5(a)[1]
+
establishes a process for maintenance personnel authorization;
+
+
+ MA-5(a)[2]
+
maintains a list of authorized maintenance organizations or personnel;
+
+
+
+ MA-5(b)
+
ensures that non-escorted personnel performing maintenance on the information system have required access authorizations; and
+
+
+ MA-5(c)
+
designates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.
+
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing maintenance personnel
+
service provider contracts
+
service-level agreements
+
list of authorized personnel
+
maintenance records
+
access control records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system maintenance responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for authorizing and managing maintenance personnel
+
automated mechanisms supporting and/or implementing authorization of maintenance personnel
+
+
+
+ TIMELY MAINTENANCE
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined time period
+ organization-defined time period
+
+ MA-6
+ P2
+ MODERATE
+ HIGH
+
+
The organization obtains maintenance support and/or spare parts for within of failure.
+
+
+
Organizations specify the information system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support typically include having appropriate contracts in place.
+
+
+
+
+
+
+
+ PREVENTIVE MAINTENANCE
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined time intervals
+ organization-defined time intervals
+
+ MA-6 (1)
+
+
The organization performs preventive maintenance on at .
+
+
+
Preventive maintenance includes proactive care and servicing of organizational information systems components for the purpose of maintaining equipment and facilities in satisfactory operating condition. Such maintenance provides for the systematic inspection, tests, measurements, adjustments, parts replacement, detection, and correction of incipient failures either before they occur or before they develop into major defects. The primary goal of preventive maintenance is to avoid/mitigate the consequences of equipment failures. Preventive maintenance is designed to preserve and restore equipment reliability by replacing worn components before they actually fail. Methods of determining what preventive (or other) failure management policies to apply include, for example, original equipment manufacturer (OEM) recommendations, statistical failure records, requirements of codes, legislation, or regulations within a jurisdiction, expert opinion, maintenance that has already been conducted on similar equipment, or measured values and performance indications.
+
+
+
Determine if the organization:
+
+ MA-6(1)[1]
+
defines information system components on which preventive maintenance is to be performed;
+
+
+ MA-6(1)[2]
+
defines time intervals within which preventive maintenance is to be performed on organization-defined information system components; and
+
+
+ MA-6(1)[3]
+
performs preventive maintenance on organization-defined information system components at organization-defined time intervals.
+
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing information system maintenance
+
service provider contracts
+
service-level agreements
+
security plan
+
maintenance records
+
list of system components requiring preventive maintenance
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system maintenance responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for preventive maintenance
+
+
+
+ PREDICTIVE MAINTENANCE
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined time intervals
+ organization-defined time intervals
+
+ MA-6 (2)
+
+
The organization performs predictive maintenance on at .
+
+
+
Predictive maintenance, or condition-based maintenance, attempts to evaluate the condition of equipment by performing periodic or continuous (online) equipment condition monitoring. The goal of predictive maintenance is to perform maintenance at a scheduled point in time when the maintenance activity is most cost-effective and before the equipment loses performance within a threshold. The predictive component of predictive maintenance stems from the goal of predicting the future trend of the equipment's condition. This approach uses principles of statistical process control to determine at what point in the future maintenance activities will be appropriate. Most predictive maintenance inspections are performed while equipment is in service, thereby minimizing disruption of normal system operations. Predictive maintenance can result in substantial cost savings and higher system reliability. Predictive maintenance tends to include measurement of the item. To evaluate equipment condition, predictive maintenance utilizes nondestructive testing technologies such as infrared, acoustic (partial discharge and airborne ultrasonic), corona detection, vibration analysis, sound level measurements, oil analysis, and other specific online tests.
+
+
+
Determine if the organization:
+
+ MA-6(2)[1]
+
defines information system components on which predictive maintenance is to be performed;
+
+
+ MA-6(2)[2]
+
defines time intervals within which predictive maintenance is to be performed on organization-defined information system components; and
+
+
+ MA-6(2)[3]
+
performs predictive maintenance on organization-defined information system components at organization-defined time intervals.
+
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing information system maintenance
+
service provider contracts
+
service-level agreements
+
security plan
+
maintenance records
+
list of system components requiring predictive maintenance
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system maintenance responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for predictive maintenance
+
+
+
+ AUTOMATED SUPPORT FOR PREDICTIVE MAINTENANCE
+ MA-6 (3)
+
+
The organization employs automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.
+
+
+
A computerized maintenance management system maintains a computer database of information about the maintenance operations of organizations and automates processing equipment condition data in order to trigger maintenance planning, execution, and reporting.
+
+
+
Determine if the organization employs automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing information system maintenance
+
service provider contracts
+
service-level agreements
+
security plan
+
maintenance records
+
list of system components requiring predictive maintenance
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system maintenance responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms implementing the transfer of predictive maintenance data to a computerized maintenance management system
+
operations of the computer maintenance management system
+
+
+
+
Determine if the organization:
+
+ MA-6[1]
+
defines information system components for which maintenance support and/or spare parts are to be obtained;
+
+
+ MA-6[2]
+
defines the time period within which maintenance support and/or spare parts are to be obtained after a failure;
+
+
+ MA-6[3]
+
+ MA-6[3][a]
+
obtains maintenance support for organization-defined information system components within the organization-defined time period of failure; and/or
+
+
+ MA-6[3][b]
+
obtains spare parts for organization-defined information system components within the organization-defined time period of failure.
+
+
+
+
+ EXAMINE
+
Information system maintenance policy
+
procedures addressing information system maintenance
+
service provider contracts
+
service-level agreements
+
inventory and availability of spare parts
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system maintenance responsibilities
+
organizational personnel with acquisition responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for ensuring timely maintenance
+
+
+
+
+ MEDIA PROTECTION
+
+ MEDIA PROTECTION POLICY AND PROCEDURES
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ MP-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ MP-1a.
+
Develops, documents, and disseminates to :
+
+ MP-1a.1.
+
A media protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ MP-1a.2.
+
Procedures to facilitate the implementation of the media protection policy and associated media protection controls; and
+
+
+
+ MP-1b.
+
Reviews and updates the current:
+
+ MP-1b.1.
+
Media protection policy ; and
+
+
+ MP-1b.2.
+
Media protection procedures .
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+
+
+
+
Determine if the organization:
+
+ MP-1(a)(1)
+
+ MP-1(a)(1)[1]
+
develops and documents a media protection policy that addresses:
+
+ MP-1(a)(1)[1][a]
+
purpose;
+
+
+ MP-1(a)(1)[1][b]
+
scope;
+
+
+ MP-1(a)(1)[1][c]
+
roles;
+
+
+ MP-1(a)(1)[1][d]
+
responsibilities;
+
+
+ MP-1(a)(1)[1][e]
+
management commitment;
+
+
+ MP-1(a)(1)[1][f]
+
coordination among organizational entities;
+
+
+ MP-1(a)(1)[1][g]
+
compliance;
+
+
+
+ MP-1(a)(1)[2]
+
defines personnel or roles to whom the media protection policy is to be disseminated;
+
+
+ MP-1(a)(1)[3]
+
disseminates the media protection policy to organization-defined personnel or roles;
+
+
+
+ MP-1(a)(2)
+
+ MP-1(a)(2)[1]
+
develops and documents procedures to facilitate the implementation of the media protection policy and associated media protection controls;
+
+
+ MP-1(a)(2)[2]
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ MP-1(a)(2)[3]
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ MP-1(b)(1)
+
+ MP-1(b)(1)[1]
+
defines the frequency to review and update the current media protection policy;
+
+
+ MP-1(b)(1)[2]
+
reviews and updates the current media protection policy with the organization-defined frequency;
+
+
+
+ MP-1(b)(2)
+
+ MP-1(b)(2)[1]
+
defines the frequency to review and update the current media protection procedures; and
+
+
+ MP-1(b)(2)[2]
+
reviews and updates the current media protection procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Media protection policy and procedures
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with media protection responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ MEDIA ACCESS
+
+ organization-defined types of digital and/or non-digital media
+ organization-defined types of digital and/or non-digital media
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+ MP-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization restricts access to to .
+
+
+
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Restricting non-digital media access includes, for example, denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers. Restricting access to digital media includes, for example, limiting access to design specifications stored on compact disks in the media library to the project leader and the individuals on the development team.
defines types of digital and/or non-digital media requiring restricted access;
+
+
+ MP-2[2]
+
defines personnel or roles authorized to access organization-defined types of digital and/or non-digital media; and
+
+
+ MP-2[3]
+
restricts access to organization-defined types of digital and/or non-digital media to organization-defined personnel or roles.
+
+
+
+ EXAMINE
+
Information system media protection policy
+
procedures addressing media access restrictions
+
access control policy and procedures
+
physical and environmental protection policy and procedures
+
media storage facilities
+
access control records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media protection responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for restricting information media
+
automated mechanisms supporting and/or implementing media access restrictions
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-111
+
+
+
+
+ MEDIA MARKING
+
+ organization-defined types of information system media
+ organization-defined types of information system media
+
+
+ organization-defined controlled areas
+ organization-defined controlled areas
+
+ MP-3
+ P2
+ MODERATE
+ HIGH
+
+
The organization:
+
+ MP-3a.
+
Marks information system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and
+
+
+ MP-3b.
+
Exempts from marking as long as the media remain within .
+
+
+
+
The term security marking refers to the application/use of human-readable security attributes. The term security labeling refers to the application/use of security attributes with regard to internal data structures within information systems (see AC-16). Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Security marking is generally not required for media containing information determined by organizations to be in the public domain or to be publicly releasable. However, some organizations may require markings for public information indicating that the information is publicly releasable. Marking of information system media reflects applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+
+
+
+
+
+
Determine if the organization:
+
+ MP-3(a)
+
marks information system media indicating the:
+
+ MP-3(a)[1]
+
distribution limitations of the information;
+
+
+ MP-3(a)[2]
+
handling caveats of the information;
+
+
+ MP-3(a)[3]
+
applicable security markings (if any) of the information;
+
+
+
+ MP-3(b)
+
+ MP-3(b)[1]
+
defines types of information system media to be exempted from marking as long as the media remain in designated controlled areas;
+
+
+ MP-3(b)[2]
+
defines controlled areas where organization-defined types of information system media exempt from marking are to be retained; and
+
+
+ MP-3(b)[3]
+
exempts organization-defined types of information system media from marking as long as the media remain within organization-defined controlled areas.
+
+
+
+
+ EXAMINE
+
Information system media protection policy
+
procedures addressing media marking
+
physical and environmental protection policy and procedures
+
security plan
+
list of information system media marking security attributes
+
designated controlled areas
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media protection and marking responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for marking information media
+
automated mechanisms supporting and/or implementing media marking
+
+
+
+ FIPS Publication 199
+
+
+
+
+ MEDIA STORAGE
+
+ organization-defined types of digital and/or non-digital media
+ organization-defined types of digital and/or non-digital media
+
+
+ organization-defined controlled areas
+ organization-defined controlled areas
+
+ MP-4
+ P1
+ MODERATE
+ HIGH
+
+
The organization:
+
+ MP-4a.
+
Physically controls and securely stores within ; and
+
+
+ MP-4b.
+
Protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.
+
+
+
+
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Physically controlling information system media includes, for example, conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the media library, and maintaining accountability for all stored media. Secure storage includes, for example, a locked drawer, desk, or cabinet, or a controlled media library. The type of media storage is commensurate with the security category and/or classification of the information residing on the media. Controlled areas are areas for which organizations provide sufficient physical and procedural safeguards to meet the requirements established for protecting information and/or information systems. For media containing information determined by organizations to be in the public domain, to be publicly releasable, or to have limited or no adverse impact on organizations or individuals if accessed by other than authorized personnel, fewer safeguards may be needed. In these situations, physical access controls provide adequate protection.
The organization employs automated mechanisms to restrict access to media storage areas and to audit access attempts and access granted.
+
+
+
Automated mechanisms can include, for example, keypads on the external entries to media storage areas.
+
+
+
+
+
+
+
Determine if the organization employs automated mechanisms to:
+
+ MP-4(2)[1]
+
restrict access to media storage areas;
+
+
+ MP-4(2)[2]
+
audit access attempts; and
+
+
+ MP-4(2)[3]
+
audit access granted.
+
+
+
+ EXAMINE
+
Information system media protection policy
+
procedures addressing media storage
+
access control policy and procedures
+
physical and environmental protection policy and procedures
+
information system design documentation
+
information system configuration settings and associated documentation
+
media storage facilities
+
access control devices
+
access control records
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media protection and storage responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Automated mechanisms restricting access to media storage areas
+
automated mechanisms auditing access attempts and access granted to media storage areas
+
+
+
+
Determine if the organization:
+
+ MP-4(a)
+
+ MP-4(a)[1]
+
defines types of digital and/or non-digital media to be physically controlled and securely stored within designated controlled areas;
+
+
+ MP-4(a)[2]
+
defines controlled areas designated to physically control and securely store organization-defined types of digital and/or non-digital media;
+
+
+ MP-4(a)[3]
+
physically controls organization-defined types of digital and/or non-digital media within organization-defined controlled areas;
+
+
+ MP-4(a)[4]
+
securely stores organization-defined types of digital and/or non-digital media within organization-defined controlled areas; and
+
+
+
+ MP-4(b)
+
protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.
+
+
+
+ EXAMINE
+
Information system media protection policy
+
procedures addressing media storage
+
physical and environmental protection policy and procedures
+
access control policy and procedures
+
security plan
+
information system media
+
designated controlled areas
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media protection and storage responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for storing information media
+
automated mechanisms supporting and/or implementing secure media storage/media protection
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-56
+
+
+ NIST Special Publication 800-57
+
+
+ NIST Special Publication 800-111
+
+
+
+
+ MEDIA TRANSPORT
+
+ organization-defined types of information system media
+ organization-defined types of information system media
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+ MP-5
+ P1
+ MODERATE
+ HIGH
+
+
The organization:
+
+ MP-5a.
+
Protects and controls during transport outside of controlled areas using ;
+
+
+ MP-5b.
+
Maintains accountability for information system media during transport outside of controlled areas;
+
+
+ MP-5c.
+
Documents activities associated with the transport of information system media; and
+
+
+ MP-5d.
+
Restricts the activities associated with the transport of information system media to authorized personnel.
+
+
+
+
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers), that are transported outside of controlled areas. Controlled areas are areas or spaces for which organizations provide sufficient physical and/or procedural safeguards to meet the requirements established for protecting information and/or information systems.
+Physical and technical safeguards for media are commensurate with the security category or classification of the information residing on the media. Safeguards to protect media during transport include, for example, locked containers and cryptography. Cryptographic mechanisms can provide confidentiality and integrity protections depending upon the mechanisms used. Activities associated with transport include the actual transport as well as those activities such as releasing media for transport and ensuring that media enters the appropriate transport processes. For the actual transport, authorized transport and courier personnel may include individuals from outside the organization (e.g., U.S. Postal Service or a commercial transport or delivery service). Maintaining accountability of media during transport includes, for example, restricting transport activities to authorized personnel, and tracking and/or obtaining explicit records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of information system media in accordance with organizational assessments of risk to include the flexibility to define different record-keeping methods for the different types of media transport as part of an overall system of transport-related records.
The organization employs an identified custodian during transport of information system media outside of controlled areas.
+
+
+
Identified custodians provide organizations with specific points of contact during the media transport process and facilitate individual accountability. Custodial responsibilities can be transferred from one individual to another as long as an unambiguous custodian is identified at all times.
+
+
+
Determine if the organization employs an identified custodian during transport of information system media outside of controlled areas.
+
+
+ EXAMINE
+
Information system media protection policy
+
procedures addressing media transport
+
physical and environmental protection policy and procedures
+
information system media transport records
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media transport responsibilities
+
organizational personnel with information security responsibilities
The information system implements cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.
+
+
+
This control enhancement applies to both portable storage devices (e.g., USB memory sticks, compact disks, digital video disks, external/removable hard disk drives) and mobile devices with storage capability (e.g., smart phones, tablets, E-readers).
+
+
+
+
Determine if the organization employs cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.
+
+
+ EXAMINE
+
Information system media protection policy
+
procedures addressing media transport
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system media transport records
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media transport responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Cryptographic mechanisms protecting information on digital media during transportation outside controlled areas
+
+
+
+
Determine if the organization:
+
+ MP-5(a)
+
+ MP-5(a)[1]
+
defines types of information system media to be protected and controlled during transport outside of controlled areas;
+
+
+ MP-5(a)[2]
+
defines security safeguards to protect and control organization-defined information system media during transport outside of controlled areas;
+
+
+ MP-5(a)[3]
+
protects and controls organization-defined information system media during transport outside of controlled areas using organization-defined security safeguards;
+
+
+
+ MP-5(b)
+
maintains accountability for information system media during transport outside of controlled areas;
+
+
+ MP-5(c)
+
documents activities associated with the transport of information system media; and
+
+
+ MP-5(d)
+
restricts the activities associated with transport of information system media to authorized personnel.
+
+
+
+ EXAMINE
+
Information system media protection policy
+
procedures addressing media storage
+
physical and environmental protection policy and procedures
+
access control policy and procedures
+
security plan
+
information system media
+
designated controlled areas
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media protection and storage responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for storing information media
+
automated mechanisms supporting and/or implementing media storage/media protection
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-60
+
+
+
+
+ MEDIA SANITIZATION
+
+ organization-defined information system media
+ organization-defined information system media
+
+
+ organization-defined sanitization techniques and procedures
+ organization-defined sanitization techniques and procedures
+
+ MP-6
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ MP-6a.
+
Sanitizes prior to disposal, release out of organizational control, or release for reuse using in accordance with applicable federal and organizational standards and policies; and
+
+
+ MP-6b.
+
Employs sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.
+
+
+
+
This control applies to all information system media, both digital and non-digital, subject to disposal or reuse, whether or not the media is considered removable. Examples include media found in scanners, copiers, printers, notebook computers, workstations, network components, and mobile devices. The sanitization process removes information from the media such that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, cryptographic erase, and destruction, prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable, or deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes, for example, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections/words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media containing classified information.
The organization reviews, approves, tracks, documents, and verifies media sanitization and disposal actions.
+
+
+
Organizations review and approve media to be sanitized to ensure compliance with records-retention policies. Tracking/documenting actions include, for example, listing personnel who reviewed and approved sanitization and disposal actions, types of media sanitized, specific files stored on the media, sanitization methods used, date and time of the sanitization actions, personnel who performed the sanitization, verification actions taken, personnel who performed the verification, and disposal action taken. Organizations verify that the sanitization of the media was effective prior to disposal.
+
+
+
+
Determine if the organization:
+
+ MP-6(1)[1]
+
reviews media sanitization and disposal actions;
+
+
+ MP-6(1)[2]
+
approves media sanitization and disposal actions;
+
+
+ MP-6(1)[3]
+
tracks media sanitization and disposal actions;
+
+
+ MP-6(1)[4]
+
documents media sanitization and disposal actions; and
+
+
+ MP-6(1)[5]
+
verifies media sanitization and disposal actions.
+
+
+
+ EXAMINE
+
Information system media protection policy
+
procedures addressing media sanitization and disposal
+
media sanitization and disposal records
+
review records for media sanitization and disposal actions
+
approvals for media sanitization and disposal actions
+
tracking records
+
verification records
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media sanitization and disposal responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for media sanitization
+
automated mechanisms supporting and/or implementing media sanitization
+
+
+
+ EQUIPMENT TESTING
+
+ organization-defined frequency
+ organization-defined frequency
+
+ MP-6 (2)
+ HIGH
+
+
The organization tests sanitization equipment and procedures to verify that the intended sanitization is being achieved.
+
+
+
Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities (e.g., other federal agencies or external service providers).
+
+
+
Determine if the organization:
+
+ MP-6(2)[1]
+
defines the frequency for testing sanitization equipment and procedures to verify that the intended sanitization is being achieved; and
+
+
+ MP-6(2)[2]
+
tests sanitization equipment and procedures with the organization-defined frequency to verify that the intended sanitization is being achieved.
+
+
+
+ EXAMINE
+
Information system media protection policy
+
procedures addressing media sanitization and disposal
+
procedures addressing testing of media sanitization equipment
+
results of media sanitization equipment and procedures testing
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media sanitization responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for media sanitization
+
automated mechanisms supporting and/or implementing media sanitization
The organization applies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under the following circumstances: .
+
+
+
This control enhancement applies to digital media containing classified information and Controlled Unclassified Information (CUI). Portable storage devices can be the source of malicious code insertions into organizational information systems. Many of these devices are obtained from unknown and potentially untrustworthy sources and may contain malicious code that can be readily transferred to information systems through USB ports or other entry portals. While scanning such storage devices is always recommended, sanitization provides additional assurance that the devices are free of malicious code to include code capable of initiating zero-day attacks. Organizations consider nondestructive sanitization of portable storage devices when such devices are first purchased from the manufacturer or vendor prior to initial use or when organizations lose a positive chain of custody for the devices.
+
+
+
+
Determine if the organization:
+
+ MP-6(3)[1]
+
defines circumstances requiring sanitization of portable storage devices; and
+
+
+ MP-6(3)[2]
+
applies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under organization-defined circumstances requiring sanitization of portable storage devices.
+
+
+
+ EXAMINE
+
Information system media protection policy
+
procedures addressing media sanitization and disposal
+
list of circumstances requiring sanitization of portable storage devices
+
media sanitization records
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media sanitization responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for media sanitization of portable storage devices
+
automated mechanisms supporting and/or implementing media sanitization
+
+
+
+ DUAL AUTHORIZATION
+
+ organization-defined information system media
+ organization-defined information system media
+
+ MP-6 (7)
+
+
The organization enforces dual authorization for the sanitization of .
+
+
+
Organizations employ dual authorization to ensure that information system media sanitization cannot occur unless two technically qualified individuals conduct the task. Individuals sanitizing information system media possess sufficient skills/expertise to determine if the proposed sanitization reflects applicable federal/organizational standards, policies, and procedures. Dual authorization also helps to ensure that sanitization occurs as intended, both protecting against errors and false claims of having performed the sanitization actions. Dual authorization may also be known as two-person control.
+
+
+
+
+
Determine if the organization:
+
+ MP-6(7)[1]
+
defines information system media requiring dual authorization to be enforced for sanitization of such media; and
+
+
+ MP-6(7)[2]
+
enforces dual authorization for the sanitization of organization-defined information system media.
+
+
+
+ EXAMINE
+
Information system media protection policy
+
procedures addressing media sanitization and disposal
+
list of information system media requiring dual authorization for sanitization
+
authorization records
+
media sanitization records
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media sanitization responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes requiring dual authorization for media sanitization
+
automated mechanisms supporting and/or implementing media sanitization
+
+
+
+ REMOTE PURGING / WIPING OF INFORMATION
+
+ organization-defined information systems, system components, or devices
+ organization-defined information systems, system components, or devices
+
+
+ organization-defined conditions
+ organization-defined conditions
+
+ MP-6 (8)
+
+
The organization provides the capability to purge/wipe information from either remotely or under the following conditions: .
+
+
+
This control enhancement protects data/information on organizational information systems, system components, or devices (e.g., mobile devices) if such systems, components, or devices are obtained by unauthorized individuals. Remote purge/wipe commands require strong authentication to mitigate the risk of unauthorized individuals purging/wiping the system/component/device. The purge/wipe function can be implemented in a variety of ways including, for example, by overwriting data/information multiple times or by destroying the key necessary to decrypt encrypted data.
+
+
+
Determine if the organization:
+
+ MP-6(8)[1]
+
defines information systems, system components, or devices to purge/wipe either remotely or under specific organizational conditions;
+
+
+ MP-6(8)[2]
+
defines conditions under which information is to be purged/wiped from organization-defined information systems, system components, or devices; and
+
+
+ MP-6(8)[3]
+
provides the capability to purge/wipe information from organization-defined information systems, system components, or devices either:
+
+ MP-6(8)[3][a]
+
remotely; or
+
+
+ MP-6(8)[3][b]
+
under organization-defined conditions.
+
+
+
+
+ EXAMINE
+
Information system media protection policy
+
procedures addressing media sanitization and disposal
+
information system design documentation
+
information system configuration settings and associated documentation
+
media sanitization records
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media sanitization responsibilities
+
organizational personnel with information security responsibilities
defines information system media to be sanitized prior to:
+
+ MP-6(a)[1][a]
+
disposal;
+
+
+ MP-6(a)[1][b]
+
release out of organizational control; or
+
+
+ MP-6(a)[1][c]
+
release for reuse;
+
+
+
+ MP-6(a)[2]
+
defines sanitization techniques or procedures to be used for sanitizing organization-defined information system media prior to:
+
+ MP-6(a)[2][a]
+
disposal;
+
+
+ MP-6(a)[2][b]
+
release out of organizational control; or
+
+
+ MP-6(a)[2][c]
+
release for reuse;
+
+
+
+ MP-6(a)[3]
+
sanitizes organization-defined information system media prior to disposal, release out of organizational control, or release for reuse using organization-defined sanitization techniques or procedures in accordance with applicable federal and organizational standards and policies; and
+
+
+
+ MP-6(b)
+
employs sanitization mechanisms with strength and integrity commensurate with the security category or classification of the information.
+
+
+
+ EXAMINE
+
Information system media protection policy
+
procedures addressing media sanitization and disposal
+
applicable federal standards and policies addressing media sanitization
+
media sanitization records
+
audit records
+
information system design documentation
+
information system configuration settings and associated documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with media sanitization responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for media sanitization
+
automated mechanisms supporting and/or implementing media sanitization
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-60
+
+
+ NIST Special Publication 800-88
+
+
+ http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml
+
+
+
+
+ MEDIA USE
+
+ organization-defined types of information system media
+ organization-defined types of information system media
+
+
+ organization-defined information systems or system components
+ organization-defined information systems or system components
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+ MP-7
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization [Selection: restricts; prohibits] the use of on using .
+
+
+
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers). In contrast to MP-2, which restricts user access to media, this control restricts the use of certain types of media on information systems, for example, restricting/prohibiting the use of flash drives or external hard disk drives. Organizations can employ technical and nontechnical safeguards (e.g., policies, procedures, rules of behavior) to restrict the use of information system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports, or disabling/removing the ability to insert, read or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices including, for example, devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, for example, prohibiting the use of writeable, portable storage devices, and implementing this restriction by disabling or removing the capability to write to such devices.
+
+
+
+
+ PROHIBIT USE WITHOUT OWNER
+ MP-7 (1)
+ MODERATE
+ HIGH
+
+
The organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner.
+
+
+
Requiring identifiable owners (e.g., individuals, organizations, or projects) for portable storage devices reduces the risk of using such technologies by allowing organizations to assign responsibility and accountability for addressing known vulnerabilities in the devices (e.g., malicious code insertion).
+
+
+
+
Determine if the organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner.
+
+
+ EXAMINE
+
Information system media protection policy
+
system use policy
+
procedures addressing media usage restrictions
+
security plan
+
rules of behavior
+
information system design documentation
+
information system configuration settings and associated documentation
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media use responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for media use
+
automated mechanisms prohibiting use of media on information systems or system components
+
+
+
+ PROHIBIT USE OF SANITIZATION-RESISTANT MEDIA
+ MP-7 (2)
+
+
The organization prohibits the use of sanitization-resistant media in organizational information systems.
+
+
+
Sanitization-resistance applies to the capability to purge information from media. Certain types of media do not support sanitize commands, or if supported, the interfaces are not supported in a standardized way across these devices. Sanitization-resistant media include, for example, compact flash, embedded flash on boards and devices, solid state drives, and USB removable media.
+
+
+
+
Determine if the organization prohibits the use of sanitization-resistant media in organizational information systems.
+
+
+ EXAMINE
+
Information system media protection policy, system use policy
+
procedures addressing media usage restrictions
+
rules of behavior
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media use responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for media use
+
automated mechanisms prohibiting use of media on information systems or system components
+
+
+
+
Determine if the organization:
+
+ MP-7[1]
+
defines types of information system media to be:
+
+ MP-7[1][a]
+
restricted on information systems or system components; or
+
+
+ MP-7[1][b]
+
prohibited from use on information systems or system components;
+
+
+
+ MP-7[2]
+
defines information systems or system components on which the use of organization-defined types of information system media is to be one of the following:
+
+ MP-7[2][a]
+
restricted; or
+
+
+ MP-7[2][b]
+
prohibited;
+
+
+
+ MP-7[3]
+
defines security safeguards to be employed to restrict or prohibit the use of organization-defined types of information system media on organization-defined information systems or system components; and
+
+
+ MP-7[4]
+
restricts or prohibits the use of organization-defined information system media on organization-defined information systems or system components using organization-defined security safeguards.
+
+
+
+ EXAMINE
+
Information system media protection policy
+
system use policy
+
procedures addressing media usage restrictions
+
security plan
+
rules of behavior
+
information system design documentation
+
information system configuration settings and associated documentation
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media use responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for media use
+
automated mechanisms restricting or prohibiting use of information system media on information systems or system components
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-111
+
+
+
+
+ MEDIA DOWNGRADING
+
+ organization-defined information system media downgrading process
+ organization-defined information system media downgrading process
+
+
+ organization-defined strength and integrity
+ organization-defined strength and integrity
+
+
+ organization-defined information system media requiring downgrading
+ organization-defined information system media requiring downgrading
+
+ MP-8
+ P0
+
+
The organization:
+
+ MP-8a.
+
Establishes that includes employing downgrading mechanisms with ;
+
+
+ MP-8b.
+
Ensures that the information system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downgraded information;
+
+
+ MP-8c.
+
Identifies ; and
+
+
+ MP-8d.
+
Downgrades the identified information system media using the established process.
+
+
+
+
This control applies to all information system media, digital and non-digital, subject to release outside of the organization, whether or not the media is considered removable. The downgrading process, when applied to system media, removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. Downgrading of media also ensures that empty space on the media (e.g., slack space within files) is devoid of information.
+
+
+ DOCUMENTATION OF PROCESS
+ MP-8 (1)
+
+
The organization documents information system media downgrading actions.
+
+
+
Organizations can document the media downgrading process by providing information such as the downgrading technique employed, the identification number of the downgraded media, and the identity of the individual that authorized and/or performed the downgrading action.
+
+
+
Determine if the organization documents information system media downgrading actions.
+
+
+ EXAMINE
+
Information system media protection policy
+
procedures addressing media downgrading
+
list of media requiring downgrading
+
records of media downgrading
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media downgrading responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for media downgrading
+
automated mechanisms supporting and/or implementing media downgrading
The organization employs of downgrading equipment and procedures to verify correct performance .
+
+
+
Determine if the organization:
+
+ MP-8(2)[1]
+
+ MP-8(2)[1][a]
+
defines tests to be employed for downgrading equipment;
+
+
+ MP-8(2)[1][b]
+
defines procedures to verify correct performance;
+
+
+
+ MP-8(2)[2]
+
defines the frequency for employing tests of downgrading equipment and procedures to verify correct performance; and
+
+
+ MP-8(2)[3]
+
employs organization-defined tests of downgrading equipment and procedures to verify correct performance with the organization-defined frequency.
+
+
+
+ EXAMINE
+
Information system media protection policy
+
procedures addressing media downgrading
+
procedures addressing testing of media downgrading equipment
+
results of downgrading equipment and procedures testing
+
audit records: other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media downgrading responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for media downgrading
+
automated mechanisms supporting and/or implementing media downgrading
+
automated mechanisms supporting and/or implementing tests for downgrading equipment
+
+
+
+ CONTROLLED UNCLASSIFIED INFORMATION
+
+ organization-defined Controlled Unclassified Information (CUI)
+ organization-defined Controlled Unclassified Information (CUI)
+
+ MP-8 (3)
+
+
The organization downgrades information system media containing prior to public release in accordance with applicable federal and organizational standards and policies.
+
+
+
Determine if the organization:
+
+ MP-8(3)[1]
+
defines Controlled Unclassified Information (CUI) contained on information system media that requires downgrading prior to public release; and
+
+
+ MP-8(3)[2]
+
downgrades information system media containing organization-defined CUI prior to public release in accordance with applicable federal and organizational standards and policies.
+
+
+
+ EXAMINE
+
Information system media protection policy
+
access authorization policy
+
procedures addressing downgrading of media containing CUI
+
applicable federal and organizational standards and policies regarding protection of CUI
+
media downgrading records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media downgrading responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for media downgrading
+
automated mechanisms supporting and/or implementing media downgrading
+
+
+
+ CLASSIFIED INFORMATION
+ MP-8 (4)
+
+
The organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies.
+
+
+
Downgrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified information systems to unclassified media.
+
+
+
Determine if the organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies.
+
+
+ EXAMINE
+
Information system media protection policy
+
access authorization policy
+
procedures addressing downgrading of media containing classified information
+
procedures addressing handling of classified information
+
NSA standards and policies regarding protection of classified information
+
media downgrading records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media downgrading responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for media downgrading
+
automated mechanisms supporting and/or implementing media downgrading
+
+
+
+
Determine if the organization:
+
+ MP-8(a)
+
+ MP-8(a)[1]
+
defines the information system media downgrading process;
+
+
+ MP-8(a)[2]
+
defines the strength and integrity with which media downgrading mechanisms are to be employed;
+
+
+ MP-8(a)[3]
+
establishes an organization-defined information system media downgrading process that includes employing downgrading mechanisms with organization-defined strength and integrity;
+
+
+
+ MP-8(b)
+
ensures that the information system media downgrading process is commensurate with the:
+
+ MP-8(b)[1]
+
security category and/or classification level of the information to be removed;
+
+
+ MP-8(b)[2]
+
access authorizations of the potential recipients of the downgraded information;
+
+
+
+ MP-8(c)
+
identifies/defines information system media requiring downgrading; and
+
+
+ MP-8(d)
+
downgrades the identified information system media using the established process.
+
+
+
+ EXAMINE
+
Information system media protection policy
+
procedures addressing media downgrading
+
system categorization documentation
+
list of media requiring downgrading
+
records of media downgrading
+
audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information system media downgrading responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for media downgrading
+
automated mechanisms supporting and/or implementing media downgrading
+
+
+
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION
+
+ PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ PE-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PE-1a.
+
Develops, documents, and disseminates to :
+
+ PE-1a.1.
+
A physical and environmental protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ PE-1a.2.
+
Procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls; and
+
+
+
+ PE-1b.
+
Reviews and updates the current:
+
+ PE-1b.1.
+
Physical and environmental protection policy ; and
+
+
+ PE-1b.2.
+
Physical and environmental protection procedures .
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PE family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+
+
+
+
Determine if the organization:
+
+ PE-1(a)(1)
+
+ PE-1(a)(1)[1]
+
develops and documents a physical and environmental protection policy that addresses:
+
+ PE-1(a)(1)[1][a]
+
purpose;
+
+
+ PE-1(a)(1)[1][b]
+
scope;
+
+
+ PE-1(a)(1)[1][c]
+
roles;
+
+
+ PE-1(a)(1)[1][d]
+
responsibilities;
+
+
+ PE-1(a)(1)[1][e]
+
management commitment;
+
+
+ PE-1(a)(1)[1][f]
+
coordination among organizational entities;
+
+
+ PE-1(a)(1)[1][g]
+
compliance;
+
+
+
+ PE-1(a)(1)[2]
+
defines personnel or roles to whom the physical and environmental protection policy is to be disseminated;
+
+
+ PE-1(a)(1)[3]
+
disseminates the physical and environmental protection policy to organization-defined personnel or roles;
+
+
+
+ PE-1(a)(2)
+
+ PE-1(a)(2)[1]
+
develops and documents procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls;
+
+
+ PE-1(a)(2)[2]
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ PE-1(a)(2)[3]
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ PE-1(b)(1)
+
+ PE-1(b)(1)[1]
+
defines the frequency to review and update the current physical and environmental protection policy;
+
+
+ PE-1(b)(1)[2]
+
reviews and updates the current physical and environmental protection policy with the organization-defined frequency;
+
+
+
+ PE-1(b)(2)
+
+ PE-1(b)(2)[1]
+
defines the frequency to review and update the current physical and environmental protection procedures; and
+
+
+ PE-1(b)(2)[2]
+
reviews and updates the current physical and environmental protection procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Physical and environmental protection policy and procedures
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with physical and environmental protection responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ PHYSICAL ACCESS AUTHORIZATIONS
+
+ organization-defined frequency
+ organization-defined frequency
+
+ PE-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PE-2a.
+
Develops, approves, and maintains a list of individuals with authorized access to the facility where the information system resides;
+
+
+ PE-2b.
+
Issues authorization credentials for facility access;
+
+
+ PE-2c.
+
Reviews the access list detailing authorized facility access by individuals ; and
+
+
+ PE-2d.
+
Removes individuals from the facility access list when access is no longer required.
+
+
+
+
This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Authorization credentials include, for example, badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed (including level of forge-proof badges, smart cards, or identification cards) consistent with federal standards, policies, and procedures. This control only applies to areas within facilities that have not been designated as publicly accessible.
+
+
+
+
+
+ ACCESS BY POSITION / ROLE
+ PE-2 (1)
+
+
The organization authorizes physical access to the facility where the information system resides based on position or role.
+
+
+
+
+
+
+
+
Determine if the organization authorizes physical access to the facility where the information system resides based on position or role.
+
+
+
+ TWO FORMS OF IDENTIFICATION
+
+ organization-defined list of acceptable forms of identification
+ organization-defined list of acceptable forms of identification
+
+ PE-2 (2)
+
+
The organization requires two forms of identification from for visitor access to the facility where the information system resides.
+
+
+
Acceptable forms of government photo identification include, for example, passports, Personal Identity Verification (PIV) cards, and drivers� licenses. In the case of gaining access to facilities using automated mechanisms, organizations may use PIV cards, key cards, PINs, and biometrics.
+
+
+
+
+
+
Determine if the organization:
+
+ PE-2(2)[1]
+
defines a list of acceptable forms of identification for visitor access to the facility where the information system resides; and
+
+
+ PE-2(2)[2]
+
requires two forms of identification from the organization-defined list of acceptable forms of identification for visitor access to the facility where the information system resides.
The organization restricts unescorted access to the facility where the information system resides to personnel with [Selection (one or more): security clearances for all information contained within the system; formal access authorizations for all information contained within the system; need for access to all information contained within the system; ].
+
+
+
Due to the highly sensitive nature of classified information stored within certain facilities, it is important that individuals lacking sufficient security clearances, access approvals, or need to know, be escorted by individuals with appropriate credentials to ensure that such information is not exposed or otherwise compromised.
+
+
+
+
+
Determine if the organization:
+
+ PE-2(3)[1]
+
defines credentials to be employed to restrict unescorted access to the facility where the information system resides to authorized personnel;
+
+
+ PE-2(3)[2]
+
restricts unescorted access to the facility where the information system resides to personnel with one or more of the following:
+
+ PE-2(3)[2][a]
+
security clearances for all information contained within the system;
+
+
+ PE-2(3)[2][b]
+
formal access authorizations for all information contained within the system;
+
+
+ PE-2(3)[2][c]
+
need for access to all information contained within the system; and/or
+
+
+
+ PHYSICAL ACCESS CONTROL
+
+ organization-defined entry/exit points to the facility where the information system resides
+ organization-defined entry/exit points to the facility where the information system resides
+
+
+ organization-defined physical access control systems/devices
+ organization-defined physical access control systems/devices
+
+
+ organization-defined entry/exit points
+ organization-defined entry/exit points
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined circumstances requiring visitor escorts and monitoring
+ organization-defined circumstances requiring visitor escorts and monitoring
+
+
+ organization-defined physical access devices
+ organization-defined physical access devices
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ PE-3
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PE-3a.
+
Enforces physical access authorizations at by;
+
+ PE-3a.1.
+
Verifying individual access authorizations before granting access to the facility; and
+
+
+ PE-3a.2.
+
Controlling ingress/egress to the facility using [Selection (one or more): ; guards];
+
+
+
+ PE-3b.
+
Maintains physical access audit logs for ;
+
+
+ PE-3c.
+
Provides to control access to areas within the facility officially designated as publicly accessible;
+
+
+ PE-3d.
+
Escorts visitors and monitors visitor activity ;
+
+
+ PE-3e.
+
Secures keys, combinations, and other physical access devices;
+
+
+ PE-3f.
+
Inventories every ; and
+
+
+ PE-3g.
+
Changes combinations and keys and/or when keys are lost, combinations are compromised, or individuals are transferred or terminated.
+
+
+
+
This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of facility guards needed including, for example, professional physical security staff or other personnel such as administrative staff or information system users. Physical access devices include, for example, keys, locks, combinations, and card readers. Safeguards for publicly accessible areas within organizational facilities include, for example, cameras, monitoring by guards, and isolating selected information systems and/or system components in secured areas. Physical access control systems comply with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The Federal Identity, Credential, and Access Management Program provides implementation guidance for identity, credential, and access management capabilities for physical access control systems. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural (e.g., a written log of individuals accessing the facility and when such access occurred), automated (e.g., capturing ID provided by a PIV card), or some combination thereof. Physical access points can include facility access points, interior access points to information systems and/or components requiring supplemental access controls, or both. Components of organizational information systems (e.g., workstations, terminals) may be located in areas designated as publicly accessible with organizations safeguarding access to such devices.
+
+
+
+
+
+
+
+
+
+
+
+ INFORMATION SYSTEM ACCESS
+
+ organization-defined physical spaces containing one or more components of the information system
+ organization-defined physical spaces containing one or more components of the information system
+
+ PE-3 (1)
+ HIGH
+
+
The organization enforces physical access authorizations to the information system in addition to the physical access controls for the facility at .
+
+
+
This control enhancement provides additional physical security for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, data and communications centers).
+
+
+
+
Determine if the organization:
+
+ PE-3(1)[1]
+
defines physical spaces containing one or more components of the information system; and
+
+
+ PE-3(1)[2]
+
enforces physical access authorizations to the information system in addition to the physical access controls for the facility at organization-defined physical spaces containing one or more components of the information system.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing physical access control
+
physical access control logs or records
+
physical access control devices
+
access authorizations
+
access credentials
+
information system entry and exit points
+
list of areas within the facility containing concentrations of information system components or information system components requiring additional physical protection
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with physical access authorization responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for physical access control to the information system/components
+
automated mechanisms supporting and/or implementing physical access control for facility areas containing information system components
+
+
+
+ FACILITY / INFORMATION SYSTEM BOUNDARIES
+
+ organization-defined frequency
+ organization-defined frequency
+
+ PE-3 (2)
+
+
The organization performs security checks at the physical boundary of the facility or information system for unauthorized exfiltration of information or removal of information system components.
+
+
+
Organizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration.
+
+
+
+
+
Determine if the organization:
+
+ PE-3(2)[1]
+
defines the frequency to perform security checks at the physical boundary of the facility or information system for:
+
+ PE-3(2)[1][a]
+
unauthorized exfiltration of information; or
+
+
+ PE-3(2)[1][b]
+
removal of information system components; and
+
+
+
+ PE-3(2)[2]
+
performs security checks with the organization-defined frequency at the physical boundary of the facility or information system for:
+
+ PE-3(2)[2][a]
+
unauthorized exfiltration of information; or
+
+
+ PE-3(2)[2][b]
+
removal of information system components.
+
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing physical access control
+
physical access control logs or records
+
records of security checks
+
security audit reports
+
security inspection reports
+
facility layout documentation
+
information system entry and exit points
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with physical access control responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for physical access control to the facility and/or information system
+
automated mechanisms supporting and/or implementing physical access control for the facility or information system
+
automated mechanisms supporting and/or implementing security checks for unauthorized exfiltration of information
The organization employs guards and/or alarms to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week.
+
+
+
+
+
+
+
Determine if the organization employs one or more of the following to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week:
+
+ PE-3(3)[1]
+
guards; and/or
+
+
+ PE-3(3)[2]
+
alarms.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing physical access control
+
physical access control logs or records
+
physical access control devices
+
facility surveillance records
+
facility layout documentation
+
information system entry and exit points
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with physical access control responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for physical access control to the facility where the information system resides
+
automated mechanisms supporting and/or implementing physical access control for the facility where the information system resides
+
+
+
+ LOCKABLE CASINGS
+
+ organization-defined information system components
+ organization-defined information system components
+
+ PE-3 (4)
+
+
The organization uses lockable physical casings to protect from unauthorized physical access.
+
+
+
Determine if the organization:
+
+ PE-3(4)[1]
+
defines information system components to be protected from unauthorized physical access using lockable physical casings; and
+
+
+ PE-3(4)[2]
+
uses lockable physical casings to protect organization-defined information system components from unauthorized physical access.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing physical access control
+
security plan
+
list of information system components requiring protection through lockable physical casings
+
lockable physical casings
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with physical access control responsibilities
+
organizational personnel with information security responsibilities
The organization employs to [Selection (one or more): detect; prevent] physical tampering or alteration of within the information system.
+
+
+
Organizations may implement tamper detection/prevention at selected hardware components or tamper detection at some components and tamper prevention at other components. Tamper detection/prevention activities can employ many types of anti-tamper technologies including, for example, tamper-detection seals and anti-tamper coatings. Anti-tamper programs help to detect hardware alterations through counterfeiting and other supply chain-related risks.
+
+
+
+
Determine if the organization:
+
+ PE-3(5)[1]
+
defines security safeguards to be employed to detect and/or prevent physical tampering or alteration of organization-defined hardware components within the information system;
+
+
+ PE-3(5)[2]
+
defines hardware components within the information system for which security safeguards are to be employed to detect and/or prevent physical tampering or alteration of such components;
+
+
+ PE-3(5)[3]
+
employs organization-defined security safeguards to do one or more of the following:
+
+ PE-3(5)[3][a]
+
detect physical tampering or alteration of organization-defined hardware components within the information system; and/or
+
+
+ PE-3(5)[3][b]
+
prevent physical tampering or alteration of organization-defined hardware components within the information system.
+
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing physical access control
+
list of security safeguards to detect/prevent physical tampering or alteration of information system hardware components
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with physical access control responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes to detect/prevent physical tampering or alteration of information system hardware components
+
automated mechanisms/security safeguards supporting and/or implementing detection/prevention of physical tampering/alternation of information system hardware components
+
+
+
+ FACILITY PENETRATION TESTING
+
+ organization-defined frequency
+ organization-defined frequency
+
+ PE-3 (6)
+
+
The organization employs a penetration testing process that includes , unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility.
+
+
+
+
+
+
+
Determine if the organization:
+
+ PE-3(6)[1]
+
defines the frequency of unannounced attempts to be included in a penetration testing process to bypass or circumvent security controls associated with physical access points to the facility; and
+
+
+ PE-3(6)[2]
+
employs a penetration testing process with the organization-defined frequency that includes unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing physical access control
+
procedures addressing penetration testing
+
rules of engagement and associated documentation
+
penetration test results
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with physical access control responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for facility penetration testing
defines entry/exit points to the facility where the information system resides;
+
+
+ PE-3(a)[2]
+
enforces physical access authorizations at organization-defined entry/exit points to the facility where the information system resides by:
+
+ PE-3(a)[2](1)
+
verifying individual access authorizations before granting access to the facility;
+
+
+ PE-3(a)[2](2)
+
+ PE-3(a)[2](2)[a]
+
defining physical access control systems/devices to be employed to control ingress/egress to the facility where the information system resides;
+
+
+ PE-3(a)[2](2)[b]
+
using one or more of the following ways to control ingress/egress to the facility:
+
+ PE-3(a)[2](2)[b][1]
+
organization-defined physical access control systems/devices; and/or
+
+
+ PE-3(a)[2](2)[b][2]
+
guards;
+
+
+
+
+
+
+ PE-3(b)
+
+ PE-3(b)[1]
+
defines entry/exit points for which physical access audit logs are to be maintained;
+
+
+ PE-3(b)[2]
+
maintains physical access audit logs for organization-defined entry/exit points;
+
+
+
+ PE-3(c)
+
+ PE-3(c)[1]
+
defines security safeguards to be employed to control access to areas within the facility officially designated as publicly accessible;
+
+
+ PE-3(c)[2]
+
provides organization-defined security safeguards to control access to areas within the facility officially designated as publicly accessible;
+
+
+
+ PE-3(d)
+
+ PE-3(d)[1]
+
defines circumstances requiring visitor:
+
+ PE-3(d)[1][a]
+
escorts;
+
+
+ PE-3(d)[1][b]
+
monitoring;
+
+
+
+ PE-3(d)[2]
+
in accordance with organization-defined circumstances requiring visitor escorts and monitoring:
+
+ PE-3(d)[2][a]
+
escorts visitors;
+
+
+ PE-3(d)[2][b]
+
monitors visitor activities;
+
+
+
+
+ PE-3(e)
+
+ PE-3(e)[1]
+
secures keys;
+
+
+ PE-3(e)[2]
+
secures combinations;
+
+
+ PE-3(e)[3]
+
secures other physical access devices;
+
+
+
+ PE-3(f)
+
+ PE-3(f)[1]
+
defines physical access devices to be inventoried;
+
+
+ PE-3(f)[2]
+
defines the frequency to inventory organization-defined physical access devices;
+
+
+ PE-3(f)[3]
+
inventories the organization-defined physical access devices with the organization-defined frequency;
+
+
+
+ PE-3(g)
+
+ PE-3(g)[1]
+
defines the frequency to change combinations and keys; and
+
+
+ PE-3(g)[2]
+
changes combinations and keys with the organization-defined frequency and/or when:
+
+ PE-3(g)[2][a]
+
keys are lost;
+
+
+ PE-3(g)[2][b]
+
combinations are compromised;
+
+
+ PE-3(g)[2][c]
+
individuals are transferred or terminated.
+
+
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing physical access control
+
security plan
+
physical access control logs or records
+
inventory records of physical access control devices
+
information system entry and exit points
+
records of key and lock combination changes
+
storage locations for physical access control devices
+
physical access control devices
+
list of security safeguards controlling access to designated publicly accessible areas within facility
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with physical access control responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for physical access control
+
automated mechanisms supporting and/or implementing physical access control
+
physical access control devices
+
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-73
+
+
+ NIST Special Publication 800-76
+
+
+ NIST Special Publication 800-78
+
+
+ NIST Special Publication 800-116
+
+
+ ICD 704
+
+
+ ICD 705
+
+
+ DoD Instruction 5200.39
+
+
+ Personal Identity Verification (PIV) in Enterprise Physical Access Control System (E-PACS)
+
+
+ http://idmanagement.gov
+
+
+ http://fips201ep.cio.gov
+
+
+
+
+ ACCESS CONTROL FOR TRANSMISSION MEDIUM
+
+ organization-defined information system distribution and transmission lines
+ organization-defined information system distribution and transmission lines
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+ PE-4
+ P1
+ MODERATE
+ HIGH
+
+
The organization controls physical access to within organizational facilities using .
+
+
+
Physical security safeguards applied to information system distribution and transmission lines help to prevent accidental damage, disruption, and physical tampering. In addition, physical safeguards may be necessary to help prevent eavesdropping or in transit modification of unencrypted transmissions. Security safeguards to control physical access to system distribution and transmission lines include, for example: (i) locked wiring closets; (ii) disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable trays.
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+ PE-4[1]
+
defines information system distribution and transmission lines requiring physical access controls;
+
+
+ PE-4[2]
+
defines security safeguards to be employed to control physical access to organization-defined information system distribution and transmission lines within organizational facilities; and
+
+
+ PE-4[3]
+
controls physical access to organization-defined information system distribution and transmission lines within organizational facilities using organization-defined security safeguards.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing access control for transmission medium
+
information system design documentation
+
facility communications and wiring diagrams
+
list of physical security safeguards applied to information system distribution and transmission lines
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with physical access control responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for access control to distribution and transmission lines
+
automated mechanisms/security safeguards supporting and/or implementing access control to distribution and transmission lines
+
+
+
+ NSTISSI No. 7003
+
+
+
+
+ ACCESS CONTROL FOR OUTPUT DEVICES
+ PE-5
+ P2
+ MODERATE
+ HIGH
+
+
The organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.
+
+
+
Controlling physical access to output devices includes, for example, placing output devices in locked rooms or other secured areas and allowing access to authorized individuals only, and placing output devices in locations that can be monitored by organizational personnel. Monitors, printers, copiers, scanners, facsimile machines, and audio devices are examples of information system output devices.
Ensures that only authorized individuals receive output from the device.
+
+
+
+
Controlling physical access to selected output devices includes, for example, placing printers, copiers, and facsimile machines in controlled areas with keypad access controls or limiting access to individuals with certain types of badges.
Links individual identity to receipt of the output from the device.
+
+
+
+
Controlling physical access to selected output devices includes, for example, installing security functionality on printers, copiers, and facsimile machines that allows organizations to implement authentication (e.g., using a PIN or hardware token) on output devices prior to the release of output to individuals.
the information system controls physical access to output from organization-defined output devices; and
+
+
+
+ PE-5(2)(b)
+
the information system links individual identity to receipt of the output from the device.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing physical access control
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of output devices and associated outputs requiring physical access controls
+
physical access control logs or records for areas containing output devices and related outputs
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with physical access control responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developers
+
+
+ TEST
+
Organizational processes for access control to output devices
+
automated mechanisms supporting and/or implementing access control to output devices
+
+
+
+ MARKING OUTPUT DEVICES
+
+ organization-defined information system output devices
+ organization-defined information system output devices
+
+ PE-5 (3)
+
+
The organization marks indicating the appropriate security marking of the information permitted to be output from the device.
+
+
+
Outputs devices include, for example, printers, monitors, facsimile machines, scanners, copiers, and audio devices. This control enhancement is generally applicable to information system output devices other than mobiles devices.
+
+
+
Determine if the organization:
+
+ PE-5(3)[1]
+
defines information system output devices to be marked with appropriate security marking of the information permitted to be output from such devices; and
+
+
+ PE-5(3)[2]
+
marks organization-defined information system output devices indicating the appropriate security marking of the information permitted to be output from the device.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing physical access control
+
security markings for information types permitted as output from information system output devices
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with physical access control responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for marking output devices
+
+
+
+
Determine if the organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing access control for display medium
+
facility layout of information system components
+
actual displays from information system components
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with physical access control responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for access control to output devices
+
automated mechanisms supporting and/or implementing access control to output devices
+
+
+
+ MONITORING PHYSICAL ACCESS
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined events or potential indications of events
+ organization-defined events or potential indications of events
+
+ PE-6
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PE-6a.
+
Monitors physical access to the facility where the information system resides to detect and respond to physical security incidents;
+
+
+ PE-6b.
+
Reviews physical access logs and upon occurrence of ; and
+
+
+ PE-6c.
+
Coordinates results of reviews and investigations with the organizational incident response capability.
+
+
+
+
Organizational incident response capabilities include investigations of and responses to detected physical security incidents. Security incidents include, for example, apparent security violations or suspicious physical access activities. Suspicious physical access activities include, for example: (i) accesses outside of normal work hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for unusual lengths of time; and (iv) out-of-sequence accesses.
automated mechanisms supporting and/or implementing recognition of classes/types of intrusions and initiation of a response
+
+
+
+ VIDEO SURVEILLANCE
+
+ organization-defined operational areas
+ organization-defined operational areas
+
+
+ organization-defined time period
+ organization-defined time period
+
+ PE-6 (3)
+
+
The organization employs video surveillance of and retains video recordings for .
+
+
+
This control enhancement focuses on recording surveillance video for purposes of subsequent review, if circumstances so warrant (e.g., a break-in detected by other means). It does not require monitoring surveillance video although organizations may choose to do so. Note that there may be legal considerations when performing and retaining video surveillance, especially if such surveillance is in a public location.
+
+
+
Determine if the organization:
+
+ PE-6(3)[1]
+
defines operational areas where video surveillance is to be employed;
+
+
+ PE-6(3)[2]
+
defines a time period to retain video recordings of organization-defined operational areas;
+
+
+ PE-6(3)[3]
+
+ PE-6(3)[3][a]
+
employs video surveillance of organization-defined operational areas; and
+
+
+ PE-6(3)[3][b]
+
retains video recordings for the organization-defined time period.
+
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing physical access monitoring
+
video surveillance equipment used to monitor operational areas
+
video recordings of operational areas where video surveillance is employed
+
video surveillance equipment logs or records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with physical access monitoring responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for monitoring physical access
automated mechanisms supporting and/or implementing video surveillance
+
+
+
+ MONITORING PHYSICAL ACCESS TO INFORMATION SYSTEMS
+
+ organization-defined physical spaces containing one or more components of the information system
+ organization-defined physical spaces containing one or more components of the information system
+
+ PE-6 (4)
+ HIGH
+
+
The organization monitors physical access to the information system in addition to the physical access monitoring of the facility as .
+
+
+
This control enhancement provides additional monitoring for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, communications centers).
+
+
+
+
+
Determine if the organization:
+
+ PE-6(4)[1]
+
defines physical spaces containing one or more components of the information system; and
+
+
+ PE-6(4)[2]
+
monitors physical access to the information system in addition to the physical access monitoring of the facility at organization-defined physical spaces containing one or more components of the information system.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing physical access monitoring
+
physical access control logs or records
+
physical access control devices
+
access authorizations
+
access credentials
+
list of areas within the facility containing concentrations of information system components or information system components requiring additional physical access monitoring
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with physical access monitoring responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for monitoring physical access to the information system
+
automated mechanisms supporting and/or implementing physical access monitoring for facility areas containing information system components
+
+
+
+
Determine if the organization:
+
+ PE-6(a)
+
monitors physical access to the facility where the information system resides to detect and respond to physical security incidents;
+
+
+ PE-6(b)
+
+ PE-6(b)[1]
+
defines the frequency to review physical access logs;
+
+
+ PE-6(b)[2]
+
defines events or potential indication of events requiring physical access logs to be reviewed;
+
+
+ PE-6(b)[3]
+
reviews physical access logs with the organization-defined frequency and upon occurrence of organization-defined events or potential indications of events; and
+
+
+
+ PE-6(c)
+
coordinates results of reviews and investigations with the organizational incident response capability.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing physical access monitoring
+
security plan
+
physical access logs or records
+
physical access monitoring records
+
physical access log reviews
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with physical access monitoring responsibilities
+
organizational personnel with incident response responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for monitoring physical access
automated mechanisms supporting and/or implementing reviewing of physical access logs
+
+
+
+ VISITOR CONTROL
+ PE-7
+
+
+
+
+ Incorporated into PE-2 and PE-3.
+
+
+
+ VISITOR ACCESS RECORDS
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ PE-8
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PE-8a.
+
Maintains visitor access records to the facility where the information system resides for ; and
+
+
+ PE-8b.
+
Reviews visitor access records .
+
+
+
+
Visitor access records include, for example, names and organizations of persons visiting, visitor signatures, forms of identification, dates of access, entry and departure times, purposes of visits, and names and organizations of persons visited. Visitor access records are not required for publicly accessible areas.
+
+
+ AUTOMATED RECORDS MAINTENANCE / REVIEW
+ PE-8 (1)
+ HIGH
+
+
The organization employs automated mechanisms to facilitate the maintenance and review of visitor access records.
+
+
+
Determine if the organization employs automated mechanisms to facilitate the maintenance and review of visitor access records.
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing visitor access records
+
automated mechanisms supporting management of visitor access records
+
visitor access control logs or records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with visitor access records responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for maintaining and reviewing visitor access records
+
automated mechanisms supporting and/or implementing maintenance and review of visitor access records
+
+
+
+ PHYSICAL ACCESS RECORDS
+ PE-8 (2)
+
+
+
+ Incorporated into PE-2.
+
+
+
+
Determine if the organization:
+
+ PE-8(a)
+
+ PE-8(a)[1]
+
defines the time period to maintain visitor access records to the facility where the information system resides;
+
+
+ PE-8(a)[2]
+
maintains visitor access records to the facility where the information system resides for the organization-defined time period;
+
+
+
+ PE-8(b)
+
+ PE-8(b)[1]
+
defines the frequency to review visitor access records; and
+
+
+ PE-8(b)[2]
+
reviews visitor access records with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing visitor access records
+
security plan
+
visitor access control logs or records
+
visitor access record or log reviews
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with visitor access records responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for maintaining and reviewing visitor access records
+
automated mechanisms supporting and/or implementing maintenance and review of visitor access records
+
+
+
+ POWER EQUIPMENT AND CABLING
+ PE-9
+ P1
+ MODERATE
+ HIGH
+
+
The organization protects power equipment and power cabling for the information system from damage and destruction.
+
+
+
Organizations determine the types of protection necessary for power equipment and cabling employed at different locations both internal and external to organizational facilities and environments of operation. This includes, for example, generators and power cabling outside of buildings, internal cabling and uninterruptable power sources within an office or data center, and power sources for self-contained entities such as vehicles and satellites.
The organization employs redundant power cabling paths that are physically separated by .
+
+
+
Physically separate, redundant power cables help to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.
+
+
+
Determine if the organization:
+
+ PE-9(1)[1]
+
defines the distance by which redundant power cabling paths are to be physically separated; and
+
+
+ PE-9(1)[2]
+
employs redundant power cabling paths that are physically separated by organization-defined distance.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing power equipment/cabling protection
+
facilities housing power equipment/cabling
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for protecting power equipment/cabling
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing protection of power equipment/cabling
+
+
+
+ AUTOMATIC VOLTAGE CONTROLS
+
+ organization-defined critical information system components
+ organization-defined critical information system components
+
+ PE-9 (2)
+
+
The organization employs automatic voltage controls for .
+
+
+
Determine if the organization:
+
+ PE-9(2)[1]
+
defines critical information system components that require automatic voltage controls; and
+
+
+ PE-9(2)[2]
+
employs automatic voltage controls for organization-defined critical information system components.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing voltage control
+
security plan
+
list of critical information system components requiring automatic voltage controls
+
automatic voltage control mechanisms and associated configurations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for environmental protection of information system components
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing automatic voltage controls
+
+
+
+
Determine if the organization protects power equipment and power cabling for the information system from damage and destruction.
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing power equipment/cabling protection
+
facilities housing power equipment/cabling
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for protecting power equipment/cabling
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing protection of power equipment/cabling
+
+
+
+ EMERGENCY SHUTOFF
+
+ organization-defined location by information system or system component
+ organization-defined location by information system or system component
+
+ PE-10
+ P1
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PE-10a.
+
Provides the capability of shutting off power to the information system or individual system components in emergency situations;
+
+
+ PE-10b.
+
Places emergency shutoff switches or devices in to facilitate safe and easy access for personnel; and
+
+
+ PE-10c.
+
Protects emergency power shutoff capability from unauthorized activation.
+
+
+
+
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.
provides the capability of shutting off power to the information system or individual system components in emergency situations;
+
+
+ PE-10(b)
+
+ PE-10(b)[1]
+
defines the location of emergency shutoff switches or devices by information system or system component;
+
+
+ PE-10(b)[2]
+
places emergency shutoff switches or devices in the organization-defined location by information system or system component to facilitate safe and easy access for personnel; and
+
+
+
+ PE-10(c)
+
protects emergency power shutoff capability from unauthorized activation.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing power source emergency shutoff
+
security plan
+
emergency shutoff controls or switches
+
locations housing emergency shutoff switches and devices
+
security safeguards protecting emergency power shutoff capability from unauthorized activation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for emergency power shutoff capability (both implementing and using the capability)
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing emergency power shutoff
+
+
+
+ EMERGENCY POWER
+ PE-11
+ P1
+ MODERATE
+ HIGH
+
+
The organization provides a short-term uninterruptible power supply to facilitate [Selection (one or more): an orderly shutdown of the information system; transition of the information system to long-term alternate power] in the event of a primary power source loss.
The organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source.
+
+
+
This control enhancement can be satisfied, for example, by the use of a secondary commercial power supply or other external power supply. Long-term alternate power supplies for the information system can be either manually or automatically activated.
+
+
+
Determine if the organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source.
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing emergency power
+
alternate power supply
+
alternate power supply documentation
+
alternate power supply test records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for emergency power and/or planning
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing alternate power supply
The organization provides a long-term alternate power supply for the information system that is:
+
+ PE-11 (2)(a)
+
Self-contained;
+
+
+ PE-11 (2)(b)
+
Not reliant on external power generation; and
+
+
+ PE-11 (2)(c)
+
Capable of maintaining [Selection: minimally required operational capability; full operational capability] in the event of an extended loss of the primary power source.
+
+
+
+
This control enhancement can be satisfied, for example, by the use of one or more generators with sufficient capacity to meet the needs of the organization. Long-term alternate power supplies for organizational information systems are either manually or automatically activated.
+
+
+
Determine if the organization provides a long-term alternate power supply for the information system that is:
+
+ PE-11(2)(a)
+
self-contained;
+
+
+ PE-11(2)(b)
+
not reliant on external power generation;
+
+
+ PE-11(2)(c)
+
capable of maintaining one of the following in the event of an extended loss of the primary power source:
+
+ PE-11(2)(c)[1]
+
minimally required operational capability; or
+
+
+ PE-11(2)(c)[2]
+
full operational capability.
+
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing emergency power
+
alternate power supply
+
alternate power supply documentation
+
alternate power supply test records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for emergency power and/or planning
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing alternate power supply
+
the alternate power supply
+
+
+
+
Determine if the organization provides a short-term uninterruptible power supply to facilitate one or more of the following in the event of a primary power source loss:
+
+ PE-11[1]
+
an orderly shutdown of the information system; and/or
+
+
+ PE-11[2]
+
transition of the information system to long-term alternate power.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing emergency power
+
uninterruptible power supply
+
uninterruptible power supply documentation
+
uninterruptible power supply test records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for emergency power and/or planning
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing uninterruptible power supply
The organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.
+
+
+
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.
+
+
+
+ FIRE PROTECTION
+ PE-13
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.
+
+
+
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Fire suppression and detection devices/systems include, for example, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors.
+
+
+ DETECTION DEVICES / SYSTEMS
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined emergency responders
+ organization-defined emergency responders
+
+ PE-13 (1)
+ HIGH
+
+
The organization employs fire detection devices/systems for the information system that activate automatically and notify and in the event of a fire.
+
+
+
Organizations can identify specific personnel, roles, and emergency responders in the event that individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.
+
+
+
Determine if the organization:
+
+ PE-13(1)[1]
+
defines personnel or roles to be notified in the event of a fire;
+
+
+ PE-13(1)[2]
+
defines emergency responders to be notified in the event of a fire;
+
+
+ PE-13(1)[3]
+
employs fire detection devices/systems for the information system that, in the event of a fire,:
+
+ PE-13(1)[3][a]
+
activate automatically;
+
+
+ PE-13(1)[3][b]
+
notify organization-defined personnel or roles; and
+
+
+ PE-13(1)[3][c]
+
notify organization-defined emergency responders.
+
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing fire protection
+
facility housing the information system
+
alarm service-level agreements
+
test records of fire suppression and detection devices/systems
+
fire suppression and detection devices/systems documentation
+
alerts/notifications of fire events
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for fire detection and suppression devices/systems
+
organizational personnel with responsibilities for notifying appropriate personnel, roles, and emergency responders of fires
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing fire detection devices/systems
+
activation of fire detection devices/systems (simulated)
The organization employs fire suppression devices/systems for the information system that provide automatic notification of any activation to Assignment: organization-defined personnel or roles] and .
+
+
+
Organizations can identify specific personnel, roles, and emergency responders in the event that individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.
+
+
+
Determine if the organization:
+
+ PE-13(2)[1]
+
defines personnel or roles to be provided automatic notification of any activation of fire suppression devices/systems for the information system;
+
+
+ PE-13(2)[2]
+
defines emergency responders to be provided automatic notification of any activation of fire suppression devices/systems for the information system;
+
+
+ PE-13(2)[3]
+
employs fire suppression devices/systems for the information system that provide automatic notification of any activation to:
+
+ PE-13(2)[3][a]
+
organization-defined personnel or roles; and
+
+
+ PE-13(2)[3][b]
+
organization-defined emergency responders.
+
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing fire protection
+
fire suppression and detection devices/systems documentation
+
facility housing the information system
+
alarm service-level agreements
+
test records of fire suppression and detection devices/systems
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for fire detection and suppression devices/systems
+
organizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing fire suppression devices/systems
+
activation of fire suppression devices/systems (simulated)
+
automated notifications
+
+
+
+ AUTOMATIC FIRE SUPPRESSION
+ PE-13 (3)
+ MODERATE
+ HIGH
+
+
The organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis.
+
+
+
Determine if the organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis.
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing fire protection
+
fire suppression and detection devices/systems documentation
+
facility housing the information system
+
alarm service-level agreements
+
test records of fire suppression and detection devices/systems
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for fire detection and suppression devices/systems
+
organizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing fire suppression devices/systems
+
activation of fire suppression devices/systems (simulated)
+
+
+
+ INSPECTIONS
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined time period
+ organization-defined time period
+
+ PE-13 (4)
+
+
The organization ensures that the facility undergoes inspections by authorized and qualified inspectors and resolves identified deficiencies within .
+
+
+
Determine if the organization:
+
+ PE-13(4)[1]
+
defines the frequency of inspections to be conducted on the facility by authorized and qualified inspectors;
+
+
+ PE-13(4)[2]
+
ensures that the facility undergoes inspections by authorized and qualified inspectors with the organization-defined frequency;
+
+
+ PE-13(4)[3]
+
defines a time period to resolve deficiencies identified when the facility undergoes such inspections; and
+
+
+ PE-13(4)[4]
+
resolves identified deficiencies within the organization-defined time period.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing fire protection
+
security plan
+
facility housing the information system
+
inspection plans
+
inspection results
+
inspect reports
+
test records of fire suppression and detection devices/systems
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for planning, approving, and executing fire inspections
+
organizational personnel with information security responsibilities
+
+
+
+
Determine if the organization:
+
+ PE-13[1]
+
employs fire suppression and detection devices/systems for the information system that are supported by an independent energy source; and
+
+
+ PE-13[2]
+
maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing fire protection
+
fire suppression and detection devices/systems
+
fire suppression and detection devices/systems documentation
+
test records of fire suppression and detection devices/systems
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for fire detection and suppression devices/systems
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing fire suppression/detection devices/systems
+
+
+
+ TEMPERATURE AND HUMIDITY CONTROLS
+
+ organization-defined acceptable levels
+ organization-defined acceptable levels
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ PE-14
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PE-14a.
+
Maintains temperature and humidity levels within the facility where the information system resides at ; and
+
+
+ PE-14b.
+
Monitors temperature and humidity levels .
+
+
+
+
This control applies primarily to facilities containing concentrations of information system resources, for example, data centers, server rooms, and mainframe computer rooms.
+
+
+
+ AUTOMATIC CONTROLS
+ PE-14 (1)
+
+
The organization employs automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the information system.
+
+
+
Determine if the organization:
+
+ PE-14(1)[1]
+
employs automatic temperature controls in the facility to prevent fluctuations potentially harmful to the information system; and
+
+
+ PE-14(1)[2]
+
employs automatic humidity controls in the facility to prevent fluctuations potentially harmful to the information system.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing temperature and humidity controls
+
facility housing the information system
+
automated mechanisms for temperature and humidity
+
temperature and humidity controls
+
temperature and humidity documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for information system environmental controls
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing temperature and humidity levels
The organization employs temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment.
+
+
+
Determine if the organization:
+
+ PE-14(2)[1]
+
employs temperature monitoring that provides an alarm of changes potentially harmful to personnel or equipment; and/or
+
+
+ PE-14(2)[2]
+
employs temperature monitoring that provides notification of changes potentially harmful to personnel or equipment;
+
+
+ PE-14(2)[3]
+
employs humidity monitoring that provides an alarm of changes potentially harmful to personnel or equipment; and/or
+
+
+ PE-14(2)[4]
+
employs humidity monitoring that provides notification of changes potentially harmful to personnel or equipment.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing temperature and humidity monitoring
+
facility housing the information system
+
logs or records of temperature and humidity monitoring
+
records of changes to temperature and humidity levels that generate alarms or notifications
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for information system environmental controls
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing temperature and humidity monitoring
+
+
+
+
Determine if the organization:
+
+ PE-14(a)
+
+ PE-14(a)[1]
+
defines acceptable temperature levels to be maintained within the facility where the information system resides;
+
+
+ PE-14(a)[2]
+
defines acceptable humidity levels to be maintained within the facility where the information system resides;
+
+
+ PE-14(a)[3]
+
maintains temperature levels within the facility where the information system resides at the organization-defined levels;
+
+
+ PE-14(a)[4]
+
maintains humidity levels within the facility where the information system resides at the organization-defined levels;
+
+
+
+ PE-14(b)
+
+ PE-14(b)[1]
+
defines the frequency to monitor temperature levels;
+
+
+ PE-14(b)[2]
+
defines the frequency to monitor humidity levels;
+
+
+ PE-14(b)[3]
+
monitors temperature levels with the organization-defined frequency; and
+
+
+ PE-14(b)[4]
+
monitors humidity levels with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing temperature and humidity control
+
security plan
+
temperature and humidity controls
+
facility housing the information system
+
temperature and humidity controls documentation
+
temperature and humidity records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for information system environmental controls
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing maintenance and monitoring of temperature and humidity levels
+
+
+
+ WATER DAMAGE PROTECTION
+ PE-15
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.
+
+
+
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern, without affecting entire organizations.
+
+
+
+ AUTOMATION SUPPORT
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+ PE-15 (1)
+ HIGH
+
+
The organization employs automated mechanisms to detect the presence of water in the vicinity of the information system and alerts .
+
+
+
Automated mechanisms can include, for example, water detection sensors, alarms, and notification systems.
+
+
+
Determine if the organization:
+
+ PE-15(1)[1]
+
defines personnel or roles to be alerted when the presence of water is detected in the vicinity of the information system;
+
+
+ PE-15(1)[2]
+
employs automated mechanisms to detect the presence of water in the vicinity of the information system; and
+
+
+ PE-15(1)[3]
+
alerts organization-defined personnel or roles when the presence of water is detected in the vicinity of the information system.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing water damage protection
+
facility housing the information system
+
automated mechanisms for water shutoff valves
+
automated mechanisms detecting presence of water in vicinity of information system
+
alerts/notifications of water detection in information system facility
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for information system environmental controls
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing water detection capability and alerts for the information system
+
+
+
+
Determine if the organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are:
+
+ PE-15[1]
+
accessible;
+
+
+ PE-15[2]
+
working properly; and
+
+
+ PE-15[3]
+
known to key personnel.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing water damage protection
+
facility housing the information system
+
master shutoff valves
+
list of key personnel with knowledge of location and activation procedures for master shutoff valves for the plumbing system
+
master shutoff valve documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for information system environmental controls
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Master water-shutoff valves
+
organizational process for activating master water-shutoff
+
+
+
+ DELIVERY AND REMOVAL
+
+ organization-defined types of information system components
+ organization-defined types of information system components
+
+ PE-16
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization authorizes, monitors, and controls entering and exiting the facility and maintains records of those items.
+
+
+
Effectively enforcing authorizations for entry and exit of information system components may require restricting access to delivery areas and possibly isolating the areas from the information system and media libraries.
+
+
+
+
+
+
+
+
Determine if the organization:
+
+ PE-16[1]
+
defines types of information system components to be authorized, monitored, and controlled as such components are entering and exiting the facility;
+
+
+ PE-16[2]
+
authorizes organization-defined information system components entering the facility;
+
+
+ PE-16[3]
+
monitors organization-defined information system components entering the facility;
+
+
+ PE-16[4]
+
controls organization-defined information system components entering the facility;
+
+
+ PE-16[5]
+
authorizes organization-defined information system components exiting the facility;
+
+
+ PE-16[6]
+
monitors organization-defined information system components exiting the facility;
+
+
+ PE-16[7]
+
controls organization-defined information system components exiting the facility;
+
+
+ PE-16[8]
+
maintains records of information system components entering the facility; and
+
+
+ PE-16[9]
+
maintains records of information system components exiting the facility.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing delivery and removal of information system components from the facility
+
security plan
+
facility housing the information system
+
records of items entering and exiting the facility
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for controlling information system components entering and exiting the facility
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational process for authorizing, monitoring, and controlling information system-related items entering and exiting the facility
+
automated mechanisms supporting and/or implementing authorizing, monitoring, and controlling information system-related items entering and exiting the facility
+
+
+
+ ALTERNATE WORK SITE
+
+ organization-defined security controls
+ organization-defined security controls
+
+ PE-17
+ P2
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PE-17a.
+
Employs at alternate work sites;
+
+
+ PE-17b.
+
Assesses as feasible, the effectiveness of security controls at alternate work sites; and
+
+
+ PE-17c.
+
Provides a means for employees to communicate with information security personnel in case of security incidents or problems.
+
+
+
+
Alternate work sites may include, for example, government facilities or private residences of employees. While commonly distinct from alternative processing sites, alternate work sites may provide readily available alternate locations as part of contingency operations. Organizations may define different sets of security controls for specific alternate work sites or types of sites depending on the work-related activities conducted at those sites. This control supports the contingency planning activities of organizations and the federal telework initiative.
+
+
+
+
+
Determine if the organization:
+
+ PE-17(a)
+
+ PE-17(a)[1]
+
defines security controls to be employed at alternate work sites;
+
+
+ PE-17(a)[2]
+
employs organization-defined security controls at alternate work sites;
+
+
+
+ PE-17(b)
+
assesses, as feasible, the effectiveness of security controls at alternate work sites; and
+
+
+ PE-17(c)
+
provides a means for employees to communicate with information security personnel in case of security incidents or problems.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing alternate work sites for organizational personnel
+
security plan
+
list of security controls required for alternate work sites
+
assessments of security controls at alternate work sites
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel approving use of alternate work sites
+
organizational personnel using alternate work sites
+
organizational personnel assessing controls at alternate work sites
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for security at alternate work sites
+
automated mechanisms supporting alternate work sites
+
security controls employed at alternate work sites
+
means of communications between personnel at alternate work sites and security personnel
+
+
+
+ NIST Special Publication 800-46
+
+
+
+
+ LOCATION OF INFORMATION SYSTEM COMPONENTS
+
+ organization-defined physical and environmental hazards
+ organization-defined physical and environmental hazards
+
+ PE-18
+ P3
+ HIGH
+
+
The organization positions information system components within the facility to minimize potential damage from and to minimize the opportunity for unauthorized access.
+
+
+
Physical and environmental hazards include, for example, flooding, fire, tornados, earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. In addition, organizations consider the location of physical entry points where unauthorized individuals, while not being granted access, might nonetheless be in close proximity to information systems and therefore increase the potential for unauthorized access to organizational communications (e.g., through the use of wireless sniffers or microphones).
+
+
+
+
+
+ FACILITY SITE
+ PE-18 (1)
+
+
The organization plans the location or site of the facility where the information system resides with regard to physical and environmental hazards and for existing facilities, considers the physical and environmental hazards in its risk mitigation strategy.
+
+
+
+
+
+
Determine if the organization:
+
+ PE-18(1)[1]
+
plans the location or site of the facility where the information system resides with regard to physical hazards;
+
+
+ PE-18(1)[2]
+
plans the location or site of the facility where the information system resides with regard to environmental hazards;
+
+
+ PE-18(1)[3]
+
for existing facilities, considers the physical hazards in its risk mitigation strategy; and
+
+
+ PE-18(1)[4]
+
for existing facilities, considers the environmental hazards in its risk mitigation strategy.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
physical site planning documents
+
organizational assessment of risk, contingency plan
+
risk mitigation strategy documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with site selection responsibilities for the facility housing the information system
+
organizational personnel with risk mitigation responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for site planning
+
+
+
+
Determine if the organization:
+
+ PE-18[1]
+
defines physical hazards that could result in potential damage to information system components within the facility;
+
+
+ PE-18[2]
+
defines environmental hazards that could result in potential damage to information system components within the facility;
+
+
+ PE-18[3]
+
positions information system components within the facility to minimize potential damage from organization-defined physical and environmental hazards; and
+
+
+ PE-18[4]
+
positions information system components within the facility to minimize the opportunity for unauthorized access.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing positioning of information system components
+
documentation providing the location and position of information system components within the facility
+
locations housing information system components within the facility
+
list of physical and environmental hazards with potential to damage information system components within the facility
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for positioning information system components
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for positioning information system components
+
+
+
+ INFORMATION LEAKAGE
+ PE-19
+ P0
+
+
The organization protects the information system from information leakage due to electromagnetic signals emanations.
+
+
+
Information leakage is the intentional or unintentional release of information to an untrusted environment from electromagnetic signals emanations. Security categories or classifications of information systems (with respect to confidentiality) and organizational security policies guide the selection of security controls employed to protect systems against information leakage due to electromagnetic signals emanations.
+
+
+ NATIONAL EMISSIONS / TEMPEST POLICIES AND PROCEDURES
+ PE-19 (1)
+
+
The organization ensures that information system components, associated data communications, and networks are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information.
+
+
+
Determine if the organization ensures that the following are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information:
+
+ PE-19(1)[1]
+
information system components;
+
+
+ PE-19(1)[2]
+
associated data communications; and
+
+
+ PE-19(1)[3]
+
networks.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing information leakage that comply with national emissions and TEMPEST policies and procedures
+
information system component design documentation
+
information system configuration settings and associated documentation other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for information system environmental controls
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Information system components for compliance with national emissions and TEMPEST policies and procedures
+
+
+
+
Determine if the organization protects the information system from information leakage due to electromagnetic signals emanations.
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing information leakage due to electromagnetic signals emanations
+
mechanisms protecting the information system against electronic signals emanation
+
facility housing the information system
+
records from electromagnetic signals emanation tests
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibilities for information system environmental controls
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing protection from information leakage due to electromagnetic signals emanations
Employs to track and monitor the location and movement of within ; and
+
+
+ PE-20b.
+
Ensures that asset location technologies are employed in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.
+
+
+
+
Asset location technologies can help organizations ensure that critical assets such as vehicles or essential information system components remain in authorized locations. Organizations consult with the Office of the General Counsel and the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) regarding the deployment and use of asset location technologies to address potential privacy concerns.
+
+
+
+
Determine if the organization:
+
+ PE-20(a)
+
+ PE-20(a)[1]
+
defines assets whose location and movement are to be tracked and monitored;
+
+
+ PE-20(a)[2]
+
defines asset location technologies to be employed to track and monitor the location and movement of organization-defined assets;
+
+
+ PE-20(a)[3]
+
defines controlled areas within which to track and monitor organization-defined assets;
+
+
+ PE-20(a)[4]
+
employs organization-defined asset location technologies to track and monitor the location and movement of organization-defined assets within organization-defined controlled areas; and
+
+
+
+ PE-20(b)
+
ensures that asset location technologies are employed in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards and guidance.
+
+
+
+ EXAMINE
+
Physical and environmental protection policy
+
procedures addressing asset monitoring and tracking
+
asset location technologies and associated configuration documentation
+
list of organizational assets requiring tracking and monitoring
+
asset monitoring and tracking records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with asset monitoring and tracking responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for tracking and monitoring assets
+
automated mechanisms supporting and/or implementing tracking and monitoring of assets
+
+
+
+
+ PLANNING
+
+ SECURITY PLANNING POLICY AND PROCEDURES
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ PL-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PL-1a.
+
Develops, documents, and disseminates to :
+
+ PL-1a.1.
+
A security planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ PL-1a.2.
+
Procedures to facilitate the implementation of the security planning policy and associated security planning controls; and
+
+
+
+ PL-1b.
+
Reviews and updates the current:
+
+ PL-1b.1.
+
Security planning policy ; and
+
+
+ PL-1b.2.
+
Security planning procedures .
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PL family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+
+
+
+
Determine if the organization:
+
+ PL-1(a)(1)
+
+ PL-1(a)(1)[1]
+
develops and documents a planning policy that addresses:
+
+ PL-1(a)(1)[1][a]
+
purpose;
+
+
+ PL-1(a)(1)[1][b]
+
scope;
+
+
+ PL-1(a)(1)[1][c]
+
roles;
+
+
+ PL-1(a)(1)[1][d]
+
responsibilities;
+
+
+ PL-1(a)(1)[1][e]
+
management commitment;
+
+
+ PL-1(a)(1)[1][f]
+
coordination among organizational entities;
+
+
+ PL-1(a)(1)[1][g]
+
compliance;
+
+
+
+ PL-1(a)(1)[2]
+
defines personnel or roles to whom the planning policy is to be disseminated;
+
+
+ PL-1(a)(1)[3]
+
disseminates the planning policy to organization-defined personnel or roles;
+
+
+
+ PL-1(a)(2)
+
+ PL-1(a)(2)[1]
+
develops and documents procedures to facilitate the implementation of the planning policy and associated planning controls;
+
+
+ PL-1(a)(2)[2]
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ PL-1(a)(2)[3]
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ PL-1(b)(1)
+
+ PL-1(b)(1)[1]
+
defines the frequency to review and update the current planning policy;
+
+
+ PL-1(b)(1)[2]
+
reviews and updates the current planning policy with the organization-defined frequency;
+
+
+
+ PL-1(b)(2)
+
+ PL-1(b)(2)[1]
+
defines the frequency to review and update the current planning procedures; and
+
+
+ PL-1(b)(2)[2]
+
reviews and updates the current planning procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Planning policy and procedures
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with planning responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-18
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ SYSTEM SECURITY PLAN
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ PL-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PL-2a.
+
Develops a security plan for the information system that:
+
+ PL-2a.1.
+
Is consistent with the organization�s enterprise architecture;
+
+
+ PL-2a.2.
+
Explicitly defines the authorization boundary for the system;
+
+
+ PL-2a.3.
+
Describes the operational context of the information system in terms of missions and business processes;
+
+
+ PL-2a.4.
+
Provides the security categorization of the information system including supporting rationale;
+
+
+ PL-2a.5.
+
Describes the operational environment for the information system and relationships with or connections to other information systems;
+
+
+ PL-2a.6.
+
Provides an overview of the security requirements for the system;
+
+
+ PL-2a.7.
+
Identifies any relevant overlays, if applicable;
+
+
+ PL-2a.8.
+
Describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring decisions; and
+
+
+ PL-2a.9.
+
Is reviewed and approved by the authorizing official or designated representative prior to plan implementation;
+
+
+
+ PL-2b.
+
Distributes copies of the security plan and communicates subsequent changes to the plan to ;
+
+
+ PL-2c.
+
Reviews the security plan for the information system ;
+
+
+ PL-2d.
+
Updates the plan to address changes to the information system/environment of operation or problems identified during plan implementation or security control assessments; and
+
+
+ PL-2e.
+
Protects the security plan from unauthorized disclosure and modification.
+
+
+
+
Security plans relate security requirements to a set of security controls and control enhancements. Security plans also describe, at a high level, how the security controls and control enhancements meet those security requirements, but do not provide detailed, technical descriptions of the specific design or implementation of the controls/enhancements. Security plans contain sufficient information (including the specification of parameter values for assignment and selection statements either explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented as intended. Organizations can also apply tailoring guidance to the security control baselines in Appendix D and CNSS Instruction 1253 to develop overlays for community-wide use or to address specialized requirements, technologies, or missions/environments of operation (e.g., DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and Access Management, space operations). Appendix I provides guidance on developing overlays.
+Security plans need not be single documents; the plans can be a collection of various documents including documents that already exist. Effective security plans make extensive use of references to policies, procedures, and additional documents (e.g., design and implementation specifications) where more detailed information can be obtained. This reduces the documentation requirements associated with security programs and maintains security-related information in other established management/operational areas related to enterprise architecture, system development life cycle, systems engineering, and acquisition. For example, security plans do not contain detailed contingency plan or incident response plan information but instead provide explicitly or by reference, sufficient information to define what needs to be accomplished by those plans.
+
+
+
+ PLAN / COORDINATE WITH OTHER ORGANIZATIONAL ENTITIES
+
+ organization-defined individuals or groups
+ organization-defined individuals or groups
+
+ PL-2 (3)
+ MODERATE
+ HIGH
+
+
The organization plans and coordinates security-related activities affecting the information system with before conducting such activities in order to reduce the impact on other organizational entities.
+
+
+
Security-related activities include, for example, security assessments, audits, hardware and software maintenance, patch management, and contingency plan testing. Advance planning and coordination includes emergency and nonemergency (i.e., planned or nonurgent unplanned) situations. The process defined by organizations to plan and coordinate security-related activities can be included in security plans for information systems or other documents, as appropriate.
+
+
+
+
+
Determine if the organization:
+
+ PL-2(3)[1]
+
defines individuals or groups with whom security-related activities affecting the information system are to be planned and coordinated before conducting such activities in order to reduce the impact on other organizational entities; and
+
+
+ PL-2(3)[2]
+
plans and coordinates security-related activities affecting the information system with organization-defined individuals or groups before conducting such activities in order to reduce the impact on other organizational entities.
+
+
+
+ EXAMINE
+
Security planning policy
+
access control policy
+
contingency planning policy
+
procedures addressing security-related activity planning for the information system
+
security plan for the information system
+
contingency plan for the information system
+
information system design documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security planning and plan implementation responsibilities
+
organizational individuals or groups with whom security-related activities are to be planned and coordinated
+
organizational personnel with information security responsibilities
+
+
+
+
Determine if the organization:
+
+ PL-2(a)
+
develops a security plan for the information system that:
+
+ PL-2(a)(1)
+
is consistent with the organization’s enterprise architecture;
+
+
+ PL-2(a)(2)
+
explicitly defines the authorization boundary for the system;
+
+
+ PL-2(a)(3)
+
describes the operational context of the information system in terms of missions and business processes;
+
+
+ PL-2(a)(4)
+
provides the security categorization of the information system including supporting rationale;
+
+
+ PL-2(a)(5)
+
describes the operational environment for the information system and relationships with or connections to other information systems;
+
+
+ PL-2(a)(6)
+
provides an overview of the security requirements for the system;
+
+
+ PL-2(a)(7)
+
identifies any relevant overlays, if applicable;
+
+
+ PL-2(a)(8)
+
describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring and supplemental decisions;
+
+
+ PL-2(a)(9)
+
is reviewed and approved by the authorizing official or designated representative prior to plan implementation;
+
+
+
+ PL-2(b)
+
+ PL-2(b)[1]
+
defines personnel or roles to whom copies of the security plan are to be distributed and subsequent changes to the plan are to be communicated;
+
+
+ PL-2(b)[2]
+
distributes copies of the security plan and communicates subsequent changes to the plan to organization-defined personnel or roles;
+
+
+
+ PL-2(c)
+
+ PL-2(c)[1]
+
defines the frequency to review the security plan for the information system;
+
+
+ PL-2(c)[2]
+
reviews the security plan for the information system with the organization-defined frequency;
+
+
+
+ PL-2(d)
+
updates the plan to address:
+
+ PL-2(d)[1]
+
changes to the information system/environment of operation;
+
+
+ PL-2(d)[2]
+
problems identified during plan implementation;
+
+
+ PL-2(d)[3]
+
problems identified during security control assessments;
+
+
+
+ PL-2(e)
+
protects the security plan from unauthorized:
+
+ PL-2(e)[1]
+
disclosure; and
+
+
+ PL-2(e)[2]
+
modification.
+
+
+
+
+ EXAMINE
+
Security planning policy
+
procedures addressing security plan development and implementation
+
procedures addressing security plan reviews and updates
+
enterprise architecture documentation
+
security plan for the information system
+
records of security plan reviews and updates
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security planning and plan implementation responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for security plan development/review/update/approval
+
automated mechanisms supporting the information system security plan
+
+
+
+ NIST Special Publication 800-18
+
+
+
+
+ SYSTEM SECURITY PLAN UPDATE
+ PL-3
+
+
+
+ Incorporated into PL-2.
+
+
+
+ RULES OF BEHAVIOR
+
+ organization-defined frequency
+ organization-defined frequency
+
+ PL-4
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PL-4a.
+
Establishes and makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;
+
+
+ PL-4b.
+
Receives a signed acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system;
+
+
+ PL-4c.
+
Reviews and updates the rules of behavior ; and
+
+
+ PL-4d.
+
Requires individuals who have signed a previous version of the rules of behavior to read and re-sign when the rules of behavior are revised/updated.
+
+
+
+
This control enhancement applies to organizational users. Organizations consider rules of behavior based on individual user roles and responsibilities, differentiating, for example, between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users including, for example, individuals who simply receive data/information from federal information systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for both organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4 b. (the signed acknowledgment portion of this control) may be satisfied by the security awareness training and role-based security training programs conducted by organizations if such training includes rules of behavior. Organizations can use electronic signatures for acknowledging rules of behavior.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ SOCIAL MEDIA AND NETWORKING RESTRICTIONS
+ PL-4 (1)
+ MODERATE
+ HIGH
+
+
The organization includes in the rules of behavior, explicit restrictions on the use of social media/networking sites and posting organizational information on public websites.
+
+
+
This control enhancement addresses rules of behavior related to the use of social media/networking sites: (i) when organizational personnel are using such sites for official duties or in the conduct of official business; (ii) when organizational information is involved in social media/networking transactions; and (iii) when personnel are accessing social media/networking sites from organizational information systems. Organizations also address specific rules that prevent unauthorized entities from obtaining and/or inferring non-public organizational information (e.g., system account information, personally identifiable information) from social media/networking sites.
+
+
+
Determine if the organization includes the following in the rules of behavior:
+
+ PL-4(1)[1]
+
explicit restrictions on the use of social media/networking sites; and
+
+
+ PL-4(1)[2]
+
posting organizational information on public websites.
+
+
+
+ EXAMINE
+
Security planning policy
+
procedures addressing rules of behavior for information system users
+
rules of behavior
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior
+
organizational personnel who are authorized users of the information system and have signed rules of behavior
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for establishing rules of behavior
+
automated mechanisms supporting and/or implementing the establishment of rules of behavior
+
+
+
+
Determine if the organization:
+
+ PL-4(a)
+
+ PL-4(a)[1]
+
establishes, for individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;
+
+
+ PL-4(a)[2]
+
makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;
+
+
+
+ PL-4(b)
+
receives a signed acknowledgement from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system;
+
+
+ PL-4(c)
+
+ PL-4(c)[1]
+
defines the frequency to review and update the rules of behavior;
+
+
+ PL-4(c)[2]
+
reviews and updates the rules of behavior with the organization-defined frequency; and
+
+
+
+ PL-4(d)
+
requires individuals who have signed a previous version of the rules of behavior to read and resign when the rules of behavior are revised/updated.
+
+
+
+ EXAMINE
+
Security planning policy
+
procedures addressing rules of behavior for information system users
+
rules of behavior
+
signed acknowledgements
+
records for rules of behavior reviews and updates
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior
+
organizational personnel who are authorized users of the information system and have signed and resigned rules of behavior
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for establishing, reviewing, disseminating, and updating rules of behavior
+
automated mechanisms supporting and/or implementing the establishment, review, dissemination, and update of rules of behavior
+
+
+
+ SECURITY CONCEPT OF OPERATIONS
+
+ organization-defined frequency
+ organization-defined frequency
+
+ PL-7
+ P0
+
+
The organization:
+
+ PL-7a.
+
Develops a security Concept of Operations (CONOPS) for the information system containing at a minimum, how the organization intends to operate the system from the perspective of information security; and
+
+
+ PL-7b.
+
Reviews and updates the CONOPS .
+
+
+
+
The security CONOPS may be included in the security plan for the information system or in other system development life cycle-related documents, as appropriate. Changes to the CONOPS are reflected in ongoing updates to the security plan, the information security architecture, and other appropriate organizational documents (e.g., security specifications for procurements/acquisitions, system development life cycle documents, and systems/security engineering documents).
+
+
+
+
Determine if the organization:
+
+ PL-7(a)
+
develops a security Concept of Operations (CONOPS) for the information system containing at a minimum, how the organization intends to operate the system from the perspective of information security;
+
+
+ PL-7(b)
+
+ PL-7(b)[1]
+
defines the frequency to review and update the security CONOPS; and
+
+
+ PL-7(b)[2]
+
reviews and updates the security CONOPS with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Security planning policy
+
procedures addressing security CONOPS development
+
procedures addressing security CONOPS reviews and updates
+
security CONOPS for the information system
+
security plan for the information system
+
records of security CONOPS reviews and updates
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security planning and plan implementation responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for developing, reviewing, and updating the security CONOPS
+
automated mechanisms supporting and/or implementing the development, review, and update of the security CONOPS
+
+
+
+ INFORMATION SECURITY ARCHITECTURE
+
+ organization-defined frequency
+ organization-defined frequency
+
+ PL-8
+ P1
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PL-8a.
+
Develops an information security architecture for the information system that:
+
+ PL-8a.1.
+
Describes the overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information;
+
+
+ PL-8a.2.
+
Describes how the information security architecture is integrated into and supports the enterprise architecture; and
+
+
+ PL-8a.3.
+
Describes any information security assumptions about, and dependencies on, external services;
+
+
+
+ PL-8b.
+
Reviews and updates the information security architecture to reflect updates in the enterprise architecture; and
+
+
+ PL-8c.
+
Ensures that planned information security architecture changes are reflected in the security plan, the security Concept of Operations (CONOPS), and organizational procurements/acquisitions.
+
+
+
+
This control addresses actions taken by organizations in the design and development of information systems. The information security architecture at the individual information system level is consistent with and complements the more global, organization-wide information security architecture described in PM-7 that is integral to and developed as part of the enterprise architecture. The information security architecture includes an architectural description, the placement/allocation of security functionality (including security controls), security-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. In addition, the security architecture can include other important security-related information, for example, user roles and access privileges assigned to each role, unique security requirements, the types of information processed, stored, and transmitted by the information system, restoration priorities of information and information system services, and any other specific protection needs.
+In today�s modern architecture, it is becoming less common for organizations to control all information resources. There are going to be key dependencies on external information services and service providers. Describing such dependencies in the information security architecture is important to developing a comprehensive mission/business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational information systems is critical to implementing and maintaining an effective information security architecture. The development of the information security architecture is coordinated with the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to support privacy requirements are identified and effectively implemented. PL-8 is primarily directed at organizations (i.e., internally focused) to help ensure that organizations develop an information security architecture for the information system, and that the security architecture is integrated with or tightly coupled to the enterprise architecture through the organization-wide information security architecture. In contrast, SA-17 is primarily directed at external information technology product/system developers and integrators (although SA-17 could be used internally within organizations for in-house system development). SA-17, which is complementary to PL-8, is selected when organizations outsource the development of information systems or information system components to external entities, and there is a need to demonstrate/show consistency with the organization�s enterprise architecture and information security architecture.
The organization designs its security architecture using a defense-in-depth approach that:
+
+ PL-8 (1)(a)
+
Allocates to ; and
+
+
+ PL-8 (1)(b)
+
Ensures that the allocated security safeguards operate in a coordinated and mutually reinforcing manner.
+
+
+
+
Organizations strategically allocate security safeguards (procedural, technical, or both) in the security architecture so that adversaries have to overcome multiple safeguards to achieve their objective. Requiring adversaries to defeat multiple mechanisms makes it more difficult to successfully attack critical information resources (i.e., increases adversary work factor) and also increases the likelihood of detection. The coordination of allocated safeguards is essential to ensure that an attack that involves one safeguard does not create adverse unintended consequences (e.g., lockout, cascading alarms) by interfering with another safeguard. Placement of security safeguards is a key activity. Greater asset criticality or information value merits additional layering. Thus, an organization may choose to place anti-virus software at organizational boundary layers, email/web servers, notebook computers, and workstations to maximize the number of related safeguards adversaries must penetrate before compromising the information and information systems.
+
+
+
+
+
Determine if the organization:
+
+ PL-8(1)(a)
+
+ PL-8(1)(a)[1]
+
defines security safeguards to be allocated to locations and architectural layers within the design of its security architecture;
+
+
+ PL-8(1)(a)[2]
+
defines locations and architectural layers of its security architecture in which organization-defined security safeguards are to be allocated;
+
+
+ PL-8(1)(a)[3]
+
designs its security architecture using a defense-in-depth approach that allocates organization-defined security safeguards to organization-defined locations and architectural layers; and
+
+
+
+ PL-8(1)(b)
+
designs its security architecture using a defense-in-depth approach that ensures the allocated organization-defined security safeguards operate in a coordinated and mutually reinforcing manner.
+
+
+
+ EXAMINE
+
Security planning policy
+
procedures addressing information security architecture development
+
enterprise architecture documentation
+
information security architecture documentation
+
security plan for the information system
+
security CONOPS for the information system
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security planning and plan implementation responsibilities
+
organizational personnel with information security architecture development responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for designing the information security architecture
+
automated mechanisms supporting and/or implementing the design of the information security architecture
The organization requires that allocated to are obtained from different suppliers.
+
+
+
Different information technology products have different strengths and weaknesses. Providing a broad spectrum of products complements the individual offerings. For example, vendors offering malicious code protection typically update their products at different times, often developing solutions for known viruses, Trojans, or worms according to their priorities and development schedules. By having different products at different locations (e.g., server, boundary, desktop) there is an increased likelihood that at least one will detect the malicious code.
+
+
+
+
Determine if the organization:
+
+ PL-8(2)[1]
+
defines security safeguards to be allocated to locations and architectural layers within the design of its security architecture;
+
+
+ PL-8(2)[2]
+
defines locations and architectural layers of its security architecture in which organization-defined security safeguards are to be allocated; and
+
+
+ PL-8(2)[3]
+
requires that organization-defined security safeguards allocated to organization-defined locations and architectural layers are obtained from different suppliers.
+
+
+
+ EXAMINE
+
Security planning policy
+
procedures addressing information security architecture development
+
enterprise architecture documentation
+
information security architecture documentation
+
security plan for the information system
+
security CONOPS for the information system
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security planning and plan implementation responsibilities
+
organizational personnel with information security architecture development responsibilities
+
organizational personnel with acquisition responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for obtaining information security safeguards from different suppliers
+
+
+
+
Determine if the organization:
+
+ PL-8(a)
+
develops an information security architecture for the information system that describes:
+
+ PL-8(a)(1)
+
the overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information;
+
+
+ PL-8(a)(2)
+
how the information security architecture is integrated into and supports the enterprise architecture;
+
+
+ PL-8(a)(3)
+
any information security assumptions about, and dependencies on, external services;
+
+
+
+ PL-8(b)
+
+ PL-8(b)[1]
+
defines the frequency to review and update the information security architecture;
+
+
+ PL-8(b)[2]
+
reviews and updates the information security architecture with the organization-defined frequency to reflect updates in the enterprise architecture;
+
+
+
+ PL-8(c)
+
ensures that planned information security architecture changes are reflected in:
+
+ PL-8(c)[1]
+
the security plan;
+
+
+ PL-8(c)[2]
+
the security Concept of Operations (CONOPS); and
+
+
+ PL-8(c)[3]
+
the organizational procurements/acquisitions.
+
+
+
+
+ EXAMINE
+
Security planning policy
+
procedures addressing information security architecture development
+
procedures addressing information security architecture reviews and updates
+
enterprise architecture documentation
+
information security architecture documentation
+
security plan for the information system
+
security CONOPS for the information system
+
records of information security architecture reviews and updates
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security planning and plan implementation responsibilities
+
organizational personnel with information security architecture development responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for developing, reviewing, and updating the information security architecture
+
automated mechanisms supporting and/or implementing the development, review, and update of the information security architecture
+
+
+
+ CENTRAL MANAGEMENT
+
+ organization-defined security controls and related processes
+ organization-defined security controls and related processes
+
+ PL-9
+ P0
+
+
The organization centrally manages .
+
+
+
Central management refers to the organization-wide management and implementation of selected security controls and related processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed security controls and processes. As central management of security controls is generally associated with common controls, such management promotes and facilitates standardization of security control implementations and management and judicious use of organizational resources. Centrally-managed security controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate as part of organizational continuous monitoring. As part of the security control selection process, organizations determine which controls may be suitable for central management based on organizational resources and capabilities. Organizations consider that it may not always be possible to centrally manage every aspect of a security control. In such cases, the security control is treated as a hybrid control with the control managed and implemented either centrally or at the information system level. Controls and control enhancements that are candidates for full or partial central management include, but are not limited to: AC-2 (1) (2) (3) (4); AC-17 (1) (2) (3) (9); AC-18 (1) (3) (4) (5); AC-19 (4); AC-22; AC-23; AT-2 (1) (2); AT-3 (1) (2) (3); AT-4; AU-6 (1) (3) (5) (6) (9); AU-7 (1) (2); AU-11, AU-13, AU-16, CA-2 (1) (2) (3); CA-3 (1) (2) (3); CA-7 (1); CA-9; CM-2 (1) (2); CM-3 (1) (4); CM-4; CM-6 (1); CM-7 (4) (5); CM-8 (all); CM-9 (1); CM-10; CM-11; CP-7 (all); CP-8 (all); SC-43; SI-2; SI-3; SI-7; and SI-8.
+
+
+
Determine if the organization:
+
+ PL-9[1]
+
defines security controls and related processes to be centrally managed; and
+
+
+ PL-9[2]
+
centrally manages organization-defined security controls and related processes.
+
+
+
+ EXAMINE
+
Security planning policy
+
procedures addressing security plan development and implementation
+
security plan for the information system
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security planning and plan implementation responsibilities
+
organizational personnel with responsibilities for planning/implementing central management of security controls and related processes
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for central management of security controls and related processes
+
automated mechanisms supporting and/or implementing central management of security controls and related processes
+
+
+
+ NIST Special Publication 800-37
+
+
+
+
+
+ PERSONNEL SECURITY
+
+ PERSONNEL SECURITY POLICY AND PROCEDURES
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ PS-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PS-1a.
+
Develops, documents, and disseminates to :
+
+ PS-1a.1.
+
A personnel security policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ PS-1a.2.
+
Procedures to facilitate the implementation of the personnel security policy and associated personnel security controls; and
+
+
+
+ PS-1b.
+
Reviews and updates the current:
+
+ PS-1b.1.
+
Personnel security policy ; and
+
+
+ PS-1b.2.
+
Personnel security procedures .
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PS family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+
+
+
+
Determine if the organization:
+
+ PS-1(a)(1)
+
+ PS-1(a)(1)[1]
+
develops and documents an personnel security policy that addresses:
+
+ PS-1(a)(1)[1][a]
+
purpose;
+
+
+ PS-1(a)(1)[1][b]
+
scope;
+
+
+ PS-1(a)(1)[1][c]
+
roles;
+
+
+ PS-1(a)(1)[1][d]
+
responsibilities;
+
+
+ PS-1(a)(1)[1][e]
+
management commitment;
+
+
+ PS-1(a)(1)[1][f]
+
coordination among organizational entities;
+
+
+ PS-1(a)(1)[1][g]
+
compliance;
+
+
+
+ PS-1(a)(1)[2]
+
defines personnel or roles to whom the personnel security policy is to be disseminated;
+
+
+ PS-1(a)(1)[3]
+
disseminates the personnel security policy to organization-defined personnel or roles;
+
+
+
+ PS-1(a)(2)
+
+ PS-1(a)(2)[1]
+
develops and documents procedures to facilitate the implementation of the personnel security policy and associated personnel security controls;
+
+
+ PS-1(a)(2)[2]
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ PS-1(a)(2)[3]
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ PS-1(b)(1)
+
+ PS-1(b)(1)[1]
+
defines the frequency to review and update the current personnel security policy;
+
+
+ PS-1(b)(1)[2]
+
reviews and updates the current personnel security policy with the organization-defined frequency;
+
+
+
+ PS-1(b)(2)
+
+ PS-1(b)(2)[1]
+
defines the frequency to review and update the current personnel security procedures; and
+
+
+ PS-1(b)(2)[2]
+
reviews and updates the current personnel security procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Personnel security policy and procedures
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with access control responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ POSITION RISK DESIGNATION
+
+ organization-defined frequency
+ organization-defined frequency
+
+ PS-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PS-2a.
+
Assigns a risk designation to all organizational positions;
+
+
+ PS-2b.
+
Establishes screening criteria for individuals filling those positions; and
+
+
+ PS-2c.
+
Reviews and updates position risk designations .
+
+
+
+
Position risk designations reflect Office of Personnel Management policy and guidance. Risk designations can guide and inform the types of authorizations individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements (e.g., training, security clearances).
+
+
+
+
+
+
Determine if the organization:
+
+ PS-2(a)
+
assigns a risk designation to all organizational positions;
+
+
+ PS-2(b)
+
establishes screening criteria for individuals filling those positions;
+
+
+ PS-2(c)
+
+ PS-2(c)[1]
+
defines the frequency to review and update position risk designations; and
+
+
+ PS-2(c)[2]
+
reviews and updates position risk designations with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
Personnel security policy
+
procedures addressing position categorization
+
appropriate codes of federal regulations
+
list of risk designations for organizational positions
+
security plan
+
records of position risk designation reviews and updates
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with personnel security responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for assigning, reviewing, and updating position risk designations
+
organizational processes for establishing screening criteria
+
+
+
+ 5 C.F.R. 731.106
+
+
+
+
+ PERSONNEL SCREENING
+
+ organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening
+ organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening
+
+ PS-3
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PS-3a.
+
Screens individuals prior to authorizing access to the information system; and
+
+
+ PS-3b.
+
Rescreens individuals according to .
+
+
+
+
Personnel screening and rescreening activities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, guidance, and specific criteria established for the risk designations of assigned positions. Organizations may define different rescreening conditions and frequencies for personnel accessing information systems based on types of information processed, stored, or transmitted by the systems.
The organization ensures that individuals accessing an information system processing, storing, or transmitting classified information are cleared and indoctrinated to the highest classification level of the information to which they have access on the system.
+
+
+
+
+
+
+
Determine if the organization:
+
+ PS-3(1)[1]
+
ensures that individuals accessing an information system processing, storing, or transmitting classified information are cleared to the highest classification level of the information to which they have access on the system; and
+
+
+ PS-3(1)[2]
+
ensures that individuals accessing an information system processing, storing, or transmitting classified information are indoctrinated to the highest classification level of the information to which they have access on the system.
+
+
+
+ EXAMINE
+
Personnel security policy
+
procedures addressing personnel screening
+
records of screened personnel
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with personnel security responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for clearing and indoctrinating personnel for access to classified information
+
+
+
+ FORMAL INDOCTRINATION
+ PS-3 (2)
+
+
The organization ensures that individuals accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, are formally indoctrinated for all of the relevant types of information to which they have access on the system.
+
+
+
Types of classified information requiring formal indoctrination include, for example, Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information (SCI).
+
+
+
+
+
Determine if the organization ensures that individuals accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, are formally indoctrinated for all of the relevant types of information to which they have access on the system.
+
+
+ EXAMINE
+
Personnel security policy
+
procedures addressing personnel screening
+
records of screened personnel
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with personnel security responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for formal indoctrination for all relevant types of information to which personnel have access
+
+
+
+ INFORMATION WITH SPECIAL PROTECTION MEASURES
+
+ organization-defined additional personnel screening criteria
+ organization-defined additional personnel screening criteria
+
+ PS-3 (3)
+
+
The organization ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection:
+
+ PS-3 (3)(a)
+
Have valid access authorizations that are demonstrated by assigned official government duties; and
+
+
+ PS-3 (3)(b)
+
Satisfy .
+
+
+
+
Organizational information requiring special protection includes, for example, Controlled Unclassified Information (CUI) and Sources and Methods Information (SAMI). Personnel security criteria include, for example, position sensitivity background screening requirements.
+
+
+
Determine if the organization:
+
+ PS-3(3)(a)
+
ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection have valid access authorizations that are demonstrated by assigned official government duties;
+
+
+ PS-3(3)(b)
+
+ PS-3(3)(b)[1]
+
defines additional personnel screening criteria to be satisfied for individuals accessing an information system processing, storing, or transmitting information requiring special protection; and
+
+
+ PS-3(3)(b)[2]
+
ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection satisfy organization-defined additional personnel screening criteria.
+
+
+
+
+ EXAMINE
+
Personnel security policy
+
access control policy, procedures addressing personnel screening
+
records of screened personnel
+
screening criteria
+
records of access authorizations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with personnel security responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for ensuring valid access authorizations for information requiring special protection
+
organizational process for additional personnel screening for information requiring special protection
+
+
+
+
Determine if the organization:
+
+ PS-3(a)
+
screens individuals prior to authorizing access to the information system;
+
+
+ PS-3(b)
+
+ PS-3(b)[1]
+
defines conditions requiring re-screening;
+
+
+ PS-3(b)[2]
+
defines the frequency of re-screening where it is so indicated; and
+
+
+ PS-3(b)[3]
+
re-screens individuals in accordance with organization-defined conditions requiring re-screening and, where re-screening is so indicated, with the organization-defined frequency of such re-screening.
+
+
+
+
+ EXAMINE
+
Personnel security policy
+
procedures addressing personnel screening
+
records of screened personnel
+
security plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with personnel security responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for personnel screening
+
+
+
+ 5 C.F.R. 731.106
+
+
+ FIPS Publication 199
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-60
+
+
+ NIST Special Publication 800-73
+
+
+ NIST Special Publication 800-76
+
+
+ NIST Special Publication 800-78
+
+
+ ICD 704
+
+
+
+
+ PERSONNEL TERMINATION
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined information security topics
+ organization-defined information security topics
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined time period
+ organization-defined time period
+
+ PS-4
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization, upon termination of individual employment:
+
+ PS-4a.
+
Disables information system access within ;
+
+
+ PS-4b.
+
Terminates/revokes any authenticators/credentials associated with the individual;
+
+
+ PS-4c.
+
Conducts exit interviews that include a discussion of ;
+
+
+ PS-4d.
+
Retrieves all security-related organizational information system-related property;
+
+
+ PS-4e.
+
Retains access to organizational information and information systems formerly controlled by terminated individual; and
+
+
+ PS-4f.
+
Notifies within .
+
+
+
+
Information system-related property includes, for example, hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for information system-related property. Security topics of interest at exit interviews can include, for example, reminding terminated individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not be possible for some terminated individuals, for example, in cases related to job abandonment, illnesses, and nonavailability of supervisors. Exit interviews are important for individuals with security clearances. Timely execution of termination actions is essential for individuals terminated for cause. In certain situations, organizations consider disabling the information system accounts of individuals that are being terminated prior to the individuals being notified.
Notifies terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information; and
+
+
+ PS-4 (1)(b)
+
Requires terminated individuals to sign an acknowledgment of post-employment requirements as part of the organizational termination process.
+
+
+
+
Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.
+
+
+
Determine if the organization:
+
+ PS-4(1)(a)
+
notifies terminated individuals of applicable, legally binding, post-employment requirements for the protection of organizational information; and
+
+
+ PS-4(1)(b)
+
requires terminated individuals to sign an acknowledgement of post-employment requirements as part of the organizational termination process.
+
+
+
+ EXAMINE
+
Personnel security policy
+
procedures addressing personnel termination
+
signed post-employment acknowledgement forms
+
list of applicable, legally binding post-employment requirements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with personnel security responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for post-employment requirements
+
+
+
+ AUTOMATED NOTIFICATION
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+ PS-4 (2)
+ HIGH
+
+
The organization employs automated mechanisms to notify upon termination of an individual.
+
+
+
In organizations with a large number of employees, not all personnel who need to know about termination actions receive the appropriate notifications�or, if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to specific organizational personnel or roles (e.g., management personnel, supervisors, personnel security officers, information security officers, systems administrators, or information technology administrators) when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including, for example, telephonically, via electronic mail, via text message, or via websites.
+
+
+
Determine if the organization:
+
+ PS-4(2)[1]
+
defines personnel or roles to be notified upon termination of an individual; and
+
+
+ PS-4(2)[2]
+
employs automated mechanisms to notify organization-defined personnel or roles upon termination of an individual.
+
+
+
+ EXAMINE
+
Personnel security policy
+
procedures addressing personnel termination
+
information system design documentation
+
information system configuration settings and associated documentation
+
records of personnel termination actions
+
automated notifications of employee terminations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with personnel security responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for personnel termination
automated mechanisms for disabling information system access/revoking authenticators
+
+
+
+ PERSONNEL TRANSFER
+
+ organization-defined transfer or reassignment actions
+ organization-defined transfer or reassignment actions
+
+
+ organization-defined time period following the formal transfer action
+ organization-defined time period following the formal transfer action
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined time period
+ organization-defined time period
+
+ PS-5
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PS-5a.
+
Reviews and confirms ongoing operational need for current logical and physical access authorizations to information systems/facilities when individuals are reassigned or transferred to other positions within the organization;
+
+
+ PS-5b.
+
Initiates within ;
+
+
+ PS-5c.
+
Modifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and
+
+
+ PS-5d.
+
Notifies within .
+
+
+
+
This control applies when reassignments or transfers of individuals are permanent or of such extended durations as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include, for example: (i) returning old and issuing new keys, identification cards, and building passes; (ii) closing information system accounts and establishing new accounts; (iii) changing information system access authorizations (i.e., privileges); and (iv) providing for access to official records to which individuals had access at previous work locations and in previous information system accounts.
+
+
+
+
+
+
+
Determine if the organization:
+
+ PS-5(a)
+
when individuals are reassigned or transferred to other positions within the organization, reviews and confirms ongoing operational need for current:
+
+ PS-5(a)[1]
+
logical access authorizations to information systems;
+
+
+ PS-5(a)[2]
+
physical access authorizations to information systems and facilities;
+
+
+
+ PS-5(b)
+
+ PS-5(b)[1]
+
defines transfer or reassignment actions to be initiated following transfer or reassignment;
+
+
+ PS-5(b)[2]
+
defines the time period within which transfer or reassignment actions must occur following transfer or reassignment;
+
+
+ PS-5(b)[3]
+
initiates organization-defined transfer or reassignment actions within the organization-defined time period following transfer or reassignment;
+
+
+
+ PS-5(c)
+
modifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer;
+
+
+ PS-5(d)
+
+ PS-5(d)[1]
+
defines personnel or roles to be notified when individuals are reassigned or transferred to other positions within the organization;
+
+
+ PS-5(d)[2]
+
defines the time period within which to notify organization-defined personnel or roles when individuals are reassigned or transferred to other positions within the organization; and
+
+
+ PS-5(d)[3]
+
notifies organization-defined personnel or roles within the organization-defined time period when individuals are reassigned or transferred to other positions within the organization.
+
+
+
+
+ EXAMINE
+
Personnel security policy
+
procedures addressing personnel transfer
+
security plan
+
records of personnel transfer actions
+
list of information system and facility access authorizations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with personnel security responsibilities organizational personnel with account management responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for personnel transfer
+
automated mechanisms supporting and/or implementing personnel transfer notifications
+
automated mechanisms for disabling information system access/revoking authenticators
+
+
+
+ ACCESS AGREEMENTS
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ PS-6
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PS-6a.
+
Develops and documents access agreements for organizational information systems;
+
+
+ PS-6b.
+
Reviews and updates the access agreements ; and
+
+
+ PS-6c.
+
Ensures that individuals requiring access to organizational information and information systems:
+
+ PS-6c.1.
+
Sign appropriate access agreements prior to being granted access; and
+
+
+ PS-6c.2.
+
Re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or .
+
+
+
+
+
Access agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational information systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.
+
+
+
+
+
+
+
+ INFORMATION REQUIRING SPECIAL PROTECTION
+ PS-6 (1)
+
+
+
+ Incorporated into PS-3.
+
+
+
+ CLASSIFIED INFORMATION REQUIRING SPECIAL PROTECTION
+ PS-6 (2)
+
+
The organization ensures that access to classified information requiring special protection is granted only to individuals who:
+
+ PS-6 (2)(a)
+
Have a valid access authorization that is demonstrated by assigned official government duties;
+
+
+ PS-6 (2)(b)
+
Satisfy associated personnel security criteria; and
+
+
+ PS-6 (2)(c)
+
Have read, understood, and signed a nondisclosure agreement.
+
+
+
+
Classified information requiring special protection includes, for example, collateral information, Special Access Program (SAP) information, and Sensitive Compartmented Information (SCI). Personnel security criteria reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.
+
+
+
Determine if the organization ensures that access to classified information requiring special protection is granted only to individuals who:
+
+ PS-6(2)(a)
+
have a valid access authorization that is demonstrated by assigned official government duties;
+
+
+ PS-6(2)(b)
+
satisfy associated personnel security criteria; and
+
+
+ PS-6(2)(c)
+
have read, understood, and signed a nondisclosure agreement.
+
+
+
+ EXAMINE
+
Personnel security policy
+
procedures addressing access agreements for organizational information and information systems
+
access agreements
+
access authorizations
+
personnel security criteria
+
signed nondisclosure agreements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with personnel security responsibilities
+
organizational personnel who have signed nondisclosure agreements
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for access to classified information requiring special protection
Notifies individuals of applicable, legally binding post-employment requirements for protection of organizational information; and
+
+
+ PS-6 (3)(b)
+
Requires individuals to sign an acknowledgment of these requirements, if applicable, as part of granting initial access to covered information.
+
+
+
+
Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.
+
+
+
Determine if the organization:
+
+ PS-6(3)(a)
+
notifies individuals of applicable, legally binding post-employment requirements for protection of organizational information; and
+
+
+ PS-6(3)(b)
+
requires individuals to sign an acknowledgement of these requirements, if applicable, as part of granting initial access to covered information.
+
+
+
+ EXAMINE
+
Personnel security policy
+
procedures addressing access agreements for organizational information and information systems
+
signed post-employment acknowledgement forms
+
access agreements
+
list of applicable, legally binding post-employment requirements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with personnel security responsibilities
+
organizational personnel who have signed access agreements that include post-employment requirements
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for post-employment requirements
+
automated mechanisms supporting notifications and individual acknowledgements of post-employment requirements
+
+
+
+
Determine if the organization:
+
+ PS-6(a)
+
develops and documents access agreements for organizational information systems;
+
+
+ PS-6(b)
+
+ PS-6(b)[1]
+
defines the frequency to review and update the access agreements;
+
+
+ PS-6(b)[2]
+
reviews and updates the access agreements with the organization-defined frequency;
+
+
+
+ PS-6(c)
+
+ PS-6(c)(1)
+
ensures that individuals requiring access to organizational information and information systems sign appropriate access agreements prior to being granted access;
+
+
+ PS-6(c)(2)
+
+ PS-6(c)(2)[1]
+
defines the frequency to re-sign access agreements to maintain access to organizational information systems when access agreements have been updated;
+
+
+ PS-6(c)(2)[2]
+
ensures that individuals requiring access to organizational information and information systems re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or with the organization-defined frequency.
+
+
+
+
+
+ EXAMINE
+
Personnel security policy
+
procedures addressing access agreements for organizational information and information systems
+
security plan
+
access agreements
+
records of access agreement reviews and updates
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with personnel security responsibilities
+
organizational personnel who have signed/resigned access agreements
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for access agreements
+
automated mechanisms supporting access agreements
+
+
+
+ THIRD-PARTY PERSONNEL SECURITY
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined time period
+ organization-defined time period
+
+ PS-7
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PS-7a.
+
Establishes personnel security requirements including security roles and responsibilities for third-party providers;
+
+
+ PS-7b.
+
Requires third-party providers to comply with personnel security policies and procedures established by the organization;
+
+
+ PS-7c.
+
Documents personnel security requirements;
+
+
+ PS-7d.
+
Requires third-party providers to notify of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges within ; and
+
+
+ PS-7e.
+
Monitors provider compliance.
+
+
+
+
Third-party providers include, for example, service bureaus, contractors, and other organizations providing information system development, information technology services, outsourced applications, and network and security management. Organizations explicitly include personnel security requirements in acquisition-related documents. Third-party providers may have personnel working at organizational facilities with credentials, badges, or information system privileges issued by organizations. Notifications of third-party personnel changes ensure appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include, for example, functions, roles, and nature of credentials/privileges associated with individuals transferred or terminated.
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+ PS-7(a)
+
establishes personnel security requirements, including security roles and responsibilities, for third-party providers;
+
+
+ PS-7(b)
+
requires third-party providers to comply with personnel security policies and procedures established by the organization;
+
+
+ PS-7(c)
+
documents personnel security requirements;
+
+
+ PS-7(d)
+
+ PS-7(d)[1]
+
defines personnel or roles to be notified of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges;
+
+
+ PS-7(d)[2]
+
defines the time period within which third-party providers are required to notify organization-defined personnel or roles of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges;
+
+
+ PS-7(d)[3]
+
requires third-party providers to notify organization-defined personnel or roles within the organization-defined time period of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges; and
Organizational personnel with personnel security responsibilities
+
third-party providers
+
system/network administrators
+
organizational personnel with account management responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for managing and monitoring third-party personnel security
+
automated mechanisms supporting and/or implementing monitoring of provider compliance
+
+
+
+ NIST Special Publication 800-35
+
+
+
+
+ PERSONNEL SANCTIONS
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined time period
+ organization-defined time period
+
+ PS-8
+ P3
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ PS-8a.
+
Employs a formal sanctions process for individuals failing to comply with established information security policies and procedures; and
+
+
+ PS-8b.
+
Notifies within when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.
+
+
+
+
Organizational sanctions processes reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Sanctions processes are described in access agreements and can be included as part of general personnel policies and procedures for organizations. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions.
+
+
+
+
+
Determine if the organization:
+
+ PS-8(a)
+
employs a formal sanctions process for individuals failing to comply with established information security policies and procedures;
+
+
+ PS-8(b)
+
+ PS-8(b)[1]
+
defines personnel or roles to be notified when a formal employee sanctions process is initiated;
+
+
+ PS-8(b)[2]
+
defines the time period within which organization-defined personnel or roles must be notified when a formal employee sanctions process is initiated; and
+
+
+ PS-8(b)[3]
+
notifies organization-defined personnel or roles within the organization-defined time period when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.
+
+
+
+
+ EXAMINE
+
Personnel security policy
+
procedures addressing personnel sanctions
+
rules of behavior
+
records of formal sanctions
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with personnel security responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for managing personnel sanctions
+
+
+
+
+ RISK ASSESSMENT
+
+ RISK ASSESSMENT POLICY AND PROCEDURES
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ RA-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ RA-1a.
+
Develops, documents, and disseminates to :
+
+ RA-1a.1.
+
A risk assessment policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ RA-1a.2.
+
Procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls; and
+
+
+
+ RA-1b.
+
Reviews and updates the current:
+
+ RA-1b.1.
+
Risk assessment policy ; and
+
+
+ RA-1b.2.
+
Risk assessment procedures .
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the RA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+
+
+
+
Determine if the organization:
+
+ RA-1(a)(1)
+
+ RA-1(a)(1)[1]
+
develops and documents a risk assessment policy that addresses:
+
+ RA-1(a)(1)[1][a]
+
purpose;
+
+
+ RA-1(a)(1)[1][b]
+
scope;
+
+
+ RA-1(a)(1)[1][c]
+
roles;
+
+
+ RA-1(a)(1)[1][d]
+
responsibilities;
+
+
+ RA-1(a)(1)[1][e]
+
management commitment;
+
+
+ RA-1(a)(1)[1][f]
+
coordination among organizational entities;
+
+
+ RA-1(a)(1)[1][g]
+
compliance;
+
+
+
+ RA-1(a)(1)[2]
+
defines personnel or roles to whom the risk assessment policy is to be disseminated;
+
+
+ RA-1(a)(1)[3]
+
disseminates the risk assessment policy to organization-defined personnel or roles;
+
+
+
+ RA-1(a)(2)
+
+ RA-1(a)(2)[1]
+
develops and documents procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls;
+
+
+ RA-1(a)(2)[2]
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ RA-1(a)(2)[3]
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ RA-1(b)(1)
+
+ RA-1(b)(1)[1]
+
defines the frequency to review and update the current risk assessment policy;
+
+
+ RA-1(b)(1)[2]
+
reviews and updates the current risk assessment policy with the organization-defined frequency;
+
+
+
+ RA-1(b)(2)
+
+ RA-1(b)(2)[1]
+
defines the frequency to review and update the current risk assessment procedures; and
+
+
+ RA-1(b)(2)[2]
+
reviews and updates the current risk assessment procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
risk assessment policy and procedures
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with risk assessment responsibilities
+
organizational personnel with information security responsibilities
Categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+
+
+ RA-2b.
+
Documents the security categorization results (including supporting rationale) in the security plan for the information system; and
+
+
+ RA-2c.
+
Ensures that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.
+
+
+
+
Clearly defined authorization boundaries are a prerequisite for effective security categorization decisions. Security categories describe the potential adverse impacts to organizational operations, organizational assets, and individuals if organizational information and information systems are comprised through a loss of confidentiality, integrity, or availability. Organizations conduct the security categorization process as an organization-wide activity with the involvement of chief information officers, senior information security officers, information system owners, mission/business owners, and information owners/stewards. Organizations also consider the potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential national-level adverse impacts. Security categorization processes carried out by organizations facilitate the development of inventories of information assets, and along with CM-8, mappings to specific information system components where information is processed, stored, or transmitted.
+
+
+
+
+
+
+
Determine if the organization:
+
+ RA-2(a)
+
categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+
+
+ RA-2(b)
+
documents the security categorization results (including supporting rationale) in the security plan for the information system; and
+
+
+ RA-2(c)
+
ensures the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.
+
+
+
+ EXAMINE
+
Risk assessment policy
+
security planning policy and procedures
+
procedures addressing security categorization of organizational information and information systems
+
security plan
+
security categorization documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security categorization and risk assessment responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for security categorization
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-30
+
+
+ NIST Special Publication 800-39
+
+
+ NIST Special Publication 800-60
+
+
+
+
+ RISK ASSESSMENT
+
+ organization-defined document
+ organization-defined document
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ RA-3
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ RA-3a.
+
Conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of the information system and the information it processes, stores, or transmits;
Updates the risk assessment or whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security state of the system.
+
+
+
+
Clearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments take into account threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of information systems. Risk assessments also take into account risk from external parties (e.g., service providers, contractors operating information systems on behalf of the organization, individuals accessing organizational information systems, outsourcing entities). In accordance with OMB policy and related E-authentication initiatives, authentication of public users accessing federal information systems may also be required to protect nonpublic or privacy-related information. As such, organizational assessments of risk also address public access to federal information systems.
+Risk assessments (either formal or informal) can be conducted at all three tiers in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any phase in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including categorization, security control selection, security control implementation, security control assessment, information system authorization, and security control monitoring. RA-3 is noteworthy in that the control must be partially implemented prior to the implementation of other controls in order to complete the first two steps in the Risk Management Framework. Risk assessments can play an important role in security control selection processes, particularly during the application of tailoring guidance, which includes security control supplementation.
+
+
+
+
+
Determine if the organization:
+
+ RA-3(a)
+
conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of:
+
+ RA-3(a)[1]
+
the information system;
+
+
+ RA-3(a)[2]
+
the information the system processes, stores, or transmits;
+
+
+
+ RA-3(b)
+
+ RA-3(b)[1]
+
defines a document in which risk assessment results are to be documented (if not documented in the security plan or risk assessment report);
+
+
+ RA-3(b)[2]
+
documents risk assessment results in one of the following:
+
+ RA-3(b)[2][a]
+
the security plan;
+
+
+ RA-3(b)[2][b]
+
the risk assessment report; or
+
+
+ RA-3(b)[2][c]
+
the organization-defined document;
+
+
+
+
+ RA-3(c)
+
+ RA-3(c)[1]
+
defines the frequency to review risk assessment results;
+
+
+ RA-3(c)[2]
+
reviews risk assessment results with the organization-defined frequency;
+
+
+
+ RA-3(d)
+
+ RA-3(d)[1]
+
defines personnel or roles to whom risk assessment results are to be disseminated;
+
+
+ RA-3(d)[2]
+
disseminates risk assessment results to organization-defined personnel or roles;
+
+
+
+ RA-3(e)
+
+ RA-3(e)[1]
+
defines the frequency to update the risk assessment;
+
+
+ RA-3(e)[2]
+
updates the risk assessment:
+
+ RA-3(e)[2][a]
+
with the organization-defined frequency;
+
+
+ RA-3(e)[2][b]
+
whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities); and
+
+
+ RA-3(e)[2][c]
+
whenever there are other conditions that may impact the security state of the system.
+
+
+
+
+
+ EXAMINE
+
Risk assessment policy
+
security planning policy and procedures
+
procedures addressing organizational assessments of risk
+
security plan
+
risk assessment
+
risk assessment results
+
risk assessment reviews
+
risk assessment updates
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with risk assessment responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for risk assessment
+
automated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating, and updating the risk assessment
+
+
+
+ VULNERABILITY SCANNING
+
+ organization-defined frequency and/or randomly in accordance with organization-defined process
+ organization-defined frequency and/or randomly in accordance with organization-defined process
+
+
+ organization-defined response times
+ organization-defined response times
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+ RA-5
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ RA-5a.
+
Scans for vulnerabilities in the information system and hosted applications and when new vulnerabilities potentially affecting the system/applications are identified and reported;
+
+
+ RA-5b.
+
Employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:
+
+ RA-5b.1.
+
Enumerating platforms, software flaws, and improper configurations;
+
+
+ RA-5b.2.
+
Formatting checklists and test procedures; and
+
+
+ RA-5b.3.
+
Measuring vulnerability impact;
+
+
+
+ RA-5c.
+
Analyzes vulnerability scan reports and results from security control assessments;
+
+
+ RA-5d.
+
Remediates legitimate vulnerabilities in accordance with an organizational assessment of risk; and
+
+
+ RA-5e.
+
Shares information obtained from the vulnerability scanning process and security control assessments with to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).
+
+
+
+
Security categorization of information systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for all information system components, ensuring that potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. Vulnerability analyses for custom software applications may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Vulnerability scanning includes, for example: (i) scanning for patch levels; (ii) scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and (iii) scanning for improperly configured or incorrectly operating information flow control mechanisms. Organizations consider using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to determine/test for the presence of vulnerabilities. Suggested sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In addition, security control assessments such as red team exercises provide other sources of potential vulnerabilities for which to scan. Organizations also consider using tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).
The organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned.
+
+
+
The vulnerabilities to be scanned need to be readily updated as new vulnerabilities are discovered, announced, and scanning methods developed. This updating process helps to ensure that potential vulnerabilities in the information system are identified and addressed as quickly as possible.
+
+
+
+
+
Determine if the organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned.
+
+
+ EXAMINE
+
Procedures addressing vulnerability scanning
+
security plan
+
security assessment report
+
vulnerability scanning tools and associated configuration documentation
+
vulnerability scanning results
+
patch and vulnerability management records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with vulnerability scanning responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for vulnerability scanning
+
+
+
+ UPDATE BY FREQUENCY / PRIOR TO NEW SCAN / WHEN IDENTIFIED
+
+ organization-defined frequency
+ organization-defined frequency
+
+ RA-5 (2)
+ MODERATE
+ HIGH
+
+
The organization updates the information system vulnerabilities scanned [Selection (one or more): ; prior to a new scan; when new vulnerabilities are identified and reported].
+
+
+
+
+
+
+
Determine if the organization:
+
+ RA-5(2)[1]
+
defines the frequency to update the information system vulnerabilities scanned;
+
+
+ RA-5(2)[2]
+
updates the information system vulnerabilities scanned one or more of the following:
+
+ RA-5(2)[2][a]
+
with the organization-defined frequency;
+
+
+ RA-5(2)[2][b]
+
prior to a new scan; and/or
+
+
+ RA-5(2)[2][c]
+
when new vulnerabilities are identified and reported.
+
+
+
+
+ EXAMINE
+
Procedures addressing vulnerability scanning
+
security plan
+
security assessment report
+
vulnerability scanning tools and associated configuration documentation
+
vulnerability scanning results
+
patch and vulnerability management records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with vulnerability scanning responsibilities
+
organizational personnel with vulnerability scan analysis responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for vulnerability scanning
The organization employs vulnerability scanning procedures that can identify the breadth and depth of coverage (i.e., information system components scanned and vulnerabilities checked).
+
+
+
Determine if the organization employs vulnerability scanning procedures that can identify:
+
+ RA-5(3)[1]
+
the breadth of coverage (i.e., information system components scanned); and
+
+
+ RA-5(3)[2]
+
the depth of coverage (i.e., vulnerabilities checked).
+
+
+
+ EXAMINE
+
Procedures addressing vulnerability scanning
+
security plan
+
security assessment report
+
vulnerability scanning tools and associated configuration documentation
+
vulnerability scanning results
+
patch and vulnerability management records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with vulnerability scanning responsibilities
+
organizational personnel with vulnerability scan analysis responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for vulnerability scanning
The organization determines what information about the information system is discoverable by adversaries and subsequently takes .
+
+
+
Discoverable information includes information that adversaries could obtain without directly compromising or breaching the information system, for example, by collecting information the system is exposing or by conducting extensive searches of the web. Corrective actions can include, for example, notifying appropriate organizational personnel, removing designated information, or changing the information system to make designated information less relevant or attractive to adversaries.
+
+
+
+
Determine if the organization:
+
+ RA-5(4)[1]
+
defines corrective actions to be taken if information about the information system is discoverable by adversaries;
+
+
+ RA-5(4)[2]
+
determines what information about the information system is discoverable by adversaries; and
automated mechanisms supporting and/or implementing incident management and response
+
+
+
+ PRIVILEGED ACCESS
+
+ organization-identified information system components
+ organization-identified information system components
+
+
+ organization-defined vulnerability scanning activities
+ organization-defined vulnerability scanning activities
+
+ RA-5 (5)
+ MODERATE
+ HIGH
+
+
The information system implements privileged access authorization to for selected .
+
+
+
In certain situations, the nature of the vulnerability scanning may be more intrusive or the information system component that is the subject of the scanning may contain highly sensitive information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and also protects the sensitive nature of such scanning.
+
+
+
Determine if:
+
+ RA-5(5)[1]
+
the organization defines information system components to which privileged access is authorized for selected vulnerability scanning activities;
+
+
+ RA-5(5)[2]
+
the organization defines vulnerability scanning activities selected for privileged access authorization to organization-defined information system components; and
+
+
+ RA-5(5)[3]
+
the information system implements privileged access authorization to organization-defined information system components for selected organization-defined vulnerability scanning activities.
+
+
+
+ EXAMINE
+
Risk assessment policy
+
procedures addressing vulnerability scanning
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of information system components for vulnerability scanning
+
personnel access authorization list
+
authorization credentials
+
access authorization records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with vulnerability scanning responsibilities
+
system/network administrators
+
organizational personnel responsible for access control to the information system
+
organizational personnel responsible for configuration management of the information system
+
system developers
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for vulnerability scanning
+
organizational processes for access control
+
automated mechanisms supporting and/or implementing access control
The organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.
+
+
+
+
+
+
+
+
Determine if the organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.
+
+
+ EXAMINE
+
Risk assessment policy
+
procedures addressing vulnerability scanning
+
information system design documentation
+
vulnerability scanning tools and techniques documentation
+
vulnerability scanning results
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with vulnerability scanning responsibilities
+
organizational personnel with vulnerability scan analysis responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for vulnerability scanning
+
+
+
+ AUTOMATED DETECTION AND NOTIFICATION OF UNAUTHORIZED COMPONENTS
+ RA-5 (7)
+
+
+
+ Incorporated into CM-8.
+
+
+
+ REVIEW HISTORIC AUDIT LOGS
+ RA-5 (8)
+
+
The organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.
+
+
+
+
+
+
Determine if the organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.
+
+
+ EXAMINE
+
Risk assessment policy
+
procedures addressing vulnerability scanning
+
audit logs
+
records of audit log reviews
+
vulnerability scanning results
+
patch and vulnerability management records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with vulnerability scanning responsibilities
+
organizational personnel with vulnerability scan analysis responsibilities
+
+
organizational personnel with audit record review responsibilities
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for vulnerability scanning
+
organizational process for audit record review and response
The organization correlates the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors.
+
+
+
Determine if the organization correlates the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors.
+
+
+ EXAMINE
+
Risk assessment policy
+
procedures addressing vulnerability scanning
+
risk assessment
+
security plan
+
vulnerability scanning tools and techniques documentation
+
vulnerability scanning results
+
vulnerability management records
+
audit records
+
event/vulnerability correlation logs
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with vulnerability scanning responsibilities
+
organizational personnel with vulnerability scan analysis responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for vulnerability scanning
automated mechanisms implementing correlation of vulnerability scan results
+
+
+
+
Determine if the organization:
+
+ RA-5(a)
+
+ RA-5(a)[1]
+
+ RA-5(a)[1][a]
+
defines the frequency for conducting vulnerability scans on the information system and hosted applications; and/or
+
+
+ RA-5(a)[1][b]
+
defines the process for conducting random vulnerability scans on the information system and hosted applications;
+
+
+
+ RA-5(a)[2]
+
in accordance with the organization-defined frequency and/or organization-defined process for conducting random scans, scans for vulnerabilities in:
+
+ RA-5(a)[2][a]
+
the information system;
+
+
+ RA-5(a)[2][b]
+
hosted applications;
+
+
+
+ RA-5(a)[3]
+
when new vulnerabilities potentially affecting the system/applications are identified and reported, scans for vulnerabilities in:
+
+ RA-5(a)[3][a]
+
the information system;
+
+
+ RA-5(a)[3][b]
+
hosted applications;
+
+
+
+
+ RA-5(b)
+
employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:
+
+ RA-5(b)(1)
+
+ RA-5(b)(1)[1]
+
enumerating platforms;
+
+
+ RA-5(b)(1)[2]
+
enumerating software flaws;
+
+
+ RA-5(b)(1)[3]
+
enumerating improper configurations;
+
+
+
+ RA-5(b)(2)
+
+ RA-5(b)(2)[1]
+
formatting checklists;
+
+
+ RA-5(b)(2)[2]
+
formatting test procedures;
+
+
+
+ RA-5(b)(3)
+
measuring vulnerability impact;
+
+
+
+ RA-5(c)
+
+ RA-5(c)[1]
+
analyzes vulnerability scan reports;
+
+
+ RA-5(c)[2]
+
analyzes results from security control assessments;
+
+
+
+ RA-5(d)
+
+ RA-5(d)[1]
+
defines response times to remediate legitimate vulnerabilities in accordance with an organizational assessment of risk;
+
+
+ RA-5(d)[2]
+
remediates legitimate vulnerabilities within the organization-defined response times in accordance with an organizational assessment of risk;
+
+
+
+ RA-5(e)
+
+ RA-5(e)[1]
+
defines personnel or roles with whom information obtained from the vulnerability scanning process and security control assessments is to be shared;
+
+
+ RA-5(e)[2]
+
shares information obtained from the vulnerability scanning process with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies); and
+
+
+ RA-5(e)[3]
+
shares information obtained from security control assessments with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).
+
+
+
+
+ EXAMINE
+
Risk assessment policy
+
procedures addressing vulnerability scanning
+
risk assessment
+
security plan
+
security assessment report
+
vulnerability scanning tools and associated configuration documentation
+
vulnerability scanning results
+
patch and vulnerability management records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with risk assessment, security control assessment and vulnerability scanning responsibilities
+
organizational personnel with vulnerability scan analysis responsibilities
+
organizational personnel with vulnerability remediation responsibilities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for vulnerability scanning, analysis, remediation, and information sharing
+
automated mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing
The organization employs a technical surveillance countermeasures survey at [Selection (one or more): ; ].
+
+
+
Technical surveillance countermeasures surveys are performed by qualified personnel to detect the presence of technical surveillance devices/hazards and to identify technical security weaknesses that could aid in the conduct of technical penetrations of surveyed facilities. Such surveys provide evaluations of the technical security postures of organizations and facilities and typically include thorough visual, electronic, and physical examinations in and about surveyed facilities. The surveys also provide useful input into risk assessments and organizational exposure to potential adversaries.
+
+
+
Determine if the organization:
+
+ RA-6[1]
+
defines locations to employ technical surveillance countermeasure surveys;
+
+
+ RA-6[2]
+
defines a frequency to employ technical surveillance countermeasure surveys;
+
+
+ RA-6[3]
+
defines events or indicators which, if they occur, trigger a technical surveillance countermeasures survey;
+
+
+ RA-6[4]
+
employs a technical surveillance countermeasures survey at organization-defined locations one or more of the following:
+
+ RA-6[4][a]
+
with the organization-defined frequency; and/or
+
+
+ RA-6[4][b]
+
when organization-defined events or indicators occur.
+
+
+
+
+ SYSTEM AND SERVICES ACQUISITION
+
+ SYSTEM AND SERVICES ACQUISITION POLICY AND PROCEDURES
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ SA-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SA-1a.
+
Develops, documents, and disseminates to :
+
+ SA-1a.1.
+
A system and services acquisition policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ SA-1a.2.
+
Procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls; and
+
+
+
+ SA-1b.
+
Reviews and updates the current:
+
+ SA-1b.1.
+
System and services acquisition policy ; and
+
+
+ SA-1b.2.
+
System and services acquisition procedures .
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+
+
+
+
Determine if the organization:
+
+ SA-1(a)(1)
+
+ SA-1(a)(1)[1]
+
develops and documents a system and services acquisition policy that addresses:
+
+ SA-1(a)(1)[1][a]
+
purpose;
+
+
+ SA-1(a)(1)[1][b]
+
scope;
+
+
+ SA-1(a)(1)[1][c]
+
roles;
+
+
+ SA-1(a)(1)[1][d]
+
responsibilities;
+
+
+ SA-1(a)(1)[1][e]
+
management commitment;
+
+
+ SA-1(a)(1)[1][f]
+
coordination among organizational entities;
+
+
+ SA-1(a)(1)[1][g]
+
compliance;
+
+
+
+ SA-1(a)(1)[2]
+
defines personnel or roles to whom the system and services acquisition policy is to be disseminated;
+
+
+ SA-1(a)(1)[3]
+
disseminates the system and services acquisition policy to organization-defined personnel or roles;
+
+
+
+ SA-1(a)(2)
+
+ SA-1(a)(2)[1]
+
develops and documents procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls;
+
+
+ SA-1(a)(2)[2]
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ SA-1(a)(2)[3]
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ SA-1(b)(1)
+
+ SA-1(b)(1)[1]
+
defines the frequency to review and update the current system and services acquisition policy;
+
+
+ SA-1(b)(1)[2]
+
reviews and updates the current system and services acquisition policy with the organization-defined frequency;
+
+
+
+ SA-1(b)(2)
+
+ SA-1(b)(2)[1]
+
defines the frequency to review and update the current system and services acquisition procedures; and
+
+
+ SA-1(b)(2)[2]
+
reviews and updates the current system and services acquisition procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
System and services acquisition policy and procedures
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ ALLOCATION OF RESOURCES
+ SA-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SA-2a.
+
Determines information security requirements for the information system or information system service in mission/business process planning;
+
+
+ SA-2b.
+
Determines, documents, and allocates the resources required to protect the information system or information system service as part of its capital planning and investment control process; and
+
+
+ SA-2c.
+
Establishes a discrete line item for information security in organizational programming and budgeting documentation.
+
+
+
+
Resource allocation for information security includes funding for the initial information system or information system service acquisition and funding for the sustainment of the system/service.
+
+
+
+
+
Determine if the organization:
+
+ SA-2(a)
+
determines information security requirements for the information system or information system service in mission/business process planning;
+
+
+ SA-2(b)
+
to protect the information system or information system service as part of its capital planning and investment control process:
+
+ SA-2(b)[1]
+
determines the resources required;
+
+
+ SA-2(b)[2]
+
documents the resources required;
+
+
+ SA-2(b)[3]
+
allocates the resources required; and
+
+
+
+ SA-2(c)
+
establishes a discrete line item for information security in organizational programming and budgeting documentation.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing the allocation of resources to information security requirements
+
procedures addressing capital planning and investment control
+
organizational programming and budgeting documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with capital planning, investment control, organizational programming and budgeting responsibilities
+
organizational personnel responsible for determining information security requirements for information systems/services
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for determining information security requirements
+
organizational processes for capital planning, programming, and budgeting
+
automated mechanisms supporting and/or implementing organizational capital planning, programming, and budgeting
+
+
+
+ NIST Special Publication 800-65
+
+
+
+
+ SYSTEM DEVELOPMENT LIFE CYCLE
+
+ organization-defined system development life cycle
+ organization-defined system development life cycle
+
+ SA-3
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SA-3a.
+
Manages the information system using that incorporates information security considerations;
+
+
+ SA-3b.
+
Defines and documents information security roles and responsibilities throughout the system development life cycle;
+
+
+ SA-3c.
+
Identifies individuals having information security roles and responsibilities; and
+
+
+ SA-3d.
+
Integrates the organizational information security risk management process into system development life cycle activities.
+
+
+
+
A well-defined system development life cycle provides the foundation for the successful development, implementation, and operation of organizational information systems. To apply the required security controls within the system development life cycle requires a basic understanding of information security, threats, vulnerabilities, adverse impacts, and risk to critical missions/business functions. The security engineering principles in SA-8 cannot be properly applied if individuals that design, code, and test information systems and system components (including information technology products) do not understand security. Therefore, organizations include qualified personnel, for example, chief information security officers, security architects, security engineers, and information system security officers in system development life cycle activities to ensure that security requirements are incorporated into organizational information systems. It is equally important that developers include individuals on the development team that possess the requisite security expertise and skills to ensure that needed security capabilities are effectively integrated into the information system. Security awareness and training programs can help ensure that individuals having key security roles and responsibilities have the appropriate experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security requirements into enterprise architecture also helps to ensure that important security considerations are addressed early in the system development life cycle and that those considerations are directly related to the organizational mission/business processes. This process also facilitates the integration of the information security architecture into the enterprise architecture, consistent with organizational risk management and information security strategies.
+
+
+
+
+
+
Determine if the organization:
+
+ SA-3(a)
+
+ SA-3(a)[1]
+
defines a system development life cycle that incorporates information security considerations to be used to manage the information system;
+
+
+ SA-3(a)[2]
+
manages the information system using the organization-defined system development life cycle;
+
+
+
+ SA-3(b)
+
defines and documents information security roles and responsibilities throughout the system development life cycle;
+
+
+ SA-3(c)
+
identifies individuals having information security roles and responsibilities; and
+
+
+ SA-3(d)
+
integrates the organizational information security risk management process into system development life cycle activities.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing the integration of information security into the system development life cycle process
+
information system development life cycle documentation
+
information security risk management strategy/program documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security and system life cycle development responsibilities
+
organizational personnel with information security risk management responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for defining and documenting the SDLC
+
organizational processes for identifying SDLC roles and responsibilities
+
organizational process for integrating information security risk management into the SDLC
+
automated mechanisms supporting and/or implementing the SDLC
+
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-64
+
+
+
+
+ ACQUISITION PROCESS
+ SA-4
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:
+
+ SA-4a.
+
Security functional requirements;
+
+
+ SA-4b.
+
Security strength requirements;
+
+
+ SA-4c.
+
Security assurance requirements;
+
+
+ SA-4d.
+
Security-related documentation requirements;
+
+
+ SA-4e.
+
Requirements for protecting security-related documentation;
+
+
+ SA-4f.
+
Description of the information system development environment and environment in which the system is intended to operate; and
+
+
+ SA-4g.
+
Acceptance criteria.
+
+
+
+
Information system components are discrete, identifiable information technology assets (e.g., hardware, software, or firmware) that represent the building blocks of an information system. Information system components include commercial information technology products. Security functional requirements include security capabilities, security functions, and security mechanisms. Security strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to direct attack, and resistance to tampering or bypass. Security assurance requirements include: (i) development processes, procedures, practices, and methodologies; and (ii) evidence from development and assessment activities providing grounds for confidence that the required security functionality has been implemented and the required security strength has been achieved. Security documentation requirements address all phases of the system development life cycle.
+Security functionality, assurance, and documentation requirements are expressed in terms of security controls and control enhancements that have been selected through the tailoring process. The security control tailoring process includes, for example, the specification of parameter values through the use of assignment and selection statements and the specification of platform dependencies and implementation information. Security documentation provides user and administrator guidance regarding the implementation and operation of security controls. The level of detail required in security documentation is based on the security category or classification level of the information system and the degree to which organizations depend on the stated security capability, functions, or mechanisms to meet overall risk response expectations (as defined in the organizational risk management strategy). Security requirements can also include organizationally mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for information systems, information system components, and information system services are defined in the same manner as such criteria for any organizational acquisition or procurement. The Federal Acquisition Regulation (FAR) Section 7.103 contains information security requirements from FISMA.
The organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed.
+
+
+
Functional properties of security controls describe the functionality (i.e., security capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls.
+
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed.
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
+
solicitation documents
+
acquisition documentation
+
acquisition contracts for the information system, system component, or information system services
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with acquisition/contracting responsibilities
+
organizational personnel with responsibility for determining information system security functional requirements
+
information system developer or service provider
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for determining information system security functional, requirements
+
organizational processes for developing acquisition contracts
+
automated mechanisms supporting and/or implementing acquisitions and inclusion of security requirements in contracts
+
+
+
+ DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS
+
+ organization-defined design/implementation information
+ organization-defined design/implementation information
+
+
+ organization-defined level of detail
+ organization-defined level of detail
+
+ SA-4 (2)
+ MODERATE
+ HIGH
+
+
The organization requires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes: [Selection (one or more): security-relevant external system interfaces; high-level design; low-level design; source code or hardware schematics; ] at .
+
+
+
Organizations may require different levels of detail in design and implementation documentation for security controls employed in organizational information systems, system components, or information system services based on mission/business requirements, requirements for trustworthiness/resiliency, and requirements for analysis and testing. Information systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of multiple subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules with particular emphasis on software and firmware (but not excluding hardware) and the interfaces between modules providing security-relevant functionality. Source code and hardware schematics are typically referred to as the implementation representation of the information system.
+
+
+
+
Determine if the organization:
+
+ SA-4(2)[1]
+
defines level of detail that the developer is required to provide in design and implementation information for the security controls to be employed in the information system, system component, or information system service;
+
+
+ SA-4(2)[2]
+
defines design/implementation information that the developer is to provide for the security controls to be employed (if selected);
+
+
+ SA-4(2)[3]
+
requires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes, at the organization-defined level of detail, one or more of the following:
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
+
solicitation documents
+
acquisition documentation
+
acquisition contracts for the information system, system components, or information system services
+
design and implementation information for security controls employed in the information system, system component, or information system service
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with acquisition/contracting responsibilities
+
organizational personnel with responsibility for determining information system security requirements
+
information system developer or service provider
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for determining level of detail for system design and security controls
+
organizational processes for developing acquisition contracts
+
automated mechanisms supporting and/or implementing development of system design details
+
+
+
+ DEVELOPMENT METHODS / TECHNIQUES / PRACTICES
+
+ organization-defined state-of-the-practice system/security engineering methods, software development methods, testing/evaluation/validation techniques, and quality control processes
+ organization-defined state-of-the-practice system/security engineering methods, software development methods, testing/evaluation/validation techniques, and quality control processes
+
+ SA-4 (3)
+
+
The organization requires the developer of the information system, system component, or information system service to demonstrate the use of a system development life cycle that includes .
+
+
+
Following a well-defined system development life cycle that includes state-of-the-practice software development methods, systems/security engineering methods, quality control processes, and testing, evaluation, and validation techniques helps to reduce the number and severity of latent errors within information systems, system components, and information system services. Reducing the number/severity of such errors reduces the number of vulnerabilities in those systems, components, and services.
+
+
+
+
Determine if the organization:
+
+ SA-4(3)[1]
+
defines state-of-the-practice system/security engineering methods to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;
+
+
+ SA-4(3)[2]
+
defines software development methods to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;
+
+
+ SA-4(3)[3]
+
defines testing/evaluation/validation techniques to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;
+
+
+ SA-4(3)[4]
+
defines quality control processes to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;
+
+
+ SA-4(3)[5]
+
requires the developer of the information system, system component, or information system service to demonstrate the use of a system development life cycle that includes:
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-4 (5)(a)
+
Deliver the system, component, or service with implemented; and
+
+
+ SA-4 (5)(b)
+
Use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.
+
+
+
+
Security configurations include, for example, the U.S. Government Configuration Baseline (USGCB) and any limitations on functions, ports, protocols, and services. Security characteristics include, for example, requiring that all default passwords have been changed.
+
+
+
+
Determine if the organization:
+
+ SA-4(5)(a)
+
+ SA-4(5)(a)[1]
+
defines security configurations to be implemented by the developer of the information system, system component, or information system service;
+
+
+ SA-4(5)(a)[2]
+
requires the developer of the information system, system component, or information system service to deliver the system, component, or service with organization-defined security configurations implemented; and
+
+
+
+ SA-4(5)(b)
+
requires the developer of the information system, system component, or information system service to use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
+
solicitation documents
+
acquisition documentation
+
acquisition contracts for the information system, system component, or information system service
+
security configurations to be implemented by developer of the information system, system component, or information system service
+
service-level agreements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with acquisition/contracting responsibilities
+
organizational personnel with responsibility for determining information system security requirements
+
information system developer or service provider
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms used to verify that the configuration of the information system, component, or service, as delivered, is as specified
+
+
+
+ USE OF INFORMATION ASSURANCE PRODUCTS
+ SA-4 (6)
+
+
The organization:
+
+ SA-4 (6)(a)
+
Employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and
+
+
+ SA-4 (6)(b)
+
Ensures that these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures.
+
+
+
+
COTS IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management.
+
+
+
+
+
+
Determine if the organization:
+
+ SA-4(6)(a)
+
employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and
+
+
+ SA-4(6)(b)
+
ensures that these products have been evaluated and/or validated by the NSA or in accordance with NSA-approved procedures.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
+
solicitation documents
+
acquisition documentation
+
acquisition contracts for the information system, system component, or information system service
+
security configurations to be implemented by developer of the information system, system component, or information system service
+
service-level agreements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with acquisition/contracting responsibilities
+
organizational personnel with responsibility for determining information system security requirements
+
organizational personnel responsible for ensuring information assurance products are NSA-approved and are evaluated and/or validated products in accordance with NSA-approved procedures
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for selecting and employing evaluated and/or validated information assurance products and services that compose an NSA-approved solution to protect classified information
Limits the use of commercially provided information assurance (IA) and IA-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and
+
+
+ SA-4 (7)(b)
+
Requires, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated.
+
+
+
+
+
+
+
+
Determine if the organization:
+
+ SA-4(7)(a)
+
limits the use of commercially-provided information assurance (IA) and IA-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and
+
+
+ SA-4(7)(b)
+
requires, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
+
solicitation documents
+
acquisition documentation
+
acquisition contracts for the information system, system component, or information system service
+
NAIP-approved protection profiles
+
FIPS-validation information for cryptographic functionality
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with acquisition/contracting responsibilities
+
organizational personnel with responsibility for determining information system security requirements
+
organizational personnel responsible for ensuring information assurance products are have been evaluated against a NIAP-approved protection profile or for ensuring products relying on cryptographic functionality are FIPS-validated
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for selecting and employing products/services evaluated against a NIAP-approved protection profile or FIPS-validated products
+
+
+
+ CONTINUOUS MONITORING PLAN
+
+ organization-defined level of detail
+ organization-defined level of detail
+
+ SA-4 (8)
+
+
The organization requires the developer of the information system, system component, or information system service to produce a plan for the continuous monitoring of security control effectiveness that contains .
+
+
+
The objective of continuous monitoring plans is to determine if the complete set of planned, required, and deployed security controls within the information system, system component, or information system service continue to be effective over time based on the inevitable changes that occur. Developer continuous monitoring plans include a sufficient level of detail such that the information can be incorporated into the continuous monitoring strategies and programs implemented by organizations.
+
+
+
+
Determine if the organization:
+
+ SA-4(8)[1]
+
defines the level of detail the developer of the information system, system component, or information system service is required to provide when producing a plan for the continuous monitoring of security control effectiveness; and
+
+
+ SA-4(8)[2]
+
requires the developer of the information system, system component, or information system service to produce a plan for the continuous monitoring of security control effectiveness that contains the organization-defined level of detail.
+
+
+
+ FUNCTIONS / PORTS / PROTOCOLS / SERVICES IN USE
+ SA-4 (9)
+ MODERATE
+ HIGH
+
+
The organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle, the functions, ports, protocols, and services intended for organizational use.
+
+
+
The identification of functions, ports, protocols, and services early in the system development life cycle (e.g., during the initial requirements definition and design phases) allows organizations to influence the design of the information system, information system component, or information system service. This early involvement in the life cycle helps organizations to avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services (or when requiring information system service providers to do so). Early identification of functions, ports, protocols, and services avoids costly retrofitting of security controls after the information system, system component, or information system service has been implemented. SA-9 describes requirements for external information system services with organizations identifying which functions, ports, protocols, and services are provided from external sources.
+
+
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle:
+
+ SA-4(9)[1]
+
the functions intended for organizational use;
+
+
+ SA-4(9)[2]
+
the ports intended for organizational use;
+
+
+ SA-4(9)[3]
+
the protocols intended for organizational use; and
+
+
+ SA-4(9)[4]
+
the services intended for organizational use.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
+
information system design documentation
+
information system documentation including functions, ports, protocols, and services intended for organizational use
+
acquisition contracts for information systems or services
+
acquisition documentation
+
solicitation documentation
+
service-level agreements
+
organizational security requirements, descriptions, and criteria for developers of information systems, system components, and information system services
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with acquisition/contracting responsibilities
+
organizational personnel with responsibility for determining information system security requirements
+
system/network administrators
+
organizational personnel operating, using, and/or maintaining the information system
+
information system developers
+
organizational personnel with information security responsibilities
+
+
+
+ USE OF APPROVED PIV PRODUCTS
+ SA-4 (10)
+ LOW
+ MODERATE
+ HIGH
+
+
The organization employs only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational information systems.
+
+
+
+
+
+
+
Determine if the organization employs only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational information systems.
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
+
solicitation documentation
+
acquisition documentation
+
acquisition contracts for the information system, system component, or information system service
+
service-level agreements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with acquisition/contracting responsibilities
+
organizational personnel with responsibility for determining information system security requirements
+
organizational personnel with responsibility for ensuring only FIPS 201-approved products are implemented
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for selecting and employing FIPS 201-approved products
+
+
+
+
Determine if the organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contracts for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:
+
+ SA-4(a)
+
security functional requirements;
+
+
+ SA-4(b)
+
security strength requirements;
+
+
+ SA-4(c)
+
security assurance requirements;
+
+
+ SA-4(d)
+
security-related documentation requirements;
+
+
+ SA-4(e)
+
requirements for protecting security-related documentation;
+
+
+ SA-4(f)
+
description of:
+
+ SA-4(f)[1]
+
the information system development environment;
+
+
+ SA-4(f)[2]
+
the environment in which the system is intended to operate; and
+
+
+
+ SA-4(g)
+
acceptance criteria.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
+
acquisition contracts for the information system, system component, or information system service
+
information system design documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with acquisition/contracting responsibilities
+
organizational personnel with responsibility for determining information system security functional, strength, and assurance requirements
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for determining information system security functional, strength, and assurance requirements
+
organizational processes for developing acquisition contracts
+
automated mechanisms supporting and/or implementing acquisitions and inclusion of security requirements in contracts
+
+
+
+ HSPD-12
+
+
+ ISO/IEC 15408
+
+
+ FIPS Publication 140-2
+
+
+ FIPS Publication 201
+
+
+ NIST Special Publication 800-23
+
+
+ NIST Special Publication 800-35
+
+
+ NIST Special Publication 800-36
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-64
+
+
+ NIST Special Publication 800-70
+
+
+ NIST Special Publication 800-137
+
+
+ Federal Acquisition Regulation
+
+
+ http://www.niap-ccevs.org
+
+
+ http://fips201ep.cio.gov
+
+
+ http://www.acquisition.gov/far
+
+
+
+
+ INFORMATION SYSTEM DOCUMENTATION
+
+ organization-defined actions
+ organization-defined actions
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+ SA-5
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SA-5a.
+
Obtains administrator documentation for the information system, system component, or information system service that describes:
+
+ SA-5a.1.
+
Secure configuration, installation, and operation of the system, component, or service;
+
+
+ SA-5a.2.
+
Effective use and maintenance of security functions/mechanisms; and
+
+
+ SA-5a.3.
+
Known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions;
+
+
+
+ SA-5b.
+
Obtains user documentation for the information system, system component, or information system service that describes:
+
+ SA-5b.1.
+
User-accessible security functions/mechanisms and how to effectively use those security functions/mechanisms;
+
+
+ SA-5b.2.
+
Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner; and
+
+
+ SA-5b.3.
+
User responsibilities in maintaining the security of the system, component, or service;
+
+
+
+ SA-5c.
+
Documents attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent and takes in response;
+
+
+ SA-5d.
+
Protects documentation as required, in accordance with the risk management strategy; and
+
+
+ SA-5e.
+
Distributes documentation to .
+
+
+
+
This control helps organizational personnel understand the implementation and operation of security controls associated with information systems, system components, and information system services. Organizations consider establishing specific measures to determine the quality/completeness of the content provided. The inability to obtain needed documentation may occur, for example, due to the age of the information system/component or lack of support from developers and contractors. In those situations, organizations may need to recreate selected documentation if such documentation is essential to the effective implementation or operation of security controls. The level of protection provided for selected information system, component, or service documentation is commensurate with the security category or classification of the system. For example, documentation associated with a key DoD weapons system or command and control system would typically require a higher level of protection than a routine administrative system. Documentation that addresses information system vulnerabilities may also require an increased level of protection. Secure operation of the information system, includes, for example, initially starting the system and resuming secure system operation after any lapse in system operation.
obtains administrator documentation for the information system, system component, or information system service that describes:
+
+ SA-5(a)(1)
+
+ SA-5(a)(1)[1]
+
secure configuration of the system, system component, or service;
+
+
+ SA-5(a)(1)[2]
+
secure installation of the system, system component, or service;
+
+
+ SA-5(a)(1)[3]
+
secure operation of the system, system component, or service;
+
+
+
+ SA-5(a)(2)
+
+ SA-5(a)(2)[1]
+
effective use of the security features/mechanisms;
+
+
+ SA-5(a)(2)[2]
+
effective maintenance of the security features/mechanisms;
+
+
+
+ SA-5(a)(3)
+
known vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions;
+
+
+
+ SA-5(b)
+
obtains user documentation for the information system, system component, or information system service that describes:
+
+ SA-5(b)(1)
+
+ SA-5(b)(1)[1]
+
user-accessible security functions/mechanisms;
+
+
+ SA-5(b)(1)[2]
+
how to effectively use those functions/mechanisms;
+
+
+
+ SA-5(b)(2)
+
methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner;
+
+
+ SA-5(b)(3)
+
user responsibilities in maintaining the security of the system, component, or service;
+
+
+
+ SA-5(c)
+
+ SA-5(c)[1]
+
defines actions to be taken after documented attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent;
+
+
+ SA-5(c)[2]
+
documents attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent;
+
+
+ SA-5(c)[3]
+
takes organization-defined actions in response;
+
+
+
+ SA-5(d)
+
protects documentation as required, in accordance with the risk management strategy;
+
+
+ SA-5(e)
+
+ SA-5(e)[1]
+
defines personnel or roles to whom documentation is to be distributed; and
+
+
+ SA-5(e)[2]
+
distributes documentation to organization-defined personnel or roles.
+
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing information system documentation
+
information system documentation including administrator and user guides
+
records documenting attempts to obtain unavailable or nonexistent information system documentation
+
list of actions to be taken in response to documented attempts to obtain information system, system component, or information system service documentation
+
risk management strategy documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with acquisition/contracting responsibilities
+
organizational personnel with responsibility for determining information system security requirements
+
system administrators
+
organizational personnel operating, using, and/or maintaining the information system
+
information system developers
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for obtaining, protecting, and distributing information system administrator and user documentation
The organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system.
+
+
+
Organizations apply security engineering principles primarily to new development information systems or systems undergoing major upgrades. For legacy systems, organizations apply security engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware within those systems. Security engineering principles include, for example: (i) developing layered protections; (ii) establishing sound security policy, architecture, and controls as the foundation for design; (iii) incorporating security requirements into the system development life cycle; (iv) delineating physical and logical security boundaries; (v) ensuring that system developers are trained on how to build secure software; (vi) tailoring security controls to meet organizational and operational needs; (vii) performing threat modeling to identify use cases, threat agents, attack vectors, and attack patterns as well as compensating controls and design patterns needed to mitigate risk; and (viii) reducing risk to acceptable levels, thus enabling informed risk management decisions.
+
+
+
+
+
+
+
+
+
Determine if the organization applies information system security engineering principles in:
+
+ SA-8[1]
+
the specification of the information system;
+
+
+ SA-8[2]
+
the design of the information system;
+
+
+ SA-8[3]
+
the development of the information system;
+
+
+ SA-8[4]
+
the implementation of the information system; and
+
+
+ SA-8[5]
+
the modification of the information system.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing security engineering principles used in the specification, design, development, implementation, and modification of the information system
+
information system design documentation
+
information security requirements and specifications for the information system
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with acquisition/contracting responsibilities
+
organizational personnel with responsibility for determining information system security requirements
+
organizational personnel with information system specification, design, development, implementation, and modification responsibilities
+
information system developers
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for applying security engineering principles in information system specification, design, development, implementation, and modification
+
automated mechanisms supporting the application of security engineering principles in information system specification, design, development, implementation, and modification
+
+
+
+ NIST Special Publication 800-27
+
+
+
+
+ EXTERNAL INFORMATION SYSTEM SERVICES
+
+ organization-defined security controls
+ organization-defined security controls
+
+
+ organization-defined processes, methods, and techniques
+ organization-defined processes, methods, and techniques
+
+ SA-9
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SA-9a.
+
Requires that providers of external information system services comply with organizational information security requirements and employ in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+
+
+ SA-9b.
+
Defines and documents government oversight and user roles and responsibilities with regard to external information system services; and
+
+
+ SA-9c.
+
Employs to monitor security control compliance by external service providers on an ongoing basis.
+
+
+
+
External information system services are services that are implemented outside of the authorization boundaries of organizational information systems. This includes services that are used by, but not a part of, organizational information systems. FISMA and OMB policy require that organizations using external service providers that are processing, storing, or transmitting federal information or operating information systems on behalf of the federal government ensure that such providers meet the same security requirements that federal agencies are required to meet. Organizations establish relationships with external service providers in a variety of ways including, for example, through joint ventures, business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, and supply chain exchanges. The responsibility for managing risks from the use of external information system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a level of confidence that each participating provider in the potentially complex consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust varies based on the relationships between organizations and the external providers. Organizations document the basis for trust relationships so the relationships can be monitored over time. External information system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define expectations of performance for security controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.
Conducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services; and
+
+
+ SA-9 (1)(b)
+
Ensures that the acquisition or outsourcing of dedicated information security services is approved by .
+
+
+
+
Dedicated information security services include, for example, incident monitoring, analysis and response, operation of information security-related devices such as firewalls, or key management services.
+
+
+
+
+
Determine if the organization:
+
+ SA-9(1)(a)
+
conducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services;
+
+
+ SA-9(1)(b)
+
+ SA-9(1)(b)[1]
+
defines personnel or roles designated to approve the acquisition or outsourcing of dedicated information security services; and
+
+
+ SA-9(1)(b)[2]
+
ensures that the acquisition or outsourcing of dedicated information security services is approved by organization-defined personnel or roles.
+
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing external information system services
+
acquisition documentation
+
acquisition contracts for the information system, system component, or information system service
+
risk assessment reports
+
approval records for acquisition or outsourcing of dedicated information security services
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information system security responsibilities
+
external providers of information system services
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for conducting a risk assessment prior to acquiring or outsourcing dedicated information security services
+
organizational processes for approving the outsourcing of dedicated information security services
+
+
+
+ IDENTIFICATION OF FUNCTIONS / PORTS / PROTOCOLS / SERVICES
+
+ organization-defined external information system services
+ organization-defined external information system services
+
+ SA-9 (2)
+ MODERATE
+ HIGH
+
+
The organization requires providers of to identify the functions, ports, protocols, and other services required for the use of such services.
+
+
+
Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be particularly useful when the need arises to understand the trade-offs involved in restricting certain functions/services or blocking certain ports/protocols.
+
+
+
+
Determine if the organization:
+
+ SA-9(2)[1]
+
defines external information system services for which providers of such services are to identify the functions, ports, protocols, and other services required for the use of such services;
+
+
+ SA-9(2)[2]
+
requires providers of organization-defined external information system services to identify:
+
+ SA-9(2)[2][a]
+
the functions required for the use of such services;
+
+
+ SA-9(2)[2][b]
+
the ports required for the use of such services;
+
+
+ SA-9(2)[2][c]
+
the protocols required for the use of such services; and
+
+
+ SA-9(2)[2][d]
+
the other services required for the use of such services.
+
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing external information system services
+
acquisition contracts for the information system, system component, or information system service
The organization establishes, documents, and maintains trust relationships with external service providers based on .
+
+
+
The degree of confidence that the risk from using external services is at an acceptable level depends on the trust that organizations place in the external providers, individually or in combination. Trust relationships can help organization to gain increased levels of confidence that participating service providers are providing adequate protection for the services rendered. Such relationships can be complicated due to the number of potential entities participating in the consumer-provider interactions, subordinate relationships and levels of trust, and the types of interactions between the parties. In some cases, the degree of trust is based on the amount of direct control organizations are able to exert on external service providers with regard to employment of security controls necessary for the protection of the service/information and the evidence brought forth as to the effectiveness of those controls. The level of control is typically established by the terms and conditions of the contracts or service-level agreements and can range from extensive control (e.g., negotiating contracts or agreements that specify security requirements for the providers) to very limited control (e.g., using contracts or service-level agreements to obtain commodity services such as commercial telecommunications services). In other cases, levels of trust are based on factors that convince organizations that required security controls have been employed and that determinations of control effectiveness exist. For example, separately authorized external information system services provided to organizations through well-established business relationships may provide degrees of trust in such services within the tolerable risk range of the organizations using the services. External service providers may also outsource selected services to other external entities, making the trust relationship more difficult and complicated to manage. Depending on the nature of the services, organizations may find it very difficult to place significant trust in external providers. This is not due to any inherent untrustworthiness on the part of providers, but to the intrinsic level of risk in the services.
+
+
+
Determine if the organization:
+
+ SA-9(3)[1]
+
defines requirements, properties, factors, or conditions defining acceptable trust relationships;
+
+
+ SA-9(3)[2]
+
based on organization-defined requirements, properties, factors, or conditions defining acceptable trust relationships:
+
+ SA-9(3)[2][a]
+
establishes trust relationships with external service providers;
+
+
+ SA-9(3)[2][b]
+
documents trust relationships with external service providers; and
+
+
+ SA-9(3)[2][c]
+
maintains trust relationships with external service providers.
+
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing external information system services
+
acquisition contracts for the information system, system component, or information system service
documentation of trust relationships with external service providers
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
external providers of information system services
+
+
+
+ CONSISTENT INTERESTS OF CONSUMERS AND PROVIDERS
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined external service providers
+ organization-defined external service providers
+
+ SA-9 (4)
+
+
The organization employs to ensure that the interests of are consistent with and reflect organizational interests.
+
+
+
As organizations increasingly use external service providers, the possibility exists that the interests of the service providers may diverge from organizational interests. In such situations, simply having the correct technical, procedural, or operational safeguards in place may not be sufficient if the service providers that implement and control those safeguards are not operating in a manner consistent with the interests of the consuming organizations. Possible actions that organizations might take to address such concerns include, for example, requiring background checks for selected service provider personnel, examining ownership records, employing only trustworthy service providers (i.e., providers with which organizations have had positive experiences), and conducting periodic/unscheduled visits to service provider facilities.
+
+
+
Determine if the organization:
+
+ SA-9(4)[1]
+
defines external service providers whose interests are to be consistent with and reflect organizational interests;
+
+
+ SA-9(4)[2]
+
defines security safeguards to be employed to ensure that the interests of organization-defined external service providers are consistent with and reflect organizational interests; and
+
+
+ SA-9(4)[3]
+
employs organization-defined security safeguards to ensure that the interests of organization-defined external service providers are consistent with and reflect organizational interests.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing external information system services
+
acquisition contracts for the information system, system component, or information system service
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
organizational security requirements/safeguards for external service providers
+
personnel security policies for external service providers
+
assessments performed on external service providers
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
external providers of information system services
+
+
+ TEST
+
Organizational processes for defining and employing safeguards to ensure consistent interests with external service providers
+
automated mechanisms supporting and/or implementing safeguards to ensure consistent interests with external service providers
+
+
+
+ PROCESSING, STORAGE, AND SERVICE LOCATION
+
+ organization-defined locations
+ organization-defined locations
+
+
+ organization-defined requirements or conditions
+ organization-defined requirements or conditions
+
+ SA-9 (5)
+
+
The organization restricts the location of [Selection (one or more): information processing; information/data; information system services] to based on .
+
+
+
The location of information processing, information/data storage, or information system services that are critical to organizations can have a direct impact on the ability of those organizations to successfully execute their missions/business functions. This situation exists when external providers control the location of processing, storage or services. The criteria external providers use for the selection of processing, storage, or service locations may be different from organizational criteria. For example, organizations may want to ensure that data/information storage locations are restricted to certain locations to facilitate incident response activities (e.g., forensic analyses, after-the-fact investigations) in case of information security breaches/compromises. Such incident response activities may be adversely affected by the governing laws or protocols in the locations where processing and storage occur and/or the locations from which information system services emanate.
+
+
+
Determine if the organization:
+
+ SA-9(5)[1]
+
defines locations where organization-defined information processing, information/data, and/or information system services are to be restricted;
+
+
+ SA-9(5)[2]
+
defines requirements or conditions to restrict the location of information processing, information/data, and/or information system services;
+
+
+ SA-9(5)[3]
+
restricts the location of one or more of the following to organization-defined locations based on organization-defined requirements or conditions:
+
+ SA-9(5)[3][a]
+
information processing;
+
+
+ SA-9(5)[3][b]
+
information/data; and/or
+
+
+ SA-9(5)[3][c]
+
information services.
+
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing external information system services
+
acquisition contracts for the information system, system component, or information system service
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
restricted locations for information processing
+
information/data and/or information system services
+
information processing, information/data, and/or information system services to be maintained in restricted locations
+
organizational security requirements or conditions for external providers
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
external providers of information system services
+
+
+ TEST
+
Organizational processes for defining requirements to restrict locations of information processing, information/data, or information services
+
organizational processes for ensuring the location is restricted in accordance with requirements or conditions
+
+
+
+
Determine if the organization:
+
+ SA-9(a)
+
+ SA-9(a)[1]
+
defines security controls to be employed by providers of external information system services;
+
+
+ SA-9(a)[2]
+
requires that providers of external information system services comply with organizational information security requirements;
+
+
+ SA-9(a)[3]
+
requires that providers of external information system services employ organization-defined security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
+
+
+
+ SA-9(b)
+
+ SA-9(b)[1]
+
defines and documents government oversight with regard to external information system services;
+
+
+ SA-9(b)[2]
+
defines and documents user roles and responsibilities with regard to external information system services;
+
+
+
+ SA-9(c)
+
+ SA-9(c)[1]
+
defines processes, methods, and techniques to be employed to monitor security control compliance by external service providers; and
+
+
+ SA-9(c)[2]
+
employs organization-defined processes, methods, and techniques to monitor security control compliance by external service providers on an ongoing basis.
+
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing external information system services
+
procedures addressing methods and techniques for monitoring security control compliance by external service providers of information system services
+
acquisition contracts, service-level agreements
+
organizational security requirements and security specifications for external provider services
+
security control assessment evidence from external providers of information system services
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
external providers of information system services
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for monitoring security control compliance by external service providers on an ongoing basis
+
automated mechanisms for monitoring security control compliance by external service providers on an ongoing basis
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-10a.
+
Perform configuration management during system, component, or service [Selection (one or more): design; development; implementation; operation];
+
+
+ SA-10b.
+
Document, manage, and control the integrity of changes to ;
+
+
+ SA-10c.
+
Implement only organization-approved changes to the system, component, or service;
+
+
+ SA-10d.
+
Document approved changes to the system, component, or service and the potential security impacts of such changes; and
+
+
+ SA-10e.
+
Track security flaws and flaw resolution within the system, component, or service and report findings to .
+
+
+
+
This control also applies to organizations conducting internal information systems development and integration. Organizations consider the quality and completeness of the configuration management activities conducted by developers as evidence of applying effective security safeguards. Safeguards include, for example, protecting from unauthorized modification or destruction, the master copies of all material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the information system, information system component, or information system service requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes. Configuration items that are placed under configuration management (if existence/use is required by other security controls) include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and software/firmware source code with previous versions; and test fixtures and documentation. Depending on the mission/business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance phases of the life cycle.
The organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components.
+
+
+
This control enhancement allows organizations to detect unauthorized changes to software and firmware components through the use of tools, techniques, and/or mechanisms provided by developers. Integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components.
+
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components.
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing system developer configuration management
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system
+
system component, or information system service
+
system developer configuration management plan
+
software and firmware integrity verification records
+
system change authorization records
+
change control records
+
configuration management records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with configuration management responsibilities
+
system developers
+
+
+ TEST
+
Organizational processes for monitoring developer configuration management
+
automated mechanisms supporting and/or implementing the monitoring of developer configuration management
The organization provides an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team.
+
+
+
Alternate configuration management processes may be required, for example, when organizations use commercial off-the-shelf (COTS) information technology products. Alternate configuration management processes include organizational personnel that: (i) are responsible for reviewing/approving proposed changes to information systems, system components, and information system services; and (ii) conduct security impact analyses prior to the implementation of any changes to systems, components, or services (e.g., a configuration control board that considers security impacts of changes during development and includes representatives of both the organization and the developer, when applicable).
+
+
+
Determine if the organization provides an alternative configuration management process with organizational personnel in the absence of a dedicated developer configuration management team.
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing system developer configuration management
+
procedures addressing configuration management
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system
+
system component, or information system service
+
system developer configuration management plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with configuration management responsibilities
+
system developers
+
+
+ TEST
+
Organizational processes for monitoring developer configuration management
+
automated mechanisms supporting and/or implementing the monitoring of developer configuration management
The organization requires the developer of the information system, system component, or information system service to enable integrity verification of hardware components.
+
+
+
This control enhancement allows organizations to detect unauthorized changes to hardware components through the use of tools, techniques, and/or mechanisms provided by developers. Organizations verify the integrity of hardware components, for example, with hard-to-copy labels and verifiable serial numbers provided by developers, and by requiring the implementation of anti-tamper technologies. Delivered hardware components also include updates to such components.
+
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to enable integrity verification of hardware components.
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing system developer configuration management
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
system developer configuration management plan
+
hardware integrity verification records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with configuration management responsibilities
+
system developers
+
+
+ TEST
+
Organizational processes for monitoring developer configuration management
+
automated mechanisms supporting and/or implementing the monitoring of developer configuration management
+
+
+
+ TRUSTED GENERATION
+ SA-10 (4)
+
+
The organization requires the developer of the information system, system component, or information system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions and software/firmware source and object code with previous versions.
+
+
+
This control enhancement addresses changes to hardware, software, and firmware components between versions during development. In contrast, SA-10 (1) and SA-10 (3) allow organizations to detect unauthorized changes to hardware, software, and firmware components through the use of tools, techniques, and/or mechanisms provided by developers.
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to employ tools for comparing newly generated versions of:
+
+ SA-10(4)[1]
+
security-relevant hardware descriptions with previous versions; and
+
+
+ SA-10(4)[2]
+
software/firmware source and object code with previous versions.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing system developer configuration management
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
system developer configuration management plan
+
change control records
+
configuration management records
+
configuration control audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with configuration management responsibilities
+
system developers
+
+
+ TEST
+
Organizational processes for monitoring developer configuration management
+
automated mechanisms supporting and/or implementing the monitoring of developer configuration management
+
+
+
+ MAPPING INTEGRITY FOR VERSION CONTROL
+ SA-10 (5)
+
+
The organization requires the developer of the information system, system component, or information system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.
+
+
+
This control enhancement addresses changes to hardware, software, and firmware components during initial development and during system life cycle updates. Maintaining the integrity between the master copies of security-relevant hardware, software, and firmware (including designs and source code) and the equivalent data in master copies on-site in operational environments is essential to ensure the availability of organizational information systems supporting critical missions and/or business functions.
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing system developer configuration management
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
system developer configuration management plan
+
change control records
+
configuration management records
+
version control change/update records
+
integrity verification records between master copies of security-relevant hardware, software, and firmware (including designs and source code)
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with configuration management responsibilities
+
system developers
+
+
+ TEST
+
Organizational processes for monitoring developer configuration management
+
automated mechanisms supporting and/or implementing the monitoring of developer configuration management
+
+
+
+ TRUSTED DISTRIBUTION
+ SA-10 (6)
+
+
The organization requires the developer of the information system, system component, or information system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.
+
+
+
The trusted distribution of security-relevant hardware, software, and firmware updates helps to ensure that such updates are faithful representations of the master copies maintained by the developer and have not been tampered with during distribution.
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing system developer configuration management
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system
+
system component, or information system service
+
system developer configuration management plan
+
change control records
+
configuration management records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with configuration management responsibilities
+
system developers
+
+
+ TEST
+
Organizational processes for monitoring developer configuration management
+
automated mechanisms supporting and/or implementing the monitoring of developer configuration management
+
+
+
+
Determine if the organization:
+
+ SA-10(a)
+
requires the developer of the information system, system component, or information system service to perform configuration management during one or more of the following:
+
+ SA-10(a)[1]
+
system, component, or service design;
+
+
+ SA-10(a)[2]
+
system, component, or service development;
+
+
+ SA-10(a)[3]
+
system, component, or service implementation; and/or
+
+
+ SA-10(a)[4]
+
system, component, or service operation;
+
+
+
+ SA-10(b)
+
+ SA-10(b)[1]
+
defines configuration items to be placed under configuration management;
+
+
+ SA-10(b)[2]
+
requires the developer of the information system, system component, or information system service to:
+
+ SA-10(b)[2][a]
+
document the integrity of changes to organization-defined items under configuration management;
+
+
+ SA-10(b)[2][b]
+
manage the integrity of changes to organization-defined items under configuration management;
+
+
+ SA-10(b)[2][c]
+
control the integrity of changes to organization-defined items under configuration management;
+
+
+
+
+ SA-10(c)
+
requires the developer of the information system, system component, or information system service to implement only organization-approved changes to the system, component, or service;
+
+
+ SA-10(d)
+
requires the developer of the information system, system component, or information system service to document:
+
+ SA-10(d)[1]
+
approved changes to the system, component, or service;
+
+
+ SA-10(d)[2]
+
the potential security impacts of such changes;
+
+
+
+ SA-10(e)
+
+ SA-10(e)[1]
+
defines personnel to whom findings, resulting from security flaws and flaw resolution tracked within the system, component, or service, are to be reported;
+
+
+ SA-10(e)[2]
+
requires the developer of the information system, system component, or information system service to:
+
+ SA-10(e)[2][a]
+
track security flaws within the system, component, or service;
+
+
+ SA-10(e)[2][b]
+
track security flaw resolution within the system, component, or service; and
+
+
+ SA-10(e)[2][c]
+
report findings to organization-defined personnel.
+
+
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing system developer configuration management
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
system developer configuration management plan
+
security flaw and flaw resolution tracking records
+
system change authorization records
+
change control records
+
configuration management records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with configuration management responsibilities
+
system developers
+
+
+ TEST
+
Organizational processes for monitoring developer configuration management
+
automated mechanisms supporting and/or implementing the monitoring of developer configuration management
+
+
+
+ NIST Special Publication 800-128
+
+
+
+
+ DEVELOPER SECURITY TESTING AND EVALUATION
+
+ organization-defined depth and coverage
+ organization-defined depth and coverage
+
+ SA-11
+ P1
+ MODERATE
+ HIGH
+
+
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-11a.
+
Create and implement a security assessment plan;
+
+
+ SA-11b.
+
Perform [Selection (one or more): unit; integration; system; regression] testing/evaluation at ;
+
+
+ SA-11c.
+
Produce evidence of the execution of the security assessment plan and the results of the security testing/evaluation;
+
+
+ SA-11d.
+
Implement a verifiable flaw remediation process; and
+
+
+ SA-11e.
+
Correct flaws identified during security testing/evaluation.
+
+
+
+
Developmental security testing/evaluation occurs at all post-design phases of the system development life cycle. Such testing/evaluation confirms that the required security controls are implemented correctly, operating as intended, enforcing the desired security policy, and meeting established security requirements. Security properties of information systems may be affected by the interconnection of system components or changes to those components. These interconnections or changes (e.g., upgrading or replacing applications and operating systems) may adversely affect previously implemented security controls. This control provides additional types of security testing/evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Developers can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Security assessment plans provide the specific activities that developers plan to carry out including the types of analyses, testing, evaluation, and reviews of software and firmware components, the degree of rigor to be applied, and the types of artifacts produced during those processes. The depth of security testing/evaluation refers to the rigor and level of detail associated with the assessment process (e.g., black box, gray box, or white box testing). The coverage of security testing/evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security assessment plans, flaw remediation processes, and the evidence that the plans/processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.
The organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis.
+
+
+
Static code analysis provides a technology and methodology for security reviews. Such analysis can be used to identify security vulnerabilities and enforce security coding practices. Static code analysis is most effective when used early in the development process, when each code change can be automatically scanned for potential weaknesses. Static analysis can provide clear remediation guidance along with defects to enable developers to fix such defects. Evidence of correct implementation of static analysis can include, for example, aggregate defect density for critical defect types, evidence that defects were inspected by developers or security professionals, and evidence that defects were fixed. An excessively high density of ignored findings (commonly referred to as ignored or false positives) indicates a potential problem with the analysis process or tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources.
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis.
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing system developer security testing
+
procedures addressing flaw remediation
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
system developer security test plans
+
system developer security testing results
+
security flaw and remediation tracking records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with developer security testing responsibilities
+
organizational personnel with configuration management responsibilities
+
system developers
+
+
+ TEST
+
Organizational processes for monitoring developer security testing and evaluation
+
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
The organization requires the developer of the information system, system component, or information system service to perform threat and vulnerability analyses and subsequent testing/evaluation of the as-built system, component, or service.
+
+
+
Applications may deviate significantly from the functional and design specifications created during the requirements and design phases of the system development life cycle. Therefore, threat and vulnerability analyses of information systems, system components, and information system services prior to delivery are critical to the effective operation of those systems, components, and services. Threat and vulnerability analyses at this phase of the life cycle help to ensure that design or implementation changes have been accounted for, and that any new vulnerabilities created as a result of those changes have been reviewed and mitigated.
+
+
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to perform:
+
+ SA-11(2)[1]
+
threat analyses of the as-built, system component, or service;
+
+
+ SA-11(2)[2]
+
vulnerability analyses of the as-built, system component, or service; and
+
+
+ SA-11(2)[3]
+
subsequent testing/evaluation of the as-built, system component, or service.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing system developer security testing
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
system developer security test plans
+
records of developer security testing results for the information system, system component, or information system service
+
vulnerability scanning results
+
information system risk assessment reports
+
threat and vulnerability analysis reports
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with developer security testing responsibilities
+
system developers
+
+
+ TEST
+
Organizational processes for monitoring developer security testing and evaluation
+
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
Requires an independent agent satisfying to verify the correct implementation of the developer security assessment plan and the evidence produced during security testing/evaluation; and
+
+
+ SA-11 (3)(b)
+
Ensures that the independent agent is either provided with sufficient information to complete the verification process or granted the authority to obtain such information.
+
+
+
+
Independent agents have the necessary qualifications (i.e., expertise, skills, training, and experience) to verify the correct implementation of developer security assessment plans.
+
+
+
+
+
+
+
Determine if the organization:
+
+ SA-11(3)(a)
+
+ SA-11(3)(a)[1]
+
defines independence criteria that an independent agent is required to satisfy;
+
+
+ SA-11(3)(a)[2]
+
requires an independent agent satisfying organization-defined independence criteria to verify:
+
+ SA-11(3)(a)[2][a]
+
the correct implementation of the developer security assessment plan;
+
+
+ SA-11(3)(a)[2][b]
+
the evidence produced during security testing/evaluation;
+
+
+
+
+ SA-11(3)(b)
+
ensures that the independent agent is either:
+
+ SA-11(3)(b)[1]
+
provided with sufficient information to complete the verification process; or
+
+
+ SA-11(3)(b)[2]
+
granted the authority to obtain such information.
+
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing system developer security testing
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
independent verification and validation reports
+
security test and evaluation plans
+
security test and evaluation results for the information system, system component, or information system service
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with developer security testing responsibilities
+
system developers
+
independent verification agent
+
+
+ TEST
+
Organizational processes for monitoring developer security testing and evaluation
+
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
The organization requires the developer of the information system, system component, or information system service to perform a manual code review of using .
+
+
+
Manual code reviews are usually reserved for the critical software and firmware components of information systems. Such code reviews are uniquely effective at identifying weaknesses that require knowledge of the application�s requirements or context which are generally unavailable to more automated analytic tools and techniques such as static or dynamic analysis. Components benefiting from manual review include for example, verifying access control matrices against application controls and reviewing more detailed aspects of cryptographic implementations and controls.
+
+
+
Determine if the organization:
+
+ SA-11(4)[1]
+
defines specific code for which the developer of the information system, system component, or information system service is required to perform a manual code review;
+
+
+ SA-11(4)[2]
+
defines processes, procedures, and/or techniques to be used when the developer performs a manual code review of organization-defined specific code; and
+
+
+ SA-11(4)[3]
+
requires the developer of the information system, system component, or information system service to perform a manual code review of organization-defined specific code using organization-defined processes, procedures, and/or techniques.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing system developer security testing
+
processes, procedures, and/or techniques for performing manual code reviews
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
system developer security testing and evaluation plans
+
system developer security testing and evaluation results
+
list of code requiring manual reviews
+
records of manual code reviews
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with developer security testing responsibilities
+
system developers
+
independent verification agent
+
+
+ TEST
+
Organizational processes for monitoring developer security testing and evaluation
+
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
The organization requires the developer of the information system, system component, or information system service to perform penetration testing at and with .
+
+
+
Penetration testing is an assessment methodology in which assessors, using all available information technology product and/or information system documentation (e.g., product/system design specifications, source code, and administrator/operator manuals) and working under specific constraints, attempt to circumvent implemented security features of information technology products and information systems. Penetration testing can include, for example, white, gray, or black box testing with analyses performed by skilled security professionals simulating adversary actions. The objective of penetration testing is to uncover potential vulnerabilities in information technology products and information systems resulting from implementation errors, configuration faults, or other operational deployment weaknesses or deficiencies. Penetration tests can be performed in conjunction with automated and manual code reviews to provide greater levels of analysis than would ordinarily be possible.
+
+
+
Determine if the organization:
+
+ SA-11(5)[1]
+
defines for the developer of the information system, system component, or information system service:
+
+ SA-11(5)[1][a]
+
the breadth of penetration testing to be performed by the developer;
+
+
+ SA-11(5)[1][b]
+
the depth of penetration testing to be performed by the developer;
+
+
+
+ SA-11(5)[2]
+
defines constraints under which the developer is to perform penetration testing; and
+
+
+ SA-11(5)[3]
+
requires the developer of the information system, system component, or information system service to perform penetration testing at organization-defined breadth/depth and with organization-defined constraints.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing system developer security testing
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
system developer penetration testing and evaluation plans
+
system developer penetration testing and evaluation results
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with developer security testing responsibilities
+
system developers
+
independent verification agent
+
+
+ TEST
+
Organizational processes for monitoring developer security testing and evaluation
+
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
+
+
+
+ ATTACK SURFACE REVIEWS
+ SA-11 (6)
+
+
The organization requires the developer of the information system, system component, or information system service to perform attack surface reviews.
+
+
+
Attack surfaces of information systems are exposed areas that make those systems more vulnerable to cyber attacks. This includes any accessible areas where weaknesses or deficiencies in information systems (including the hardware, software, and firmware components) provide opportunities for adversaries to exploit vulnerabilities. Attack surface reviews ensure that developers: (i) analyze both design and implementation changes to information systems; and (ii) mitigate attack vectors generated as a result of the changes. Correction of identified flaws includes, for example, deprecation of unsafe functions.
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to perform attack surface reviews.
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing system developer security testing
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
system developer security testing and evaluation plans
+
system developer security testing and evaluation results
+
records of attack surface reviews
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with developer security testing responsibilities
+
organizational personnel with configuration management responsibilities
+
system developers
+
+
+ TEST
+
Organizational processes for monitoring developer security testing and evaluation
+
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
+
+
+
+ VERIFY SCOPE OF TESTING / EVALUATION
+
+ organization-defined depth of testing/evaluation
+ organization-defined depth of testing/evaluation
+
+ SA-11 (7)
+
+
The organization requires the developer of the information system, system component, or information system service to verify that the scope of security testing/evaluation provides complete coverage of required security controls at .
+
+
+
Verifying that security testing/evaluation provides complete coverage of required security controls can be accomplished by a variety of analytic techniques ranging from informal to formal. Each of these techniques provides an increasing level of assurance corresponding to the degree of formality of the analysis. Rigorously demonstrating security control coverage at the highest levels of assurance can be provided by the use of formal modeling and analysis techniques including correlation between control implementation and corresponding test cases.
+
+
+
Determine if the organization:
+
+ SA-11(7)[1]
+
defines the depth of testing/evaluation to ensure the scope of security/testing evaluation provides complete coverage of required security controls; and
+
+
+ SA-11(7)[2]
+
requires the developer of the information system, system component, or information system service to verify that the scope of security testing/evaluation provides complete coverage of required security controls at the organization-defined depth of testing/evaluation.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing system developer security testing
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
system developer security testing and evaluation plans
+
system developer security testing and evaluation results
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with developer security testing responsibilities
+
system developers
+
independent verification agent
+
+
+ TEST
+
Organizational processes for monitoring developer security testing and evaluation
+
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
+
+
+
+ DYNAMIC CODE ANALYSIS
+ SA-11 (8)
+
+
The organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.
+
+
+
Dynamic code analysis provides run-time verification of software programs, using tools capable of monitoring programs for memory corruption, user privilege issues, and other potential security problems. Dynamic code analysis employs run-time tools to help to ensure that security functionality performs in the manner in which it was designed. A specialized type of dynamic analysis, known as fuzz testing, induces program failures by deliberately introducing malformed or random data into software programs. Fuzz testing strategies derive from the intended use of applications and the functional and design specifications for the applications. To understand the scope of dynamic code analysis and hence the assurance provided, organizations may also consider conducting code coverage analysis (checking the degree to which the code has been tested using metrics such as percent of subroutines tested or percent of program statements called during execution of the test suite) and/or concordance analysis (checking for words that are out of place in software code such as non-English language words or derogatory terms).
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing system developer security testing
+
procedures addressing flaw remediation
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
system developer security test and evaluation plans
+
security test and evaluation results
+
security flaw and remediation tracking reports
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with developer security testing responsibilities
+
organizational personnel with configuration management responsibilities
+
system developers
+
+
+ TEST
+
Organizational processes for monitoring developer security testing and evaluation
+
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
+
+
+
+
Determine if the organization:
+
+ SA-11(a)
+
requires the developer of the information system, system component, or information system service to create and implement a security plan;
+
+
+ SA-11(b)
+
+ SA-11(b)[1]
+
defines the depth of testing/evaluation to be performed by the developer of the information system, system component, or information system service;
+
+
+ SA-11(b)[2]
+
defines the coverage of testing/evaluation to be performed by the developer of the information system, system component, or information system service;
+
+
+ SA-11(b)[3]
+
requires the developer of the information system, system component, or information system service to perform one or more of the following testing/evaluation at the organization-defined depth and coverage:
+
+ SA-11(b)[3][a]
+
unit testing/evaluation;
+
+
+ SA-11(b)[3][b]
+
integration testing/evaluation;
+
+
+ SA-11(b)[3][c]
+
system testing/evaluation; and/or
+
+
+ SA-11(b)[3][d]
+
regression testing/evaluation;
+
+
+
+
+ SA-11(c)
+
requires the developer of the information system, system component, or information system service to produce evidence of:
+
+ SA-11(c)[1]
+
the execution of the security assessment plan;
+
+
+ SA-11(c)[2]
+
the results of the security testing/evaluation;
+
+
+
+ SA-11(d)
+
requires the developer of the information system, system component, or information system service to implement a verifiable flaw remediation process; and
+
+
+ SA-11(e)
+
requires the developer of the information system, system component, or information system service to correct flaws identified during security testing/evaluation.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing system developer security testing
+
procedures addressing flaw remediation
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
system developer security test plans
+
records of developer security testing results for the information system, system component, or information system service
+
security flaw and remediation tracking records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with developer security testing responsibilities
+
system developers
+
+
+ TEST
+
Organizational processes for monitoring developer security testing and evaluation
+
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
The organization protects against supply chain threats to the information system, system component, or information system service by employing as part of a comprehensive, defense-in-breadth information security strategy.
+
+
+
Information systems (including system components that compose those systems) need to be protected throughout the system development life cycle (i.e., during design, development, manufacturing, packaging, assembly, distribution, system integration, operations, maintenance, and retirement). Protection of organizational information systems is accomplished through threat awareness, by the identification, management, and reduction of vulnerabilities at each phase of the life cycle and the use of complementary, mutually reinforcing strategies to respond to risk. Organizations consider implementing a standardized process to address supply chain risk with respect to information systems and system components, and to educate the acquisition workforce on threats, risk, and required security controls. Organizations use the acquisition/procurement processes to require supply chain entities to implement necessary security safeguards to: (i) reduce the likelihood of unauthorized modifications at each stage in the supply chain; and (ii) protect information systems and information system components, prior to taking delivery of such systems/components. This control also applies to information system services. Security safeguards include, for example: (i) security controls for development systems, development facilities, and external connections to development systems; (ii) vetting development personnel; and (iii) use of tamper-evident packaging during shipping/warehousing. Methods for reviewing and protecting development plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.
The organization employs for the purchase of the information system, system component, or information system service from suppliers.
+
+
+
The use of acquisition and procurement processes by organizations early in the system development life cycle provides an important vehicle to protect the supply chain. Organizations use available all-source intelligence analysis to inform the tailoring of acquisition strategies, tools, and methods. There are a number of different tools and techniques available (e.g., obscuring the end use of an information system or system component, using blind or filtered buys). Organizations also consider creating incentives for suppliers who: (i) implement required security safeguards; (ii) promote transparency into their organizational processes and security practices; (iii) provide additional vetting of the processes and security practices of subordinate suppliers, critical information system components, and services; (iv) restrict purchases from specific suppliers or countries; and (v) provide contract language regarding the prohibition of tainted or counterfeit components. In addition, organizations consider minimizing the time between purchase decisions and required delivery to limit opportunities for adversaries to corrupt information system components or products. Finally, organizations can use trusted/controlled distribution, delivery, and warehousing options to reduce supply chain risk (e.g., requiring tamper-evident packaging of information system components during shipping and warehousing).
+
+
+
+
Determine if the organization:
+
+ SA-12(1)[1]
+
defines the following to be employed for the purchase of the information system, system component, or information system service from suppliers:
+
+ SA-12(1)[1][a]
+
tailored acquisition strategies;
+
+
+ SA-12(1)[1][b]
+
contract tools;
+
+
+ SA-12(1)[1][c]
+
procurement methods; and
+
+
+
+ SA-12(1)[2]
+
employs organization-defined tailored acquisition strategies, contract tools, and procurement methods for the purchase of the information system, system component, or information system service from suppliers.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing supply chain protection
+
procedures addressing the integration of information security requirements into the acquisition process
+
procedures addressing the integration of acquisition strategies, contract tools, and procure methods into the acquisition process
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for information systems or services
+
purchase orders/requisitions for the information system
+
system component
+
or information system service from suppliers
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+
Organizational processes for defining and employing tailored acquisition strategies, contract tools, and procurement methods
+
automated mechanisms supporting and/or implementing the definition and employment of tailored acquisition strategies, contract tools, and procurement methods
+
+
+
+ SUPPLIER REVIEWS
+ SA-12 (2)
+
+
The organization conducts a supplier review prior to entering into a contractual agreement to acquire the information system, system component, or information system service.
+
+
+
Supplier reviews include, for example: (i) analysis of supplier processes used to design, develop, test, implement, verify, deliver, and support information systems, system components, and information system services; and (ii) assessment of supplier training and experience in developing systems, components, or services with the required security capability. These reviews provide organizations with increased levels of visibility into supplier activities during the system development life cycle to promote more effective supply chain risk management. Supplier reviews can also help to determine whether primary suppliers have security safeguards in place and a practice for vetting subordinate suppliers, for example, second- and third-tier suppliers, and any subcontractors.
+
+
+
Determine if the organization conducts a supplier review prior to entering into a contractual agreement to acquire the information system, system component, or information system service.
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing supply chain protection
+
procedures addressing the integration of information security requirements into the acquisition process
+
records of supplier due diligence reviews
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+
Organizational processes for conducting supplier reviews
The organization employs to limit harm from potential adversaries identifying and targeting the organizational supply chain.
+
+
+
Supply chain risk is part of the advanced persistent threat (APT). Security safeguards and countermeasures to reduce the probability of adversaries successfully identifying and targeting the supply chain include, for example: (i) avoiding the purchase of custom configurations to reduce the risk of acquiring information systems, components, or products that have been corrupted via supply chain actions targeted at specific organizations; (ii) employing a diverse set of suppliers to limit the potential harm from any given supplier in the supply chain; (iii) employing approved vendor lists with standing reputations in industry, and (iv) using procurement carve outs (i.e., exclusions to commitments or obligations).
+
+
+
Determine if the organization:
+
+ SA-12(5)[1]
+
defines security safeguards to be employed to limit harm from potential adversaries identifying and targeting the organizational supply chain; and
+
+
+ SA-12(5)[2]
+
employs organization-defined security safeguards to limit harm from potential adversaries identifying and targeting the organizational supply chain.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
configuration management policy
+
procedures addressing supply chain protection
+
procedures addressing the integration of information security requirements into the acquisition process
+
procedures addressing the baseline configuration of the information system
+
configuration management plan
+
information system design documentation
+
information system architecture and associated configuration documentation
+
solicitation documentation
+
acquisition documentation
+
acquisition contracts for the information system, system component, or information system service
+
list of security safeguards to be taken to protect organizational supply chain against potential supply chain threats
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+
Organizational processes for defining and employing safeguards to limit harm from adversaries of the organizational supply chain
+
automated mechanisms supporting and/or implementing the definition and employment of safeguards to protect the organizational supply chain
The organization conducts an assessment of the information system, system component, or information system service prior to selection, acceptance, or update.
+
+
+
Assessments include, for example, testing, evaluations, reviews, and analyses. Independent, third-party entities or organizational personnel conduct assessments of systems, components, products, tools, and services. Organizations conduct assessments to uncover unintentional vulnerabilities and intentional vulnerabilities including, for example, malicious code, malicious processes, defective software, and counterfeits. Assessments can include, for example, static analyses, dynamic analyses, simulations, white, gray, and black box testing, fuzz testing, penetration testing, and ensuring that components or services are genuine (e.g., using tags, cryptographic hash verifications, or digital signatures). Evidence generated during security assessments is documented for follow-on actions carried out by organizations.
+
+
+
+
+
Determine if the organization conducts an assessment of the information system, system component, or information system service prior to:
+
+ SA-12(7)[1]
+
selection;
+
+
+ SA-12(7)[2]
+
acceptance; or
+
+
+ SA-12(7)[3]
+
update.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing supply chain protection
+
procedures addressing the integration of information security requirements into the acquisition process
+
security test and evaluation results
+
vulnerability assessment results
+
penetration testing results
+
organizational risk assessment results
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+
Organizational processes for conducting assessments prior to selection, acceptance, or update
+
automated mechanisms supporting and/or implementing the conducting of assessments prior to selection, acceptance, or update
+
+
+
+ USE OF ALL-SOURCE INTELLIGENCE
+ SA-12 (8)
+
+
The organization uses all-source intelligence analysis of suppliers and potential suppliers of the information system, system component, or information system service.
+
+
+
All-source intelligence analysis is employed by organizations to inform engineering, acquisition, and risk management decisions. All-source intelligence consists of intelligence products and/or organizations and activities that incorporate all sources of information, most frequently including human intelligence, imagery intelligence, measurement and signature intelligence, signals intelligence, and open source data in the production of finished intelligence. Where available, such information is used to analyze the risk of both intentional and unintentional vulnerabilities from development, manufacturing, and delivery processes, people, and the environment. This review is performed on suppliers at multiple tiers in the supply chain sufficient to manage risks.
+
+
+
+
Determine if the organization uses all-source intelligence analysis of:
+
+ SA-12(8)[1]
+
suppliers of the information system, system component, or information system service; and
+
+
+ SA-12(8)[2]
+
potential suppliers of the information system, system component, or information system service.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing supply chain protection
+
solicitation documentation
+
acquisition documentation
+
acquisition contracts for the information system, system component, or information system service
+
records of all-source intelligence analyses
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+
Organizational processes for use of an all-source analysis of suppliers and potential suppliers
+
automated mechanisms supporting and/or implementing the use of all-source analysis of suppliers and potential suppliers
The organization employs in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service.
+
+
+
Supply chain information includes, for example: user identities; uses for information systems, information system components, and information system services; supplier identities; supplier processes; security requirements; design specifications; testing and evaluation results; and system/component configurations. This control enhancement expands the scope of OPSEC to include suppliers and potential suppliers. OPSEC is a process of identifying critical information and subsequently analyzing friendly actions attendant to operations and other activities to: (i) identify those actions that can be observed by potential adversaries; (ii) determine indicators that adversaries might obtain that could be interpreted or pieced together to derive critical information in sufficient time to cause harm to organizations; (iii) implement safeguards or countermeasures to eliminate or reduce to an acceptable level, exploitable vulnerabilities; and (iv) consider how aggregated information may compromise the confidentiality of users or uses of the supply chain. OPSEC may require organizations to withhold critical mission/business information from suppliers and may include the use of intermediaries to hide the end use, or users, of information systems, system components, or information system services.
+
+
+
Determine if the organization:
+
+ SA-12(9)[1]
+
defines Operations Security (OPSEC) safeguards to be employed in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service; and
+
+
+ SA-12(9)[2]
+
employs organization-defined OPSEC safeguards in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing supply chain protection
+
solicitation documentation
+
acquisition documentation
+
acquisition contracts for the information system, system component, or information system service
+
records of all-source intelligence analyses
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+
Organizational processes for defining and employing OPSEC safeguards
+
automated mechanisms supporting and/or implementing the definition and employment of OPSEC safeguards
+
+
+
+ VALIDATE AS GENUINE AND NOT ALTERED
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+ SA-12 (10)
+
+
The organization employs to validate that the information system or system component received is genuine and has not been altered.
+
+
+
For some information system components, especially hardware, there are technical means to help determine if the components are genuine or have been altered. Security safeguards used to validate the authenticity of information systems and information system components include, for example, optical/nanotechnology tagging and side-channel analysis. For hardware, detailed bill of material information can highlight the elements with embedded logic complete with component and production location.
+
+
+
Determine if the organization:
+
+ SA-12(10)[1]
+
defines security safeguards to be employed to validate that the information system or system component received is genuine and has not been altered; and
+
+
+ SA-12(10)[2]
+
employs organization-defined security safeguards to validate that the information system or system components received is genuine and has not been altered.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing supply chain protection
+
procedures address the integration of information security requirements into the acquisition process
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
evidentiary documentation (including applicable configurations) indicating the information system, system component, or information system service are genuine and have not been altered
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+
Organizational processes for defining and employing validation safeguards
+
automated mechanisms supporting and/or implementing the definition and employment of validation safeguards
+
+
+
+ PENETRATION TESTING / ANALYSIS OF ELEMENTS, PROCESSES, AND ACTORS
+
+ organization-defined supply chain elements, processes, and actors
+ organization-defined supply chain elements, processes, and actors
+
+ SA-12 (11)
+
+
The organization employs [Selection (one or more): organizational analysis, independent third-party analysis, organizational penetration testing, independent third-party penetration testing] of associated with the information system, system component, or information system service.
+
+
+
This control enhancement addresses analysis and/or testing of the supply chain, not just delivered items. Supply chain elements are information technology products or product components that contain programmable logic and that are critically important to information system functions. Supply chain processes include, for example: (i) hardware, software, and firmware development processes; (ii) shipping/handling procedures; (iii) personnel and physical security programs; (iv) configuration management tools/measures to maintain provenance; or (v) any other programs, processes, or procedures associated with the production/distribution of supply chain elements. Supply chain actors are individuals with specific roles and responsibilities in the supply chain. The evidence generated during analyses and testing of supply chain elements, processes, and actors is documented and used to inform organizational risk management activities and decisions.
+
+
+
+
Determine if the organization:
+
+ SA-12(11)[1]
+
defines supply chain:
+
+ SA-12(11)[1][a]
+
elements to be analyzed and/or tested;
+
+
+ SA-12(11)[1][b]
+
processes to be analyzed and/or tested;
+
+
+ SA-12(11)[1][c]
+
actors to be analyzed and/or tested;
+
+
+
+ SA-12(11)[2]
+
employs one or more of the following to analyze and/or test organization-defined supply chain elements, processes, and actors associated with the information system, system component, or information system service:
list of supply chain elements, processes, and actors (associated with the information system, system component, or information system service) subject to analysis and/or testing
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with supply chain protection responsibilities
+
organizational personnel with responsibilities for analyzing and/or testing supply chain elements, processes, and actors
+
+
+ TEST
+
Organizational processes for defining and employing methods of analysis/testing of supply chain elements, processes, and actors
+
automated mechanisms supporting and/or implementing the analysis/testing of supply chain elements, processes, and actors
The organization establishes inter-organizational agreements and procedures with entities involved in the supply chain for the information system, system component, or information system service.
+
+
+
The establishment of inter-organizational agreements and procedures provides for notification of supply chain compromises. Early notification of supply chain compromises that can potentially adversely affect or have adversely affected organizational information systems, including critical system components, is essential for organizations to provide appropriate responses to such incidents.
+
+
+
Determine if the organization establishes, with entities involved in the supply chain for the information system, system component, or information system service,:
+
+ SA-12(12)[1]
+
inter-organizational agreements; and
+
+
+ SA-12(12)[2]
+
inter-organizational procedures.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing supply chain protection
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
inter-organizational agreements and procedures
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+
Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities
+
+
+
+ CRITICAL INFORMATION SYSTEM COMPONENTS
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined critical information system components
+ organization-defined critical information system components
+
+ SA-12 (13)
+
+
The organization employs to ensure an adequate supply of .
+
+
+
Adversaries can attempt to impede organizational operations by disrupting the supply of critical information system components or corrupting supplier operations. Safeguards to ensure adequate supplies of critical information system components include, for example: (i) the use of multiple suppliers throughout the supply chain for the identified critical components; and (ii) stockpiling of spare components to ensure operation during mission-critical times.
+
+
+
Determine if the organization:
+
+ SA-12(13)[1]
+
defines critical information system components for which security safeguards are to be employed to ensure an adequate supply of such components;
+
+
+ SA-12(13)[2]
+
defines security safeguards to be employed to ensure an adequate supply of organization-defined critical information components; and
+
+
+ SA-12(13)[3]
+
employs organization-defined security safeguards to ensure an adequate supply of organization-defined critical information system components.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing supply chain protection
+
physical inventory of critical information system components
+
inventory records of critical information system components
+
list of security safeguards ensuring adequate supply of critical information system components
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+
Organizational processes for defining and employing security safeguards to ensure an adequate supply of critical information system components
+
automated mechanisms supporting and/or implementing the security safeguards that ensure an adequate supply of critical information system components
+
+
+
+ IDENTITY AND TRACEABILITY
+
+ organization-defined supply chain elements, processes, and actors
+ organization-defined supply chain elements, processes, and actors
+
+ SA-12 (14)
+
+
The organization establishes and retains unique identification of for the information system, system component, or information system service.
+
+
+
Knowing who and what is in the supply chains of organizations is critical to gaining visibility into what is happening within such supply chains, as well as monitoring and identifying high-risk events and activities. Without reasonable visibility and traceability into supply chains (i.e., elements, processes, and actors), it is very difficult for organizations to understand and therefore manage risk, and to reduce the likelihood of adverse events. Uniquely identifying acquirer and integrator roles, organizations, personnel, mission and element processes, testing and evaluation procedures, delivery mechanisms, support mechanisms, communications/delivery paths, and disposal/final disposition activities as well as the components and tools used, establishes a foundational identity structure for assessment of supply chain activities. For example, labeling (using serial numbers) and tagging (using radio-frequency identification [RFID] tags) individual supply chain elements including software packages, modules, and hardware devices, and processes associated with those elements can be used for this purpose. Identification methods are sufficient to support the provenance in the event of a supply chain issue or adverse supply chain event.
+
+
+
Determine if the organization:
+
+ SA-12(14)[1]
+
defines the following for the establishment and retention of unique identification:
+
+ SA-12(14)[1][a]
+
supply chain elements;
+
+
+ SA-12(14)[1][b]
+
supply chain processes;
+
+
+ SA-12(14)[1][c]
+
supply chain actors; and
+
+
+
+ SA-12(14)[2]
+
establishes and retains unique identification of organization-defined supply chain elements, processes, and actors for the information system, system component, or information system service.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing supply chain protection
+
procedures addressing the integration of information security requirements into the acquisition process
+
list of supply chain elements, processes, and actors (associated with the information system, system component, or information system service) requiring implementation of unique identification processes, procedures, tools, mechanisms, equipment, techniques and/or configurations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with supply chain protection responsibilities
+
organizational personnel with responsibilities for establishing and retaining unique identification of supply chain elements, processes, and actors
+
+
+ TEST
+
Organizational processes for defining, establishing, and retaining unique identification for supply chain elements, processes, and actors
+
automated mechanisms supporting and/or implementing the definition, establishment, and retention of unique identification for supply chain elements, processes, and actors
+
+
+
+ PROCESSES TO ADDRESS WEAKNESSES OR DEFICIENCIES
+ SA-12 (15)
+
+
The organization establishes a process to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements.
+
+
+
Evidence generated during independent or organizational assessments of supply chain elements (e.g., penetration testing, audits, verification/validation activities) is documented and used in follow-on processes implemented by organizations to respond to the risks related to the identified weaknesses and deficiencies. Supply chain elements include, for example, supplier development processes and supplier distribution systems.
+
+
+
Determine if the organization establishes a process to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements.
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing supply chain protection
+
procedures addressing weaknesses or deficiencies in supply chain elements
+
results of independent or organizational assessments of supply chain controls and processes
+
acquisition contracts, service-level agreements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+
Organizational processes for addressing weaknesses or deficiencies in supply chain elements
+
automated mechanisms supporting and/or implementing the addressing of weaknesses or deficiencies in supply chain elements
+
+
+
+
Determine if the organization:
+
+ SA-12[1]
+
defines security safeguards to be employed to protect against supply chain threats to the information system, system component, or information system service; and
+
+
+ SA-12[2]
+
protects against supply chain threats to the information system, system component, or information system service by employing organization-defined security safeguards as part of a comprehensive, defense-in-breadth information security strategy.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing supply chain protection
+
procedures addressing the integration of information security requirements into the acquisition process
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
list of supply chain threats
+
list of security safeguards to be taken against supply chain threats
+
system development life cycle documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with supply chain protection responsibilities
+
+
+ TEST
+
Organizational processes for defining safeguards for and protecting against supply chain threats
+
automated mechanisms supporting and/or implementing safeguards for supply chain threats
+
+
+
+ NIST Special Publication 800-161
+
+
+ NIST Interagency Report 7622
+
+
+
+
+ TRUSTWORTHINESS
+
+ organization-defined information system, information system component, or information system service
+ organization-defined information system, information system component, or information system service
+
+
+ organization-defined assurance overlay
+ organization-defined assurance overlay
+
+ SA-13
+ P0
+
+
The organization:
+
+ SA-13a.
+
Describes the trustworthiness required in the supporting its critical missions/business functions; and
+
+
+ SA-13b.
+
Implements to achieve such trustworthiness.
+
+
+
+
This control helps organizations to make explicit trustworthiness decisions when designing, developing, and implementing information systems that are needed to conduct critical organizational missions/business functions. Trustworthiness is a characteristic/property of an information system that expresses the degree to which the system can be expected to preserve the confidentiality, integrity, and availability of the information it processes, stores, or transmits. Trustworthy information systems are systems that are capable of being trusted to operate within defined levels of risk despite the environmental disruptions, human errors, and purposeful attacks that are expected to occur in the specified environments of operation. Trustworthy systems are important to mission/business success. Two factors affecting the trustworthiness of information systems include: (i) security functionality (i.e., the security features, functions, and/or mechanisms employed within the system and its environment of operation); and (ii) security assurance (i.e., the grounds for confidence that the security functionality is effective in its application). Developers, implementers, operators, and maintainers of organizational information systems can increase the level of assurance (and trustworthiness), for example, by employing well-defined security policy models, structured and rigorous hardware, software, and firmware development techniques, sound system/security engineering principles, and secure configuration settings (defined by a set of assurance-related security controls in Appendix E).
+Assurance is also based on the assessment of evidence produced during the system development life cycle. Critical missions/business functions are supported by high-impact systems and the associated assurance requirements for such systems. The additional assurance controls in Table E-4 in Appendix E (designated as optional) can be used to develop and implement high-assurance solutions for specific information systems and system components using the concept of overlays described in Appendix I. Organizations select assurance overlays that have been developed, validated, and approved for community adoption (e.g., cross-organization, governmentwide), limiting the development of such overlays on an organization-by-organization basis. Organizations can conduct criticality analyses as described in SA-14, to determine the information systems, system components, or information system services that require high-assurance solutions. Trustworthiness requirements and assurance overlays can be described in the security plans for organizational information systems.
+
+
+
+
+
+
+
+
Determine if the organization:
+
+ SA-13(a)
+
+ SA-13(a)[1]
+
defines information system, system component, or information system service for which the trustworthiness required is to be described;
+
+
+ SA-13(a)[2]
+
describes the trustworthiness required in organization-defined information system, information system component, or information system service supporting its critical mission/business functions;
+
+
+
+ SA-13(b)
+
+ SA-13(b)[1]
+
defines an assurance overlay to be implemented to achieve such trustworthiness; and
+
+
+ SA-13(b)[2]
+
organization implements the organization-defined assurance overlay to achieve such trustworthiness.
+
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing trustworthiness requirements for the information system, system component, or information system service
+
security plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
security categorization documentation/results
+
security authorization package for the information system, system component, or information system service
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
authorizing official
+
+
+
+ FIPS Publication 199
+
+
+ FIPS Publication 200
+
+
+ NIST Special Publication 800-53
+
+
+ NIST Special Publication 800-53A
+
+
+ NIST Special Publication 800-60
+
+
+ NIST Special Publication 800-64
+
+
+
+
+ CRITICALITY ANALYSIS
+
+ organization-defined information systems, information system components, or information system services
+ organization-defined information systems, information system components, or information system services
+
+
+ organization-defined decision points in the system development life cycle
+ organization-defined decision points in the system development life cycle
+
+ SA-14
+ P0
+
+
The organization identifies critical information system components and functions by performing a criticality analysis for at .
+
+
+
Criticality analysis is a key tenet of supply chain risk management and informs the prioritization of supply chain protection activities such as attack surface reduction, use of all-source intelligence, and tailored acquisition strategies. Information system engineers can conduct an end-to-end functional decomposition of an information system to identify mission-critical functions and components. The functional decomposition includes the identification of core organizational missions supported by the system, decomposition into the specific functions to perform those missions, and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and beyond the information system boundary. Information system components that allow for unmediated access to critical components or functions are considered critical due to the inherent vulnerabilities such components create. Criticality is assessed in terms of the impact of the function or component failure on the ability of the component to complete the organizational missions supported by the information system. A criticality analysis is performed whenever an architecture or design is being developed or modified, including upgrades.
+
+
+
+
+
+
+
+
+
+
+
+ CRITICAL COMPONENTS WITH NO VIABLE ALTERNATIVE SOURCING
+ SA-14 (1)
+
+
+
+ Incorporated into SA-20.
+
+
+
+
Determine if the organization:
+
+ SA-14[1]
+
defines information systems, information system components, or information system services requiring a criticality analysis to identify critical information system components and functions;
+
+
+ SA-14[2]
+
defines decision points in the system development life cycle when a criticality analysis is to be performed for organization-defined information systems, information system components, or information system services; and
+
+
+ SA-14[3]
+
identifies critical information system components and functions by performing a criticality analysis for organization-defined information systems, information system components, or information system services at organization-defined decisions points in the system development life cycle.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing criticality analysis requirements for information systems, security plan
+
contingency plan
+
list of information systems, information system components, or information system services requiring criticality analyses
+
list of critical information system components and functions identified by criticality analyses
+
criticality analysis documentation
+
business impact analysis documentation
+
system development life cycle documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibilities for performing criticality analysis for the information system
+
+
+
+ DEVELOPMENT PROCESS, STANDARDS, AND TOOLS
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined security requirements
+ organization-defined security requirements
+
+ SA-15
+ P2
+ HIGH
+
+
The organization:
+
+ SA-15a.
+
Requires the developer of the information system, system component, or information system service to follow a documented development process that:
+
+ SA-15a.1.
+
Explicitly addresses security requirements;
+
+
+ SA-15a.2.
+
Identifies the standards and tools used in the development process;
+
+
+ SA-15a.3.
+
Documents the specific tool options and tool configurations used in the development process; and
+
+
+ SA-15a.4.
+
Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and
+
+
+
+ SA-15b.
+
Reviews the development process, standards, tools, and tool options/configurations to determine if the process, standards, tools, and tool options/configurations selected and employed can satisfy .
+
+
+
+
Development tools include, for example, programming languages and computer-aided design (CAD) systems. Reviews of development processes can include, for example, the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes enables accurate supply chain risk assessment and mitigation, and requires robust configuration control throughout the life cycle (including design, development, transport, delivery, integration, and maintenance) to track authorized changes and prevent unauthorized changes.
+
+
+
+
+ QUALITY METRICS
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined program review milestones
+ organization-defined program review milestones
+
+ SA-15 (1)
+
+
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-15 (1)(a)
+
Define quality metrics at the beginning of the development process; and
+
+
+ SA-15 (1)(b)
+
Provide evidence of meeting the quality metrics [Selection (one or more): ; ; upon delivery].
+
+
+
+
Organizations use quality metrics to establish minimum acceptable levels of information system quality. Metrics may include quality gates which are collections of completion criteria or sufficiency standards representing the satisfactory execution of particular phases of the system development project. A quality gate, for example, may require the elimination of all compiler warnings or an explicit determination that the warnings have no impact on the effectiveness of required security capabilities. During the execution phases of development projects, quality gates provide clear, unambiguous indications of progress. Other metrics apply to the entire development project. These metrics can include defining the severity thresholds of vulnerabilities, for example, requiring no known vulnerabilities in the delivered information system with a Common Vulnerability Scoring System (CVSS) severity of Medium or High.
+
+
+
Determine if the organization:
+
+ SA-15(1)(a)
+
requires the developer of the information system, system component, or information system service to define quality metrics at the beginning of the development process;
+
+
+ SA-15(1)(b)
+
+ SA-15(1)(b)[1]
+
defines a frequency to provide evidence of meeting the quality metrics;
+
+
+ SA-15(1)(b)[2]
+
defines program review milestones to provide evidence of meeting the quality metrics;
+
+
+ SA-15(1)(b)[3]
+
requires the developer of the information system, system component, or information system service to provide evidence of meeting the quality metrics one or more of the following:
+
+ SA-15(1)(b)[3][a]
+
with the organization-defined frequency;
+
+
+ SA-15(1)(b)[3][b]
+
in accordance with the organization-defined program review milestones; and/or
+
+
+ SA-15(1)(b)[3][c]
+
upon delivery of the information system, system component, or information system service.
+
+
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing development process, standards, and tools
+
procedures addressing the integration of security requirements into the acquisition process
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
list of quality metrics
+
documentation evidence of meeting quality metrics
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
system developer
+
+
+
+ SECURITY TRACKING TOOLS
+ SA-15 (2)
+
+
The organization requires the developer of the information system, system component, or information system service to select and employ a security tracking tool for use during the development process.
+
+
+
Information system development teams select and deploy security tracking tools, including, for example, vulnerability/work item tracking systems that facilitate assignment, sorting, filtering, and tracking of completed work items or tasks associated with system development processes.
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to select and employ a security tracking tool for use during the development process.
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing development process, standards, and tools
+
procedures addressing the integration of security requirements into the acquisition process
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
list of quality metrics
+
documentation evidence of meeting quality metrics
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
system developer
+
+
+
+ CRITICALITY ANALYSIS
+
+ organization-defined breadth/depth
+ organization-defined breadth/depth
+
+
+ organization-defined decision points in the system development life cycle
+ organization-defined decision points in the system development life cycle
+
+ SA-15 (3)
+
+
The organization requires the developer of the information system, system component, or information system service to perform a criticality analysis at and at .
+
+
+
This control enhancement provides developer input to the criticality analysis performed by organizations in SA-14. Developer input is essential to such analysis because organizations may not have access to detailed design documentation for information system components that are developed as commercial off-the-shelf (COTS) information technology products (e.g., functional specifications, high-level designs, low-level designs, and source code/hardware schematics).
+
+
+
+
+
Determine if the organization:
+
+ SA-15(3)[1]
+
defines the breadth of criticality analysis to be performed by the developer of the information system, system component, or information system service;
+
+
+ SA-15(3)[2]
+
defines the depth of criticality analysis to be performed by the developer of the information system, system component, or information system service;
+
+
+ SA-15(3)[3]
+
defines decision points in the system development life cycle when a criticality analysis is to be performed for the information system, system component, or information system service; and
+
+
+ SA-15(3)[4]
+
requires the developer of the information system, system component, or information system service to perform a criticality analysis at the organization-defined breadth/depth and at organization-defined decision points in the system development life cycle.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing development process, standards, and tools
+
procedures addressing criticality analysis requirements for the information system, system component, or information system service
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
criticality analysis documentation
+
business impact analysis documentation
+
software development life cycle documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel responsibility for performing criticality analysis
+
system developer
+
+
+ TEST
+
Organizational processes for performing criticality analysis
+
+
+
+ THREAT MODELING / VULNERABILITY ANALYSIS
+
+ organization-defined breadth/depth
+ organization-defined breadth/depth
+
+
+ organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels
+ organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels
+
+
+ organization-defined tools and methods
+ organization-defined tools and methods
+
+
+ organization-defined acceptance criteria
+ organization-defined acceptance criteria
+
+ SA-15 (4)
+
+
The organization requires that developers perform threat modeling and a vulnerability analysis for the information system at that:
+
+ SA-15 (4)(a)
+
Uses ;
+
+
+ SA-15 (4)(b)
+
Employs ; and
+
+
+ SA-15 (4)(c)
+
Produces evidence that meets .
+
+
+
+
+
+
+
Determine if the organization:
+
+ SA-15(4)[1]
+
defines the breadth of threat modeling and vulnerability analysis to be performed by developers for the information system;
+
+
+ SA-15(4)[2]
+
defines the depth of threat modeling and vulnerability analysis to be performed by developers for the information system;
+
+
+ SA-15(4)[3]
+
defines information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels to be used in threat modeling and vulnerability analysis;
+
+
+ SA-15(4)[4]
+
defines tools and methods to be employed in threat modeling and vulnerability analysis;
+
+
+ SA-15(4)[5]
+
defines acceptance criteria for evidence produced from threat modeling and vulnerability analysis;
+
+
+ SA-15(4)[6]
+
requires that developers perform threat modeling and a vulnerability analysis for the information system at the organization-defined breadth/depth that:
+
+ SA-15(4)[6](a)
+
uses organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels;
+
+
+ SA-15(4)[6](b)
+
employs organization-defined tools and methods; and
+
+
+ SA-15(4)[6](c)
+
produces evidence that meets organization-defined acceptance criteria.
+
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing development process, standards, and tools
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
threat modeling documentation
+
vulnerability analysis results
+
organizational risk assessments
+
acceptance criteria for evidence produced from threat modeling and vulnerability analysis
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
system developer
+
+
+ TEST
+
Organizational processes for performing development threat modeling and vulnerability analysis
+
automated mechanisms supporting and/or implementing development threat modeling and vulnerability analysis
The organization requires the developer of the information system, system component, or information system service to reduce attack surfaces to .
+
+
+
Attack surface reduction is closely aligned with developer threat and vulnerability analyses and information system architecture and design. Attack surface reduction is a means of reducing risk to organizations by giving attackers less opportunity to exploit weaknesses or deficiencies (i.e., potential vulnerabilities) within information systems, information system components, and information system services. Attack surface reduction includes, for example, applying the principle of least privilege, employing layered defenses, applying the principle of least functionality (i.e., restricting ports, protocols, functions, and services), deprecating unsafe functions, and eliminating application programming interfaces (APIs) that are vulnerable to cyber attacks.
+
+
+
+
Determine if the organization:
+
+ SA-15(5)[1]
+
defines thresholds to which attack surfaces are to be reduced; and
+
+
+ SA-15(5)[2]
+
requires the developer of the information system, system component, or information system service to reduce attack surfaces to organization-defined thresholds.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing development process, standards, and tools
+
procedures addressing attack surface reduction
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, or information system service
+
information system design documentation
+
network diagram
+
information system configuration settings and associated documentation establishing/enforcing organization-defined thresholds for reducing attack surfaces
+
list of restricted ports, protocols, functions and services
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel responsibility for attack surface reduction thresholds
+
system developer
+
+
+ TEST
+
Organizational processes for defining attack surface reduction thresholds
+
+
+
+ CONTINUOUS IMPROVEMENT
+ SA-15 (6)
+
+
The organization requires the developer of the information system, system component, or information system service to implement an explicit process to continuously improve the development process.
+
+
+
Developers of information systems, information system components, and information system services consider the effectiveness/efficiency of current development processes for meeting quality objectives and addressing security capabilities in current threat environments.
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to implement an explicit process to continuously improve the development process.
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing development process, standards, and tools
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
quality goals and metrics for improving system development process
+
security assessments and/or quality control reviews of system development process
+
plans of action and milestones for improving system development process
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-15 (7)(a)
+
Perform an automated vulnerability analysis using ;
+
+
+ SA-15 (7)(b)
+
Determine the exploitation potential for discovered vulnerabilities;
+
+
+ SA-15 (7)(c)
+
Determine potential risk mitigations for delivered vulnerabilities; and
+
+
+ SA-15 (7)(d)
+
Deliver the outputs of the tools and results of the analysis to .
+
+
+
+
+
+
+
Determine if the organization:
+
+ SA-15(7)(a)
+
+ SA-15(7)(a)[1]
+
defines tools to be used to perform automated vulnerability analysis of the information system, system component, or information system service;
+
+
+ SA-15(7)(a)[2]
+
requires the developer of the information system, system component, or information system service to perform an automated vulnerability analysis using organization-defined tools;
+
+
+
+ SA-15(7)(b)
+
requires the developer of the information system, system component, or information system service to determine the exploitation potential for discovered vulnerabilities;
+
+
+ SA-15(7)(c)
+
requires the developer of the information system, system component, or information system service to determine potential risk mitigations for delivered vulnerabilities;
+
+
+ SA-15(7)(d)
+
+ SA-15(7)(d)[1]
+
defines personnel or roles to whom the output of the tools and results of the analysis are to be delivered; and
+
+
+ SA-15(7)(d)[2]
+
requires the developer of the information system, system component, or information system service to deliver the outputs of the tools and results of the analysis to organization-defined personnel or roles.
+
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing development process, standards, and tools
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
vulnerability analysis tools and associated documentation
+
risk assessment reports
+
vulnerability analysis results
+
vulnerability mitigation reports
+
risk mitigation strategy documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel performing automated vulnerability analysis on the information system
+
+
+ TEST
+
Organizational processes for vulnerability analysis of information systems, system components, or information system services under development
+
automated mechanisms supporting and/or implementing vulnerability analysis of information systems, system components, or information system services under development
+
+
+
+ REUSE OF THREAT / VULNERABILITY INFORMATION
+ SA-15 (8)
+
+
The organization requires the developer of the information system, system component, or information system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.
+
+
+
Analysis of vulnerabilities found in similar software applications can inform potential design or implementation issues for information systems under development. Similar information systems or system components may exist within developer organizations. Authoritative vulnerability information is available from a variety of public and private sector sources including, for example, the National Vulnerability Database.
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing development process, standards, and tools
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
threat modeling and vulnerability analyses from similar information systems, system components, or information system service
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
system developer
+
+
+
+ USE OF LIVE DATA
+ SA-15 (9)
+
+
The organization approves, documents, and controls the use of live data in development and test environments for the information system, system component, or information system service.
+
+
+
The use of live data in preproduction environments can result in significant risk to organizations. Organizations can minimize such risk by using test or dummy data during the development and testing of information systems, information system components, and information system services.
+
+
+
Determine if the organization, for the information system, system component, or information system service:
+
+ SA-15(9)[1]
+
approves the use of live data in development and test environments;
+
+
+ SA-15(9)[2]
+
documents the use of live data in development and test environments; and
+
+
+ SA-15(9)[3]
+
controls the use of live data in development and test environments.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing development process, standards, and tools
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
information system design documentation
+
information system configuration settings and associated documentation
+
documentation authorizing use of live data in development and test environments
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
system developer
+
+
+ TEST
+
Organizational processes for approving, documenting, and controlling the use of live data in development and test environments
+
automated mechanisms supporting and/or implementing the approval, documentation, and control of the use of live data in development and test environments
+
+
+
+ INCIDENT RESPONSE PLAN
+ SA-15 (10)
+
+
The organization requires the developer of the information system, system component, or information system service to provide an incident response plan.
+
+
+
The incident response plan for developers of information systems, system components, and information system services is incorporated into organizational incident response plans to provide the type of incident response information not readily available to organizations. Such information may be extremely helpful, for example, when organizations respond to vulnerabilities in commercial off-the-shelf (COTS) information technology products.
+
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to provide an incident response plan.
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing development process, standards, and tools
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, or services
+
acquisition documentation
+
solicitation documentation
+
service-level agreements
+
developer incident response plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
system developer
+
+
+
+ ARCHIVE INFORMATION SYSTEM / COMPONENT
+ SA-15 (11)
+
+
The organization requires the developer of the information system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security review.
+
+
+
Archiving relevant documentation from the development process can provide a readily available baseline of information that can be helpful during information system/component upgrades or modifications.
+
+
+
Determine if the organization requires the developer of the information system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security review.
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing development process, standards, and tools
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, or services
+
acquisition documentation
+
solicitation documentation
+
service-level agreements
+
developer incident response plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
system developer
+
+
+
+
Determine if the organization:
+
+ SA-15(a)
+
requires the developer of the information system, system component, or information system service to follow a documented development process that:
+
+ SA-15(a)(1)
+
explicitly addresses security requirements;
+
+
+ SA-15(a)(2)
+
identifies the standards and tools used in the development process;
+
+
+ SA-15(a)(3)
+
+ SA-15(a)(3)[1]
+
documents the specific tool options used in the development process;
+
+
+ SA-15(a)(3)[2]
+
documents the specific tool configurations used in the development process;
+
+
+
+ SA-15(a)(4)
+
+ SA-15(a)(4)[1]
+
documents changes to the process and/or tools used in the development;
+
+
+ SA-15(a)(4)[2]
+
manages changes to the process and/or tools used in the development;
+
+
+ SA-15(a)(4)[3]
+
ensures the integrity of changes to the process and/or tools used in the development;
+
+
+
+
+ SA-15(b)
+
+ SA-15(b)[1]
+
defines a frequency to review the development process, standards, tools, and tool options/configurations;
+
+
+ SA-15(b)[2]
+
defines security requirements to be satisfied by the process, standards, tools, and tool option/configurations selected and employed; and
+
+
+ SA-15(b)[3]
+
+ SA-15(b)[3][a]
+
reviews the development process with the organization-defined frequency to determine if the process selected and employed can satisfy organization-defined security requirements;
+
+
+ SA-15(b)[3][b]
+
reviews the development standards with the organization-defined frequency to determine if the standards selected and employed can satisfy organization-defined security requirements;
+
+
+ SA-15(b)[3][c]
+
reviews the development tools with the organization-defined frequency to determine if the tools selected and employed can satisfy organization-defined security requirements; and
+
+
+ SA-15(b)[3][d]
+
reviews the development tool options/configurations with the organization-defined frequency to determine if the tool options/configurations selected and employed can satisfy organization-defined security requirements.
+
+
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing development process, standards, and tools
+
procedures addressing the integration of security requirements during the development process
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
system developer documentation listing tool options/configuration guides, configuration management records
+
change control records
+
configuration control records
+
documented reviews of development process, standards, tools, and tool options/configurations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
system developer
+
+
+
+ DEVELOPER-PROVIDED TRAINING
+
+ organization-defined training
+ organization-defined training
+
+ SA-16
+ P2
+ HIGH
+
+
The organization requires the developer of the information system, system component, or information system service to provide on the correct use and operation of the implemented security functions, controls, and/or mechanisms.
+
+
+
This control applies to external and internal (in-house) developers. Training of personnel is an essential element to ensure the effectiveness of security controls implemented within organizational information systems. Training options include, for example, classroom-style training, web-based/computer-based training, and hands-on training. Organizations can also request sufficient training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security functions, controls, or mechanisms.
+
+
+
+
+
+
Determine if the organization:
+
+ SA-16[1]
+
defines training to be provided by the developer of the information system, system component, or information system service; and
+
+
+ SA-16[2]
+
requires the developer of the information system, system component, or information system service to provide organization-defined training on the correct use and operation of the implemented security functions, controls, and/or mechanisms.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing developer-provided training
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
developer-provided training materials
+
training records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information system security responsibilities
+
system developer
+
organizational or third-party developers with training responsibilities for the information system, system component, or information system service
+
+
+
+ DEVELOPER SECURITY ARCHITECTURE AND DESIGN
+ SA-17
+ P1
+ HIGH
+
+
The organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:
+
+ SA-17a.
+
Is consistent with and supportive of the organization�s security architecture which is established within and is an integrated part of the organization�s enterprise architecture;
+
+
+ SA-17b.
+
Accurately and completely describes the required security functionality, and the allocation of security controls among physical and logical components; and
+
+
+ SA-17c.
+
Expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.
+
+
+
+
This control is primarily directed at external developers, although it could also be used for internal (in-house) development. In contrast, PL-8 is primarily directed at internal developers to help ensure that organizations develop an information security architecture and such security architecture is integrated or tightly coupled to the enterprise architecture. This distinction is important if/when organizations outsource the development of information systems, information system components, or information system services to external entities, and there is a requirement to demonstrate consistency with the organization�s enterprise architecture and information security architecture.
+
+
+
+
+
+
+ FORMAL POLICY MODEL
+
+ organization-defined elements of organizational security policy
+ organization-defined elements of organizational security policy
+
+ SA-17 (1)
+
+
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17 (1)(a)
+
Produce, as an integral part of the development process, a formal policy model describing the to be enforced; and
+
+
+ SA-17 (1)(b)
+
Prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented.
+
+
+
+
Formal models describe specific behaviors or security policies using formal languages, thus enabling the correctness of those behaviors/policies to be formally proven. Not all components of information systems can be modeled, and generally, formal specifications are scoped to specific behaviors or policies of interest (e.g., nondiscretionary access control policies). Organizations choose the particular formal modeling language and approach based on the nature of the behaviors/policies to be described and the available tools. Formal modeling tools include, for example, Gypsy and Zed.
+
+
+
Determine if the organization:
+
+ SA-17(1)(a)
+
+ SA-17(1)(a)[1]
+
defines elements of the organizational security policy to be enforced under a formal policy model produced by the developer as an integral part of the development process for the information system, system component, or information system service;
+
+
+ SA-17(1)(a)[2]
+
requires the developer of the information system, system component, or information system service to produce, as an integral part of the development process, a formal policy model describing the organization-defined elements of organizational security policy to be enforced; and
+
+
+
+ SA-17(1)(b)
+
requires the developer of the information system, system component, or information system service to prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
enterprise architecture policy
+
procedures addressing developer security architecture and design specification for the information system
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
design specification and security architecture documentation for the system
+
information system design documentation
+
information system configuration settings and associated documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with security architecture and design responsibilities
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17 (2)(a)
+
Define security-relevant hardware, software, and firmware; and
+
+
+ SA-17 (2)(b)
+
Provide a rationale that the definition for security-relevant hardware, software, and firmware is complete.
+
+
+
+
Security-relevant hardware, software, and firmware represent the portion of the information system, component, or service that must be trusted to perform correctly in order to maintain required security properties.
+
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17(2)(a)
+
+ SA-17(2)(a)[1]
+
define security-relevant hardware;
+
+
+ SA-17(2)(a)[2]
+
define security-relevant software;
+
+
+ SA-17(2)(a)[3]
+
define security-relevant firmware; and
+
+
+
+ SA-17(2)(b)
+
provide a rationale that the definition for security-relevant hardware, software, and firmware components is complete.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
enterprise architecture policy
+
procedures addressing developer security architecture and design specification for the information system
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
list of security-relevant hardware, software, and firmware components
+
documented rationale of completeness regarding definitions provided for security-relevant hardware, software, and firmware
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
system developers
+
organizational personnel with security architecture and design responsibilities
+
+
+
+ FORMAL CORRESPONDENCE
+ SA-17 (3)
+
+
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17 (3)(a)
+
Produce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;
+
+
+ SA-17 (3)(b)
+
Show via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;
+
+
+ SA-17 (3)(c)
+
Show via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;
+
+
+ SA-17 (3)(d)
+
Show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and
+
+
+ SA-17 (3)(e)
+
Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware.
+
+
+
+
Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present have no impact on the behaviors or policies being modeled. Formal methods can be used to show that the high-level security properties are satisfied by the formal information system description, and that the formal system description is correctly implemented by a description of some lower level, for example a hardware description. Consistency between the formal top-level specification and the formal policy models is generally not amenable to being fully proven. Therefore, a combination of formal/informal methods may be needed to show such consistency. Consistency between the formal top-level specification and the implementation may require the use of an informal demonstration due to limitations in the applicability of formal methods to prove that the specification accurately reflects the implementation. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include, for example, mapping registers and direct memory input/output.
+
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17(3)(a)
+
produce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of:
+
+ SA-17(3)(a)[1]
+
exceptions;
+
+
+ SA-17(3)(a)[2]
+
error messages;
+
+
+ SA-17(3)(a)[3]
+
effects;
+
+
+
+ SA-17(3)(b)
+
show via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;
+
+
+ SA-17(3)(c)
+
show via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;
+
+
+ SA-17(3)(d)
+
show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and
+
+
+ SA-17(3)(e)
+
describe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
enterprise architecture policy
+
formal policy model
+
procedures addressing developer security architecture and design specification for the information system
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
formal top-level specification documentation
+
information system security architecture and design documentation
+
information system design documentation
+
information system configuration settings and associated documentation
+
documentation describing security-relevant hardware, software and firmware mechanisms not addressed in the formal top-level specification documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with security architecture and design responsibilities
+
+
+
+ INFORMAL CORRESPONDENCE
+ SA-17 (4)
+
+
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17 (4)(a)
+
Produce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;
+
+
+ SA-17 (4)(b)
+
Show via [Selection: informal demonstration, convincing argument with formal methods as feasible] that the descriptive top-level specification is consistent with the formal policy model;
+
+
+ SA-17 (4)(c)
+
Show via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;
+
+
+ SA-17 (4)(d)
+
Show that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware; and
+
+
+ SA-17 (4)(e)
+
Describe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware.
+
+
+
+
Correspondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present has no impact on the behaviors or policies being modeled. Consistency between the descriptive top-level specification (i.e., high-level/low-level design) and the formal policy model is generally not amenable to being fully proven. Therefore, a combination of formal/informal methods may be needed to show such consistency. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include, for example, mapping registers and direct memory input/output.
+
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17(4)(a)
+
produce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of:
+
+ SA-17(4)(a)[1]
+
exceptions;
+
+
+ SA-17(4)(a)[2]
+
error messages;
+
+
+ SA-17(4)(a)[3]
+
effects;
+
+
+
+ SA-17(4)(b)
+
show via informal demonstration and/or convincing argument with formal methods as feasible that the descriptive top-level specification is consistent with the formal policy model;
+
+
+ SA-17(4)(c)
+
show via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;
+
+
+ SA-17(4)(d)
+
show that the descriptive top-level specification is an accurate description of the interfaces to the security-relevant hardware, software, and firmware; and
+
+
+ SA-17(4)(e)
+
describe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
enterprise architecture policy
+
formal policy model
+
procedures addressing developer security architecture and design specification for the information system
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
information system security architecture and design documentation
+
information system design documentation
+
information system configuration settings and associated documentation
+
documentation describing security-relevant hardware, software and firmware mechanisms not addressed in the informal descriptive top-level specification documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with security architecture and design responsibilities
The organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17 (5)(a)
+
Design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and
+
+
+ SA-17 (5)(b)
+
Internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.
+
+
+
+
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to:
+
+ SA-17(5)(a)
+
design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and
+
+
+ SA-17(5)(b)
+
internally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
enterprise architecture policy
+
procedures addressing developer security architecture and design specification for the information system
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
information system design documentation
+
information system security architecture documentation
+
information system configuration settings and associated documentation
+
developer documentation describing design and structure of security-relevant hardware, software, and firmware components
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with security architecture and design responsibilities
+
+
+
+ STRUCTURE FOR TESTING
+ SA-17 (6)
+
+
The organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate testing.
+
+
+
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate testing.
+
+
+ EXAMINE
+
System and services acquisition policy
+
enterprise architecture policy
+
procedures addressing developer security architecture and design specification for the information system
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
information system design documentation
+
information system security architecture documentation
+
information system configuration settings and associated documentation
+
developer documentation describing design and structure of security-relevant hardware, software, and firmware components to facilitate testing
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with security architecture and design responsibilities
+
+
+
+ STRUCTURE FOR LEAST PRIVILEGE
+ SA-17 (7)
+
+
The organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege.
+
+
+
+
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege.
+
+
+ EXAMINE
+
System and services acquisition policy
+
enterprise architecture policy
+
procedures addressing developer security architecture and design specification for the information system
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
information system design documentation
+
information system security architecture documentation
+
information system configuration settings and associated documentation
+
developer documentation describing design and structure of security-relevant hardware, software, and firmware components to facilitate controlling access with least privilege
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with security architecture and design responsibilities
+
+
+
+
Determine if the organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:
+
+ SA-17(a)
+
is consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture;
+
+
+ SA-17(b)
+
accurately and completely describes:
+
+ SA-17(b)[1]
+
the required security functionality;
+
+
+ SA-17(b)[2]
+
the allocation of security controls among physical and logical components; and
+
+
+
+ SA-17(c)
+
expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
enterprise architecture policy
+
procedures addressing developer security architecture and design specification for the information system
+
solicitation documentation
+
acquisition documentation
+
service-level agreements
+
acquisition contracts for the information system, system component, or information system service
+
design specification and security architecture documentation for the system
+
information system design documentation
+
information system configuration settings and associated documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with security architecture and design responsibilities
The organization implements a tamper protection program for the information system, system component, or information system service.
+
+
+
Anti-tamper technologies and techniques provide a level of protection for critical information systems, system components, and information technology products against a number of related threats including modification, reverse engineering, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting information systems, components, and products during distribution and when in use.
The organization employs anti-tamper technologies and techniques during multiple phases in the system development life cycle including design, development, integration, operations, and maintenance.
+
+
+
Organizations use a combination of hardware and software techniques for tamper resistance and detection. Organizations employ obfuscation and self-checking, for example, to make reverse engineering and modifications more difficult, time-consuming, and expensive for adversaries. Customization of information systems and system components can make substitutions easier to detect and therefore limit damage.
+
+
+
+
Determine if the organization employs anti-tamper technologies and techniques during multiple phases in the system development life cycle including:
+
+ SA-18(1)[1]
+
design;
+
+
+ SA-18(1)[2]
+
development;
+
+
+ SA-18(1)[3]
+
integration;
+
+
+ SA-18(1)[4]
+
operations; and
+
+
+ SA-18(1)[5]
+
maintenance.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing tamper resistance and detection
+
tamper protection program documentation
+
tamper protection tools and techniques documentation
+
tamper resistance and detection tools (technologies) and techniques documentation
+
system development life cycle documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility for the tamper protection program
+
organizational personnel with SDLC responsibilities
+
+
+ TEST
+
Organizational processes for employing anti-tamper technologies
+
+
+
+ INSPECTION OF INFORMATION SYSTEMS, COMPONENTS, OR DEVICES
+
+ organization-defined information systems, system components, or devices
+ organization-defined information systems, system components, or devices
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined indications of need for inspection
+ organization-defined indications of need for inspection
+
+ SA-18 (2)
+
+
The organization inspects [Selection (one or more): at random; at , upon ] to detect tampering.
+
+
+
This control enhancement addresses both physical and logical tampering and is typically applied to mobile devices, notebook computers, or other system components taken out of organization-controlled areas. Indications of need for inspection include, for example, when individuals return from travel to high-risk locations.
+
+
+
+
Determine if the organization:
+
+ SA-18(2)[1]
+
defines information systems, system components, or devices to be inspected to detect tampering;
+
+
+ SA-18(2)[2]
+
defines the frequency to inspect organization-defined information systems, system components, or devices to detect tampering;
+
+
+ SA-18(2)[3]
+
defines indications of need for inspection of organization-defined information systems, system components, or devices to detect tampering;
+
+
+ SA-18(2)[4]
+
inspects organization-defined information systems, system components, or devices to detect tampering, selecting one or more of the following:
+
+ SA-18(2)[4][a]
+
at random;
+
+
+ SA-18(2)[4][b]
+
with the organization-defined frequency; and/or
+
+
+ SA-18(2)[4][c]
+
upon organization-defined indications of need for inspection.
+
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing tamper resistance and detection
+
records of random inspections
+
inspection reports/results
+
assessment reports/results
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility for the tamper protection program
+
+
+ TEST
+
Organizational processes for inspecting information systems, system components, or devices to detect tampering
Develops and implements anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the information system; and
+
+
+ SA-19b.
+
Reports counterfeit information system components to [Selection (one or more): source of counterfeit component; ; ].
+
+
+
+
Sources of counterfeit components include, for example, manufacturers, developers, vendors, and contractors. Anti-counterfeiting policy and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include, for example, US-CERT.
+
+
+
+
+
+ ANTI-COUNTERFEIT TRAINING
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+ SA-19 (1)
+
+
The organization trains to detect counterfeit information system components (including hardware, software, and firmware).
+
+
+
Determine if the organization:
+
+ SA-19(1)[1]
+
defines personnel or roles to be trained to detect counterfeit information system components (including hardware, software, and firmware); and
+
+
+ SA-19(1)[2]
+
trains organization-defined personnel or roles to detect counterfeit information system components (including hardware, software, and firmware).
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
anti-counterfeit policy and procedures
+
media disposal policy
+
media protection policy
+
incident response policy
+
training materials addressing counterfeit information system components
+
training records on detection of counterfeit information system components
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility for anti-counterfeit policy, procedures, and training
+
+
+ TEST
+
Organizational processes for anti-counterfeit training
+
+
+
+ CONFIGURATION CONTROL FOR COMPONENT SERVICE / REPAIR
+
+ organization-defined information system components
+ organization-defined information system components
+
+ SA-19 (2)
+
+
The organization maintains configuration control over awaiting service/repair and serviced/repaired components awaiting return to service.
+
+
+
Determine if the organization:
+
+ SA-19(2)[1]
+
defines information system components requiring configuration control to be maintained when awaiting service/repair;
+
+
+ SA-19(2)[2]
+
defines information system components requiring configuration control to be maintained when awaiting return to service; and
+
+
+ SA-19(2)[3]
+
maintains configuration control over organization-defined information system components awaiting service/repairs and serviced/repaired components awaiting return to service.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
anti-counterfeit policy and procedures
+
media protection policy
+
configuration management plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
configuration control records for components awaiting service/repair
+
configuration control records for serviced/repaired components awaiting return to service
+
information system maintenance records
+
information system audit records
+
inventory management records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility for anti-counterfeit policy and procedures
+
organizational personnel with responsibility for configuration management
+
+
+ TEST
+
Organizational processes for configuration management
develops and implements anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the information system;
+
+
+ SA-19(b)
+
+ SA-19(b)[1]
+
defines external reporting organizations to whom counterfeit information system components are to be reported;
+
+
+ SA-19(b)[2]
+
defines personnel or roles to whom counterfeit information system components are to be reported;
+
+
+ SA-19(b)[3]
+
reports counterfeit information system components to one or more of the following:
+
+ SA-19(b)[3][a]
+
the source of counterfeit component;
+
+
+ SA-19(b)[3][b]
+
the organization-defined external reporting organizations; and/or
+
+
+ SA-19(b)[3][c]
+
the organization-defined personnel or roles.
+
+
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
anti-counterfeit policy and procedures
+
media disposal policy
+
media protection policy
+
incident response policy
+
training materials addressing counterfeit information system components
+
training records on detection and prevention of counterfeit components from entering the information system
+
reports notifying developers/manufacturers/vendors/ contractors and/or external reporting organizations of counterfeit information system components
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility for anti-counterfeit policy, procedures, and reporting
+
+
+ TEST
+
Organizational processes for anti-counterfeit detection, prevention, and reporting
+
automated mechanisms supporting and/or implementing anti-counterfeit detection, prevention, and reporting
+
+
+
+ CUSTOMIZED DEVELOPMENT OF CRITICAL COMPONENTS
+
+ organization-defined critical information system components
+ organization-defined critical information system components
+
+ SA-20
+ P0
+
+
The organization re-implements or custom develops .
+
+
+
Organizations determine that certain information system components likely cannot be trusted due to specific threats to and vulnerabilities in those components, and for which there are no viable security controls to adequately mitigate the resulting risk. Re-implementation or custom development of such components helps to satisfy requirements for higher assurance. This is accomplished by initiating changes to system components (including hardware, software, and firmware) such that the standard attacks by adversaries are less likely to succeed. In situations where no alternative sourcing is available and organizations choose not to re-implement or custom develop critical information system components, additional safeguards can be employed (e.g., enhanced auditing, restrictions on source code and system utility access, and protection from deletion of system and application files.
+
+
+
+
+
+
Determine if the organization:
+
+ SA-20[1]
+
defines critical information system components to be re-implemented or custom developed; and
+
+
+ SA-20[2]
+
re-implements or custom develops organization-defined information system components.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing customized development of critical information system components
+
information system design documentation
+
information system configuration settings and associated documentation
+
system development life cycle documentation addressing custom development of critical information system components
+
configuration management records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility re-implementation or customized development of critical information system components
+
+
+ TEST
+
Organizational processes for re-implementing or customized development of critical information system components
+
automated mechanisms supporting and/or implementing re-implementation or customized development of critical information system components
+
+
+
+ DEVELOPER SCREENING
+
+ organization-defined information system, system component, or information system service
+ organization-defined information system, system component, or information system service
+
+
+ organization-defined official government duties
+ organization-defined official government duties
+
+
+ organization-defined additional personnel screening criteria
+ organization-defined additional personnel screening criteria
+
+ SA-21
+ P0
+
+
The organization requires that the developer of :
+
+ SA-21a.
+
Have appropriate access authorizations as determined by assigned ; and
+
+
+ SA-21b.
+
Satisfy .
+
+
+
+
Because the information system, system component, or information system service may be employed in critical activities essential to the national and/or economic security interests of the United States, organizations have a strong interest in ensuring that the developer is trustworthy. The degree of trust required of the developer may need to be consistent with that of the individuals accessing the information system/component/service once deployed. Examples of authorization and personnel screening criteria include clearance, satisfactory background checks, citizenship, and nationality. Trustworthiness of developers may also include a review and analysis of company ownership and any relationships the company has with entities potentially affecting the quality/reliability of the systems, components, or services being developed.
The organization requires the developer of the information system, system component, or information system service take to ensure that the required access authorizations and screening criteria are satisfied.
+
+
+
Satisfying required access authorizations and personnel screening criteria includes, for example, providing a listing of all the individuals authorized to perform development activities on the selected information system, system component, or information system service so that organizations can validate that the developer has satisfied the necessary authorization and screening requirements.
+
+
+
Determine if the organization:
+
+ SA-21(1)[1]
+
defines actions to be taken by the developer of the information system, system component, or information system service to ensure that the required access authorizations and screening criteria are satisfied; and
+
+
+ SA-21(1)[2]
+
requires the developer of the information system, system component, or information system service take organization-defined actions to ensure that the required access authorizations and screening criteria are satisfied.
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
personnel security policy and procedures
+
procedures addressing personnel screening
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of appropriate access authorizations required by developers of the information system
+
personnel screening criteria and associated documentation
+
list of actions ensuring required access authorizations and screening criteria are satisfied
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility for developer screening
defines the information system, system component, or information system service for which the developer is to be screened;
+
+
+ SA-21[2]
+
defines official government duties to be used to determine appropriate access authorizations for the developer;
+
+
+ SA-21[3]
+
defines additional personnel screening criteria to be satisfied by the developer;
+
+
+ SA-21[4]
+
+ SA-21[4][a]
+
requires that the developer of organization-defined information system, system component, or information system service have appropriate access authorizations as determined by assigned organization-defined official government duties; and
+
+
+ SA-21[4][b]
+
requires that the developer of organization-defined information system, system component, or information system service satisfy organization-defined additional personnel screening criteria.
+
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
personnel security policy and procedures
+
procedures addressing personnel screening
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of appropriate access authorizations required by developers of the information system
+
personnel screening criteria and associated documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility for developer screening
Replaces information system components when support for the components is no longer available from the developer, vendor, or manufacturer; and
+
+
+ SA-22b.
+
Provides justification and documents approval for the continued use of unsupported system components required to satisfy mission/business needs.
+
+
+
+
Support for information system components includes, for example, software patches, firmware updates, replacement parts, and maintenance contracts. Unsupported components (e.g., when vendors are no longer providing critical software patches), provide a substantial opportunity for adversaries to exploit new weaknesses discovered in the currently installed components. Exceptions to replacing unsupported system components may include, for example, systems that provide critical mission/business capability where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option.
+
+
+
+
+ ALTERNATIVE SOURCES FOR CONTINUED SUPPORT
+
+ organization-defined support from external providers
+ organization-defined support from external providers
+
+ SA-22 (1)
+
+
The organization provides [Selection (one or more): in-house support; ] for unsupported information system components.
+
+
+
This control enhancement addresses the need to provide continued support for selected information system components that are no longer supported by the original developers, vendors, or manufacturers when such components remain essential to mission/business operations. Organizations can establish in-house support, for example, by developing customized patches for critical software components or secure the services of external providers who through contractual relationships, provide ongoing support for the designated unsupported components. Such contractual relationships can include, for example, Open Source Software value-added vendors.
+
+
+
Determine if the organization:
+
+ SA-22(1)[1]
+
defines support from external providers to be provided for unsupported information system components;
+
+
+ SA-22(1)[2]
+
provides and/or obtains support for unsupported information system components from one or more of the following:
+
+ SA-22(1)[2][a]
+
in-house support; and/or
+
+
+ SA-22(1)[2][b]
+
organization-defined support from external providers.
+
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing support for unsupported information system components
+
solicitation documentation
+
acquisition documentation
+
acquisition contracts
+
service-level agreements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility system development life cycle
+
organizational personnel or third-party external providers supporting information system components no longer supported by original developers, vendors, or manufacturers
+
+
+ TEST
+
Organizational processes for supporting system components no longer supported by original developers, vendors, or manufacturers
+
automated mechanisms providing support for system components no longer supported by original developers, vendors, or manufacturers
+
+
+
+
Determine if the organization:
+
+ SA-22(a)
+
replaces information system components when support for the components is no longer available from the developer, vendor, or manufacturer;
+
+
+ SA-22(b)
+
+ SA-22(b)[1]
+
provides justification for the continued use of unsupported system components required to satisfy mission/business needs; and
+
+
+ SA-22(b)[2]
+
documents approval for the continued use of unsupported system components required to satisfy mission/business needs.
+
+
+
+
+ EXAMINE
+
System and services acquisition policy
+
procedures addressing replacement or continued use of unsupported information system components
+
documented evidence of replacing unsupported information system components
+
documented approvals (including justification) for continued use of unsupported information system components
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and services acquisition responsibilities
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility system development life cycle
+
organizational personnel responsible for configuration management
+
+
+ TEST
+
Organizational processes for replacing unsupported system components
+
automated mechanisms supporting and/or implementing replacement of unsupported system components
+
+
+
+
+ SYSTEM AND COMMUNICATIONS PROTECTION
+
+ SYSTEM AND COMMUNICATIONS PROTECTION POLICY AND PROCEDURES
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ SC-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SC-1a.
+
Develops, documents, and disseminates to :
+
+ SC-1a.1.
+
A system and communications protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ SC-1a.2.
+
Procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls; and
+
+
+
+ SC-1b.
+
Reviews and updates the current:
+
+ SC-1b.1.
+
System and communications protection policy ; and
+
+
+ SC-1b.2.
+
System and communications protection procedures .
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+
+
+
+
Determine if the organization:
+
+ SC-1(a)(1)
+
+ SC-1(a)(1)[1]
+
develops and documents a system and communications protection policy that addresses:
+
+ SC-1(a)(1)[1][a]
+
purpose;
+
+
+ SC-1(a)(1)[1][b]
+
scope;
+
+
+ SC-1(a)(1)[1][c]
+
roles;
+
+
+ SC-1(a)(1)[1][d]
+
responsibilities;
+
+
+ SC-1(a)(1)[1][e]
+
management commitment;
+
+
+ SC-1(a)(1)[1][f]
+
coordination among organizational entities;
+
+
+ SC-1(a)(1)[1][g]
+
compliance;
+
+
+
+ SC-1(a)(1)[2]
+
defines personnel or roles to whom the system and communications protection policy is to be disseminated;
+
+
+ SC-1(a)(1)[3]
+
disseminates the system and communications protection policy to organization-defined personnel or roles;
+
+
+
+ SC-1(a)(2)
+
+ SC-1(a)(2)[1]
+
develops and documents procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls;
+
+
+ SC-1(a)(2)[2]
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ SC-1(a)(2)[3]
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ SC-1(b)(1)
+
+ SC-1(b)(1)[1]
+
defines the frequency to review and update the current system and communications protection policy;
+
+
+ SC-1(b)(1)[2]
+
reviews and updates the current system and communications protection policy with the organization-defined frequency;
+
+
+
+ SC-1(b)(2)
+
+ SC-1(b)(2)[1]
+
defines the frequency to review and update the current system and communications protection procedures; and
+
+
+ SC-1(b)(2)[2]
+
reviews and updates the current system and communications protection procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
System and communications protection policy and procedures
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and communications protection responsibilities
+
organizational personnel with information security responsibilities
The information system separates user functionality (including user interface services) from information system management functionality.
+
+
+
Information system management functionality includes, for example, functions necessary to administer databases, network components, workstations, or servers, and typically requires privileged user access. The separation of user functionality from information system management functionality is either physical or logical. Organizations implement separation of system management-related functionality from user functionality by using different computers, different central processing units, different instances of operating systems, different network addresses, virtualization techniques, or combinations of these or other methods, as appropriate. This type of separation includes, for example, web administrative interfaces that use separate authentication methods for users of any other information system resources. Separation of system and user functionality may include isolating administrative interfaces on different domains and with additional access controls.
The information system prevents the presentation of information system management-related functionality at an interface for non-privileged users.
+
+
+
This control enhancement ensures that administration options (e.g., administrator privileges) are not available to general users (including prohibiting the use of the grey-out option commonly used to eliminate accessibility to such information). Such restrictions include, for example, not presenting administration options until users establish sessions with administrator privileges.
+
+
+
+
Determine if the information system prevents the presentation of information system management-related functionality at an interface for non-privileged users.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing application partitioning
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
non-privileged users of the information system
+
system developer
+
+
+ TEST
+
Separation of user functionality from information system management functionality
+
+
+
+
Determine if the information system separates user functionality (including user interface services) from information system management functionality.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing application partitioning
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
+
+ TEST
+
Separation of user functionality from information system management functionality
+
+
+
+ SECURITY FUNCTION ISOLATION
+ SC-3
+ P1
+ HIGH
+
+
The information system isolates security functions from nonsecurity functions.
+
+
+
The information system isolates security functions from nonsecurity functions by means of an isolation boundary (implemented via partitions and domains). Such isolation controls access to and protects the integrity of the hardware, software, and firmware that perform those security functions. Information systems implement code separation (i.e., separation of security functions from nonsecurity functions) in a number of ways, including, for example, through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that serve to protect the code on disk, and address space protections that protect executing code. Information systems restrict access to security functions through the use of access control mechanisms and by implementing least privilege capabilities. While the ideal is for all of the code within the security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions within the isolation boundary as an exception.
The information system utilizes underlying hardware separation mechanisms to implement security function isolation.
+
+
+
Underlying hardware separation mechanisms include, for example, hardware ring architectures, commonly implemented within microprocessors, and hardware-enforced address segmentation used to support logically distinct storage objects with separate attributes (i.e., readable, writeable).
+
+
+
Determine if the information system utilizes underlying hardware separation mechanisms to implement security function isolation.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing security function isolation
+
information system design documentation
+
hardware separation mechanisms
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
+
+ TEST
+
Separation of security functions from nonsecurity functions within the information system
The information system isolates security functions enforcing access and information flow control from nonsecurity functions and from other security functions.
+
+
+
Security function isolation occurs as a result of implementation; the functions can still be scanned and monitored. Security functions that are potentially isolated from access and flow control enforcement functions include, for example, auditing, intrusion detection, and anti-virus functions.
+
+
+
Determine if the information system isolates security functions enforcing:
+
+ SC-3(2)[1]
+
access control from nonsecurity functions;
+
+
+ SC-3(2)[2]
+
information flow control from nonsecurity functions;
+
+
+ SC-3(2)[3]
+
access control from other security functions; and
+
+
+ SC-3(2)[4]
+
information flow control from other security functions.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing security function isolation
+
list of critical security functions
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
+
+ TEST
+
Isolation of security functions enforcing access and information flow control
The organization minimizes the number of nonsecurity functions included within the isolation boundary containing security functions.
+
+
+
In those instances where it is not feasible to achieve strict isolation of nonsecurity functions from security functions, it is necessary to take actions to minimize the nonsecurity-relevant functions within the security function boundary. Nonsecurity functions contained within the isolation boundary are considered security-relevant because errors or maliciousness in such software, by virtue of being within the boundary, can impact the security functions of organizational information systems. The design objective is that the specific portions of information systems providing information security are of minimal size/complexity. Minimizing the number of nonsecurity functions in the security-relevant components of information systems allows designers and implementers to focus only on those functions which are necessary to provide the desired security capability (typically access enforcement). By minimizing nonsecurity functions within the isolation boundaries, the amount of code that must be trusted to enforce security policies is reduced, thus contributing to understandability.
+
+
+
Determine if the organization implements an information system isolation boundary to minimize the number of nonsecurity functions included within the boundary containing security functions.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing security function isolation
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing an isolation boundary
The organization implements security functions as largely independent modules that maximize internal cohesiveness within modules and minimize coupling between modules.
+
+
+
The reduction in inter-module interactions helps to constrain security functions and to manage complexity. The concepts of coupling and cohesion are important with respect to modularity in software design. Coupling refers to the dependencies that one module has on other modules. Cohesion refers to the relationship between the different functions within a particular module. Good software engineering practices rely on modular decomposition, layering, and minimization to reduce and manage complexity, thus producing software modules that are highly cohesive and loosely coupled.
+
+
+
Determine if the organization implements security functions as largely independent modules that:
+
+ SC-3(4)[1]
+
maximize internal cohesiveness within modules; and
+
+
+ SC-3(4)[2]
+
minimize coupling between modules.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing security function isolation
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for maximizing internal cohesiveness within modules and minimizing coupling between modules
+
automated mechanisms supporting and/or implementing security functions as independent modules
+
+
+
+ LAYERED STRUCTURES
+ SC-3 (5)
+
+
The organization implements security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers.
+
+
+
The implementation of layered structures with minimized interactions among security functions and non-looping layers (i.e., lower-layer functions do not depend on higher-layer functions) further enables the isolation of security functions and management of complexity.
+
+
+
Determine if the organization implements security functions as a layered structure:
+
+ SC-3(5)[1]
+
minimizing interactions between layers of the design; and
+
+
+ SC-3(5)[2]
+
avoiding any dependence by lower layers on the functionality or correctness of higher layers.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing security function isolation
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for implementing security functions as a layered structure that minimizes interactions between layers and avoids dependence by lower layers on functionality/correctness of higher layers
+
automated mechanisms supporting and/or implementing security functions as a layered structure
+
+
+
+
Determine if the information system isolates security functions from nonsecurity functions.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing security function isolation
+
list of security functions to be isolated from nonsecurity functions
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
+
+ TEST
+
Separation of security functions from nonsecurity functions within the information system
+
+
+
+ INFORMATION IN SHARED RESOURCES
+ SC-4
+ P1
+ MODERATE
+ HIGH
+
+
The information system prevents unauthorized and unintended information transfer via shared system resources.
+
+
+
This control prevents information, including encrypted representations of information, produced by the actions of prior users/roles (or the actions of processes acting on behalf of prior users/roles) from being available to any current users/roles (or current processes) that obtain access to shared system resources (e.g., registers, main memory, hard disks) after those resources have been released back to information systems. The control of information in shared resources is also commonly referred to as object reuse and residual information protection. This control does not address: (i) information remanence which refers to residual representation of data that has been nominally erased or removed; (ii) covert channels (including storage and/or timing channels) where shared resources are manipulated to violate information flow restrictions; or (iii) components within information systems for which there are only single users/roles.
The information system prevents unauthorized information transfer via shared resources in accordance with when system processing explicitly switches between different information classification levels or security categories.
+
+
+
This control enhancement applies when there are explicit changes in information processing levels during information system operations, for example, during multilevel processing and periods processing with information at different classification levels or security categories. Organization-defined procedures may include, for example, approved sanitization processes for electronically stored information.
+
+
+
Determine if:
+
+ SC-4(2)[1]
+
the organization defines procedures to be employed to ensure unauthorized information transfer via shared resources is prevented when system processing explicitly switches between different information classification levels or security categories; and
+
+
+ SC-4(2)[2]
+
the information system prevents unauthorized information transfer via shared resources in accordance with organization-defined procedures when system processing explicitly switches between different information classification levels or security categories.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing information protection in shared system resources
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
+
+ TEST
+
Automated mechanisms preventing unauthorized transfer of information via shared system resources
+
+
+
+
Determine if the information system prevents unauthorized and unintended information transfer via shared system resources.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing information protection in shared system resources
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
+
+ TEST
+
Automated mechanisms preventing unauthorized and unintended transfer of information via shared system resources
+
+
+
+ DENIAL OF SERVICE PROTECTION
+
+ organization-defined types of denial of service attacks or references to sources for such information
+ organization-defined types of denial of service attacks or references to sources for such information
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+ SC-5
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system protects against or limits the effects of the following types of denial of service attacks: by employing .
+
+
+
A variety of technologies exist to limit, or in some cases, eliminate the effects of denial of service attacks. For example, boundary protection devices can filter certain types of packets to protect information system components on internal organizational networks from being directly affected by denial of service attacks. Employing increased capacity and bandwidth combined with service redundancy may also reduce the susceptibility to denial of service attacks.
+
+
+
+
+ RESTRICT INTERNAL USERS
+
+ organization-defined denial of service attacks
+ organization-defined denial of service attacks
+
+ SC-5 (1)
+
+
The information system restricts the ability of individuals to launch against other information systems.
+
+
+
Restricting the ability of individuals to launch denial of service attacks requires that the mechanisms used for such attacks are unavailable. Individuals of concern can include, for example, hostile insiders or external adversaries that have successfully breached the information system and are using the system as a platform to launch cyber attacks on third parties. Organizations can restrict the ability of individuals to connect and transmit arbitrary information on the transport medium (i.e., network, wireless spectrum). Organizations can also limit the ability of individuals to use excessive information system resources. Protection against individuals having the ability to launch denial of service attacks may be implemented on specific information systems or on boundary devices prohibiting egress to potential target systems.
+
+
+
Determine if:
+
+ SC-5(1)[1]
+
the organization defines denial of service attacks for which the information system is required to restrict the ability of individuals to launch such attacks against other information systems; and
+
+
+ SC-5(1)[2]
+
the information system restricts the ability of individuals to launch organization-defined denial of service attacks against other information systems.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing denial of service protection
+
information system design documentation
+
security plan
+
list of denial of service attacks launched by individuals against information systems
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with incident response responsibilities
+
system developer
+
+
+ TEST
+
Automated mechanisms restricting the ability to launch denial of service attacks against other information systems
The information system manages excess capacity, bandwidth, or other redundancy to limit the effects of information flooding denial of service attacks.
+
+
+
Managing excess capacity ensures that sufficient capacity is available to counter flooding attacks. Managing excess capacity may include, for example, establishing selected usage priorities, quotas, or partitioning.
+
+
+
Determine if the information system, to limit the effects of information flooding denial of service attacks, manages:
+
+ SC-5(2)[1]
+
excess capacity;
+
+
+ SC-5(2)[2]
+
bandwidth; or
+
+
+ SC-5(2)[3]
+
other redundancy.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing denial of service protection
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with incident response responsibilities
+
system developer
+
+
+ TEST
+
Automated mechanisms implementing management of information system bandwidth, capacity, and redundancy to limit the effects of information flooding denial of service attacks
+
+
+
+ DETECTION / MONITORING
+
+ organization-defined monitoring tools
+ organization-defined monitoring tools
+
+
+ organization-defined information system resources
+ organization-defined information system resources
+
+ SC-5 (3)
+
+
The organization:
+
+ SC-5 (3)(a)
+
Employs to detect indicators of denial of service attacks against the information system; and
+
+
+ SC-5 (3)(b)
+
Monitors to determine if sufficient resources exist to prevent effective denial of service attacks.
+
+
+
+
Organizations consider utilization and capacity of information system resources when managing risk from denial of service due to malicious attacks. Denial of service attacks can originate from external or internal sources. Information system resources sensitive to denial of service include, for example, physical disk storage, memory, and CPU cycles. Common safeguards to prevent denial of service attacks related to storage utilization and capacity include, for example, instituting disk quotas, configuring information systems to automatically alert administrators when specific storage capacity thresholds are reached, using file compression technologies to maximize available storage space, and imposing separate partitions for system and user data.
+
+
+
+
+
Determine if the organization:
+
+ SC-5(3)(a)
+
+ SC-5(3)(a)[1]
+
defines monitoring tools to be employed to detect indicators of denial of service attacks against the information system;
+
+
+ SC-5(3)(a)[2]
+
employs organization-defined monitoring tools to detect indicators of denial of service attacks against the information system;
+
+
+
+ SC-5(3)(b)
+
+ SC-5(3)(b)[1]
+
defines information system resources to be monitored to determine if sufficient resources exist to prevent effective denial of service attacks; and
+
+
+ SC-5(3)(b)[2]
+
monitors organization-defined information system resources to determine if sufficient resources exist to prevent effective denial of service attacks.
+
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing denial of service protection
+
information system design documentation
+
information system monitoring tools and techniques documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with detection and monitoring responsibilities
+
+
+ TEST
+
Automated mechanisms/tools implementing information system monitoring for denial of service attacks
+
+
+
+
Determine if:
+
+ SC-5[1]
+
the organization defines types of denial of service attacks or reference to source of such information for the information system to protect against or limit the effects;
+
+
+ SC-5[2]
+
the organization defines security safeguards to be employed by the information system to protect against or limit the effects of organization-defined types of denial of service attacks; and
+
+
+ SC-5[3]
+
the information system protects against or limits the effects of the organization-defined denial or service attacks (or reference to source for such information) by employing organization-defined security safeguards.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing denial of service protection
+
information system design documentation
+
security plan
+
list of denial of services attacks requiring employment of security safeguards to protect against or limit effects of such attacks
+
list of security safeguards protecting against or limiting the effects of denial of service attacks
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with incident response responsibilities
+
system developer
+
+
+ TEST
+
Automated mechanisms protecting against or limiting the effects of denial of service attacks
The information system protects the availability of resources by allocating by [Selection (one or more); priority; quota; ].
+
+
+
Priority protection helps prevent lower-priority processes from delaying or interfering with the information system servicing any higher-priority processes. Quotas prevent users or processes from obtaining more than predetermined amounts of resources. This control does not apply to information system components for which there are only single users/roles.
+
+
+
Determine if:
+
+ SC-6[1]
+
the organization defines resources to be allocated to protect the availability of resources;
+
+
+ SC-6[2]
+
the organization defines security safeguards to be employed to protect the availability of resources;
+
+
+ SC-6[3]
+
the information system protects the availability of resources by allocating organization-defined resources by one or more of the following:
+
+ SC-6[3][a]
+
priority;
+
+
+ SC-6[3][b]
+
quota; and/or
+
+
+ SC-6[3][c]
+
organization-defined safeguards.
+
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing prioritization of information system resources
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
Monitors and controls communications at the external boundary of the system and at key internal boundaries within the system;
+
+
+ SC-7b.
+
Implements subnetworks for publicly accessible system components that are [Selection: physically; logically] separated from internal organizational networks; and
+
+
+ SC-7c.
+
Connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.
+
+
+
+
Managed interfaces include, for example, gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture (e.g., routers protecting firewalls or application gateways residing on protected subnetworks). Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational information systems includes, for example, restricting external web traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses. Organizations consider the shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers, and may also include third party-provided access lines and other service elements. Such transmission services may represent sources of increased risk despite contract security provisions.
The organization limits the number of external network connections to the information system.
+
+
+
Limiting the number of external network connections facilitates more comprehensive monitoring of inbound and outbound communications traffic. The Trusted Internet Connection (TIC) initiative is an example of limiting the number of external network connections.
+
+
+
Determine if the organization limits the number of external network connections to the information system.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing boundary protection
+
information system design documentation
+
boundary protection hardware and software
+
information system architecture and configuration documentation
+
information system configuration settings and associated documentation
+
communications and network traffic monitoring logs
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with boundary protection responsibilities
+
+
+
+ DENY BY DEFAULT / ALLOW BY EXCEPTION
+ SC-7 (5)
+ MODERATE
+ HIGH
+
+
The information system at managed interfaces denies network communications traffic by default and allows network communications traffic by exception (i.e., deny all, permit by exception).
+
+
+
This control enhancement applies to both inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those connections which are essential and approved are allowed.
+
+
+
Determine if the information system, at managed interfaces:
+
+ SC-7(5)[1]
+
denies network traffic by default; and
+
+
+ SC-7(5)[2]
+
allows network traffic by exception.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing boundary protection
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with boundary protection responsibilities
+
+
+ TEST
+
Automated mechanisms implementing traffic management at managed interfaces
+
+
+
+ PREVENT SPLIT TUNNELING FOR REMOTE DEVICES
+ SC-7 (7)
+ MODERATE
+ HIGH
+
+
The information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks.
+
+
+
This control enhancement is implemented within remote devices (e.g., notebook computers) through configuration settings to disable split tunneling in those devices, and by preventing those configuration settings from being readily configurable by users. This control enhancement is implemented within the information system by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. Split tunneling might be desirable by remote users to communicate with local information system resources such as printers/file servers. However, split tunneling would in effect allow unauthorized external connections, making the system more vulnerable to attack and to exfiltration of organizational information. The use of VPNs for remote connections, when adequately provisioned with appropriate security controls, may provide the organization with sufficient assurance that it can effectively treat such connections as non-remote connections from the confidentiality and integrity perspective. VPNs thus provide a means for allowing non-remote communications paths from remote devices. The use of an adequately provisioned VPN does not eliminate the need for preventing split tunneling.
+
+
+
Determine if the information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing boundary protection
+
information system design documentation
+
information system hardware and software
+
information system architecture
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with boundary protection responsibilities
The information system routes to through authenticated proxy servers at managed interfaces.
+
+
+
External networks are networks outside of organizational control. A proxy server is a server (i.e., information system or application) that acts as an intermediary for clients requesting information system resources (e.g., files, connections, web pages, or services) from other organizational servers. Client requests established through an initial connection to the proxy server are evaluated to manage complexity and to provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers providing access to the Internet. Proxy servers support logging individual Transmission Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites.
+
+
+
+
+
Determine if:
+
+ SC-7(8)[1]
+
the organization defines internal communications traffic to be routed to external networks;
+
+
+ SC-7(8)[2]
+
the organization defines external networks to which organization-defined internal communications traffic is to be routed; and
+
+
+ SC-7(8)[3]
+
the information system routes organization-defined internal communications traffic to organization-defined external networks through authenticated proxy servers at managed interfaces.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing boundary protection
+
information system design documentation
+
information system hardware and software
+
information system architecture
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with boundary protection responsibilities
+
+
+ TEST
+
Automated mechanisms implementing traffic management through authenticated proxy servers at managed interfaces
Detects and denies outgoing communications traffic posing a threat to external information systems; and
+
+
+ SC-7 (9)(b)
+
Audits the identity of internal users associated with denied communications.
+
+
+
+
Detecting outgoing communications traffic from internal actions that may pose threats to external information systems is sometimes termed extrusion detection. Extrusion detection at information system boundaries as part of managed interfaces includes the analysis of incoming and outgoing communications traffic searching for indications of internal threats to the security of external systems. Such threats include, for example, traffic indicative of denial of service attacks and traffic containing malicious code.
+
+
+
+
+
+
+
+
+
Determine if the information system:
+
+ SC-7(9)(a)
+
+ SC-7(9)(a)[1]
+
detects outgoing communications traffic posing a threat to external information systems; and
+
+
+ SC-7(9)(a)[2]
+
denies outgoing communications traffic posing a threat to external information systems; and
+
+
+
+ SC-7(9)(b)
+
audits the identity of internal users associated with denied communications.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing boundary protection
+
information system design documentation
+
information system hardware and software
+
information system architecture
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with boundary protection responsibilities
The organization prevents the unauthorized exfiltration of information across managed interfaces.
+
+
+
Safeguards implemented by organizations to prevent unauthorized exfiltration of information from information systems include, for example: (i) strict adherence to protocol formats; (ii) monitoring for beaconing from information systems; (iii) monitoring for steganography; (iv) disconnecting external network interfaces except when explicitly needed; (v) disassembling and reassembling packet headers; and (vi) employing traffic profile analysis to detect deviations from the volume/types of traffic expected within organizations or call backs to command and control centers. Devices enforcing strict adherence to protocol formats include, for example, deep packet inspection firewalls and XML gateways. These devices verify adherence to protocol formats and specification at the application layer and serve to identify vulnerabilities that cannot be detected by devices operating at the network or transport layers. This control enhancement is closely associated with cross-domain solutions and system guards enforcing information flow requirements.
+
+
+
+
Determine if the organization prevents the unauthorized exfiltration of information across managed interfaces.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing boundary protection
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with boundary protection responsibilities
The information system only allows incoming communications from to be routed to .
+
+
+
This control enhancement provides determinations that source and destination address pairs represent authorized/allowed communications. Such determinations can be based on several factors including, for example, the presence of source/destination address pairs in lists of authorized/allowed communications, the absence of address pairs in lists of unauthorized/disallowed pairs, or meeting more general rules for authorized/allowed source/destination pairs.
+
+
+
+
Determine if:
+
+ SC-7(11)[1]
+
the organization defines internal communications traffic to be routed to external networks;
+
+
+ SC-7(11)[2]
+
the organization defines authorized destinations only to which that incoming communications from organization-defined authorized sources may be routed; and
+
+
+ SC-7(11)[3]
+
the information system only allows incoming communications from organization-defined authorized sources to be routed to organization-defined authorized destinations.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing boundary protection
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with boundary protection responsibilities
+
+
+ TEST
+
Automated mechanisms implementing boundary protection capabilities with respect to source/destination address pairs
+
+
+
+ HOST-BASED PROTECTION
+
+ organization-defined host-based boundary protection mechanisms
+ organization-defined host-based boundary protection mechanisms
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+ SC-7 (12)
+
+
The organization implements at .
+
+
+
Host-based boundary protection mechanisms include, for example, host-based firewalls. Information system components employing host-based boundary protection mechanisms include, for example, servers, workstations, and mobile devices.
+
+
+
+ ISOLATION OF SECURITY TOOLS / MECHANISMS / SUPPORT COMPONENTS
+
+ organization-defined information security tools, mechanisms, and support components
+ organization-defined information security tools, mechanisms, and support components
+
+ SC-7 (13)
+
+
The organization isolates from other internal information system components by implementing physically separate subnetworks with managed interfaces to other components of the system.
+
+
+
Physically separate subnetworks with managed interfaces are useful, for example, in isolating computer network defenses from critical operational processing networks to prevent adversaries from discovering the analysis and forensics techniques of organizations.
+
+
+
+
+
+
Determine if the organization:
+
+ SC-7(13)[1]
+
defines information security tools, mechanisms, and support components to be isolated from other internal information system components; and
+
+
+ SC-7(13)[2]
+
isolates organization-defined information security tools, mechanisms, and support components from other internal information system components by implementing physically separate subnetworks with managed interfaces to other components of the system.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing boundary protection
+
information system design documentation
+
information system hardware and software
+
information system architecture
+
information system configuration settings and associated documentation
+
list of security tools and support components to be isolated from other internal information system components
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with boundary protection responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing isolation of information security tools, mechanisms, and support components
The organization protects against unauthorized physical connections at .
+
+
+
Information systems operating at different security categories or classification levels may share common physical and environmental controls, since the systems may share space within organizational facilities. In practice, it is possible that these separate information systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved, for example, by employing clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls enforcing limited authorized access to these items.
+
+
+
+
+
Determine if the organization:
+
+ SC-7(14)[1]
+
defines managed interfaces to be protected against unauthorized physical connections; and
+
+
+ SC-7(14)[2]
+
protects against unauthorized physical connections at organization-defined managed interfaces.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing boundary protection
+
information system design documentation
+
information system hardware and software
+
information system architecture
+
information system configuration settings and associated documentation
+
facility communications and wiring diagram
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with boundary protection responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing protection against unauthorized physical connections
The information system prevents discovery of specific system components composing a managed interface.
+
+
+
This control enhancement protects network addresses of information system components that are part of managed interfaces from discovery through common tools and techniques used to identify devices on networks. Network addresses are not available for discovery (e.g., network address not published or entered in domain name systems), requiring prior knowledge for access. Another obfuscation technique is to periodically change network addresses.
+
+
+
Determine if the information system prevents discovery of specific system components composing a managed interface.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing boundary protection
+
information system design documentation
+
information system hardware and software
+
information system architecture
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with boundary protection responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing the prevention of discovery of system components at managed interfaces
The information system enforces adherence to protocol formats.
+
+
+
Information system components that enforce protocol formats include, for example, deep packet inspection firewalls and XML gateways. Such system components verify adherence to protocol formats/specifications (e.g., IEEE) at the application layer and identify significant vulnerabilities that cannot be detected by devices operating at the network or transport layers.
+
+
+
+
Determine if the information system enforces adherence to protocol formats.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing boundary protection
+
information system design documentation
+
information system architecture
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with boundary protection responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing enforcement of adherence to protocol formats
+
+
+
+ FAIL SECURE
+ SC-7 (18)
+ HIGH
+
+
The information system fails securely in the event of an operational failure of a boundary protection device.
+
+
+
Fail secure is a condition achieved by employing information system mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces (e.g., routers, firewalls, guards, and application gateways residing on protected subnetworks commonly referred to as demilitarized zones), information systems do not enter into unsecure states where intended security properties no longer hold. Failures of boundary protection devices cannot lead to, or cause information external to the devices to enter the devices, nor can failures permit unauthorized information releases.
+
+
+
+
+
Determine if the information system fails securely in the event of an operational failure of a boundary protection device.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing boundary protection
+
information system design documentation
+
information system architecture
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with boundary protection responsibilities
+
+
+
+ BLOCKS COMMUNICATION FROM NON-ORGANIZATIONALLY CONFIGURED HOSTS
+
+ organization-defined communication clients
+ organization-defined communication clients
+
+ SC-7 (19)
+
+
The information system blocks both inbound and outbound communications traffic between that are independently configured by end users and external service providers.
+
+
+
Communication clients independently configured by end users and external service providers include, for example, instant messaging clients. Traffic blocking does not apply to communication clients that are configured by organizations to perform authorized functions.
+
+
+
Determine if the organization:
+
+ SC-7(19)[1]
+
defines communication clients that are independently configured by end users and external service providers; and
+
+
+ SC-7(19)[2]
+
blocks, between organization-defined communication clients that are independently configured by end users and external service providers,:
+
+ SC-7(19)[2][a]
+
inbound communications traffic; and
+
+
+ SC-7(19)[2][b]
+
outbound communications traffic.
+
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing boundary protection
+
information system design documentation
+
information system hardware and software
+
information system architecture
+
information system configuration settings and associated documentation
+
list of communication clients independently configured by end users and external service providers
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with boundary protection responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing the blocking of inbound and outbound communications traffic between communication clients independently configured by end users and external service providers
+
+
+
+ DYNAMIC ISOLATION / SEGREGATION
+
+ organization-defined information system components
+ organization-defined information system components
+
+ SC-7 (20)
+
+
The information system provides the capability to dynamically isolate/segregate from other components of the system.
+
+
+
The capability to dynamically isolate or segregate certain internal components of organizational information systems is useful when it is necessary to partition or separate certain components of dubious origin from those components possessing greater trustworthiness. Component isolation reduces the attack surface of organizational information systems. Isolation of selected information system components is also a means of limiting the damage from successful cyber attacks when those attacks occur.
+
+
+
Determine if:
+
+ SC-7(20)[1]
+
the organization defines information system components to be dynamically isolated/segregated from other components of the system; and
+
+
+ SC-7(20)[2]
+
the information system provides the capability to dynamically isolate/segregate organization-defined information system components from other components of the system.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing boundary protection
+
information system design documentation
+
information system hardware and software
+
information system architecture
+
information system configuration settings and associated documentation
+
list of information system components to be dynamically isolated/segregated from other components of the system
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with boundary protection responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing the capability to dynamically isolate/segregate information system components
+
+
+
+ ISOLATION OF INFORMATION SYSTEM COMPONENTS
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined missions and/or business functions
+ organization-defined missions and/or business functions
+
+ SC-7 (21)
+ HIGH
+
+
The organization employs boundary protection mechanisms to separate supporting .
+
+
+
Organizations can isolate information system components performing different missions and/or business functions. Such isolation limits unauthorized information flows among system components and also provides the opportunity to deploy greater levels of protection for selected components. Separating system components with boundary protection mechanisms provides the capability for increased protection of individual components and to more effectively control information flows between those components. This type of enhanced protection limits the potential harm from cyber attacks and errors. The degree of separation provided varies depending upon the mechanisms chosen. Boundary protection mechanisms include, for example, routers, gateways, and firewalls separating system components into physically separate networks or subnetworks, cross-domain devices separating subnetworks, virtualization techniques, and encrypting information flows among system components using distinct encryption keys.
+
+
+
+
+
Determine if the organization:
+
+ SC-7(21)[1]
+
defines information system components to be separated by boundary protection mechanisms;
+
+
+ SC-7(21)[2]
+
defines missions and/or business functions to be supported by organization-defined information system components separated by boundary protection mechanisms; and
+
+
+ SC-7(21)[3]
+
employs boundary protection mechanisms to separate organization-defined information system components supporting organization-defined missions and/or business functions.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing boundary protection
+
information system design documentation
+
information system hardware and software
+
enterprise architecture documentation
+
information system architecture
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with boundary protection responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing the capability to separate information system components supporting organizational missions and/or business functions
+
+
+
+ SEPARATE SUBNETS FOR CONNECTING TO DIFFERENT SECURITY DOMAINS
+ SC-7 (22)
+
+
The information system implements separate network addresses (i.e., different subnets) to connect to systems in different security domains.
+
+
+
Decomposition of information systems into subnets helps to provide the appropriate level of protection for network connections to different security domains containing information with different security categories or classification levels.
+
+
+
Determine if the information system implements separate network addresses (i.e., different subnets) to connect to systems in different security domains.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing boundary protection
+
information system design documentation
+
information system hardware and software
+
information system architecture
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with boundary protection responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing separate network addresses/different subnets
The information system disables feedback to senders on protocol format validation failure.
+
+
+
Disabling feedback to senders when there is a failure in protocol validation format prevents adversaries from obtaining information which would otherwise be unavailable.
+
+
+
Determine if the information system disables feedback to senders on protocol format validation failure.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing boundary protection
+
information system design documentation
+
information system hardware and software
+
information system architecture
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with boundary protection responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing the disabling of feedback to senders on protocol format validation failure
+
+
+
+
Determine if the information system:
+
+ SC-7(a)
+
+ SC-7(a)[1]
+
monitors communications at the external boundary of the information system;
+
+
+ SC-7(a)[2]
+
monitors communications at key internal boundaries within the system;
+
+
+ SC-7(a)[3]
+
controls communications at the external boundary of the information system;
+
+
+ SC-7(a)[4]
+
controls communications at key internal boundaries within the system;
+
+
+
+ SC-7(b)
+
implements subnetworks for publicly accessible system components that are either:
+
+ SC-7(b)[1]
+
physically separated from internal organizational networks; and/or
+
+
+ SC-7(b)[2]
+
logically separated from internal organizational networks; and
+
+
+
+ SC-7(c)
+
connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing boundary protection
+
list of key internal boundaries of the information system
+
information system design documentation
+
boundary protection hardware and software
+
information system configuration settings and associated documentation
+
enterprise security architecture documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with boundary protection responsibilities
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-41
+
+
+ NIST Special Publication 800-77
+
+
+
+
+ TRANSMISSION CONFIDENTIALITY AND INTEGRITY
+ SC-8
+ P1
+ MODERATE
+ HIGH
+
+
The information system protects the [Selection (one or more): confidentiality; integrity] of transmitted information.
+
+
+
This control applies to both internal and external networks and all types of information system components from which information can be transmitted (e.g., servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile machines). Communication paths outside the physical protection of a controlled boundary are exposed to the possibility of interception and modification. Protecting the confidentiality and/or integrity of organizational information can be accomplished by physical means (e.g., by employing protected distribution systems) or by logical means (e.g., employing encryption techniques). Organizations relying on commercial providers offering transmission services as commodity services rather than as fully dedicated services (i.e., services which can be highly specialized to individual customer needs), may find it difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission confidentiality/integrity. In such situations, organizations determine what types of confidentiality/integrity services are available in standard, commercial telecommunication service packages. If it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, organizations implement appropriate compensating security controls or explicitly accept the additional risk.
+
+
+
+
+ CRYPTOGRAPHIC OR ALTERNATE PHYSICAL PROTECTION
+
+ organization-defined alternative physical safeguards
+ organization-defined alternative physical safeguards
+
+ SC-8 (1)
+ MODERATE
+ HIGH
+
+
The information system implements cryptographic mechanisms to [Selection (one or more): prevent unauthorized disclosure of information; detect changes to information] during transmission unless otherwise protected by .
+
+
+
Encrypting information for transmission protects information from unauthorized disclosure and modification. Cryptographic mechanisms implemented to protect information integrity include, for example, cryptographic hash functions which have common application in digital signatures, checksums, and message authentication codes. Alternative physical security safeguards include, for example, protected distribution systems.
+
+
+
+
Determine if:
+
+ SC-8(1)[1]
+
the organization defines physical safeguards to be implemented to protect information during transmission when cryptographic mechanisms are not implemented; and
+
+
+ SC-8(1)[2]
+
the information system implements cryptographic mechanisms to do one or more of the following during transmission unless otherwise protected by organization-defined alternative physical safeguards:
+
+ SC-8(1)[2][a]
+
prevent unauthorized disclosure of information; and/or
+
+
+ SC-8(1)[2][b]
+
detect changes to information.
+
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing transmission confidentiality and integrity
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
automated mechanisms supporting and/or implementing alternative physical safeguards
+
organizational processes for defining and implementing alternative physical safeguards
+
+
+
+ PRE / POST TRANSMISSION HANDLING
+ SC-8 (2)
+
+
The information system maintains the [Selection (one or more): confidentiality; integrity] of information during preparation for transmission and during reception.
+
+
+
Information can be either unintentionally or maliciously disclosed or modified during preparation for transmission or during reception including, for example, during aggregation, at protocol transformation points, and during packing/unpacking. These unauthorized disclosures or modifications compromise the confidentiality or integrity of the information.
+
+
+
+
Determine if the information system maintains one or more of the following:
+
+ SC-8(2)[1]
+
confidentiality of information during preparation for transmission;
+
+
+ SC-8(2)[2]
+
confidentiality of information during reception; and/or
+
+
+ SC-8(2)[3]
+
integrity of information during preparation for transmission;
+
+
+ SC-8(2)[4]
+
integrity of information during reception.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing transmission confidentiality and integrity
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
+
+
+ CRYPTOGRAPHIC PROTECTION FOR MESSAGE EXTERNALS
+
+ organization-defined alternative physical safeguards
+ organization-defined alternative physical safeguards
+
+ SC-8 (3)
+
+
The information system implements cryptographic mechanisms to protect message externals unless otherwise protected by .
+
+
+
This control enhancement addresses protection against unauthorized disclosure of information. Message externals include, for example, message headers/routing information. This control enhancement prevents the exploitation of message externals and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Header/routing information is sometimes transmitted unencrypted because the information is not properly identified by organizations as having significant value or because encrypting the information can result in lower network performance and/or higher costs. Alternative physical safeguards include, for example, protected distribution systems.
+
+
+
+
+
Determine if:
+
+ SC-8(3)[1]
+
the organization defines alternative physical safeguards to be implemented to protect message externals; and
+
+
+ SC-8(3)[2]
+
the information system implements cryptographic mechanisms to protect message externals unless otherwise protected by organization-defined alternative physical safeguards.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing transmission confidentiality and integrity
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
The information system implements cryptographic mechanisms to conceal or randomize communication patterns unless otherwise protected by .
+
+
+
This control enhancement addresses protection against unauthorized disclosure of information. Communication patterns include, for example, frequency, periods, amount, and predictability. Changes to communications patterns can reveal information having intelligence value especially when combined with other available information related to missions/business functions supported by organizational information systems. This control enhancement prevents the derivation of intelligence based on communications patterns and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Encrypting the links and transmitting in continuous, fixed/random patterns prevents the derivation of intelligence from the system communications patterns. Alternative physical safeguards include, for example, protected distribution systems.
+
+
+
+
+
Determine if:
+
+ SC-8(4)[1]
+
the organization defines alternative physical safeguards to be implemented to protect against unauthorized disclosure of communication patterns;
+
+
+ SC-8(4)[2]
+
the information system, unless otherwise protected by organization-defined alternative physical safeguards, implements cryptographic mechanisms to:
+
+ SC-8(4)[2][a]
+
conceal communication patterns; or
+
+
+ SC-8(4)[2][b]
+
randomize communication patterns.
+
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing transmission confidentiality and integrity
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
+
+ TEST
+
Cryptographic mechanisms supporting and/or implementing concealment or randomization of communications patterns
+
automated mechanisms supporting and/or implementing alternative physical safeguards
+
organizational processes for defining and implementing alternative physical safeguards
+
+
+
+
Determine if the information system protects one or more of the following:
+
+ SC-8[1]
+
confidentiality of transmitted information; and/or
+
+
+ SC-8[2]
+
integrity of transmitted information.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing transmission confidentiality and integrity
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
+
+
+ NETWORK DISCONNECT
+
+ organization-defined time period
+ organization-defined time period
+
+ SC-10
+ P2
+ MODERATE
+ HIGH
+
+
The information system terminates the network connection associated with a communications session at the end of the session or after of inactivity.
+
+
+
This control applies to both internal and external networks. Terminating network connections associated with communications sessions include, for example, de-allocating associated TCP/IP address/port pairs at the operating system level, or de-allocating networking assignments at the application level if multiple application sessions are using a single, operating system-level network connection. Time periods of inactivity may be established by organizations and include, for example, time periods by type of network access or for specific network accesses.
+
+
+
Determine if:
+
+ SC-10[1]
+
the organization defines a time period of inactivity after which the information system terminates a network connection associated with a communications session; and
+
+
+ SC-10[2]
+
the information system terminates the network connection associated with a communication session at the end of the session or after the organization-defined time period of inactivity.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing network disconnect
+
information system design documentation
+
security plan
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
+
+
+ TRUSTED PATH
+
+ organization-defined security functions to include at a minimum, information system authentication and re-authentication
+ organization-defined security functions to include at a minimum, information system authentication and re-authentication
+
+ SC-11
+ P0
+
+
The information system establishes a trusted communications path between the user and the following security functions of the system: .
+
+
+
Trusted paths are mechanisms by which users (through input devices) can communicate directly with security functions of information systems with the requisite assurance to support information security policies. The mechanisms can be activated only by users or the security functions of organizational information systems. User responses via trusted paths are protected from modifications by or disclosure to untrusted applications. Organizations employ trusted paths for high-assurance connections between security functions of information systems and users (e.g., during system logons). Enforcement of trusted communications paths is typically provided via an implementation that meets the reference monitor concept.
+
+
+
+
+ LOGICAL ISOLATION
+ SC-11 (1)
+
+
The information system provides a trusted communications path that is logically isolated and distinguishable from other paths.
+
+
+
Determine if the information system provides a trusted communications path that is:
+
+
+
+ CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT
+
+ organization-defined requirements for key generation, distribution, storage, access, and destruction
+ organization-defined requirements for key generation, distribution, storage, access, and destruction
+
+ SC-12
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization establishes and manages cryptographic keys for required cryptography employed within the information system in accordance with .
+
+
+
Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance, specifying appropriate options, levels, and parameters. Organizations manage trust stores to ensure that only approved trust anchors are in such trust stores. This includes certificates with visibility external to organizational information systems and certificates related to the internal operations of systems.
+
+
+
+
+ AVAILABILITY
+ SC-12 (1)
+ HIGH
+
+
The organization maintains availability of information in the event of the loss of cryptographic keys by users.
+
+
+
Escrowing of encryption keys is a common practice for ensuring availability in the event of loss of keys (e.g., due to forgotten passphrase).
+
+
+
Determine if the organization maintains availability of information in the event of the loss of cryptographic keys by users.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing cryptographic key establishment, management, and recovery
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibilities for cryptographic key establishment or management
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing cryptographic key establishment and management
+
+
+
+ SYMMETRIC KEYS
+ SC-12 (2)
+
+
The organization produces, controls, and distributes symmetric cryptographic keys using [Selection: NIST FIPS-compliant; NSA-approved] key management technology and processes.
+
+
+
Determine if the organization produces, controls, and distributes symmetric cryptographic keys using one of the following:
+
+ SC-12(2)[1]
+
NIST FIPS-compliant key management technology and processes; or
+
+
+ SC-12(2)[2]
+
NSA-approved key management technology and processes.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing cryptographic key establishment and management
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
list of FIPS validated cryptographic products
+
list of NSA-approved cryptographic products
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with responsibilities for cryptographic key establishment or management
The organization produces, controls, and distributes asymmetric cryptographic keys using [Selection: NSA-approved key management technology and processes; approved PKI Class 3 certificates or prepositioned keying material; approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user�s private key].
+
+
+
Determine if the organization produces, controls, and distributes asymmetric cryptographic keys using one of the following:
+
+ SC-12(3)[1]
+
NSA-approved key management technology and processes;
+
+
+ SC-12(3)[2]
+
approved PKI Class 3 certificates or prepositioned keying material; or
+
+
+ SC-12(3)[3]
+
approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user’s private key.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing cryptographic key establishment and management
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
list of NSA-approved cryptographic products
+
list of approved PKI Class 3 and Class 4 certificates
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with responsibilities for cryptographic key establishment or management
+
organizational personnel with responsibilities for PKI certificates
establishes and manages cryptographic keys for required cryptography employed within the information system in accordance with organization-defined requirements for key generation, distribution, storage, access, and destruction.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing cryptographic key establishment and management
+
information system design documentation
+
cryptographic mechanisms
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibilities for cryptographic key establishment and/or management
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing cryptographic key establishment and management
+
+
+
+ NIST Special Publication 800-56
+
+
+ NIST Special Publication 800-57
+
+
+
+
+ CRYPTOGRAPHIC PROTECTION
+
+ organization-defined cryptographic uses and type of cryptography required for each use
+ organization-defined cryptographic uses and type of cryptography required for each use
+
+ SC-13
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system implements in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.
+
+
+
Cryptography can be employed to support a variety of security solutions including, for example, the protection of classified and Controlled Unclassified Information, the provision of digital signatures, and the enforcement of information separation when authorized individuals have the necessary clearances for such information but lack the necessary formal access approvals. Cryptography can also be used to support random number generation and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. This control does not impose any requirements on organizations to use cryptography. However, if cryptography is required based on the selection of other security controls, organizations define each type of cryptographic use and the type of cryptography required (e.g., protection of classified information: NSA-approved cryptography; provision of digital signatures: FIPS-validated cryptography).
the organization defines the type of cryptography required for each use; and
+
+
+ SC-13[3]
+
the information system implements the organization-defined cryptographic uses and type of cryptography required for each use in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing cryptographic protection
+
information system design documentation
+
information system configuration settings and associated documentation
+
cryptographic module validation certificates
+
list of FIPS validated cryptographic modules
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with responsibilities for cryptographic protection
+
+
+
+ COLLABORATIVE COMPUTING DEVICES
+
+ organization-defined exceptions where remote activation is to be allowed
+ organization-defined exceptions where remote activation is to be allowed
+
+ SC-15
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system:
+
+ SC-15a.
+
Prohibits remote activation of collaborative computing devices with the following exceptions: ; and
+
+
+ SC-15b.
+
Provides an explicit indication of use to users physically present at the devices.
+
+
+
+
Collaborative computing devices include, for example, networked white boards, cameras, and microphones. Explicit indication of use includes, for example, signals to users when collaborative computing devices are activated.
+
+
+
+ PHYSICAL DISCONNECT
+ SC-15 (1)
+
+
The information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.
+
+
+
Failing to physically disconnect from collaborative computing devices can result in subsequent compromises of organizational information. Providing easy methods to physically disconnect from such devices after a collaborative computing session helps to ensure that participants actually carry out the disconnect activity without having to go through complex and tedious procedures.
+
+
+
Determine if the information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing collaborative computing
+
access control policy and procedures
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with responsibilities for managing collaborative computing devices
+
+
+
+ DISABLING / REMOVAL IN SECURE WORK AREAS
+
+ organization-defined information systems or information system components
+ organization-defined information systems or information system components
+
+
+ organization-defined secure work areas
+ organization-defined secure work areas
+
+ SC-15 (3)
+
+
The organization disables or removes collaborative computing devices from in .
+
+
+
Failing to disable or remove collaborative computing devices from information systems or information system components can result in subsequent compromises of organizational information including, for example, eavesdropping on conversations.
+
+
+
Determine if the organization:
+
+ SC-15(3)[1]
+
defines information systems or information system components from which collaborative computing devices are to be disabled or removed;
+
+
+ SC-15(3)[2]
+
defines secure work areas where collaborative computing devices are to be disabled or removed from information systems or information system components placed in such work areas; and
+
+
+ SC-15(3)[3]
+
disables or removes collaborative computing devices from organization-defined information systems or information system components in organization-defined secure work areas.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing collaborative computing
+
access control policy and procedures
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
list of secure work areas
+
information systems or information system components in secured work areas where collaborative computing devices are to be disabled or removed
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibilities for managing collaborative computing devices
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing the capability to disable collaborative computing devices
+
+
+
+ EXPLICITLY INDICATE CURRENT PARTICIPANTS
+
+ organization-defined online meetings and teleconferences
+ organization-defined online meetings and teleconferences
+
+ SC-15 (4)
+
+
The information system provides an explicit indication of current participants in .
+
+
+
This control enhancement helps to prevent unauthorized individuals from participating in collaborative computing sessions without the explicit knowledge of other participants.
+
+
+
Determine if:
+
+ SC-15(4)[1]
+
the organization defines online meetings and teleconferences for which an explicit indication of current participants is to be provided; and
+
+
+ SC-15(4)[2]
+
the information system provides an explicit indication of current participants in organization-defined meetings and teleconferences.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing collaborative computing
+
access control policy and procedures
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
list of types of meetings and teleconferences requiring explicit indication of current participants
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibilities for managing collaborative computing devices
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing the capability to indicate participants on collaborative computing devices
+
+
+
+
Determine if:
+
+ SC-15(a)
+
+ SC-15(a)[1]
+
the organization defines exceptions where remote activation of collaborative computing devices is to be allowed;
+
+
+ SC-15(a)[2]
+
the information system prohibits remote activation of collaborative computing devices, except for organization-defined exceptions where remote activation is to be allowed; and
+
+
+
+ SC-15(b)
+
the information system provides an explicit indication of use to users physically present at the devices.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing collaborative computing
+
access control policy and procedures
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with responsibilities for managing collaborative computing devices
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing management of remote activation of collaborative computing devices
+
automated mechanisms providing an indication of use of collaborative computing devices
The information system associates with information exchanged between information systems and between system components.
+
+
+
Security attributes can be explicitly or implicitly associated with the information contained in organizational information systems or system components.
+
+
+
+
+
+ INTEGRITY VALIDATION
+ SC-16 (1)
+
+
The information system validates the integrity of transmitted security attributes.
+
+
+
This control enhancement ensures that the verification of the integrity of transmitted information includes security attributes.
+
+
+
+
+
Determine if the information system validates the integrity of transmitted security attributes.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing transmission of security attributes
+
access control policy and procedures
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing validation of the integrity of transmitted security attributes
+
+
+
+
Determine if:
+
+ SC-16[1]
+
the organization defines security attributes to be associated with information exchanged:
+
+ SC-16[1][a]
+
between information systems;
+
+
+ SC-16[1][b]
+
between system components;
+
+
+
+ SC-16[2]
+
the information system associates organization-defined security attributes with information exchanged:
+
+ SC-16[2][a]
+
between information systems; and
+
+
+ SC-16[2][b]
+
between system components.
+
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing transmission of security attributes
+
access control policy and procedures
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing transmission of security attributes between information systems
The organization issues public key certificates under an or obtains public key certificates from an approved service provider.
+
+
+
For all certificates, organizations manage information system trust stores to ensure only approved trust anchors are in the trust stores. This control addresses both certificates with visibility external to organizational information systems and certificates related to the internal operations of systems, for example, application-specific time services.
+
+
+
+
Determine if the organization:
+
+ SC-17[1]
+
defines a certificate policy for issuing public key certificates;
+
+
+ SC-17[2]
+
issues public key certificates:
+
+ SC-17[2][a]
+
under an organization-defined certificate policy: or
+
+
+ SC-17[2][b]
+
obtains public key certificates from an approved service provider.
+
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing public key infrastructure certificates
+
public key certificate policy or policies
+
public key issuing process
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibilities for issuing public key certificates
+
service providers
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing the management of public key infrastructure certificates
+
+
+
+ OMB Memorandum 05-24
+
+
+ NIST Special Publication 800-32
+
+
+ NIST Special Publication 800-63
+
+
+
+
+ MOBILE CODE
+ SC-18
+ P2
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SC-18a.
+
Defines acceptable and unacceptable mobile code and mobile code technologies;
+
+
+ SC-18b.
+
Establishes usage restrictions and implementation guidance for acceptable mobile code and mobile code technologies; and
+
+
+ SC-18c.
+
Authorizes, monitors, and controls the use of mobile code within the information system.
+
+
+
+
Decisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices (e.g., smart phones). Mobile code policy and procedures address preventing the development, acquisition, or introduction of unacceptable mobile code within organizational information systems.
Corrective actions when unacceptable mobile code is detected include, for example, blocking, quarantine, or alerting administrators. Blocking includes, for example, preventing transmission of word processing files with embedded macros when such macros have been defined to be unacceptable mobile code.
+
+
+
Determine if:
+
+ SC-18(1)[1]
+
the organization defines unacceptable mobile code to be identified by the information system;
+
+
+ SC-18(1)[2]
+
the organization defines correctives actions to be taken when the information system identifies organization-defined unacceptable mobile code;
+
+
+ SC-18(1)[3]
+
the information system:
+
+ SC-18(1)[3][a]
+
identifies organization-defined unacceptable mobile code; and
+
+
+ SC-18(1)[3][b]
+
takes organization-defined corrective actions.
+
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing mobile code
+
mobile code usage restrictions, mobile code implementation policy and procedures
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of unacceptable mobile code
+
list of corrective actions to be taken when unacceptable mobile code is identified
+
information system monitoring records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with responsibilities for managing mobile code
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing mobile code detection, inspection, and corrective capability
+
+
+
+ ACQUISITION / DEVELOPMENT / USE
+
+ organization-defined mobile code requirements
+ organization-defined mobile code requirements
+
+ SC-18 (2)
+
+
The organization ensures that the acquisition, development, and use of mobile code to be deployed in the information system meets .
+
+
+
Determine if the organization:
+
+ SC-18(2)[1]
+
defines requirements for:
+
+ SC-18(2)[1][a]
+
the acquisition of mobile code;
+
+
+ SC-18(2)[1][b]
+
the development of mobile code;
+
+
+ SC-18(2)[1][c]
+
the use of mobile code; and
+
+
+
+ SC-18(2)[2]
+
ensures that the acquisition, development, and use of mobile code to be deployed in the information system meets organization-defined mobile code requirements.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing mobile code
+
mobile code requirements
+
mobile code usage restrictions, mobile code implementation policy and procedures
+
acquisition documentation
+
acquisition contracts for information system, system component, or information system service
+
system development life cycle documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibilities for managing mobile code
+
organizational personnel with acquisition and contracting responsibilities
+
+
+ TEST
+
Organizational processes for the acquisition, development, and use of mobile code
The information system prevents the automatic execution of mobile code in and enforces prior to executing the code.
+
+
+
Actions enforced before executing mobile code, include, for example, prompting users prior to opening electronic mail attachments. Preventing automatic execution of mobile code includes, for example, disabling auto execute features on information system components employing portable storage devices such as Compact Disks (CDs), Digital Video Disks (DVDs), and Universal Serial Bus (USB) devices.
+
+
+
Determine if:
+
+ SC-18(4)[1]
+
the organization defines software applications in which the automatic execution of mobile code is to be prohibited;
+
+
+ SC-18(4)[2]
+
the organization defines actions to be enforced by the information system prior to executing mobile code;
+
+
+ SC-18(4)[3]
+
the information system prevents the automatic execution of mobile code in the organization-defined software applications; and
+
+
+ SC-18(4)[4]
+
the information system enforces organization-defined actions prior to executing the code.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing mobile code
+
mobile code usage restrictions
+
mobile code implementation policy and procedures
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of software applications for which automatic execution of mobile code must be prohibited
+
list of actions required before execution of mobile code
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with responsibilities for managing mobile code
+
+
+ TEST
+
Automated mechanisms preventing automatic execution of unacceptable mobile code
+
automated mechanisms enforcing actions to be taken prior to the execution of the mobile code
+
+
+
+ ALLOW EXECUTION ONLY IN CONFINED ENVIRONMENTS
+ SC-18 (5)
+
+
The organization allows execution of permitted mobile code only in confined virtual machine environments.
+
+
+
Determine if the organization allows execution of permitted mobile code only in confined virtual machine environments.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing mobile code
+
mobile code usage allowances
+
mobile code usage restrictions
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of confined virtual machine environments for which execution of organizationally-acceptable mobile code is allowed
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel with responsibilities for managing mobile code
+
+
+ TEST
+
Automated mechanisms allowing execution of permitted mobile code in confined virtual machine environments
+
+
+
+
Determine if the organization:
+
+ SC-18(a)
+
defines acceptable and unacceptable mobile code and mobile code technologies;
+
+
+ SC-18(b)
+
+ SC-18(b)[1]
+
establishes usage restrictions for acceptable mobile code and mobile code technologies;
+
+
+ SC-18(b)[2]
+
establishes implementation guidance for acceptable mobile code and mobile code technologies;
+
+
+
+ SC-18(c)
+
+ SC-18(c)[1]
+
authorizes the use of mobile code within the information system;
+
+
+ SC-18(c)[2]
+
monitors the use of mobile code within the information system; and
+
+
+ SC-18(c)[3]
+
controls the use of mobile code within the information system.
+
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing mobile code
+
mobile code usage restrictions, mobile code implementation policy and procedures
+
list of acceptable mobile code and mobile code technologies
+
list of unacceptable mobile code and mobile technologies
+
authorization records
+
information system monitoring records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibilities for managing mobile code
+
+
+ TEST
+
Organizational process for controlling, authorizing, monitoring, and restricting mobile code
+
automated mechanisms supporting and/or implementing the management of mobile code
+
automated mechanisms supporting and/or implementing the monitoring of mobile code
+
+
+
+ NIST Special Publication 800-28
+
+
+ DoD Instruction 8552.01
+
+
+
+
+ VOICE OVER INTERNET PROTOCOL
+ SC-19
+ P1
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SC-19a.
+
Establishes usage restrictions and implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously; and
+
+
+ SC-19b.
+
Authorizes, monitors, and controls the use of VoIP within the information system.
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+ SC-19(a)
+
+ SC-19(a)[1]
+
establishes usage restrictions for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously;
+
+
+ SC-19(a)[2]
+
establishes implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously;
+
+
+
+ SC-19(b)
+
+ SC-19(b)[1]
+
authorizes the use of VoIP within the information system;
+
+
+ SC-19(b)[2]
+
monitors the use of VoIP within the information system; and
+
+
+ SC-19(b)[3]
+
controls the use of VoIP within the information system.
+
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing VoIP
+
VoIP usage restrictions
+
VoIP implementation guidance
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system monitoring records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibilities for managing VoIP
+
+
+ TEST
+
Organizational process for authorizing, monitoring, and controlling VoIP
+
automated mechanisms supporting and/or implementing authorizing, monitoring, and controlling VoIP
+
+
+
+ NIST Special Publication 800-58
+
+
+
+
+ SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)
+ SC-20
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system:
+
+ SC-20a.
+
Provides additional data origin authentication and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries; and
+
+
+ SC-20b.
+
Provides the means to indicate the security status of child zones and (if the child supports secure resolution services) to enable verification of a chain of trust among parent and child domains, when operating as part of a distributed, hierarchical namespace.
+
+
+
+
This control enables external clients including, for example, remote Internet clients, to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. Information systems that provide name and address resolution services include, for example, domain name system (DNS) servers. Additional artifacts include, for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS resource records are examples of authoritative data. The means to indicate the security status of child zones includes, for example, the use of delegation signer resource records in the DNS. The DNS security controls reflect (and are referenced from) OMB Memorandum 08-23. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to assure the authenticity and integrity of response data.
The information system provides data origin and integrity protection artifacts for internal name/address resolution queries.
+
+
+
Determine if the information system provides data origin and integrity protection artifacts for internal name/address resolution queries.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing secure name/address resolution service (authoritative source)
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibilities for managing DNS
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing data origin and integrity protection for internal name/address resolution service queries
+
+
+
+
Determine if the information system:
+
+ SC-20(a)
+
provides additional data origin and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries;
+
+
+ SC-20(b)
+
provides the means to, when operating as part of a distributed, hierarchical namespace:
+
+ SC-20(b)[1]
+
indicate the security status of child zones; and
+
+
+ SC-20(b)[2]
+
enable verification of a chain of trust among parent and child domains (if the child supports secure resolution services).
+
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing secure name/address resolution service (authoritative source)
+
information system design documentation
+
information system configuration settings and associated documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibilities for managing DNS
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing secure name/address resolution service
+
+
+
+ OMB Memorandum 08-23
+
+
+ NIST Special Publication 800-81
+
+
+
+
+ SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)
+ SC-21
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system requests and performs data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources.
+
+
+
Each client of name resolution services either performs this validation on its own, or has authenticated channels to trusted validation providers. Information systems that provide name and address resolution services for local clients include, for example, recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to enable clients to verify the authenticity and integrity of response data.
requests data origin authentication on the name/address resolution responses the system receives from authoritative sources;
+
+
+ SC-21[2]
+
requests data integrity verification on the name/address resolution responses the system receives from authoritative sources;
+
+
+ SC-21[3]
+
performs data origin authentication on the name/address resolution responses the system receives from authoritative sources; and
+
+
+ SC-21[4]
+
performs data integrity verification on the name/address resolution responses the system receives from authoritative sources.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing secure name/address resolution service (recursive or caching resolver)
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibilities for managing DNS
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing data origin authentication and data integrity verification for name/address resolution services
+
+
+
+ NIST Special Publication 800-81
+
+
+
+
+ ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE
+ SC-22
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal/external role separation.
+
+
+
Information systems that provide name and address resolution services include, for example, domain name system (DNS) servers. To eliminate single points of failure and to enhance redundancy, organizations employ at least two authoritative domain name system servers, one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks including the Internet). Organizations specify clients that can access authoritative DNS servers in particular roles (e.g., by address ranges, explicit lists).
+
+
+
+
+
+
+
Determine if the information systems that collectively provide name/address resolution service for an organization:
+
+ SC-22[1]
+
are fault tolerant; and
+
+
+ SC-22[2]
+
implement internal/external role separation.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing architecture and provisioning for name/address resolution service
+
access control policy and procedures
+
information system design documentation
+
assessment results from independent, testing organizations
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibilities for managing DNS
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing name/address resolution service for fault tolerance and role separation
The information system protects the authenticity of communications sessions.
+
+
+
This control addresses communications protection at the session, versus packet level (e.g., sessions in service-oriented architectures providing web-based services) and establishes grounds for confidence at both ends of communications sessions in ongoing identities of other parties and in the validity of information transmitted. Authenticity protection includes, for example, protecting against man-in-the-middle attacks/session hijacking and the insertion of false information into sessions.
The information system generates a unique session identifier for each session with and recognizes only session identifiers that are system-generated.
+
+
+
This control enhancement curtails the ability of adversaries from reusing previously valid session IDs. Employing the concept of randomness in the generation of unique session identifiers helps to protect against brute-force attacks to determine future session identifiers.
+
+
+
+
Determine if:
+
+ SC-23(3)[1]
+
the organization defines randomness requirements for generating a unique session identifier for each session;
+
+
+ SC-23(3)[2]
+
the information system generates a unique session identifier for each session with organization-defined randomness requirements; and
+
+
+ SC-23(3)[3]
+
the information system recognizes only session identifiers that are system-generated.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing session authenticity
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
The information system only allows the use of for verification of the establishment of protected sessions.
+
+
+
Reliance on certificate authorities (CAs) for the establishment of secure sessions includes, for example, the use of Secure Socket Layer (SSL) and/or Transport Layer Security (TLS) certificates. These certificates, after verification by the respective certificate authorities, facilitate the establishment of protected sessions between web clients and web servers.
+
+
+
+
Determine if:
+
+ SC-23(5)[1]
+
the organization defines certificate authorities to be allowed for verification of the establishment of protected sessions; and
+
+
+ SC-23(5)[2]
+
the information system only allows the use of organization-defined certificate authorities for verification of the establishment of protected sessions.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing session authenticity
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of certificate authorities allowed for verification of the establishment of protected sessions
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing management of certificate authorities
+
+
+
+
Determine if the information system protects the authenticity of communications sessions.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing session authenticity
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-52
+
+
+ NIST Special Publication 800-77
+
+
+ NIST Special Publication 800-95
+
+
+
+
+ FAIL IN KNOWN STATE
+
+ organization-defined known-state
+ organization-defined known-state
+
+
+ organization-defined types of failures
+ organization-defined types of failures
+
+
+ organization-defined system state information
+ organization-defined system state information
+
+ SC-24
+ P1
+ HIGH
+
+
The information system fails to a for preserving in failure.
+
+
+
Failure in a known state addresses security concerns in accordance with the mission/business needs of organizations. Failure in a known secure state helps to prevent the loss of confidentiality, integrity, or availability of information in the event of failures of organizational information systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving information system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission/business processes.
+
+
+
+
+
+
+
+
Determine if:
+
+ SC-24[1]
+
the organization defines a known-state to which the information system is to fail in the event of a system failure;
+
+
+ SC-24[2]
+
the organization defines types of failures for which the information system is to fail to an organization-defined known-state;
+
+
+ SC-24[3]
+
the organization defines system state information to be preserved in the event of a system failure;
+
+
+ SC-24[4]
+
the information system fails to the organization-defined known-state for organization-defined types of failures; and
+
+
+ SC-24[5]
+
the information system preserves the organization-defined system state information in the event of a system failure.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing information system failure to known state
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of failures requiring information system to fail in a known state
+
state information to be preserved in system failure
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing fail-in-known state capability
+
automated mechanisms preserving system state information in the event of a system failure
+
+
+
+ THIN NODES
+
+ organization-defined information system components
+ organization-defined information system components
+
+ SC-25
+ P0
+
+
The organization employs with minimal functionality and information storage.
+
+
+
The deployment of information system components with reduced/minimal functionality (e.g., diskless nodes and thin client technologies) reduces the need to secure every user endpoint, and may reduce the exposure of information, information systems, and services to cyber attacks.
+
+
+
+
Determine if the organization:
+
+ SC-25[1]
+
defines information system components to be employed with minimal functionality and information storage; and
+
+
+ SC-25[2]
+
employs organization-defined information system components with minimal functionality and information storage.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing use of thin nodes
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
The information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.
+
+
+
A honeypot is set up as a decoy to attract adversaries and to deflect their attacks away from the operational systems supporting organizational missions/business function. Depending upon the specific usage of the honeypot, consultation with the Office of the General Counsel before deployment may be needed.
Determine if the information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing use of honeypots
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
Platforms are combinations of hardware and software used to run software applications. Platforms include: (i) operating systems; (ii) the underlying computer architectures, or (iii) both. Platform-independent applications are applications that run on multiple platforms. Such applications promote portability and reconstitution on different platforms, increasing the availability of critical functions within organizations while information systems with specific operating systems are under attack.
+
+
+
+
Determine if:
+
+ SC-27[1]
+
the organization defines platform-independent applications; and
+
+
+ SC-27[2]
+
the information system includes organization-defined platform-independent applications.
+
+
+
+ PROTECTION OF INFORMATION AT REST
+
+ organization-defined information at rest
+ organization-defined information at rest
+
+ SC-28
+ P1
+ MODERATE
+ HIGH
+
+
The information system protects the [Selection (one or more): confidentiality; integrity] of .
+
+
+
This control addresses the confidentiality and integrity of information at rest and covers user information and system information. Information at rest refers to the state of information when it is located on storage devices as specific components of information systems. System-related information requiring protection includes, for example, configurations or rule sets for firewalls, gateways, intrusion detection/prevention systems, filtering routers, and authenticator content. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing Write-Once-Read-Many (WORM) technologies. Organizations may also employ other security controls including, for example, secure off-line storage in lieu of online storage when adequate protection of information at rest cannot otherwise be achieved and/or continuous monitoring to identify malicious code at rest.
+
+
+
+
+
+
+
+
+
+
+
+
+
+ CRYPTOGRAPHIC PROTECTION
+
+ organization-defined information
+ organization-defined information
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+ SC-28 (1)
+
+
The information system implements cryptographic mechanisms to prevent unauthorized disclosure and modification of on .
+
+
+
Selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category and/or classification of the information. This control enhancement applies to significant concentrations of digital media in organizational areas designated for media storage and also to limited quantities of media generally associated with information system components in operational environments (e.g., portable storage devices, mobile devices). Organizations have the flexibility to either encrypt all information on storage devices (i.e., full disk encryption) or encrypt specific data structures (e.g., files, records, or fields). Organizations employing cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions.
+
+
+
+
+
Determine if:
+
+ SC-28(1)[1]
+
the organization defines information requiring cryptographic protection;
+
+
+ SC-28(1)[2]
+
the organization defines information system components with organization-defined information requiring cryptographic protection; and
+
+
+ SC-28(1)[3]
+
the information system employs cryptographic mechanisms to prevent unauthorized disclosure and modification of organization-defined information on organization-defined information system components.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing protection of information at rest
+
information system design documentation
+
information system configuration settings and associated documentation
+
cryptographic mechanisms and associated configuration documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
+
+ TEST
+
Cryptographic mechanisms implementing confidentiality and integrity protections for information at rest
+
+
+
+ OFF-LINE STORAGE
+
+ organization-defined information
+ organization-defined information
+
+ SC-28 (2)
+
+
The organization removes from online storage and stores off-line in a secure location .
+
+
+
Removing organizational information from online information system storage to off-line storage eliminates the possibility of individuals gaining unauthorized access to the information through a network. Therefore, organizations may choose to move information to off-line storage in lieu of protecting such information in online storage.
+
+
+
Determine if the organization:
+
+ SC-28(2)[1]
+
defines information to be removed from online storage and stored off-line in a secure location; and
+
+
+ SC-28(2)[2]
+
removes organization-defined information from online storage; and
+
+
+ SC-28(2)[3]
+
stores such information off-line in a secure location.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing protection of information at rest
+
information system design documentation
+
information system configuration settings and associated documentation
+
cryptographic mechanisms and associated configuration documentation
+
off-line storage locations for information at rest
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing removal of information from online storage
+
automated mechanisms supporting and/or implementing storage of information off-line
+
+
+
+
Determine if:
+
+ SC-28[1]
+
the organization defines information at rest requiring one or more of the following:
+
+ SC-28[1][a]
+
confidentiality protection; and/or
+
+
+ SC-28[1][b]
+
integrity protection;
+
+
+
+ SC-28[2]
+
the information system protects:
+
+ SC-28[2][a]
+
the confidentiality of organization-defined information at rest; and/or
+
+
+ SC-28[2][b]
+
the integrity of organization-defined information at rest.
+
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing protection of information at rest
+
information system design documentation
+
information system configuration settings and associated documentation
+
cryptographic mechanisms and associated configuration documentation
+
list of information at rest requiring confidentiality and integrity protections
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing confidentiality and integrity protections for information at rest
+
+
+
+ NIST Special Publication 800-56
+
+
+ NIST Special Publication 800-57
+
+
+ NIST Special Publication 800-111
+
+
+
+
+ HETEROGENEITY
+
+ organization-defined information system components
+ organization-defined information system components
+
+ SC-29
+ P0
+
+
The organization employs a diverse set of information technologies for in the implementation of the information system.
+
+
+
Increasing the diversity of information technologies within organizational information systems reduces the impact of potential exploitations of specific technologies and also defends against common mode failures, including those failures induced by supply chain attacks. Diversity in information technologies also reduces the likelihood that the means adversaries use to compromise one information system component will be equally effective against other system components, thus further increasing the adversary work factor to successfully complete planned cyber attacks. An increase in diversity may add complexity and management overhead which could ultimately lead to mistakes and unauthorized configurations.
The organization employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed .
+
+
+
While frequent changes to operating systems and applications pose configuration management challenges, the changes can result in an increased work factor for adversaries in order to carry out successful cyber attacks. Changing virtual operating systems or applications, as opposed to changing actual operating systems/applications, provide virtual changes that impede attacker success while reducing configuration management efforts. In addition, virtualization techniques can assist organizations in isolating untrustworthy software and/or software of dubious provenance into confined execution environments.
+
+
+
Determine if the organization:
+
+ SC-29(1)[1]
+
defines a frequency to change the diversity of operating systems and applications deployed using virtualization techniques; and
+
+
+ SC-29(1)[2]
+
employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed with the organization-defined frequency.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
configuration management policy and procedures
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system architecture
+
list of operating systems and applications deployed using virtualization techniques
+
change control records
+
configuration management records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibilities for implementing approved virtualization techniques to the information system
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing employment of a diverse set of information technologies
defines information system components requiring a diverse set of information technologies to be employed in the implementation of the information system; and
+
+
+ SC-29[2]
+
employs a diverse set of information technologies for organization-defined information system components in the implementation of the information system.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of technologies deployed in the information system
+
acquisition documentation
+
acquisition contracts for information system components or services
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with information system acquisition, development, and implementation responsibilities
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing employment of a diverse set of information technologies
+
+
+
+ CONCEALMENT AND MISDIRECTION
+
+ organization-defined concealment and misdirection techniques
+ organization-defined concealment and misdirection techniques
+
+
+ organization-defined information systems
+ organization-defined information systems
+
+
+ organization-defined time periods
+ organization-defined time periods
+
+ SC-30
+ P0
+
+
The organization employs for at to confuse and mislead adversaries.
+
+
+
Concealment and misdirection techniques can significantly reduce the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete cyber attacks. For example, virtualization techniques provide organizations with the ability to disguise information systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms. Increased use of concealment/misdirection techniques including, for example, randomness, uncertainty, and virtualization, may sufficiently confuse and mislead adversaries and subsequently increase the risk of discovery and/or exposing tradecraft. Concealment/misdirection techniques may also provide organizations additional time to successfully perform core missions and business functions. Because of the time and effort required to support concealment/misdirection techniques, it is anticipated that such techniques would be used by organizations on a very limited basis.
The organization employs to introduce randomness into organizational operations and assets.
+
+
+
Randomness introduces increased levels of uncertainty for adversaries regarding the actions organizations take in defending against cyber attacks. Such actions may impede the ability of adversaries to correctly target information resources of organizations supporting critical missions/business functions. Uncertainty may also cause adversaries to hesitate before initiating or continuing attacks. Misdirection techniques involving randomness include, for example, performing certain routine actions at different times of day, employing different information technologies (e.g., browsers, search engines), using different suppliers, and rotating roles and responsibilities of organizational personnel.
+
+
+
Determine if the organization:
+
+ SC-30(2)[1]
+
defines techniques to be employed to introduce randomness into organizational operations and assets; and
+
+
+ SC-30(2)[2]
+
employs organization-defined techniques to introduce randomness into organizational operations and assets.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing concealment and misdirection techniques for the information system
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system architecture
+
list of techniques to be employed to introduce randomness into organizational operations and assets
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility for implementing concealment and misdirection techniques for information systems
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing randomness as a concealment and misdirection technique
+
+
+
+ CHANGE PROCESSING / STORAGE LOCATIONS
+
+ organization-defined processing and/or storage
+ organization-defined processing and/or storage
+
+
+ organization-defined time frequency
+ organization-defined time frequency
+
+ SC-30 (3)
+
+
The organization changes the location of [Selection: ; at random time intervals]].
+
+
+
Adversaries target critical organizational missions/business functions and the information resources supporting those missions and functions while at the same time, trying to minimize exposure of their existence and tradecraft. The static, homogeneous, and deterministic nature of organizational information systems targeted by adversaries, make such systems more susceptible to cyber attacks with less adversary cost and effort to be successful. Changing organizational processing and storage locations (sometimes referred to as moving target defense) addresses the advanced persistent threat (APT) using techniques such as virtualization, distributed processing, and replication. This enables organizations to relocate the information resources (i.e., processing and/or storage) supporting critical missions and business functions. Changing locations of processing activities and/or storage sites introduces uncertainty into the targeting activities by adversaries. This uncertainty increases the work factor of adversaries making compromises or breaches to organizational information systems much more difficult and time-consuming, and increases the chances that adversaries may inadvertently disclose aspects of tradecraft while attempting to locate critical organizational resources.
+
+
+
Determine if the organization:
+
+ SC-30(3)[1]
+
defines processing and/or storage locations to be changed at time intervals specified by the organization;
+
+
+ SC-30(3)[2]
+
defines a frequency to change the location of organization-defined processing and/or storage; and
+
+
+ SC-30(3)[3]
+
changes the location of organization-defined processing and/or storage at one of the following:
+
+ SC-30(3)[3][a]
+
organization-defined time intervals; or
+
+
+ SC-30(3)[3][b]
+
random time intervals.
+
+
+
+
+ EXAMINE
+
System and communications protection policy
+
configuration management policy and procedures
+
procedures addressing concealment and misdirection techniques for the information system
+
list of processing/storage locations to be changed at organizational time intervals
+
change control records
+
configuration management records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility for changing processing and/or storage locations
+
+
+
+ MISLEADING INFORMATION
+
+ organization-defined information system components
+ organization-defined information system components
+
+ SC-30 (4)
+
+
The organization employs realistic, but misleading information in with regard to its security state or posture.
+
+
+
This control enhancement misleads potential adversaries regarding the nature and extent of security safeguards deployed by organizations. As a result, adversaries may employ incorrect (and as a result ineffective) attack techniques. One way of misleading adversaries is for organizations to place misleading information regarding the specific security controls deployed in external information systems that are known to be accessed or targeted by adversaries. Another technique is the use of deception nets (e.g., honeynets, virtualized environments) that mimic actual aspects of organizational information systems but use, for example, out-of-date software configurations.
+
+
+
Determine if the organization:
+
+ SC-30(4)[1]
+
defines information system components in which to employ realistic, but misleading information regarding its security state or posture; and
+
+
+ SC-30(4)[2]
+
employs realistic, but misleading information in organization-defined information system components with regard to its security state or posture.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
configuration management policy and procedures
+
procedures addressing concealment and misdirection techniques for the information system
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility for defining and employing realistic, but misleading information about the security posture of information system components
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing employment of realistic, but misleading information about the security posture of information system components
+
+
+
+ CONCEALMENT OF SYSTEM COMPONENTS
+
+ organization-defined techniques
+ organization-defined techniques
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+ SC-30 (5)
+
+
The organization employs to hide or conceal .
+
+
+
By hiding, disguising, or otherwise concealing critical information system components, organizations may be able to decrease the probability that adversaries target and successfully compromise those assets. Potential means for organizations to hide and/or conceal information system components include, for example, configuration of routers or the use of honeynets or virtualization techniques.
+
+
+
Determine if the organization:
+
+ SC-30(5)[1]
+
defines techniques to be employed to hide or conceal information system components;
+
+
+ SC-30(5)[2]
+
defines information system components to be hidden or concealed using organization-defined techniques; and
+
+
+ SC-30(5)[3]
+
employs organization-defined techniques to hide or conceal organization-defined information system components.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
configuration management policy and procedures
+
procedures addressing concealment and misdirection techniques for the information system
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of techniques employed to hide or conceal information system components
+
list of information system components to be hidden or concealed
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility for concealment of system components
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing techniques for concealment of system components
+
+
+
+
Determine if the organization:
+
+ SC-30[1]
+
defines concealment and misdirection techniques to be employed to confuse and mislead adversaries potentially targeting organizational information systems;
+
+
+ SC-30[2]
+
defines information systems for which organization-defined concealment and misdirection techniques are to be employed;
+
+
+ SC-30[3]
+
defines time periods to employ organization-defined concealment and misdirection techniques for organization-defined information systems; and
+
+
+ SC-30[4]
+
employs organization-defined concealment and misdirection techniques for organization-defined information systems at organization-defined time periods to confuse and mislead adversaries.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing concealment and misdirection techniques for the information system
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system architecture
+
list of concealment and misdirection techniques to be employed for organizational information systems
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with responsibility for implementing concealment and misdirection techniques for information systems
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing concealment and misdirection techniques
+
+
+
+ COVERT CHANNEL ANALYSIS
+ SC-31
+ P0
+
+
The organization:
+
+ SC-31a.
+
Performs a covert channel analysis to identify those aspects of communications within the information system that are potential avenues for covert [Selection (one or more): storage; timing] channels; and
+
+
+ SC-31b.
+
Estimates the maximum bandwidth of those channels.
+
+
+
+
Developers are in the best position to identify potential areas within systems that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across security domains, for example, in the case of information systems containing export-controlled information and having connections to external networks (i.e., networks not controlled by organizations). Covert channel analysis is also meaningful for multilevel secure (MLS) information systems, multiple security level (MSL) systems, and cross-domain systems.
+
+
+
+
+
+ TEST COVERT CHANNELS FOR EXPLOITABILITY
+ SC-31 (1)
+
+
The organization tests a subset of the identified covert channels to determine which channels are exploitable.
+
+
+
Determine if the organization tests a subset of identified covert channels to determine which channels are exploitable.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing covert channel analysis
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of covert channels
+
covert channel analysis documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with covert channel analysis responsibilities
+
+
+ TEST
+
Organizational process for testing covert channels
+
automated mechanisms supporting and/or implementing testing of covert channels analysis
automated mechanisms supporting and/or implementing the capability to reduce the bandwidth of covert channels
+
+
+
+ MEASURE BANDWIDTH IN OPERATIONAL ENVIRONMENTS
+
+ organization-defined subset of identified covert channels
+ organization-defined subset of identified covert channels
+
+ SC-31 (3)
+
+
The organization measures the bandwidth of in the operational environment of the information system.
+
+
+
This control enhancement addresses covert channel bandwidth in operational environments versus developmental environments. Measuring covert channel bandwidth in operational environments helps organizations to determine how much information can be covertly leaked before such leakage adversely affects organizational missions/business functions. Covert channel bandwidth may be significantly different when measured in those settings that are independent of the particular environments of operation (e.g., laboratories or development environments).
+
+
+
Determine if the organization:
+
+ SC-31(3)[1]
+
defines subset of identified covert channels whose bandwidth is to be measured in the operational environment of the information system; and
+
+
+ SC-31(3)[2]
+
measures the bandwidth of the organization-defined subset of identified covert channels in the operational environment of the information system.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing covert channel analysis
+
information system design documentation
+
information system configuration settings and associated documentation
+
covert channel analysis documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with covert channel analysis responsibilities
+
information system developers/integrators
+
+
+ TEST
+
Organizational process for conducting covert channel analysis
automated mechanisms supporting and/or implementing the capability to measure the bandwidth of covert channels
+
+
+
+
Determine if the organization:
+
+ SC-31(a)
+
performs a covert channel analysis to identify those aspects of communications within the information system that are potential avenues for one or more of the following:
+
+ SC-31(a)[1]
+
covert storage channels; and/or
+
+
+ SC-31(a)[2]
+
covert timing channels; and
+
+
+
+ SC-31(b)
+
estimates the maximum bandwidth of those channels.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing covert channel analysis
+
information system design documentation
+
information system configuration settings and associated documentation
+
covert channel analysis documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel with covert channel analysis responsibilities
+
information system developers/integrators
+
+
+ TEST
+
Organizational process for conducting covert channel analysis
automated mechanisms supporting and/or implementing the capability to estimate the bandwidth of covert channels
+
+
+
+ INFORMATION SYSTEM PARTITIONING
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined circumstances for physical separation of components
+ organization-defined circumstances for physical separation of components
+
+ SC-32
+ P0
+
+
The organization partitions the information system into residing in separate physical domains or environments based on .
+
+
+
Information system partitioning is a part of a defense-in-depth protection strategy. Organizations determine the degree of physical separation of system components from physically distinct components in separate racks in the same room, to components in separate rooms for the more critical components, to more significant geographical separation of the most critical components. Security categorization can guide the selection of appropriate candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned information system components.
+
+
+
+
+
+
+
+
Determine if the organization:
+
+ SC-32[1]
+
defines circumstances for physical separation of information system components into information system partitions;
+
+
+ SC-32[2]
+
defines information system components to reside in separate physical domains or environments based on organization-defined circumstances for physical separation of components; and
+
+
+ SC-32[3]
+
partitions the information system into organization-defined information system components residing in separate physical domains or environments based on organization-defined circumstances for physical separation of components.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing information system partitioning
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system architecture
+
list of information system physical domains (or environments)
+
information system facility diagrams
+
information system network diagrams
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
information system developers/integrators
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing physical separation of information system components
+
+
+
+ NON-MODIFIABLE EXECUTABLE PROGRAMS
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined applications
+ organization-defined applications
+
+ SC-34
+ P0
+
+
The information system at :
+
+ SC-34a.
+
Loads and executes the operating environment from hardware-enforced, read-only media; and
+
+
+ SC-34b.
+
Loads and executes from hardware-enforced, read-only media.
+
+
+
+
The term operating environment is defined as the specific code that hosts applications, for example, operating systems, executives, or monitors including virtual machine monitors (i.e., hypervisors). It can also include certain applications running directly on hardware platforms. Hardware-enforced, read-only media include, for example, Compact Disk-Recordable (CD-R)/Digital Video Disk-Recordable (DVD-R) disk drives and one-time programmable read-only memory. The use of non-modifiable storage ensures the integrity of software from the point of creation of the read-only image. The use of reprogrammable read-only memory can be accepted as read-only media provided: (i) integrity can be adequately protected from the point of initial writing to the insertion of the memory into the information system; and (ii) there are reliable hardware protections against reprogramming the memory while installed in organizational information systems.
+
+
+
+
+ NO WRITABLE STORAGE
+
+ organization-defined information system components
+ organization-defined information system components
+
+ SC-34 (1)
+
+
The organization employs with no writeable storage that is persistent across component restart or power on/off.
+
+
+
This control enhancement: (i) eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated information system components; and (ii) applies to both fixed and removable storage, with the latter being addressed directly or as specific restrictions imposed through access controls for mobile devices.
+
+
+
+
+
Determine if the organization:
+
+ SC-34(1)[1]
+
defines information system components to be employed with no writeable storage; and
+
+
+ SC-34(1)[2]
+
employs organization-defined information system components with no writeable storage that is persistent across component restart or power on/off.
The organization protects the integrity of information prior to storage on read-only media and controls the media after such information has been recorded onto the media.
+
+
+
Security safeguards prevent the substitution of media into information systems or the reprogramming of programmable read-only media prior to installation into the systems. Security safeguards include, for example, a combination of prevention, detection, and response.
+
+
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+ SC-34(2)[1]
+
protects the integrity of the information prior to storage on read-only media; and
+
+
+ SC-34(2)[2]
+
controls the media after such information has been recorded onto the media.
information system configuration settings and associated documentation
+
information system architecture
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
information system developers/integrators
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing capability for protecting information integrity on read-only media prior to storage and after information has been recorded onto the media
+
+
+
+ HARDWARE-BASED PROTECTION
+
+ organization-defined information system firmware components
+ organization-defined information system firmware components
+
+
+ organization-defined authorized individuals
+ organization-defined authorized individuals
+
+ SC-34 (3)
+
+
The organization:
+
+ SC-34 (3)(a)
+
Employs hardware-based, write-protect for ; and
+
+
+ SC-34 (3)(b)
+
Implements specific procedures for to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.
+
+
+
+
Determine if the organization:
+
+ SC-34(3)(a)
+
+ SC-34(3)(a)[1]
+
defines information system firmware components for which hardware-based, write-protection is to be employed;
+
+
+ SC-34(3)(a)[2]
+
employs hardware-based, write-protection for organization-defined information system firmware components;
+
+
+
+ SC-34(3)(b)
+
+ SC-34(3)(b)[1]
+
defines individuals authorized to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode; and
+
+
+ SC-34(3)(b)[2]
+
implements specific procedures for organization-defined authorized individuals to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.
+
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing firmware modifications
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system architecture
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
information system developers/integrators
+
+
+ TEST
+
Organizational processes for modifying firmware
+
automated mechanisms supporting and/or implementing hardware-based, write-protection for firmware
+
+
+
+
Determine if:
+
+ SC-34[1]
+
the organization defines information system components for which the operating environment and organization-defined applications are to be loaded and executed from hardware-enforced, read-only media;
+
+
+ SC-34[2]
+
the organization defines applications to be loaded and executed from hardware-enforced, read-only media;
+
+
+ SC-34[3]
+
the information system, at organization-defined information system components:
+
+ SC-34[3](a)
+
loads and executes the operating environment from hardware-enforced, read-only media; and
+
+
+ SC-34[3](b)
+
loads and executes organization-defined applications from hardware-enforced, read-only media.
information system configuration settings and associated documentation
+
information system architecture
+
list of operating system components to be loaded from hardware-enforced, read-only media
+
list of applications to be loaded from hardware-enforced, read-only media
+
media used to load and execute information system operating environment
+
media used to load and execute information system applications
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel installing, configuring, and/or maintaining the information system
+
information system developers/integrators
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing loading and executing the operating environment from hardware-enforced, read-only media
+
automated mechanisms supporting and/or implementing loading and executing applications from hardware-enforced, read-only media
+
+
+
+ HONEYCLIENTS
+ SC-35
+ P0
+
+
The information system includes components that proactively seek to identify malicious websites and/or web-based malicious code.
+
+
+
Honeyclients differ from honeypots in that the components actively probe the Internet in search of malicious code (e.g., worms) contained on external websites. As with honeypots, honeyclients require some supporting isolation measures (e.g., virtualization) to ensure that any malicious code discovered during the search and subsequently executed does not infect organizational information systems.
+
+
+
+
+
+
+
Determine if the information system includes components that proactively seek to identify malicious websites and/or web-based malicious code.
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing honeyclients
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system components deployed to identify malicious websites and/or web-based malicious code
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel installing, configuring, and/or maintaining the information system
+
+
+
+ DISTRIBUTED PROCESSING AND STORAGE
+
+ organization-defined processing and storage
+ organization-defined processing and storage
+
+ SC-36
+ P0
+
+
The organization distributes across multiple physical locations.
+
+
+
Distributing processing and storage across multiple physical locations provides some degree of redundancy or overlap for organizations, and therefore increases the work factor of adversaries to adversely impact organizational operations, assets, and individuals. This control does not assume a single primary processing or storage location, and thus allows for parallel processing and storage.
The organization employs polling techniques to identify potential faults, errors, or compromises to .
+
+
+
Distributed processing and/or storage may be employed to reduce opportunities for adversaries to successfully compromise the confidentiality, integrity, or availability of information and information systems. However, distribution of processing and/or storage components does not prevent adversaries from compromising one (or more) of the distributed components. Polling compares the processing results and/or storage content from the various distributed components and subsequently voting on the outcomes. Polling identifies potential faults, errors, or compromises in distributed processing and/or storage components.
+
+
+
+
Determine if the organization:
+
+ SC-36(1)[1]
+
defines distributed processing and storage components for which polling techniques are to be employed to identify potential faults, errors, or compromises; and
+
+
+ SC-36(1)[2]
+
employs polling techniques to identify potential faults, errors, or compromises to organization-defined distributed processing and storage components.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system architecture
+
list of distributed processing and storage components subject to polling
+
information system polling techniques and associated documentation or records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
defines processing and storage to be distributed across multiple physical locations; and
+
+
+ SC-36[2]
+
distributes organization-defined processing and storage across multiple physical locations.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
contingency planning policy and procedures
+
contingency plan
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system architecture
+
list of information system physical locations (or environments) with distributed processing and storage
+
information system facility diagrams
+
processing site agreements
+
storage site agreements
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with contingency planning and plan implementation responsibilities
+
information system developers/integrators
+
+
+ TEST
+
Organizational processes for distributing processing and storage across multiple physical locations
+
automated mechanisms supporting and/or implementing capability for distributing processing and storage across multiple physical locations
+
+
+
+ OUT-OF-BAND CHANNELS
+
+ organization-defined out-of-band channels
+ organization-defined out-of-band channels
+
+
+ organization-defined information, information system components, or devices
+ organization-defined information, information system components, or devices
+
+
+ organization-defined individuals or information systems
+ organization-defined individuals or information systems
+
+ SC-37
+ P0
+
+
The organization employs for the physical delivery or electronic transmission of to .
+
+
+
Out-of-band channels include, for example, local (nonnetwork) accesses to information systems, network paths physically separate from network paths used for operational traffic, or nonelectronic paths such as the US Postal Service. This is in contrast with using the same channels (i.e., in-band channels) that carry routine operational traffic. Out-of-band channels do not have the same vulnerability/exposure as in-band channels, and hence the confidentiality, integrity, or availability compromises of in-band channels will not compromise the out-of-band channels. Organizations may employ out-of-band channels in the delivery or transmission of many organizational items including, for example, identifiers/authenticators, configuration management changes for hardware, firmware, or software, cryptographic key management information, security updates, system/data backups, maintenance information, and malicious code protection updates.
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ENSURE DELIVERY / TRANSMISSION
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined individuals or information systems
+ organization-defined individuals or information systems
+
+
+ organization-defined information, information system components, or devices
+ organization-defined information, information system components, or devices
+
+ SC-37 (1)
+
+
The organization employs to ensure that only receive the .
+
+
+
Techniques and/or methods employed by organizations to ensure that only designated information systems or individuals receive particular information, system components, or devices include, for example, sending authenticators via courier service but requiring recipients to show some form of government-issued photographic identification as a condition of receipt.
+
+
+
Determine if the organization:
+
+ SC-37(1)[1]
+
defines security safeguards to be employed to ensure that only designated individuals or information systems receive specific information, information system components, or devices;
+
+
+ SC-37(1)[2]
+
defines individuals or information systems designated to receive specific information, information system components, or devices;
+
+
+ SC-37(1)[3]
+
defines information, information system components, or devices that only organization-defined individuals or information systems are designated to receive; and
+
+
+ SC-37(1)[4]
+
employs organization-defined security safeguards to ensure that only organization-defined individuals or information systems receive the organization-defined information, information system components, or devices.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing use of out-of-band channels
+
access control policy and procedures
+
identification and authentication policy and procedures
+
information system design documentation
+
information system architecture
+
information system configuration settings and associated documentation
+
list of security safeguards to be employed to ensure designated individuals or information systems receive organization-defined information, information system components, or devices
+
list of security safeguards for delivering designated information, information system components, or devices to designated individuals or information systems
+
list of information, information system components, or devices to be delivered to designated individuals or information systems
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels
+
information system developers/integrators
+
+
+ TEST
+
Organizational processes for use of out-of-band channels
+
automated mechanisms supporting and/or implementing use of out-of-band channels
+
automated mechanisms supporting/implementing safeguards to ensure delivery of designated information, system components, or devices
+
+
+
+
Determine if the organization:
+
+ SC-37[1]
+
defines out-of-band channels to be employed for the physical delivery or electronic transmission of information, information system components, or devices to individuals or information systems;
+
+
+ SC-37[2]
+
defines information, information system components, or devices for which physical delivery or electronic transmission of such information, information system components, or devices to individuals or information systems requires employment of organization-defined out-of-band channels;
+
+
+ SC-37[3]
+
defines individuals or information systems to which physical delivery or electronic transmission of organization-defined information, information system components, or devices is to be achieved via employment of organization-defined out-of-band channels; and
+
+
+ SC-37[4]
+
employs organization-defined out-of-band channels for the physical delivery or electronic transmission of organization-defined information, information system components, or devices to organization-defined individuals or information systems.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing use of out-of-band channels
+
access control policy and procedures
+
identification and authentication policy and procedures
+
information system design documentation
+
information system architecture
+
information system configuration settings and associated documentation
+
list of out-of-band channels
+
types of information, information system components, or devices requiring use of out-of-band channels for physical delivery or electronic transmission to authorized individuals or information systems
+
physical delivery records
+
electronic transmission records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels
+
information system developers/integrators
+
+
+ TEST
+
Organizational processes for use of out-of-band channels
+
automated mechanisms supporting and/or implementing use of out-of-band channels
The organization employs to protect key organizational information throughout the system development life cycle.
+
+
+
Operations security (OPSEC) is a systematic process by which potential adversaries can be denied information about the capabilities and intentions of organizations by identifying, controlling, and protecting generally unclassified information that specifically relates to the planning and execution of sensitive organizational activities. The OPSEC process involves five steps: (i) identification of critical information (e.g., the security categorization process); (ii) analysis of threats; (iii) analysis of vulnerabilities; (iv) assessment of risks; and (v) the application of appropriate countermeasures. OPSEC safeguards are applied to both organizational information systems and the environments in which those systems operate. OPSEC safeguards help to protect the confidentiality of key information including, for example, limiting the sharing of information with suppliers and potential suppliers of information system components, information technology products and services, and with other non-organizational elements and individuals. Information critical to mission/business success includes, for example, user identities, element uses, suppliers, supply chain processes, functional and security requirements, system design specifications, testing protocols, and security control implementation details.
+
+
+
+
+
+
Determine if the organization:
+
+ SC-38[1]
+
defines operations security safeguards to be employed to protect key organizational information throughout the system development life cycle; and
+
+
+ SC-38[2]
+
employs organization-defined operations security safeguards to protect key organizational information throughout the system development life cycle.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing operations security
+
security plan
+
list of operations security safeguards
+
security control assessments
+
risk assessments
+
threat and vulnerability assessments
+
plans of action and milestones
+
system development life cycle documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
information system developers/integrators
+
+
+ TEST
+
Organizational processes for protecting organizational information throughout the SDLC
+
automated mechanisms supporting and/or implementing safeguards to protect organizational information throughout the SDLC
+
+
+
+ PROCESS ISOLATION
+ SC-39
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The information system maintains a separate execution domain for each executing process.
+
+
+
Information systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each information system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. This capability is available in most commercial operating systems that employ multi-state processor technologies.
The information system implements underlying hardware separation mechanisms to facilitate process separation.
+
+
+
Hardware-based separation of information system processes is generally less susceptible to compromise than software-based separation, thus providing greater assurance that the separation will be enforced. Underlying hardware separation mechanisms include, for example, hardware memory management.
+
+
+
Determine if the information system implements underlying hardware separation mechanisms to facilitate process separation.
+
+
+ EXAMINE
+
System and communications protection policy
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system architecture
+
information system documentation for hardware separation mechanisms
+
information system documentation from vendors, manufacturers or developers
+
independent verification and validation documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel installing, configuring, and/or maintaining the information system
+
information system developers/integrators
+
+
+ TEST
+
Information system capability implementing underlying hardware separation mechanisms for process separation
The information system maintains a separate execution domain for each thread in .
+
+
+
Determine if the information system:
+
+ SC-39(2)[1]
+
defines multi-threaded processing for which a separate execution domain is to be maintained for each thread in multi-threaded processing; and
+
+
+ SC-39(2)[2]
+
maintains a separate execution domain for each thread in organization-defined multi-threaded processing.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system architecture
+
list of information system execution domains for each thread in multi-threaded processing
+
information system documentation for multi-threaded processing
+
information system documentation from vendors, manufacturers or developers
+
independent verification and validation documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel installing, configuring, and/or maintaining the information system
+
information system developers/integrators
+
+
+ TEST
+
Information system capability implementing a separate execution domain for each thread in multi-threaded processing
+
+
+
+
Determine if the information system maintains a separate execution domain for each executing process.
+
+
+ EXAMINE
+
Information system design documentation
+
information system architecture
+
independent verification and validation documentation
+
testing and evaluation documentation, other relevant documents or records
+
+
+ INTERVIEW
+
Information system developers/integrators
+
information system security architect
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing separate execution domains for each executing process
+
+
+
+ WIRELESS LINK PROTECTION
+
+ organization-defined wireless links
+ organization-defined wireless links
+
+
+ organization-defined types of signal parameter attacks or references to sources for such attacks
+ organization-defined types of signal parameter attacks or references to sources for such attacks
+
+ SC-40
+ P0
+
+
The information system protects external and internal from .
+
+
+
This control applies to internal and external wireless communication links that may be visible to individuals who are not authorized information system users. Adversaries can exploit the signal parameters of wireless links if such links are not adequately protected. There are many ways to exploit the signal parameters of wireless links to gain intelligence, deny service, or to spoof users of organizational information systems. This control reduces the impact of attacks that are unique to wireless systems. If organizations rely on commercial service providers for transmission services as commodity items rather than as fully dedicated services, it may not be possible to implement this control.
The information system implements cryptographic mechanisms that achieve against the effects of intentional electromagnetic interference.
+
+
+
This control enhancement protects against intentional jamming that might deny or impair communications by ensuring that wireless spread spectrum waveforms used to provide anti-jam protection are not predictable by unauthorized individuals. The control enhancement may also coincidentally help to mitigate the effects of unintentional jamming due to interference from legitimate transmitters sharing the same spectrum. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine levels of wireless link availability and performance/cryptography needed.
+
+
+
+
+
Determine if:
+
+ SC-40(1)[1]
+
the organization defines level of protection to be employed against the effects of intentional electromagnetic interference; and
+
+
+ SC-40(1)[2]
+
the information system employs cryptographic mechanisms that achieve organization-defined level of protection against the effects of intentional electromagnetic interference.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
access control policy and procedures
+
procedures addressing wireless link protection
+
information system design documentation
+
wireless network diagrams
+
information system configuration settings and associated documentation
+
information system architecture
+
information system communications hardware and software
+
security categorization results
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel installing, configuring, and/or maintaining the information system
The information system implements cryptographic mechanisms to reduce the detection potential of wireless links to .
+
+
+
This control enhancement is needed for covert communications and protecting wireless transmitters from being geo-located by their transmissions. The control enhancement ensures that spread spectrum waveforms used to achieve low probability of detection are not predictable by unauthorized individuals. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine the levels to which wireless links should be undetectable.
+
+
+
+
+
Determine if:
+
+ SC-40(2)[1]
+
the organization defines level of reduction to be achieved to reduce the detection potential of wireless links; and
+
+
+ SC-40(2)[2]
+
the information system implements cryptographic mechanisms to reduce the detection potential of wireless links to organization-defined level of reduction.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
access control policy and procedures
+
procedures addressing wireless link protection
+
information system design documentation
+
wireless network diagrams
+
information system configuration settings and associated documentation
+
information system architecture
+
information system communications hardware and software
+
security categorization results
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel installing, configuring, and/or maintaining the information system
The information system implements cryptographic mechanisms to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.
+
+
+
This control enhancement ensures that the signal parameters of wireless transmissions are not predictable by unauthorized individuals. Such unpredictability reduces the probability of imitative or manipulative communications deception based upon signal parameters alone.
+
+
+
+
+
Determine if the information system implements cryptographic mechanisms to:
+
+ SC-40(3)[1]
+
identify wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters; and
+
+
+ SC-40(3)[2]
+
reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
access control policy and procedures
+
procedures addressing information system design documentation
+
wireless network diagrams
+
information system configuration settings and associated documentation
+
information system architecture
+
information system communications hardware and software
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel installing, configuring, and/or maintaining the information system
The information system implements cryptographic mechanisms to prevent the identification of by using the transmitter signal parameters.
+
+
+
Radio fingerprinting techniques identify the unique signal parameters of transmitters to fingerprint such transmitters for purposes of tracking and mission/user identification. This control enhancement protects against the unique identification of wireless transmitters for purposes of intelligence exploitation by ensuring that anti-fingerprinting alterations to signal parameters are not predictable by unauthorized individuals. This control enhancement helps assure mission success when anonymity is required.
+
+
+
+
+
Determine if:
+
+ SC-40(4)[1]
+
the organization defines wireless transmitters for which cryptographic mechanisms are to be implemented to prevent identification of such transmitters by using the transmitter signal parameters; and
+
+
+ SC-40(4)[2]
+
the information system implements cryptographic mechanisms to prevent the identification of organization-defined wireless transmitters by using the transmitter signal parameters.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
access control policy and procedures
+
procedures addressing information system design documentation
+
wireless network diagrams
+
information system configuration settings and associated documentation
+
information system architecture
+
information system communications hardware and software
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel installing, configuring, and/or maintaining the information system
Cryptographic mechanisms preventing the identification of wireless transmitters
+
+
+
+
Determine if:
+
+ SC-40[1]
+
the organization defines:
+
+ SC-40[1][a]
+
internal wireless links to be protected from particular types of signal parameter attacks;
+
+
+ SC-40[1][b]
+
external wireless links to be protected from particular types of signal parameter attacks;
+
+
+
+ SC-40[2]
+
the organization defines types of signal parameter attacks or references to sources for such attacks that are based upon exploiting the signal parameters of organization-defined internal and external wireless links; and
+
+
+ SC-40[3]
+
the information system protects internal and external organization-defined wireless links from organization-defined types of signal parameter attacks or references to sources for such attacks.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
access control policy and procedures
+
procedures addressing wireless link protection
+
information system design documentation
+
wireless network diagrams
+
information system configuration settings and associated documentation
+
information system architecture
+
list or internal and external wireless links
+
list of signal parameter attacks or references to sources for attacks
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel installing, configuring, and/or maintaining the information system
Automated mechanisms supporting and/or implementing protection of wireless links
+
+
+
+ PORT AND I/O DEVICE ACCESS
+
+ organization-defined connection ports or input/output devices
+ organization-defined connection ports or input/output devices
+
+
+ organization-defined information systems or information system components
+ organization-defined information systems or information system components
+
+ SC-41
+ P0
+
+
The organization physically disables or removes on .
+
+
+
Connection ports include, for example, Universal Serial Bus (USB) and Firewire (IEEE 1394). Input/output (I/O) devices include, for example, Compact Disk (CD) and Digital Video Disk (DVD) drives. Physically disabling or removing such connection ports and I/O devices helps prevent exfiltration of information from information systems and the introduction of malicious code into systems from those ports/devices.
+
+
+
Determine if the organization:
+
+ SC-41[1]
+
defines connection ports or input/output devices to be physically disabled or removed on information systems or information system components;
+
+
+ SC-41[2]
+
defines information systems or information system components with organization-defined connection ports or input/output devices that are to be physically disabled or removed; and
+
+
+ SC-41[3]
+
physically disables or removes organization-defined connection ports or input/output devices on organization-defined information systems or information system components.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
access control policy and procedures
+
procedures addressing port and input/output device access
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system architecture
+
information systems or information system components list of connection ports or input/output devices to be physically disabled or removed on information systems or information system components
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing disabling of connection ports or input/output devices
+
+
+
+ SENSOR CAPABILITY AND DATA
+
+ organization-defined exceptions where remote activation of sensors is allowed
+ organization-defined exceptions where remote activation of sensors is allowed
+
+
+ organization-defined class of users
+ organization-defined class of users
+
+ SC-42
+ P0
+
+
The information system:
+
+ SC-42a.
+
Prohibits the remote activation of environmental sensing capabilities with the following exceptions: ; and
+
+
+ SC-42b.
+
Provides an explicit indication of sensor use to .
+
+
+
+
This control often applies to types of information systems or system components characterized as mobile devices, for example, smart phones, tablets, and E-readers. These systems often include sensors that can collect and record data regarding the environment where the system is in use. Sensors that are embedded within mobile devices include, for example, cameras, microphones, Global Positioning System (GPS) mechanisms, and accelerometers. While the sensors on mobiles devices provide an important function, if activated covertly, such devices can potentially provide a means for adversaries to learn valuable information about individuals and organizations. For example, remotely activating the GPS function on a mobile device could provide an adversary with the ability to track the specific movements of an individual.
The organization ensures that the information system is configured so that data or information collected by the is only reported to authorized individuals or roles.
+
+
+
In situations where sensors are activated by authorized individuals (e.g., end users), it is still possible that the data/information collected by the sensors will be sent to unauthorized entities.
+
+
+
Determine if the organization:
+
+ SC-42(1)[1]
+
defines sensors to be used to collect data or information only reported to authorized individuals or roles; and
+
+
+ SC-42(1)[2]
+
ensures that the information system is configured so that data or information collected by the organization-defined sensors is only reported to authorized individuals or roles.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
access control policy and procedures
+
procedures addressing sensor capability and data collection
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system architecture
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for sensor capability
+
+
+ TEST
+
Automated mechanisms restricting reporting of sensor information only to those authorized
+
sensor data collection and reporting capability for the information system
The organization employs the following measures: , so that data or information collected by is only used for authorized purposes.
+
+
+
Information collected by sensors for a specific authorized purpose potentially could be misused for some unauthorized purpose. For example, GPS sensors that are used to support traffic navigation could be misused to track movements of individuals. Measures to mitigate such activities include, for example, additional training to ensure that authorized parties do not abuse their authority, or (in the case where sensor data/information is maintained by external parties) contractual restrictions on the use of the data/information.
+
+
+
Determine if the organization:
+
+ SC-42(2)[1]
+
defines measures to be employed so that data or information collected by sensors is only used for authorized purposes;
+
+
+ SC-42(2)[2]
+
defines sensors to be used to collect data or information for authorized purposes only; and
+
+
+ SC-42(2)[3]
+
employs organization-defined measures so that data or information collected by organization-defined sensors is only used for authorized purposes.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
access control policy and procedures
+
sensor capability and data collection
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system architecture
+
list of measures to be employed to ensure data or information collected by sensors is only used for authorized purposes
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for sensor capability
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing measures to ensure sensor information is only used for authorized purposes
+
sensor information collection capability for the information system
+
+
+
+ PROHIBIT USE OF DEVICES
+
+ organization-defined environmental sensing capabilities
+ organization-defined environmental sensing capabilities
+
+
+ organization-defined facilities, areas, or systems
+ organization-defined facilities, areas, or systems
+
+ SC-42 (3)
+
+
The organization prohibits the use of devices possessing in .
+
+
+
For example, organizations may prohibit individuals from bringing cell phones or digital cameras into certain facilities or specific controlled areas within facilities where classified information is stored or sensitive conversations are taking place.
+
+
+
Determine if the organization:
+
+ SC-42(3)[1]
+
defines environmental sensing capabilities to be prohibited from use in facilities, areas, or systems;
+
+
+ SC-42(3)[2]
+
defines facilities, areas, or systems where the use of devices possessing organization-defined environmental sensing capabilities is to be prohibited; and
+
+
+ SC-42(3)[3]
+
prohibits the use of devices possessing organization-defined environmental sensing capabilities in organization-defined facilities, areas, or systems.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
access control policy and procedures
+
procedures addressing sensor capability and data collection
+
information system design documentation
+
wireless network diagrams
+
information system configuration settings and associated documentation
+
information system architecture
+
facilities, areas, or systems where use of devices possessing environmental sensing capabilities is prohibited
+
list of devices possessing environmental sensing capabilities
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for sensor capability
+
+
+
+
Determine if:
+
+ SC-42(a)
+
+ SC-42(a)[1]
+
the organization defines exceptions where remote activation of sensors is to be allowed;
+
+
+ SC-42(a)[2]
+
the information system prohibits the remote activation of sensors, except for organization-defined exceptions where remote activation of sensors is to be allowed;
+
+
+
+ SC-42(b)
+
+ SC-42(b)[1]
+
the organization defines the class of users to whom an explicit indication of sensor use is to be provided; and
+
+
+ SC-42(b)[2]
+
the information system provides an explicit indication of sensor use to the organization-defined class of users.
+
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing sensor capability and data collection
+
access control policy and procedures
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for sensor capability
+
+
+ TEST
+
Automated mechanisms implementing access controls for remote activation of information system sensor capabilities
+
automated mechanisms implementing capability to indicate sensor use
+
+
+
+ USAGE RESTRICTIONS
+
+ organization-defined information system components
+ organization-defined information system components
+
+ SC-43
+ P0
+
+
The organization:
+
+ SC-43a.
+
Establishes usage restrictions and implementation guidance for based on the potential to cause damage to the information system if used maliciously; and
+
+
+ SC-43b.
+
Authorizes, monitors, and controls the use of such components within the information system.
+
+
+
+
Information system components include hardware, software, or firmware components (e.g., Voice Over Internet Protocol, mobile code, digital copiers, printers, scanners, optical devices, wireless technologies, mobile devices).
+
+
+
+
+
Determine if the organization:
+
+ SC-43(a)
+
+ SC-43(a)[1]
+
defines information system components for which usage restrictions and implementation guidance are to be established;
+
+
+ SC-43(a)[2]
+
establishes, for organization-defined information system components:
+
+ SC-43(a)[2][a]
+
usage restrictions based on the potential to cause damage to the information system if used maliciously;
+
+
+ SC-43(a)[2][b]
+
implementation guidance based on the potential to cause damage to the information system if used maliciously;
+
+
+
+
+ SC-43(b)
+
+ SC-43(b)[1]
+
authorizes the use of such components within the information system;
+
+
+ SC-43(b)[2]
+
monitors the use of such components within the information system; and
+
+
+ SC-43(b)[3]
+
controls the use of such components within the information system.
+
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing usage restrictions
+
usage restrictions
+
implementation policy and procedures
+
authorization records
+
information system monitoring records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
+
+ TEST
+
Organizational processes for authorizing, monitoring, and controlling use of components with usage restrictions
+
Automated mechanisms supporting and/or implementing authorizing, monitoring, and controlling use of components with usage restrictions
+
+
+
+ DETONATION CHAMBERS
+
+ organization-defined information system, system component, or location
+ organization-defined information system, system component, or location
+
+ SC-44
+ P0
+
+
The organization employs a detonation chamber capability within .
+
+
+
Detonation chambers, also known as dynamic execution environments, allow organizations to open email attachments, execute untrusted or suspicious applications, and execute Universal Resource Locator (URL) requests in the safety of an isolated environment or virtualized sandbox. These protected and isolated execution environments provide a means of determining whether the associated attachments/applications contain malicious code. While related to the concept of deception nets, the control is not intended to maintain a long-term environment in which adversaries can operate and their actions can be observed. Rather, it is intended to quickly identify malicious code and reduce the likelihood that the code is propagated to user environments of operation (or prevent such propagation completely).
+
+
+
+
+
+
+
Determine if the organization:
+
+ SC-44[1]
+
defines information system, system component, or location where a detonation chamber capability is to be employed; and
+
+
+ SC-44[2]
+
employs a detonation chamber capability within organization-defined information system, system component, or location.
+
+
+
+ EXAMINE
+
System and communications protection policy
+
procedures addressing detonation chambers
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
+
+
+
+ SYSTEM AND INFORMATION INTEGRITY
+
+ SYSTEM AND INFORMATION INTEGRITY POLICY AND PROCEDURES
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ SI-1
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SI-1a.
+
Develops, documents, and disseminates to :
+
+ SI-1a.1.
+
A system and information integrity policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
+
+
+ SI-1a.2.
+
Procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls; and
+
+
+
+ SI-1b.
+
Reviews and updates the current:
+
+ SI-1b.1.
+
System and information integrity policy ; and
+
+
+ SI-1b.2.
+
System and information integrity procedures .
+
+
+
+
+
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SI family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
+
+
+
+
Determine if the organization:
+
+ SI-1(a)(1)
+
+ SI-1(a)(1)[1]
+
develops and documents a system and information integrity policy that addresses:
+
+ SI-1(a)(1)[1][a]
+
purpose;
+
+
+ SI-1(a)(1)[1][b]
+
scope;
+
+
+ SI-1(a)(1)[1][c]
+
roles;
+
+
+ SI-1(a)(1)[1][d]
+
responsibilities;
+
+
+ SI-1(a)(1)[1][e]
+
management commitment;
+
+
+ SI-1(a)(1)[1][f]
+
coordination among organizational entities;
+
+
+ SI-1(a)(1)[1][g]
+
compliance;
+
+
+
+ SI-1(a)(1)[2]
+
defines personnel or roles to whom the system and information integrity policy is to be disseminated;
+
+
+ SI-1(a)(1)[3]
+
disseminates the system and information integrity policy to organization-defined personnel or roles;
+
+
+
+ SI-1(a)(2)
+
+ SI-1(a)(2)[1]
+
develops and documents procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls;
+
+
+ SI-1(a)(2)[2]
+
defines personnel or roles to whom the procedures are to be disseminated;
+
+
+ SI-1(a)(2)[3]
+
disseminates the procedures to organization-defined personnel or roles;
+
+
+
+ SI-1(b)(1)
+
+ SI-1(b)(1)[1]
+
defines the frequency to review and update the current system and information integrity policy;
+
+
+ SI-1(b)(1)[2]
+
reviews and updates the current system and information integrity policy with the organization-defined frequency;
+
+
+
+ SI-1(b)(2)
+
+ SI-1(b)(2)[1]
+
defines the frequency to review and update the current system and information integrity procedures; and
+
+
+ SI-1(b)(2)[2]
+
reviews and updates the current system and information integrity procedures with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
System and information integrity policy and procedures
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with system and information integrity responsibilities
+
organizational personnel with information security responsibilities
+
+
+
+ NIST Special Publication 800-12
+
+
+ NIST Special Publication 800-100
+
+
+
+
+ FLAW REMEDIATION
+
+ organization-defined time period
+ organization-defined time period
+
+ SI-2
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SI-2a.
+
Identifies, reports, and corrects information system flaws;
+
+
+ SI-2b.
+
Tests software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;
+
+
+ SI-2c.
+
Installs security-relevant software and firmware updates within of the release of the updates; and
+
+
+ SI-2d.
+
Incorporates flaw remediation into the organizational configuration management process.
+
+
+
+
Organizations identify information systems affected by announced software flaws including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security responsibilities. Security-relevant software updates include, for example, patches, service packs, hot fixes, and anti-virus signatures. Organizations also address flaws discovered during security assessments, continuous monitoring, incident response activities, and system error handling. Organizations take advantage of available resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By incorporating flaw remediation into ongoing configuration management processes, required/anticipated remediation actions can be tracked and verified. Flaw remediation actions that can be tracked and verified include, for example, determining whether organizations follow US-CERT guidance and Information Assurance Vulnerability Alerts. Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of factors including, for example, the security category of the information system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw remediation may require more testing than other types. Organizations determine the degree and type of testing needed for the specific type of flaw remediation activity under consideration and also the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software and/or firmware updates is not necessary or practical, for example, when implementing simple anti-virus signature updates. Organizations may also consider in testing decisions, whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures.
The organization centrally manages the flaw remediation process.
+
+
+
Central management is the organization-wide management and implementation of flaw remediation processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw remediation security controls.
+
+
+
Determine if the organization centrally manages the flaw remediation process.
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing flaw remediation
+
automated mechanisms supporting centralized management of flaw remediation
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for flaw remediation
+
+
+ TEST
+
Organizational processes for central management of the flaw remediation process
+
automated mechanisms supporting and/or implementing central management of the flaw remediation process
+
+
+
+ AUTOMATED FLAW REMEDIATION STATUS
+
+ organization-defined frequency
+ organization-defined frequency
+
+ SI-2 (2)
+ MODERATE
+ HIGH
+
+
The organization employs automated mechanisms to determine the state of information system components with regard to flaw remediation.
+
+
+
+
+
+
+
Determine if the organization:
+
+ SI-2(2)[1]
+
defines a frequency to employ automated mechanisms to determine the state of information system components with regard to flaw remediation; and
+
+
+ SI-2(2)[2]
+
employs automated mechanisms with the organization-defined frequency to determine the state of information system components with regard to flaw remediation.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing flaw remediation
+
automated mechanisms supporting centralized management of flaw remediation
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for flaw remediation
+
+
+ TEST
+
Automated mechanisms used to determine the state of information system components with regard to flaw remediation
+
+
+
+ TIME TO REMEDIATE FLAWS / BENCHMARKS FOR CORRECTIVE ACTIONS
+
+ organization-defined benchmarks
+ organization-defined benchmarks
+
+ SI-2 (3)
+
+
The organization:
+
+ SI-2 (3)(a)
+
Measures the time between flaw identification and flaw remediation; and
+
+
+ SI-2 (3)(b)
+
Establishes for taking corrective actions.
+
+
+
+
This control enhancement requires organizations to determine the current time it takes on the average to correct information system flaws after such flaws have been identified, and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by type of flaw and/or severity of the potential vulnerability if the flaw can be exploited.
+
+
+
Determine if the organization:
+
+ SI-2(3)(a)
+
measures the time between flaw identification and flaw remediation;
+
+
+ SI-2(3)(b)
+
+ SI-2(3)(b)[1]
+
defines benchmarks for taking corrective actions; and
+
+
+ SI-2(3)(b)[2]
+
establishes organization-defined benchmarks for taking corrective actions.
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing flaw remediation
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of benchmarks for taking corrective action on flaws identified
+
records providing time stamps of flaw identification and subsequent flaw remediation activities
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for flaw remediation
+
+
+ TEST
+
Organizational processes for identifying, reporting, and correcting information system flaws
+
automated mechanisms used to measure the time between flaw identification and flaw remediation
+
+
+
+ AUTOMATIC SOFTWARE / FIRMWARE UPDATES
+
+ organization-defined security-relevant software and firmware updates
+ organization-defined security-relevant software and firmware updates
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+ SI-2 (5)
+
+
The organization installs automatically to .
+
+
+
Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates. Organizations must balance the need to ensure that the updates are installed as soon as possible with the need to maintain configuration management and with any mission or operational impacts that automatic updates might impose.
+
+
+
Determine if the organization:
+
+ SI-2(5)[1]
+
+ SI-2(5)[1][a]
+
defines information system components requiring security-relevant software updates to be automatically installed;
+
+
+ SI-2(5)[1][b]
+
defines information system components requiring security-relevant firmware updates to be automatically installed;
+
+
+
+ SI-2(5)[2]
+
+ SI-2(5)[2][a]
+
defines security-relevant software updates to be automatically installed to organization-defined information system components;
+
+
+ SI-2(5)[2][b]
+
defines security-relevant firmware updates to be automatically installed to organization-defined information system components;
+
+
+
+ SI-2(5)[3]
+
+ SI-2(5)[3][a]
+
installs organization-defined security-relevant software updates automatically to organization-defined information system components; and
+
+
+ SI-2(5)[3][b]
+
installs organization-defined security-relevant firmware updates automatically to organization-defined information system components.
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing flaw remediation
+
automated mechanisms supporting flaw remediation and automatic software/firmware updates
+
information system design documentation
+
information system configuration settings and associated documentation
+
records of recent security-relevant software and firmware updates automatically installed to information system components
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for flaw remediation
+
+
+
+ REMOVAL OF PREVIOUS VERSIONS OF SOFTWARE / FIRMWARE
+
+ organization-defined software and firmware components
+ organization-defined software and firmware components
+
+ SI-2 (6)
+
+
The organization removes after updated versions have been installed.
+
+
+
Previous versions of software and/or firmware components that are not removed from the information system after updates have been installed may be exploited by adversaries. Some information technology products may remove older versions of software and/or firmware automatically from the information system.
+
+
+
Determine if the organization:
+
+ SI-2(6)[1]
+
+ SI-2(6)[1][a]
+
defines software components to be removed after updated versions have been installed;
+
+
+ SI-2(6)[1][b]
+
defines firmware components to be removed after updated versions have been installed;
+
+
+
+ SI-2(6)[2]
+
+ SI-2(6)[2][a]
+
removes organization-defined software components after updated versions have been installed; and
+
+
+ SI-2(6)[2][b]
+
removes organization-defined firmware components after updated versions have been installed.
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing flaw remediation
+
automated mechanisms supporting flaw remediation
+
information system design documentation
+
information system configuration settings and associated documentation
+
records of software and firmware component removals after updated versions are installed
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for flaw remediation
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing removal of previous versions of software/firmware
+
+
+
+
Determine if the organization:
+
+ SI-2(a)
+
+ SI-2(a)[1]
+
identifies information system flaws;
+
+
+ SI-2(a)[2]
+
reports information system flaws;
+
+
+ SI-2(a)[3]
+
corrects information system flaws;
+
+
+
+ SI-2(b)
+
+ SI-2(b)[1]
+
tests software updates related to flaw remediation for effectiveness and potential side effects before installation;
+
+
+ SI-2(b)[2]
+
tests firmware updates related to flaw remediation for effectiveness and potential side effects before installation;
+
+
+
+ SI-2(c)
+
+ SI-2(c)[1]
+
defines the time period within which to install security-relevant software updates after the release of the updates;
+
+
+ SI-2(c)[2]
+
defines the time period within which to install security-relevant firmware updates after the release of the updates;
+
+
+ SI-2(c)[3]
+
installs software updates within the organization-defined time period of the release of the updates;
+
+
+ SI-2(c)[4]
+
installs firmware updates within the organization-defined time period of the release of the updates; and
+
+
+
+ SI-2(d)
+
incorporates flaw remediation into the organizational configuration management process.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing flaw remediation
+
procedures addressing configuration management
+
list of flaws and vulnerabilities potentially affecting the information system
+
list of recent security flaw remediation actions performed on the information system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct information system flaws)
+
test results from the installation of software and firmware updates to correct information system flaws
+
installation/change control records for security-relevant software and firmware updates
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for flaw remediation
+
organizational personnel with configuration management responsibility
+
+
+ TEST
+
Organizational processes for identifying, reporting, and correcting information system flaws
+
organizational process for installing software and firmware updates
+
automated mechanisms supporting and/or implementing reporting, and correcting information system flaws
+
automated mechanisms supporting and/or implementing testing software and firmware updates
Employs malicious code protection mechanisms at information system entry and exit points to detect and eradicate malicious code;
+
+
+ SI-3b.
+
Updates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures;
+
+
+ SI-3c.
+
Configures malicious code protection mechanisms to:
+
+ SI-3c.1.
+
Perform periodic scans of the information system and real-time scans of files from external sources at [Selection (one or more); endpoint; network entry/exit points] as the files are downloaded, opened, or executed in accordance with organizational security policy; and
+
+
+ SI-3c.2.
+
[Selection (one or more): block malicious code; quarantine malicious code; send alert to administrator; ] in response to malicious code detection; and
+
+
+
+ SI-3d.
+
Addresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system.
+
+
+
+
Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, notebook computers, and mobile devices. Malicious code includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden files, or hidden in files using steganography. Malicious code can be transported by different means including, for example, web accesses, electronic mail, electronic mail attachments, and portable storage devices. Malicious code insertions occur through the exploitation of information system vulnerabilities. Malicious code protection mechanisms include, for example, anti-virus signature definitions and reputation-based technologies. A variety of technologies and methods exist to limit or eliminate the effects of malicious code. Pervasive configuration management and comprehensive software integrity controls may be effective in preventing execution of unauthorized code. In addition to commercial off-the-shelf software, malicious code may also be present in custom-built software. This could include, for example, logic bombs, back doors, and other types of cyber attacks that could affect organizational missions/business functions. Traditional malicious code protection mechanisms cannot always detect such code. In these situations, organizations rely instead on other safeguards including, for example, secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to help ensure that software does not perform functions other than the functions intended. Organizations may determine that in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, actions in response to detection of malicious downloads, and/or actions in response to detection of maliciousness when attempting to open or execute files.
The organization centrally manages malicious code protection mechanisms.
+
+
+
Central management is the organization-wide management and implementation of malicious code protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw malicious code protection security controls.
+
+
+
+
+
Determine if the organization centrally manages malicious code protection mechanisms.
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing malicious code protection
+
automated mechanisms supporting centralized management of malicious code protection mechanisms
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for malicious code protection
+
+
+ TEST
+
Organizational processes for central management of malicious code protection mechanisms
+
automated mechanisms supporting and/or implementing central management of malicious code protection mechanisms
The information system automatically updates malicious code protection mechanisms.
+
+
+
Malicious code protection mechanisms include, for example, signature definitions. Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates.
+
+
+
+
Determine if the information system automatically updates malicious code protection mechanisms.
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing malicious code protection
+
automated mechanisms supporting centralized management of malicious code protection mechanisms
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for malicious code protection
+
+
+
+ UPDATES ONLY BY PRIVILEGED USERS
+ SI-3 (4)
+
+
The information system updates malicious code protection mechanisms only when directed by a privileged user.
+
+
+
This control enhancement may be appropriate for situations where for reasons of security or operational continuity, updates are only applied when selected/approved by designated organizational personnel.
+
+
+
+
+
Determine if the information system updates malicious code protection mechanisms only when directed by a privileged user.
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing malicious code protection
+
information system design documentation
+
malicious code protection mechanisms
+
records of malicious code protection updates
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for malicious code protection
+
+
+
+ TESTING / VERIFICATION
+
+ organization-defined frequency
+ organization-defined frequency
+
+ SI-3 (6)
+
+
The organization:
+
+ SI-3 (6)(a)
+
Tests malicious code protection mechanisms by introducing a known benign, non-spreading test case into the information system; and
+
+
+ SI-3 (6)(b)
+
Verifies that both detection of the test case and associated incident reporting occur.
+
+
+
+
+
+
+
+
+
Determine if the organization:
+
+ SI-3(6)(a)
+
+ SI-3(6)(a)[1]
+
defines a frequency to test malicious code protection mechanisms;
+
+
+ SI-3(6)(a)[2]
+
tests malicious code protection mechanisms with the organization-defined frequency by introducing a known benign, non-spreading test case into the information system;
+
+
+
+ SI-3(6)(b)
+
+ SI-3(6)(b)[1]
+
verifies that detection of the test case occurs; and
+
+
+ SI-3(6)(b)[2]
+
verifies that associated incident reporting occurs.
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing malicious code protection
+
information system design documentation
+
information system configuration settings and associated documentation
+
test cases
+
records providing evidence of test cases executed on malicious code protection mechanisms
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for malicious code protection
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing testing and verification of malicious code protection capability
The information system implements nonsignature-based malicious code detection mechanisms.
+
+
+
Nonsignature-based detection mechanisms include, for example, the use of heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide safeguards against malicious code for which signatures do not yet exist or for which existing signatures may not be effective. This includes polymorphic malicious code (i.e., code that changes signatures when it replicates). This control enhancement does not preclude the use of signature-based detection mechanisms.
+
+
+
Determine if the information system implements non signature-based malicious code detection mechanisms.
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing malicious code protection
+
information system design documentation
+
malicious code protection mechanisms
+
records of malicious code protection updates
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for malicious code protection
+
+
+
+ DETECT UNAUTHORIZED COMMANDS
+
+ organization-defined unauthorized operating system commands
+ organization-defined unauthorized operating system commands
+
+
+ organization-defined information system hardware components
+ organization-defined information system hardware components
+
+ SI-3 (8)
+
+
The information system detects through the kernel application programming interface at and [Selection (one or more): issues a warning; audits the command execution; prevents the execution of the command].
+
+
+
This control enhancement can also be applied to critical interfaces other than kernel-based interfaces, including for example, interfaces with virtual machines and privileged applications. Unauthorized operating system commands include, for example, commands for kernel functions from information system processes that are not trusted to initiate such commands, or commands for kernel functions that are suspicious even though commands of that type are reasonable for processes to initiate. Organizations can define the malicious commands to be detected by a combination of command types, command classes, or specific instances of commands. Organizations can define hardware components by specific component, component type, location in the network, or combination therein. Organizations may select different actions for different types/classes/specific instances of potentially malicious commands.
+
+
+
+
Determine if:
+
+ SI-3(8)[1]
+
the organization defines unauthorized operating system commands to be detected by the information system;
+
+
+ SI-3(8)[2]
+
the organization defines information system hardware components for which organization-defined unauthorized operating system commands are to be detected through the kernel application programming interface;
+
+
+ SI-3(8)[3]
+
the information system detects organization-defined unauthorized operating system commands through the kernel application programming interface at organization-defined information system hardware components, and does one or more of the following:
+
+ SI-3(8)[3][a]
+
issues a warning;
+
+
+ SI-3(8)[3][b]
+
audits the command execution; and/or
+
+
+ SI-3(8)[3][c]
+
prevents the execution of the command.
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing malicious code protection
+
information system design documentation
+
malicious code protection mechanisms
+
warning messages sent upon detection of unauthorized operating system command execution
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for malicious code protection
automated mechanisms supporting and/or implementing detection of unauthorized operating system commands through the kernel application programming interface
The information system implements to authenticate .
+
+
+
This control enhancement protects against unauthorized commands and replay of authorized commands. This capability is important for those remote information systems whose loss, malfunction, misdirection, or exploitation would have immediate and/or serious consequences (e.g., injury or death, property damage, loss of high-valued assets or sensitive information, or failure of important missions/business functions). Authentication safeguards for remote commands help to ensure that information systems accept and execute in the order intended, only authorized commands, and that unauthorized commands are rejected. Cryptographic mechanisms can be employed, for example, to authenticate remote commands.
+
+
+
+
+
+
Determine if:
+
+ SI-3(9)[1]
+
the organization defines security safeguards to be implemented by the information system to authenticate organization-defined remote commands;
+
+
+ SI-3(9)[2]
+
the organization defines remote commands to be authenticated by organization-defined security safeguards; and
+
+
+ SI-3(9)[3]
+
the information system implements organization-defined security safeguards to authenticate organization-defined remote commands.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing malicious code protection
+
information system design documentation
+
malicious code protection mechanisms
+
warning messages sent upon detection of unauthorized operating system command execution
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for malicious code protection
Employs to analyze the characteristics and behavior of malicious code; and
+
+
+ SI-3 (10)(b)
+
Incorporates the results from malicious code analysis into organizational incident response and flaw remediation processes.
+
+
+
+
The application of selected malicious code analysis tools and techniques provides organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics, techniques, and procedures) and the functionality and purpose of specific instances of malicious code. Understanding the characteristics of malicious code facilitates more effective organizational responses to current and future threats. Organizations can conduct malicious code analyses by using reverse engineering techniques or by monitoring the behavior of executing code.
+
+
+
Determine if the organization:
+
+ SI-3(10)(a)
+
+ SI-3(10)(a)[1]
+
defines tools and techniques to be employed to analyze the characteristics and behavior of malicious code;
+
+
+ SI-3(10)(a)[2]
+
employs organization-defined tools and techniques to analyze the characteristics and behavior of malicious code; and
+
+
+
+ SI-3(10)(b)
+
incorporates the results from malicious code analysis into incident response and flaw remediate processes.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing malicious code protection
+
procedures addressing incident response
+
procedures addressing flaw remediation
+
information system design documentation
+
malicious code protection mechanisms, tools, and techniques
+
information system configuration settings and associated documentation
+
results from malicious code analyses
+
records of flaw remediation events resulting from malicious code analyses
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for malicious code protection
+
organizational personnel responsible for flaw remediation
+
organizational personnel responsible for incident response/management
tools and techniques for analysis of malicious code characteristics and behavior
+
+
+
+
Determine if the organization:
+
+ SI-3(a)
+
employs malicious code protection mechanisms to detect and eradicate malicious code at information system:
+
+ SI-3(a)[1]
+
entry points;
+
+
+ SI-3(a)[2]
+
exit points;
+
+
+
+ SI-3(b)
+
updates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures (as identified in CM-1);
+
+
+ SI-3(c)
+
+ SI-3(c)[1]
+
defines a frequency for malicious code protection mechanisms to perform periodic scans of the information system;
+
+
+ SI-3(c)[2]
+
defines action to be initiated by malicious protection mechanisms in response to malicious code detection;
+
+
+ SI-3(c)[3]
+
+ SI-3(c)[3](1)
+
configures malicious code protection mechanisms to:
+
+ SI-3(c)[3](1)[a]
+
perform periodic scans of the information system with the organization-defined frequency;
+
+
+ SI-3(c)[3](1)[b]
+
perform real-time scans of files from external sources at endpoint and/or network entry/exit points as the files are downloaded, opened, or executed in accordance with organizational security policy;
+
+
+
+ SI-3(c)[3](2)
+
configures malicious code protection mechanisms to do one or more of the following:
+
+ SI-3(c)[3](2)[a]
+
block malicious code in response to malicious code detection;
+
+
+ SI-3(c)[3](2)[b]
+
quarantine malicious code in response to malicious code detection;
+
+
+ SI-3(c)[3](2)[c]
+
send alert to administrator in response to malicious code detection; and/or
+
+
+ SI-3(c)[3](2)[d]
+
initiate organization-defined action in response to malicious code detection;
+
+
+
+
+
+ SI-3(d)
+
+ SI-3(d)[1]
+
addresses the receipt of false positives during malicious code detection and eradication; and
+
+
+ SI-3(d)[2]
+
addresses the resulting potential impact on the availability of the information system.
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
configuration management policy and procedures
+
procedures addressing malicious code protection
+
malicious code protection mechanisms
+
records of malicious code protection updates
+
information system design documentation
+
information system configuration settings and associated documentation
+
scan results from malicious code protection mechanisms
+
record of actions initiated by malicious code protection mechanisms in response to malicious code detection
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for malicious code protection
+
organizational personnel with configuration management responsibility
+
+
+ TEST
+
Organizational processes for employing, updating, and configuring malicious code protection mechanisms
+
organizational process for addressing false positives and resulting potential impact
+
+
+
+ NIST Special Publication 800-83
+
+
+
+
+ INFORMATION SYSTEM MONITORING
+
+ organization-defined monitoring objectives
+ organization-defined monitoring objectives
+
+
+ organization-defined techniques and methods
+ organization-defined techniques and methods
+
+
+ organization-defined information system monitoring information
+ organization-defined information system monitoring information
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ SI-4
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SI-4a.
+
Monitors the information system to detect:
+
+ SI-4a.1.
+
Attacks and indicators of potential attacks in accordance with ; and
+
+
+ SI-4a.2.
+
Unauthorized local, network, and remote connections;
+
+
+
+ SI-4b.
+
Identifies unauthorized use of the information system through ;
+
+
+ SI-4c.
+
Deploys monitoring devices:
+
+ SI-4c.1.
+
Strategically within the information system to collect organization-determined essential information; and
+
+
+ SI-4c.2.
+
At ad hoc locations within the system to track specific types of transactions of interest to the organization;
+
+
+
+ SI-4d.
+
Protects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion;
+
+
+ SI-4e.
+
Heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;
+
+
+ SI-4f.
+
Obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations; and
+
+
+ SI-4g.
+
Provides to [Selection (one or more): as needed; ].
+
+
+
+
Information system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the information system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the information system. Organizations can monitor information systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives may guide determination of the events. Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. Einstein network monitoring devices from the Department of Homeland Security can also be included as monitoring devices. The granularity of monitoring information collected is based on organizational monitoring objectives and the capability of information systems to support such objectives. Specific types of transactions of interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. Information system monitoring is an integral part of organizational continuous monitoring and incident response programs. Output from system monitoring serves as input to continuous monitoring and incident response programs. A network connection is any connection with a device that communicates through a network (e.g., local area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Local, network, and remote connections can be either wired or wireless.
+
+
+
+ AUTOMATED TOOLS FOR REAL-TIME ANALYSIS
+ SI-4 (2)
+ MODERATE
+ HIGH
+
+
The organization employs automated tools to support near real-time analysis of events.
+
+
+
Automated tools include, for example, host-based, network-based, transport-based, or storage-based event monitoring tools or Security Information and Event Management (SIEM) technologies that provide real time analysis of alerts and/or notifications generated by organizational information systems.
+
+
+
Determine if the organization employs automated tools to support near real-time analysis of events.
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information system monitoring tools and techniques
+
information system design documentation
+
information system monitoring tools and techniques documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for monitoring the information system
+
organizational personnel with responsibility for incident response/management
+
+
+ TEST
+
Organizational processes for near real-time analysis of events
+
organizational processes for information system monitoring
+
automated mechanisms supporting and/or implementing information system monitoring
+
automated mechanisms/tools supporting and/or implementing analysis of events
+
+
+
+ AUTOMATED TOOL INTEGRATION
+ SI-4 (3)
+
+
The organization employs automated tools to integrate intrusion detection tools into access control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination.
+
+
+
Determine if the organization, for rapid response to attacks by enabling reconfiguration of intrusion detection tools in support of attack isolation and elimination, employs automated tools to integrate intrusion detection tools into:
+
+ SI-4(3)[1]
+
access control mechanisms; and
+
+
+ SI-4(3)[2]
+
flow control mechanisms.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
access control policy and procedures
+
procedures addressing information system monitoring tools and techniques
+
information system design documentation
+
information system monitoring tools and techniques documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for monitoring the information system
+
organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+
Organizational processes for intrusion detection/information system monitoring
+
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
+
automated mechanisms/tools supporting and/or implementing access/flow control capability
+
automated mechanisms/tools supporting and/or implementing integration of intrusion detection tools into access/flow control mechanisms
+
+
+
+ INBOUND AND OUTBOUND COMMUNICATIONS TRAFFIC
+
+ organization-defined frequency
+ organization-defined frequency
+
+ SI-4 (4)
+ MODERATE
+ HIGH
+
+
The information system monitors inbound and outbound communications traffic for unusual or unauthorized activities or conditions.
+
+
+
Unusual/unauthorized activities or conditions related to information system inbound and outbound communications traffic include, for example, internal traffic that indicates the presence of malicious code within organizational information systems or propagating among system components, the unauthorized exporting of information, or signaling to external information systems. Evidence of malicious code is used to identify potentially compromised information systems or information system components.
+
+
+
Determine if the organization:
+
+ SI-4(4)[1]
+
defines a frequency to monitor:
+
+ SI-4(4)[1][a]
+
inbound communications traffic for unusual or unauthorized activities or conditions;
+
+
+ SI-4(4)[1][b]
+
outbound communications traffic for unusual or unauthorized activities or conditions;
+
+
+
+ SI-4(4)[2]
+
monitors, with the organization-defined frequency:
+
+ SI-4(4)[2][a]
+
inbound communications traffic for unusual or unauthorized activities or conditions; and
+
+
+ SI-4(4)[2][b]
+
outbound communications traffic for unusual or unauthorized activities or conditions.
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information system monitoring tools and techniques
+
information system design documentation
+
information system monitoring tools and techniques documentation
+
information system configuration settings and associated documentation
+
information system protocols
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for monitoring the information system
+
organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+
Organizational processes for intrusion detection/information system monitoring
+
automated mechanisms supporting and/or implementing intrusion detection capability/information system monitoring
+
automated mechanisms supporting and/or implementing monitoring of inbound/outbound communications traffic
The information system alerts when the following indications of compromise or potential compromise occur: .
+
+
+
Alerts may be generated from a variety of sources, including, for example, audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be transmitted, for example, telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the notification list can include, for example, system administrators, mission/business owners, system owners, or information system security officers.
+
+
+
+
+
Determine if:
+
+ SI-4(5)[1]
+
the organization defines compromise indicators for the information system;
+
+
+ SI-4(5)[2]
+
the organization defines personnel or roles to be alerted when indications of compromise or potential compromise occur; and
+
+
+ SI-4(5)[3]
+
the information system alerts organization-defined personnel or roles when organization-defined compromise indicators occur.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information system monitoring tools and techniques
+
information system monitoring tools and techniques documentation
+
information system configuration settings and associated documentation
+
alerts/notifications generated based on compromise indicators
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for monitoring the information system
+
organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+
Organizational processes for intrusion detection/information system monitoring
+
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
+
automated mechanisms supporting and/or implementing alerts for compromise indicators
+
+
+
+ AUTOMATED RESPONSE TO SUSPICIOUS EVENTS
+
+ organization-defined incident response personnel (identified by name and/or by role)
+ organization-defined incident response personnel (identified by name and/or by role)
+
+
+ organization-defined least-disruptive actions to terminate suspicious events
+ organization-defined least-disruptive actions to terminate suspicious events
+
+ SI-4 (7)
+
+
The information system notifies of detected suspicious events and takes .
+
+
+
Least-disruptive actions may include, for example, initiating requests for human responses.
+
+
+
Determine if:
+
+ SI-4(7)[1]
+
the organization defines incident response personnel (identified by name and/or by role) to be notified of detected suspicious events;
+
+
+ SI-4(7)[2]
+
the organization defines least-disruptive actions to be taken by the information system to terminate suspicious events;
+
+
+ SI-4(7)[3]
+
the information system notifies organization-defined incident response personnel of detected suspicious events; and
+
+
+ SI-4(7)[4]
+
the information system takes organization-defined least-disruptive actions to terminate suspicious events.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information system monitoring tools and techniques
+
information system design documentation
+
information system monitoring tools and techniques documentation
+
information system configuration settings and associated documentation
+
alerts/notifications generated based on detected suspicious events
+
records of actions taken to terminate suspicious events
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for monitoring the information system
+
organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+
Organizational processes for intrusion detection/information system monitoring
+
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
+
automated mechanisms supporting and/or implementing notifications to incident response personnel
+
automated mechanisms supporting and/or implementing actions to terminate suspicious events
+
+
+
+ PROTECTION OF MONITORING INFORMATION
+ SI-4 (8)
+
+
+
+ Incorporated into SI-4.
+
+
+
+ TESTING OF MONITORING TOOLS
+
+ organization-defined frequency
+ organization-defined frequency
+
+ SI-4 (9)
+
+
The organization tests intrusion-monitoring tools .
+
+
+
Testing intrusion-monitoring tools is necessary to ensure that the tools are operating correctly and continue to meet the monitoring objectives of organizations. The frequency of testing depends on the types of tools used by organizations and methods of deployment.
+
+
+
+
Determine if the organization:
+
+ SI-4(9)[1]
+
defines a frequency to test intrusion-monitoring tools; and
+
+
+ SI-4(9)[2]
+
tests intrusion-monitoring tools with the organization-defined frequency.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing testing of information system monitoring tools and techniques
+
documentation providing evidence of testing intrusion-monitoring tools
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for monitoring the information system
+
organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+
Organizational processes for intrusion detection/information system monitoring
+
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
+
automated mechanisms supporting and/or implementing testing of intrusion-monitoring tools
+
+
+
+ VISIBILITY OF ENCRYPTED COMMUNICATIONS
+
+ organization-defined encrypted communications traffic
+ organization-defined encrypted communications traffic
+
+
+ organization-defined information system monitoring tools
+ organization-defined information system monitoring tools
+
+ SI-4 (10)
+
+
The organization makes provisions so that is visible to .
+
+
+
Organizations balance the potentially conflicting needs for encrypting communications traffic and for having insight into such traffic from a monitoring perspective. For some organizations, the need to ensure the confidentiality of communications traffic is paramount; for others, mission-assurance is of greater concern. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types.
+
+
+
Determine if the organization:
+
+ SI-4(10)[1]
+
defines encrypted communications traffic required to be visible to information system monitoring tools;
+
+
+ SI-4(10)[2]
+
defines information system monitoring tools to be provided access to organization-defined encrypted communications traffic; and
+
+
+ SI-4(10)[3]
+
makes provisions so that organization-defined encrypted communications traffic is visible to organization-defined information system monitoring tools.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information system monitoring tools and techniques
+
information system design documentation
+
information system monitoring tools and techniques documentation
+
information system configuration settings and associated documentation
+
information system protocols
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for monitoring the information system
+
organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+
Organizational processes for intrusion detection/information system monitoring
+
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
+
automated mechanisms supporting and/or implementing visibility of encrypted communications traffic to monitoring tools
+
+
+
+ ANALYZE COMMUNICATIONS TRAFFIC ANOMALIES
+
+ organization-defined interior points within the system (e.g., subnetworks, subsystems)
+ organization-defined interior points within the system (e.g., subnetworks, subsystems)
+
+ SI-4 (11)
+
+
The organization analyzes outbound communications traffic at the external boundary of the information system and selected to discover anomalies.
+
+
+
Anomalies within organizational information systems include, for example, large file transfers, long-time persistent connections, unusual protocols and ports in use, and attempted communications with suspected malicious external addresses.
+
+
+
Determine if the organization:
+
+ SI-4(11)[1]
+
defines interior points within the system (e.g., subnetworks, subsystems) where communications traffic is to be analyzed;
+
+
+ SI-4(11)[2]
+
analyzes outbound communications traffic to discover anomalies at:
+
+ SI-4(11)[2][a]
+
the external boundary of the information system; and
+
+
+ SI-4(11)[2][b]
+
selected organization-defined interior points within the system.
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information system monitoring tools and techniques
+
information system design documentation
+
network diagram
+
information system monitoring tools and techniques documentation
+
information system configuration settings and associated documentation
+
information system monitoring logs or records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for monitoring the information system
+
organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+
Organizational processes for intrusion detection/information system monitoring
+
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
+
automated mechanisms supporting and/or implementing analysis of communications traffic
The organization employs automated mechanisms to alert security personnel of the following inappropriate or unusual activities with security implications: .
+
+
+
This control enhancement focuses on the security alerts generated by organizations and transmitted using automated means. In contrast to the alerts generated by information systems in SI-4 (5), which tend to focus on information sources internal to the systems (e.g., audit records), the sources of information for this enhancement can include other entities as well (e.g., suspicious activity reports, reports on potential insider threats).
+
+
+
+
+
Determine if the organization:
+
+ SI-4(12)[1]
+
defines activities that trigger alerts to security personnel based on inappropriate or unusual activities with security implications; and
+
+
+ SI-4(12)[2]
+
employs automated mechanisms to alert security personnel of organization-defined activities that trigger alerts based on inappropriate or unusual activities with security implications.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information system monitoring tools and techniques
+
information system design documentation
+
information system monitoring tools and techniques documentation
+
information system configuration settings and associated documentation
+
list of inappropriate or unusual activities (with security implications) that trigger alerts
+
alerts/notifications provided to security personnel
+
information system monitoring logs or records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developers
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for monitoring the information system
+
organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+
Organizational processes for intrusion detection/information system monitoring
+
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
+
automated mechanisms supporting and/or implementing automated alerts to security personnel
The organization employs a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises/breaches to the information system.
+
+
+
Wireless signals may radiate beyond the confines of organization-controlled facilities. Organizations proactively search for unauthorized wireless connections including the conduct of thorough scans for unauthorized wireless access points. Scans are not limited to those areas within facilities containing information systems, but also include areas outside of facilities as needed, to verify that unauthorized wireless access points are not connected to the systems.
+
+
+
+
+
Determine if the organization employs a wireless intrusion detection system to:
+
+ SI-4(14)[1]
+
identify rogue wireless devices;
+
+
+ SI-4(14)[2]
+
detect attack attempts to the information system; and
+
+
+ SI-4(14)[3]
+
detect potential compromises/breaches to the information system.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information system monitoring tools and techniques
+
information system design documentation
+
information system monitoring tools and techniques documentation
+
information system configuration settings and associated documentation
+
information system protocols
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for monitoring the information system
+
organizational personnel with responsibility for the intrusion detection system
The organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.
+
+
+
+
+
+
Determine if the organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information system monitoring tools and techniques
+
information system design documentation
+
information system monitoring tools and techniques documentation
+
information system configuration settings and associated documentation
+
information system protocols documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for monitoring the information system
+
organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+
Organizational processes for intrusion detection/information system monitoring
+
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
The organization correlates information from monitoring tools employed throughout the information system.
+
+
+
Correlating information from different monitoring tools can provide a more comprehensive view of information system activity. The correlation of monitoring tools that usually work in isolation (e.g., host monitoring, network monitoring, anti-virus software) can provide an organization-wide view and in so doing, may reveal otherwise unseen attack patterns. Understanding the capabilities/limitations of diverse monitoring tools and how to maximize the utility of information generated by those tools can help organizations to build, operate, and maintain effective monitoring programs.
+
+
+
+
Determine if the organization correlates information from monitoring tools employed throughout the information system.
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information system monitoring tools and techniques
+
information system design documentation
+
information system monitoring tools and techniques documentation
+
information system configuration settings and associated documentation
+
event correlation logs or records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for monitoring the information system
+
organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+
Organizational processes for intrusion detection/information system monitoring
+
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
+
automated mechanisms supporting and/or implementing correlation of information from monitoring tools
The organization correlates information from monitoring physical, cyber, and supply chain activities to achieve integrated, organization-wide situational awareness.
+
+
+
This control enhancement correlates monitoring information from a more diverse set of information sources to achieve integrated situational awareness. Integrated situational awareness from a combination of physical, cyber, and supply chain monitoring activities enhances the capability of organizations to more quickly detect sophisticated cyber attacks and investigate the methods and techniques employed to carry out such attacks. In contrast to SI-4 (16) which correlates the various cyber monitoring information, this control enhancement correlates monitoring beyond just the cyber domain. Such monitoring may help reveal attacks on organizations that are operating across multiple attack vectors.
+
+
+
+
Determine if the organization, to achieve integrated, organization-wide situational awareness, correlates information from monitoring:
+
+ SI-4(17)[1]
+
physical activities;
+
+
+ SI-4(17)[2]
+
cyber activities; and
+
+
+ SI-4(17)[3]
+
supply chain activities.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information system monitoring tools and techniques
+
information system design documentation
+
information system monitoring tools and techniques documentation
+
information system configuration settings and associated documentation
+
event correlation logs or records resulting from physical, cyber, and supply chain activities
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for monitoring the information system
+
organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+
Organizational processes for intrusion detection/information system monitoring
automated mechanisms supporting and/or implementing correlation of information from monitoring tools
+
+
+
+ ANALYZE TRAFFIC / COVERT EXFILTRATION
+
+ organization-defined interior points within the system (e.g., subsystems, subnetworks)
+ organization-defined interior points within the system (e.g., subsystems, subnetworks)
+
+ SI-4 (18)
+
+
The organization analyzes outbound communications traffic at the external boundary of the information system (i.e., system perimeter) and at to detect covert exfiltration of information.
+
+
+
Covert means that can be used for the unauthorized exfiltration of organizational information include, for example, steganography.
+
+
+
Determine if the organization:
+
+ SI-4(18)[1]
+
defines interior points within the system (e.g., subsystems, subnetworks) where communications traffic is to be analyzed;
+
+
+ SI-4(18)[2]
+
to detect covert exfiltration of information, analyzes outbound communications traffic at:
+
+ SI-4(18)[2][a]
+
the external boundary of the information system (i.e., system perimeter); and
+
+
+ SI-4(18)[2][b]
+
organization-defined interior points within the system.
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information system monitoring tools and techniques
+
information system design documentation
+
network diagram
+
information system monitoring tools and techniques documentation
+
information system configuration settings and associated documentation
+
information system monitoring logs or records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for monitoring the information system
+
organizational personnel with responsibility for the intrusion detection system
+
+
+ TEST
+
Organizational processes for intrusion detection/information system monitoring
The organization implements of individuals who have been identified by as posing an increased level of risk.
+
+
+
Indications of increased risk from individuals can be obtained from a variety of sources including, for example, human resource records, intelligence agencies, law enforcement organizations, and/or other credible sources. The monitoring of individuals is closely coordinated with management, legal, security, and human resources officials within organizations conducting such monitoring and complies with federal legislation, Executive Orders, policies, directives, regulations, and standards.
+
+
+
Determine if the organization:
+
+ SI-4(19)[1]
+
defines sources that identify individuals who pose an increased level of risk;
+
+
+ SI-4(19)[2]
+
defines additional monitoring to be implemented on individuals who have been identified by organization-defined sources as posing an increased level of risk; and
+
+
+ SI-4(19)[3]
+
implements organization-defined additional monitoring of individuals who have been identified by organization-defined sources as posing an increased level of risk.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information system monitoring
+
information system design documentation
+
list of individuals who have been identified as posing an increased level of risk
+
information system monitoring tools and techniques documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for monitoring the information system
+
+
+ TEST
+
Organizational processes for information system monitoring
+
automated mechanisms supporting and/or implementing system monitoring capability
The organization implements of individuals during .
+
+
+
Determine if the organization:
+
+ SI-4(21)[1]
+
defines additional monitoring to be implemented on individuals during probationary periods;
+
+
+ SI-4(21)[2]
+
defines probationary period during which organization-defined additional monitoring of individuals is to be performed; and
+
+
+ SI-4(21)[3]
+
implements organization-defined additional monitoring of individuals during organization-defined probationary period.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information system monitoring
+
information system design documentation
+
information system monitoring tools and techniques documentation
+
information system configuration settings and associated documentation
+
information system monitoring logs or records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for monitoring the information system
+
+
+ TEST
+
Organizational processes for information system monitoring
+
automated mechanisms supporting and/or implementing system monitoring capability
+
+
+
+ UNAUTHORIZED NETWORK SERVICES
+
+ organization-defined authorization or approval processes
+ organization-defined authorization or approval processes
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+ SI-4 (22)
+
+
The information system detects network services that have not been authorized or approved by and [Selection (one or more): audits; alerts ].
+
+
+
Unauthorized or unapproved network services include, for example, services in service-oriented architectures that lack organizational verification or validation and therefore may be unreliable or serve as malicious rogues for valid services.
+
+
+
+
+
+
+
Determine if:
+
+ SI-4(22)[1]
+
the organization defines authorization or approval processes for network services;
+
+
+ SI-4(22)[2]
+
the organization defines personnel or roles to be alerted upon detection of network services that have not been authorized or approved by organization-defined authorization or approval processes;
+
+
+ SI-4(22)[3]
+
the information system detects network services that have not been authorized or approved by organization-defined authorization or approval processes and does one or more of the following:
+
+ SI-4(22)[3][a]
+
audits; and/or
+
+
+ SI-4(22)[3][b]
+
alerts organization-defined personnel or roles.
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information system monitoring tools and techniques
+
information system design documentation
+
information system monitoring tools and techniques documentation
+
information system configuration settings and associated documentation
+
documented authorization/approval of network services
+
notifications or alerts of unauthorized network services
+
information system monitoring logs or records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for monitoring the information system
+
+
+ TEST
+
Organizational processes for information system monitoring
+
automated mechanisms supporting and/or implementing system monitoring capability
+
automated mechanisms for auditing network services
+
automated mechanisms for providing alerts
+
+
+
+ HOST-BASED DEVICES
+
+ organization-defined host-based monitoring mechanisms
+ organization-defined host-based monitoring mechanisms
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+ SI-4 (23)
+
+
The organization implements at .
+
+
+
Information system components where host-based monitoring can be implemented include, for example, servers, workstations, and mobile devices. Organizations consider employing host-based monitoring mechanisms from multiple information technology product developers.
+
+
+
Determine if the organization:
+
+ SI-4(23)[1]
+
defines host-based monitoring mechanisms to be implemented;
+
+
+ SI-4(23)[2]
+
defines information system components where organization-defined host-based monitoring is to be implemented; and
+
+
+ SI-4(23)[3]
+
implements organization-defined host-based monitoring mechanisms at organization-defined information system components.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information system monitoring tools and techniques
+
information system design documentation
+
host-based monitoring mechanisms
+
information system monitoring tools and techniques documentation
+
information system configuration settings and associated documentation
+
list of information system components requiring host-based monitoring
+
information system monitoring logs or records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for monitoring information system hosts
+
+
+ TEST
+
Organizational processes for information system monitoring
The information system discovers, collects, distributes, and uses indicators of compromise.
+
+
+
Indicators of compromise (IOC) are forensic artifacts from intrusions that are identified on organizational information systems (at the host or network level). IOCs provide organizations with valuable information on objects or information systems that have been compromised. IOCs for the discovery of compromised hosts can include for example, the creation of registry key values. IOCs for network traffic include, for example, Universal Resource Locator (URL) or protocol elements that indicate malware command and control servers. The rapid distribution and adoption of IOCs can improve information security by reducing the time that information systems and organizations are vulnerable to the same exploit or attack.
+
+
+
Determine if the information system:
+
+ SI-4(24)[1]
+
discovers indicators of compromise;
+
+
+ SI-4(24)[2]
+
collects indicators of compromise;
+
+
+ SI-4(24)[3]
+
distributes indicators of compromise; and
+
+
+ SI-4(24)[4]
+
uses indicators of compromise.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information system monitoring
+
information system design documentation
+
information system monitoring tools and techniques documentation
+
information system configuration settings and associated documentation
+
information system monitoring logs or records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility for monitoring information system hosts
+
+
+ TEST
+
Organizational processes for information system monitoring
+
organizational processes for discovery, collection, distribution, and use of indicators of compromise
+
automated mechanisms supporting and/or implementing system monitoring capability
+
automated mechanisms supporting and/or implementing the discovery, collection, distribution, and use of indicators of compromise
+
+
+
+
Determine if the organization:
+
+ SI-4(a)
+
+ SI-4(a)(1)
+
+ SI-4(a)(1)[1]
+
defines monitoring objectives to detect attacks and indicators of potential attacks on the information system;
+
+
+ SI-4(a)(1)[2]
+
monitors the information system to detect, in accordance with organization-defined monitoring objectives,:
+
+ SI-4(a)(1)[2][a]
+
attacks;
+
+
+ SI-4(a)(1)[2][b]
+
indicators of potential attacks;
+
+
+
+
+ SI-4(a)(2)
+
monitors the information system to detect unauthorized:
+
+ SI-4(a)(2)[1]
+
local connections;
+
+
+ SI-4(a)(2)[2]
+
network connections;
+
+
+ SI-4(a)(2)[3]
+
remote connections;
+
+
+
+
+ SI-4(b)
+
+ SI-4(b)(1)
+
defines techniques and methods to identify unauthorized use of the information system;
+
+
+ SI-4(b)(2)
+
identifies unauthorized use of the information system through organization-defined techniques and methods;
+
+
+
+ SI-4(c)
+
deploys monitoring devices:
+
+ SI-4(c)[1]
+
strategically within the information system to collect organization-determined essential information;
+
+
+ SI-4(c)[2]
+
at ad hoc locations within the system to track specific types of transactions of interest to the organization;
+
+
+
+ SI-4(d)
+
protects information obtained from intrusion-monitoring tools from unauthorized:
+
+ SI-4(d)[1]
+
access;
+
+
+ SI-4(d)[2]
+
modification;
+
+
+ SI-4(d)[3]
+
deletion;
+
+
+
+ SI-4(e)
+
heightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;
+
+
+ SI-4(f)
+
obtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations;
+
+
+ SI-4(g)
+
+ SI-4(g)[1]
+
defines personnel or roles to whom information system monitoring information is to be provided;
+
+
+ SI-4(g)[2]
+
defines information system monitoring information to be provided to organization-defined personnel or roles;
+
+
+ SI-4(g)[3]
+
defines a frequency to provide organization-defined information system monitoring to organization-defined personnel or roles;
+
+
+ SI-4(g)[4]
+
provides organization-defined information system monitoring information to organization-defined personnel or roles one or more of the following:
+
+ SI-4(g)[4][a]
+
as needed; and/or
+
+
+ SI-4(g)[4][b]
+
with the organization-defined frequency.
+
+
+
+
+
+ EXAMINE
+
Continuous monitoring strategy
+
system and information integrity policy
+
procedures addressing information system monitoring tools and techniques
+
facility diagram/layout
+
information system design documentation
+
information system monitoring tools and techniques documentation
+
locations within information system where monitoring devices are deployed
+
information system configuration settings and associated documentation
+
other relevant documents or records
+
+
+ INTERVIEW
+
System/network administrators
+
organizational personnel with information security responsibilities
+
organizational personnel installing, configuring, and/or maintaining the information system
+
organizational personnel with responsibility monitoring the information system
+
+
+ TEST
+
Organizational processes for information system monitoring
+
automated mechanisms supporting and/or implementing information system monitoring capability
+
+
+
+ NIST Special Publication 800-61
+
+
+ NIST Special Publication 800-83
+
+
+ NIST Special Publication 800-92
+
+
+ NIST Special Publication 800-94
+
+
+ NIST Special Publication 800-137
+
+
+
+
+ SECURITY ALERTS, ADVISORIES, AND DIRECTIVES
+
+ organization-defined external organizations
+ organization-defined external organizations
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined elements within the organization
+ organization-defined elements within the organization
+
+
+ organization-defined external organizations
+ organization-defined external organizations
+
+ SI-5
+ P1
+ LOW
+ MODERATE
+ HIGH
+
+
The organization:
+
+ SI-5a.
+
Receives information system security alerts, advisories, and directives from on an ongoing basis;
+
+
+ SI-5b.
+
Generates internal security alerts, advisories, and directives as deemed necessary;
+
+
+ SI-5c.
+
Disseminates security alerts, advisories, and directives to: [Selection (one or more): ; ; ]; and
+
+
+ SI-5d.
+
Implements security directives in accordance with established time frames, or notifies the issuing organization of the degree of noncompliance.
+
+
+
+
The United States Computer Emergency Readiness Team (US-CERT) generates security alerts and advisories to maintain situational awareness across the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance to security directives is essential due to the critical nature of many of these directives and the potential immediate adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include, for example, external mission/business partners, supply chain partners, external service providers, and other peer/supporting organizations.
+
+
+
+ AUTOMATED ALERTS AND ADVISORIES
+ SI-5 (1)
+ HIGH
+
+
The organization employs automated mechanisms to make security alert and advisory information available throughout the organization.
+
+
+
The significant number of changes to organizational information systems and the environments in which those systems operate requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational missions and business functions. Based on the information provided by the security alerts and advisories, changes may be required at one or more of the three tiers related to the management of information security risk including the governance level, mission/business process/enterprise architecture level, and the information system level.
+
+
+
Determine if the organization employs automated mechanisms to make security alert and advisory information available throughout the organization.
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing security alerts, advisories, and directives
+
information system design documentation
+
information system configuration settings and associated documentation
+
automated mechanisms supporting the distribution of security alert and advisory information
+
records of security alerts and advisories
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security alert and advisory responsibilities
+
organizational personnel implementing, operating, maintaining, and using the information system
+
organizational personnel, organizational elements, and/or external organizations to whom alerts and advisories are to be disseminated
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for defining, receiving, generating, and disseminating security alerts and advisories
+
automated mechanisms supporting and/or implementing dissemination of security alerts and advisories
+
+
+
+
Determine if the organization:
+
+ SI-5(a)
+
+ SI-5(a)[1]
+
defines external organizations from whom information system security alerts, advisories and directives are to be received;
+
+
+ SI-5(a)[2]
+
receives information system security alerts, advisories, and directives from organization-defined external organizations on an ongoing basis;
+
+
+
+ SI-5(b)
+
generates internal security alerts, advisories, and directives as deemed necessary;
+
+
+ SI-5(c)
+
+ SI-5(c)[1]
+
defines personnel or roles to whom security alerts, advisories, and directives are to be provided;
+
+
+ SI-5(c)[2]
+
defines elements within the organization to whom security alerts, advisories, and directives are to be provided;
+
+
+ SI-5(c)[3]
+
defines external organizations to whom security alerts, advisories, and directives are to be provided;
+
+
+ SI-5(c)[4]
+
disseminates security alerts, advisories, and directives to one or more of the following:
+
+ SI-5(c)[4][a]
+
organization-defined personnel or roles;
+
+
+ SI-5(c)[4][b]
+
organization-defined elements within the organization; and/or
+
+
+ SI-5(c)[4][c]
+
organization-defined external organizations; and
+
+
+
+
+ SI-5(d)
+
+ SI-5(d)[1]
+
implements security directives in accordance with established time frames; or
+
+
+ SI-5(d)[2]
+
notifies the issuing organization of the degree of noncompliance.
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing security alerts, advisories, and directives
+
records of security alerts and advisories
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security alert and advisory responsibilities
+
organizational personnel implementing, operating, maintaining, and using the information system
+
organizational personnel, organizational elements, and/or external organizations to whom alerts, advisories, and directives are to be disseminated
+
system/network administrators
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for defining, receiving, generating, disseminating, and complying with security alerts, advisories, and directives
+
automated mechanisms supporting and/or implementing definition, receipt, generation, and dissemination of security alerts, advisories, and directives
+
+
+
+ NIST Special Publication 800-40
+
+
+
+
+ SECURITY FUNCTION VERIFICATION
+
+ organization-defined security functions
+ organization-defined security functions
+
+
+ organization-defined system transitional states
+ organization-defined system transitional states
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined alternative action(s)
+ organization-defined alternative action(s)
+
+ SI-6
+ P1
+ HIGH
+
+
The information system:
+
+ SI-6a.
+
Verifies the correct operation of ;
+
+
+ SI-6b.
+
Performs this verification [Selection (one or more): ; upon command by user with appropriate privilege; ];
+
+
+ SI-6c.
+
Notifies of failed security verification tests; and
+
+
+ SI-6d.
+
[Selection (one or more): shuts the information system down; restarts the information system; ] when anomalies are discovered.
+
+
+
+
Transitional states for information systems include, for example, system startup, restart, shutdown, and abort. Notifications provided by information systems include, for example, electronic alerts to system administrators, messages to local computer consoles, and/or hardware indications such as lights.
The organization reports the results of security function verification to .
+
+
+
Organizational personnel with potential interest in security function verification results include, for example, senior information security officers, information system security managers, and information systems security officers.
+
+
+
+
+
+
Determine if the organization:
+
+ SI-6(3)[1]
+
defines personnel or roles designated to receive the results of security function verification; and
+
+
+ SI-6(3)[2]
+
reports the results of security function verification to organization-defined personnel or roles.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing security function verification
+
information system design documentation
+
information system configuration settings and associated documentation
+
records of security function verification results
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security function verification responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for reporting security function verification results
+
automated mechanisms supporting and/or implementing the reporting of security function verification results
+
+
+
+
Determine if:
+
+ SI-6(a)
+
+ SI-6(a)[1]
+
the organization defines security functions to be verified for correct operation;
+
+
+ SI-6(a)[2]
+
the information system verifies the correct operation of organization-defined security functions;
+
+
+
+ SI-6(b)
+
+ SI-6(b)[1]
+
the organization defines system transitional states requiring verification of organization-defined security functions;
+
+
+ SI-6(b)[2]
+
the organization defines a frequency to verify the correct operation of organization-defined security functions;
+
+
+ SI-6(b)[3]
+
the information system performs this verification one or more of the following:
+
+ SI-6(b)[3][a]
+
at organization-defined system transitional states;
+
+
+ SI-6(b)[3][b]
+
upon command by user with appropriate privilege; and/or
+
+
+ SI-6(b)[3][c]
+
with the organization-defined frequency;
+
+
+
+
+ SI-6(c)
+
+ SI-6(c)[1]
+
the organization defines personnel or roles to be notified of failed security verification tests;
+
+
+ SI-6(c)[2]
+
the information system notifies organization-defined personnel or roles of failed security verification tests;
+
+
+
+ SI-6(d)
+
+ SI-6(d)[1]
+
the organization defines alternative action(s) to be performed when anomalies are discovered;
+
+
+ SI-6(d)[2]
+
the information system performs one or more of the following actions when anomalies are discovered:
+
+ SI-6(d)[2][a]
+
shuts the information system down;
+
+
+ SI-6(d)[2][b]
+
restarts the information system; and/or
+
+
+ SI-6(d)[2][c]
+
performs organization-defined alternative action(s).
+
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing security function verification
+
information system design documentation
+
information system configuration settings and associated documentation
+
alerts/notifications of failed security verification tests
+
list of system transition states requiring security functionality verification
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with security function verification responsibilities
+
organizational personnel implementing, operating, and maintaining the information system
+
system/network administrators
+
organizational personnel with information security responsibilities
+
system developer
+
+
+ TEST
+
Organizational processes for security function verification
+
automated mechanisms supporting and/or implementing security function verification capability
+
+
+
+ SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY
+
+ organization-defined software, firmware, and information
+ organization-defined software, firmware, and information
+
+ SI-7
+ P1
+ MODERATE
+ HIGH
+
+
The organization employs integrity verification tools to detect unauthorized changes to .
+
+
+
Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity (e.g., tampering). Software includes, for example, operating systems (with key internal components such as kernels, drivers), middleware, and applications. Firmware includes, for example, the Basic Input Output System (BIOS). Information includes metadata such as security attributes associated with information. State-of-the-practice integrity-checking mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and associated tools can automatically monitor the integrity of information systems and hosted applications.
+
+
+
+
+
+
+ INTEGRITY CHECKS
+
+ organization-defined software, firmware, and information
+ organization-defined software, firmware, and information
+
+
+ organization-defined transitional states or security-relevant events
+ organization-defined transitional states or security-relevant events
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ SI-7 (1)
+ MODERATE
+ HIGH
+
+
The information system performs an integrity check of [Selection (one or more): at startup; at ; ].
+
+
+
Security-relevant events include, for example, the identification of a new threat to which organizational information systems are susceptible, and the installation of new hardware, software, or firmware. Transitional states include, for example, system startup, restart, shutdown, and abort.
+
+
+
Determine if:
+
+ SI-7(1)[1]
+
the organization defines:
+
+ SI-7(1)[1][a]
+
software requiring integrity checks to be performed;
+
+
+ SI-7(1)[1][b]
+
firmware requiring integrity checks to be performed;
+
+
+ SI-7(1)[1][c]
+
information requiring integrity checks to be performed;
+
+
+
+ SI-7(1)[2]
+
the organization defines transitional states or security-relevant events requiring integrity checks of organization-defined:
+
+ SI-7(1)[2][a]
+
software;
+
+
+ SI-7(1)[2][b]
+
firmware;
+
+
+ SI-7(1)[2][c]
+
information;
+
+
+
+ SI-7(1)[3]
+
the organization defines a frequency with which to perform an integrity check of organization-defined:
+
+ SI-7(1)[3][a]
+
software;
+
+
+ SI-7(1)[3][b]
+
firmware;
+
+
+ SI-7(1)[3][c]
+
information;
+
+
+
+ SI-7(1)[4]
+
the information system performs an integrity check of organization-defined software, firmware, and information one or more of the following:
+
+ SI-7(1)[4][a]
+
at startup;
+
+
+ SI-7(1)[4][b]
+
at organization-defined transitional states or security-relevant events; and/or
+
+
+ SI-7(1)[4][c]
+
with the organization-defined frequency.
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing software, firmware, and information integrity
+
information system design documentation
+
information system configuration settings and associated documentation
+
integrity verification tools and associated documentation
+
records of integrity scans
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for software, firmware, and/or information integrity
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developer
+
+
+ TEST
+
Software, firmware, and information integrity verification tools
+
+
+
+ AUTOMATED NOTIFICATIONS OF INTEGRITY VIOLATIONS
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+ SI-7 (2)
+ HIGH
+
+
The organization employs automated tools that provide notification to upon discovering discrepancies during integrity verification.
+
+
+
The use of automated tools to report integrity violations and to notify organizational personnel in a timely matter is an essential precursor to effective risk response. Personnel having an interest in integrity violations include, for example, mission/business owners, information system owners, systems administrators, software developers, systems integrators, and information security officers.
+
+
+
Determine if the organization:
+
+ SI-7(2)[1]
+
defines personnel or roles to whom notification is to be provided upon discovering discrepancies during integrity verification; and
+
+
+ SI-7(2)[2]
+
employs automated tools that provide notification to organization-defined personnel or roles upon discovering discrepancies during integrity verification.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing software, firmware, and information integrity
+
information system design documentation
+
information system configuration settings and associated documentation
+
integrity verification tools and associated documentation
+
records of integrity scans
+
automated tools supporting alerts and notifications for integrity discrepancies
+
alerts/notifications provided upon discovering discrepancies during integrity verifications
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for software, firmware, and/or information integrity
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Software, firmware, and information integrity verification tools
The information system automatically [Selection (one or more): shuts the information system down; restarts the information system; implements ] when integrity violations are discovered.
+
+
+
Organizations may define different integrity checking and anomaly responses: (i) by type of information (e.g., firmware, software, user data); (ii) by specific information (e.g., boot firmware, boot firmware for a specific types of machines); or (iii) a combination of both. Automatic implementation of specific safeguards within organizational information systems includes, for example, reversing the changes, halting the information system, or triggering audit alerts when unauthorized modifications to critical security files occur.
+
+
+
Determine if:
+
+ SI-7(5)[1]
+
the organization defines security safeguards to be implemented when integrity violations are discovered;
+
+
+ SI-7(5)[2]
+
the information system automatically performs one or more of the following actions when integrity violations are discovered:
+
+ SI-7(5)[2][a]
+
shuts the information system down;
+
+
+ SI-7(5)[2][b]
+
restarts the information system; and/or
+
+
+ SI-7(5)[2][c]
+
implements the organization-defined security safeguards.
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing software, firmware, and information integrity
+
information system design documentation
+
information system configuration settings and associated documentation
+
integrity verification tools and associated documentation
+
records of integrity scans
+
records of integrity checks and responses to integrity violations
+
information audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for software, firmware, and/or information integrity
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developer
+
+
+ TEST
+
Software, firmware, and information integrity verification tools
+
automated mechanisms providing an automated response to integrity violations
+
automated mechanisms supporting and/or implementing security safeguards to be implemented when integrity violations are discovered
+
+
+
+ CRYPTOGRAPHIC PROTECTION
+ SI-7 (6)
+
+
The information system implements cryptographic mechanisms to detect unauthorized changes to software, firmware, and information.
+
+
+
Cryptographic mechanisms used for the protection of integrity include, for example, digital signatures and the computation and application of signed hashes using asymmetric cryptography, protecting the confidentiality of the key used to generate the hash, and using the public key to verify the hash information.
+
+
+
+
Determine if the information system employs cryptographic mechanism to detect unauthorized changes to:
+
+ SI-7(6)[1]
+
software;
+
+
+ SI-7(6)[2]
+
firmware; and
+
+
+ SI-7(6)[3]
+
information.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing software, firmware, and information integrity
+
information system design documentation
+
information system configuration settings and associated documentation
+
cryptographic mechanisms and associated documentation
+
records of detected unauthorized changes to software, firmware, and information
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for software, firmware, and/or information integrity
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developer
+
+
+ TEST
+
Software, firmware, and information integrity verification tools
+
cryptographic mechanisms implementing software, firmware, and information integrity
+
+
+
+ INTEGRATION OF DETECTION AND RESPONSE
+
+ organization-defined security-relevant changes to the information system
+ organization-defined security-relevant changes to the information system
+
+ SI-7 (7)
+ MODERATE
+ HIGH
+
+
The organization incorporates the detection of unauthorized into the organizational incident response capability.
+
+
+
This control enhancement helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important both for being able to identify and discern adversary actions over an extended period of time and for possible legal actions. Security-relevant changes include, for example, unauthorized changes to established configuration settings or unauthorized elevation of information system privileges.
+
+
+
+
+
+
Determine if the organization:
+
+ SI-7(7)[1]
+
defines unauthorized security-relevant changes to the information system; and
+
+
+ SI-7(7)[2]
+
incorporates the detection of unauthorized organization-defined security-relevant changes to the information system into the organizational incident response capability.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing software, firmware, and information integrity
+
procedures addressing incident response
+
information system design documentation
+
information system configuration settings and associated documentation
+
incident response records
+
information audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for software, firmware, and/or information integrity
+
organizational personnel with information security responsibilities
+
organizational personnel with incident response responsibilities
+
+
+ TEST
+
Organizational processes for incorporating detection of unauthorized security-relevant changes into the incident response capability
+
software, firmware, and information integrity verification tools
+
automated mechanisms supporting and/or implementing incorporation of detection of unauthorized security-relevant changes into the incident response capability
+
+
+
+ AUDITING CAPABILITY FOR SIGNIFICANT EVENTS
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined other actions
+ organization-defined other actions
+
+ SI-7 (8)
+
+
The information system, upon detection of a potential integrity violation, provides the capability to audit the event and initiates the following actions: [Selection (one or more): generates an audit record; alerts current user; alerts ; ].
+
+
+
Organizations select response actions based on types of software, specific software, or information for which there are potential integrity violations.
+
+
+
+
+
+
Determine if:
+
+ SI-7(8)[1]
+
the organization defines personnel or roles to be alerted upon detection of a potential integrity violation;
+
+
+ SI-7(8)[2]
+
the organization defines other actions to be taken upon detection of a potential integrity violation;
+
+
+ SI-7(8)[3]
+
+ SI-7(8)[3][a]
+
the information system, upon detection of a potential integrity violation, provides the capability to audit the event;
+
+
+ SI-7(8)[3][b]
+
the information system, upon detection of a potential integrity violation, initiates one or more of the following actions:
+
+ SI-7(8)[3][b][1]
+
generates an audit record;
+
+
+ SI-7(8)[3][b][2]
+
alerts current user;
+
+
+ SI-7(8)[3][b][3]
+
alerts organization-defined personnel or roles; and/or
+
+
+ SI-7(8)[3][b][4]
+
organization-defined other actions.
+
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing software, firmware, and information integrity
+
information system design documentation
+
information system configuration settings and associated documentation
+
integrity verification tools and associated documentation
+
records of integrity scans
+
incident response records, list of security-relevant changes to the information system
+
automated tools supporting alerts and notifications if unauthorized security changes are detected
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for software, firmware, and/or information integrity
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developer
+
+
+ TEST
+
Software, firmware, and information integrity verification tools
+
automated mechanisms supporting and/or implementing the capability to audit potential integrity violations
+
automated mechanisms supporting and/or implementing alerts about potential integrity violations
The information system verifies the integrity of the boot process of .
+
+
+
Ensuring the integrity of boot processes is critical to starting devices in known/trustworthy states. Integrity verification mechanisms provide organizational personnel with assurance that only trusted code is executed during boot processes.
+
+
+
Determine if:
+
+ SI-7(9)[1]
+
the organization defines devices requiring integrity verification of the boot process; and
+
+
+ SI-7(9)[2]
+
the information system verifies the integrity of the boot process of organization-defined devices.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing software, firmware, and information integrity
+
information system design documentation
+
information system configuration settings and associated documentation
+
integrity verification tools and associated documentation
+
documentation
+
records of integrity verification scans
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for software, firmware, and/or information integrity
+
organizational personnel with information security responsibilities
+
system developer
+
+
+ TEST
+
Software, firmware, and information integrity verification tools
+
automated mechanisms supporting and/or implementing integrity verification of the boot process
The information system implements to protect the integrity of boot firmware in .
+
+
+
Unauthorized modifications to boot firmware may be indicative of a sophisticated, targeted cyber attack. These types of cyber attacks can result in a permanent denial of service (e.g., if the firmware is corrupted) or a persistent malicious code presence (e.g., if code is embedded within the firmware). Devices can protect the integrity of the boot firmware in organizational information systems by: (i) verifying the integrity and authenticity of all updates to the boot firmware prior to applying changes to the boot devices; and (ii) preventing unauthorized processes from modifying the boot firmware.
+
+
+
Determine if:
+
+ SI-7(10)[1]
+
the organization defines security safeguards to be implemented to protect the integrity of boot firmware in devices;
+
+
+ SI-7(10)[2]
+
the organization defines devices requiring organization-defined security safeguards to be implemented to protect the integrity of boot firmware; and
+
+
+ SI-7(10)[3]
+
the information system implements organization-defined security safeguards to protect the integrity of boot firmware in organization-defined devices.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing software, firmware, and information integrity
+
information system design documentation
+
information system configuration settings and associated documentation
+
integrity verification tools and associated documentation
+
records of integrity verification scans
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for software, firmware, and/or information integrity
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developer
+
+
+ TEST
+
Software, firmware, and information integrity verification tools
+
automated mechanisms supporting and/or implementing protection of the integrity of boot firmware
+
safeguards implementing protection of the integrity of boot firmware
The organization requires that execute in a confined physical or virtual machine environment with limited privileges.
+
+
+
Organizations identify software that may be of greater concern with regard to origin or potential for containing malicious code. For this type of software, user installations occur in confined environments of operation to limit or contain damage from malicious code that may be executed.
+
+
+
Determine if the organization:
+
+ SI-7(11)[1]
+
defines user-installed software to be executed in a confined physical or virtual machine environment with limited privileges; and
+
+
+ SI-7(11)[2]
+
requires that organization-defined user-installed software execute in a confined physical or virtual machine environment with limited privileges.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing software, firmware, and information integrity
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for software, firmware, and/or information integrity
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Software, firmware, and information integrity verification tools
+
automated mechanisms supporting and/or implementing execution of software in a confined environment (physical and/or virtual)
+
automated mechanisms supporting and/or implementing limited privileges in the confined environment
The organization requires that the integrity of be verified prior to execution.
+
+
+
Organizations verify the integrity of user-installed software prior to execution to reduce the likelihood of executing malicious code or code that contains errors from unauthorized modifications. Organizations consider the practicality of approaches to verifying software integrity including, for example, availability of checksums of adequate trustworthiness from software developers or vendors.
+
+
+
Determine if the organization:
+
+ SI-7(12)[1]
+
defines user-installed software requiring integrity verification prior to execution; and
+
+
+ SI-7(12)[2]
+
requires that the integrity of organization-defined user-installed software be verified prior to execution.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing software, firmware, and information integrity
+
information system design documentation
+
information system configuration settings and associated documentation
+
integrity verification records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for software, firmware, and/or information integrity
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Software, firmware, and information integrity verification tools
+
automated mechanisms supporting and/or implementing verification of the integrity of user-installed software prior to execution
+
+
+
+ CODE EXECUTION IN PROTECTED ENVIRONMENTS
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+ SI-7 (13)
+
+
The organization allows execution of binary or machine-executable code obtained from sources with limited or no warranty and without the provision of source code only in confined physical or virtual machine environments and with the explicit approval of .
+
+
+
This control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software.
+
+
+
Determine if the organization:
+
+ SI-7(13)[1]
+
allows execution of binary or machine-executable code obtained from sources with limited or no warranty;
+
+
+ SI-7(13)[2]
+
allows execution of binary or machine-executable code without the provision of source code only in confined physical or virtual machines;
+
+
+ SI-7(13)[3]
+
defines personnel or roles required to provide explicit approval to allow execution of binary or machine-executable code; and
+
+
+ SI-7(13)[4]
+
allows execution of binary or machine-executable code with the explicit approval of organization-defined personnel or roles.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing software, firmware, and information integrity
+
information system design documentation
+
information system configuration settings and associated documentation
+
approval records for execution of binary and machine-executable code
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for software, firmware, and/or information integrity
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developer
+
+
+ TEST
+
Software, firmware, and information integrity verification tools
+
automated mechanisms supporting and/or implementing approvals for execution of binary or machine-executable code
+
+
+
+ BINARY OR MACHINE EXECUTABLE CODE
+ SI-7 (14)
+ HIGH
+
+
The organization:
+
+ SI-7 (14)(a)
+
Prohibits the use of binary or machine-executable code from sources with limited or no warranty and without the provision of source code; and
+
+
+ SI-7 (14)(b)
+
Provides exceptions to the source code requirement only for compelling mission/operational requirements and with the approval of the authorizing official.
+
+
+
+
This control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software. Organizations assess software products without accompanying source code from sources with limited or no warranty for potential security impacts. The assessments address the fact that these types of software products may be very difficult to review, repair, or extend, given that organizations, in most cases, do not have access to the original source code, and there may be no owners who could make such repairs on behalf of organizations.
+
+
+
+
Determine if the organization:
+
+ SI-7(14)(a)
+
+ SI-7(14)(a)[1]
+
prohibits the use of binary or machine-executable code from sources with limited or no warranty;
+
+
+ SI-7(14)(a)[2]
+
prohibits the use of binary or machine-executable code without the provision of source code;
+
+
+
+ SI-7(14)(b)
+
+ SI-7(14)(b)[1]
+
provides exceptions to the source code requirement only for compelling mission/operational requirements; and
+
+
+ SI-7(14)(b)[2]
+
provides exceptions to the source code requirement only with the approval of the authorizing official.
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing software, firmware, and information integrity
+
information system design documentation
+
information system configuration settings and associated documentation
+
approval records for execution of binary and machine-executable code
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for software, firmware, and/or information integrity
+
organizational personnel with information security responsibilities
+
authorizing official
+
system/network administrators
+
system developer
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing prohibition of the execution of binary or machine-executable code
The information system implements cryptographic mechanisms to authenticate prior to installation.
+
+
+
Cryptographic authentication includes, for example, verifying that software or firmware components have been digitally signed using certificates recognized and approved by organizations. Code signing is an effective method to protect against malicious code.
+
+
+
Determine if:
+
+ SI-7(15)[1]
+
+ SI-7(15)[1][a]
+
the organization defines software components to be authenticated by cryptographic mechanisms prior to installation;
+
+
+ SI-7(15)[1][b]
+
the organization defines firmware components to be authenticated by cryptographic mechanisms prior to installation;
+
+
+
+ SI-7(15)[2]
+
+ SI-7(15)[2][a]
+
the information system implements cryptographic mechanisms to authenticate organization-defined software components prior to installation; and
+
+
+ SI-7(15)[2][b]
+
the information system implements cryptographic mechanisms to authenticate organization-defined firmware components prior to installation.
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing software, firmware, and information integrity
+
information system design documentation
+
information system configuration settings and associated documentation
+
cryptographic mechanisms and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for software, firmware, and/or information integrity
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developer
+
+
+ TEST
+
Cryptographic mechanisms authenticating software/firmware prior to installation
+
+
+
+ TIME LIMIT ON PROCESS EXECUTION W/O SUPERVISION
+
+ organization-defined time period
+ organization-defined time period
+
+ SI-7 (16)
+
+
The organization does not allow processes to execute without supervision for more than .
+
+
+
This control enhancement addresses processes for which normal execution periods can be determined and situations in which organizations exceed such periods. Supervision includes, for example, operating system timers, automated responses, or manual oversight and response when information system process anomalies occur.
+
+
+
Determine if the organization:
+
+ SI-7(16)[1]
+
defines a time period as the maximum period allowed for processes to execute without supervision; and
+
+
+ SI-7(16)[2]
+
does not allow processes to execute without supervision for more than the organization-defined time period.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing software and information integrity
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for software, firmware, and/or information integrity
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developer
+
+
+ TEST
+
Software, firmware, and information integrity verification tools
+
automated mechanisms supporting and/or implementing time limits on process execution without supervision
+
+
+
+
Determine if the organization:
+
+ SI-7[1]
+
+ SI-7[1][a]
+
defines software requiring integrity verification tools to be employed to detect unauthorized changes;
+
+
+ SI-7[1][b]
+
defines firmware requiring integrity verification tools to be employed to detect unauthorized changes;
+
+
+ SI-7[1][c]
+
defines information requiring integrity verification tools to be employed to detect unauthorized changes;
+
+
+
+ SI-7[2]
+
employs integrity verification tools to detect unauthorized changes to organization-defined:
+
+ SI-7[2][a]
+
software;
+
+
+ SI-7[2][b]
+
firmware; and
+
+
+ SI-7[2][c]
+
information.
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing software, firmware, and information integrity
+
information system design documentation
+
information system configuration settings and associated documentation
+
integrity verification tools and associated documentation
+
records generated/triggered from integrity verification tools regarding unauthorized software, firmware, and information changes
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for software, firmware, and/or information integrity
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Software, firmware, and information integrity verification tools
Employs spam protection mechanisms at information system entry and exit points to detect and take action on unsolicited messages; and
+
+
+ SI-8b.
+
Updates spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.
+
+
+
+
Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, mobile devices, and notebook/laptop computers. Spam can be transported by different means including, for example, electronic mail, electronic mail attachments, and web accesses. Spam protection mechanisms include, for example, signature definitions.
+
+
+
+
+
+
+
+ CENTRAL MANAGEMENT
+ SI-8 (1)
+ MODERATE
+ HIGH
+
+
The organization centrally manages spam protection mechanisms.
+
+
+
Central management is the organization-wide management and implementation of spam protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed spam protection security controls.
+
+
+
+
+
+
Determine if the organization centrally manages spam protection mechanisms.
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing spam protection
+
spam protection mechanisms
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for spam protection
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for central management of spam protection
+
automated mechanisms supporting and/or implementing central management of spam protection
The information system implements spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic.
+
+
+
Learning mechanisms include, for example, Bayesian filters that respond to user inputs identifying specific traffic as spam or legitimate by updating algorithm parameters and thereby more accurately separating types of traffic.
+
+
+
Determine if the information system implements spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic.
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing spam protection
+
spam protection mechanisms
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for spam protection
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developer
+
+
+ TEST
+
Organizational processes for spam protection
+
automated mechanisms supporting and/or implementing spam protection mechanisms with a learning capability
+
+
+
+
Determine if the organization:
+
+ SI-8(a)
+
employs spam protection mechanisms:
+
+ SI-8(a)[1]
+
at information system entry points to detect unsolicited messages;
+
+
+ SI-8(a)[2]
+
at information system entry points to take action on unsolicited messages;
+
+
+ SI-8(a)[3]
+
at information system exit points to detect unsolicited messages;
+
+
+ SI-8(a)[4]
+
at information system exit points to take action on unsolicited messages; and
+
+
+
+ SI-8(b)
+
updates spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
configuration management policy and procedures (CM-1)
+
procedures addressing spam protection
+
spam protection mechanisms
+
records of spam protection updates
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for spam protection
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developer
+
+
+ TEST
+
Organizational processes for implementing spam protection
+
+
+
+ INFORMATION INPUT VALIDATION
+
+ organization-defined information inputs
+ organization-defined information inputs
+
+ SI-10
+ P1
+ MODERATE
+ HIGH
+
+
The information system checks the validity of .
+
+
+
Checking the valid syntax and semantics of information system inputs (e.g., character set, length, numerical range, and acceptable values) verifies that inputs match specified definitions for format and content. Software applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the tainted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing to interpreters prevents the content from being unintentionally interpreted as commands. Input validation helps to ensure accurate and correct inputs and prevent attacks such as cross-site scripting and a variety of injection attacks.
automated mechanisms supporting and/or implementing auditing of the use of manual override capability
+
+
+
+ REVIEW / RESOLUTION OF ERRORS
+
+ organization-defined time period
+ organization-defined time period
+
+ SI-10 (2)
+
+
The organization ensures that input validation errors are reviewed and resolved within .
+
+
+
Resolution of input validation errors includes, for example, correcting systemic causes of errors and resubmitting transactions with corrected input.
+
+
+
Determine if the organization:
+
+ SI-10(2)[1]
+
defines a time period within which input validation errors are to be reviewed and resolved; and
+
+
+ SI-10(2)[2]
+
ensures that input validation errors are reviewed and resolved within the organization-defined time period.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
access control policy and procedures
+
separation of duties policy and procedures
+
procedures addressing information input validation
+
information system design documentation
+
information system configuration settings and associated documentation
+
review records of information input validation errors and resulting resolutions
+
information input validation error logs or records
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for information input validation
+
organizational personnel with information security responsibilities
+
system/network administrators
+
+
+ TEST
+
Organizational processes for review and resolution of input validation errors
+
automated mechanisms supporting and/or implementing review and resolution of input validation errors
+
+
+
+ PREDICTABLE BEHAVIOR
+ SI-10 (3)
+
+
The information system behaves in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.
+
+
+
A common vulnerability in organizational information systems is unpredictable behavior when invalid inputs are received. This control enhancement ensures that there is predictable behavior in the face of invalid inputs by specifying information system responses that facilitate transitioning the system to known states without adverse, unintended side effects.
+
+
+
Determine if the information system behaves in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information input validation
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for information input validation
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developer
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing predictable behavior when invalid inputs are received
The organization accounts for timing interactions among information system components in determining appropriate responses for invalid inputs.
+
+
+
In addressing invalid information system inputs received across protocol interfaces, timing interactions become relevant, where one protocol needs to consider the impact of the error response on other protocols within the protocol stack. For example, 802.11 standard wireless network protocols do not interact well with Transmission Control Protocols (TCP) when packets are dropped (which could be due to invalid packet input). TCP assumes packet losses are due to congestion, while packets lost over 802.11 links are typically dropped due to collisions or noise on the link. If TCP makes a congestion response, it takes precisely the wrong action in response to a collision event. Adversaries may be able to use apparently acceptable individual behaviors of the protocols in concert to achieve adverse effects through suitable construction of invalid input.
+
+
+
Determine if the organization accounts for timing interactions among information system components in determining appropriate responses for invalid inputs.
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information input validation
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for information input validation
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developer
+
+
+ TEST
+
Organizational processes for determining appropriate responses to invalid inputs
+
automated mechanisms supporting and/or implementing responses to invalid inputs
The organization restricts the use of information inputs to and/or .
+
+
+
This control enhancement applies the concept of whitelisting to information inputs. Specifying known trusted sources for information inputs and acceptable formats for such inputs can reduce the probability of malicious activity.
+
+
+
Determine if the organization:
+
+ SI-10(5)[1]
+
defines trusted sources to which the use of information inputs is to be restricted;
+
+
+ SI-10(5)[2]
+
defines formats to which the use of information inputs is to be restricted;
+
+
+ SI-10(5)[3]
+
restricts the use of information inputs to:
+
+ SI-10(5)[3][a]
+
organization-defined trust sources; and/or
+
+
+ SI-10(5)[3][b]
+
organization-defined formats.
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information input validation
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of trusted sources for information inputs
+
list of acceptable formats for input restrictions
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for information input validation
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developer
+
+
+ TEST
+
Organizational processes for restricting information inputs
+
automated mechanisms supporting and/or implementing restriction of information inputs
+
+
+
+
Determine if:
+
+ SI-10[1]
+
the organization defines information inputs requiring validity checks; and
+
+
+ SI-10[2]
+
the information system checks the validity of organization-defined information inputs.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
access control policy and procedures
+
separation of duties policy and procedures
+
procedures addressing information input validation
+
documentation for automated tools and applications to verify validity of information
+
list of information inputs requiring validity checks
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for information input validation
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developer
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing validity checks on information inputs
+
+
+
+ ERROR HANDLING
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+ SI-11
+ P2
+ MODERATE
+ HIGH
+
+
The information system:
+
+ SI-11a.
+
Generates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries; and
+
+
+ SI-11b.
+
Reveals error messages only to .
+
+
+
+
Organizations carefully consider the structure/content of error messages. The extent to which information systems are able to identify and handle error conditions is guided by organizational policy and operational requirements. Information that could be exploited by adversaries includes, for example, erroneous logon attempts with passwords entered by mistake as the username, mission/business information that can be derived from (if not stated explicitly by) information recorded, and personal information such as account numbers, social security numbers, and credit card numbers. In addition, error messages may provide a covert channel for transmitting information.
+
+
+
+
+
+
Determine if:
+
+ SI-11(a)
+
the information system generates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries;
+
+
+ SI-11(b)
+
+ SI-11(b)[1]
+
the organization defines personnel or roles to whom error messages are to be revealed; and
+
+
+ SI-11(b)[2]
+
the information system reveals error messages only to organization-defined personnel or roles.
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information system error handling
+
information system design documentation
+
information system configuration settings and associated documentation
+
documentation providing structure/content of error messages
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for information input validation
+
organizational personnel with information security responsibilities
automated mechanisms supporting and/or implementing management of error messages
+
+
+
+ INFORMATION HANDLING AND RETENTION
+ SI-12
+ P2
+ LOW
+ MODERATE
+ HIGH
+
+
The organization handles and retains information within the information system and information output from the system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements.
+
+
+
Information handling and retention requirements cover the full life cycle of information, in some cases extending beyond the disposal of information systems. The National Archives and Records Administration provides guidance on records retention.
+
+
+
+
+
+
+
+
Determine if the organization, in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements:
+
+ SI-12[1]
+
handles information within the information system;
+
+
+ SI-12[2]
+
handles output from the information system;
+
+
+ SI-12[3]
+
retains information within the information system; and
+
+
+ SI-12[4]
+
retains output from the information system.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to information handling and retention
+
media protection policy and procedures
+
procedures addressing information system output handling and retention
+
information retention records, other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for information handling and retention
+
organizational personnel with information security responsibilities/network administrators
+
+
+ TEST
+
Organizational processes for information handling and retention
+
automated mechanisms supporting and/or implementing information handling and retention
+
+
+
+ PREDICTABLE FAILURE PREVENTION
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined MTTF substitution criteria
+ organization-defined MTTF substitution criteria
+
+ SI-13
+ P0
+
+
The organization:
+
+ SI-13a.
+
Determines mean time to failure (MTTF) for in specific environments of operation; and
+
+
+ SI-13b.
+
Provides substitute information system components and a means to exchange active and standby components at .
+
+
+
+
While MTTF is primarily a reliability issue, this control addresses potential failures of specific information system components that provide security capability. Failure rates reflect installation-specific consideration, not industry-average. Organizations define criteria for substitution of information system components based on MTTF value with consideration for resulting potential harm from component failures. Transfer of responsibilities between active and standby components does not compromise safety, operational readiness, or security capability (e.g., preservation of state variables). Standby components remain available at all times except for maintenance issues or recovery failures in progress.
The organization takes information system components out of service by transferring component responsibilities to substitute components no later than of mean time to failure.
+
+
+
Determine if the organization:
+
+ SI-13(1)[1]
+
defines maximum fraction or percentage of mean time to failure within which to transfer the responsibilities of an information system component that is out of service to a substitute component; and
+
+
+ SI-13(1)[2]
+
takes the information system component out of service by transferring component responsibilities to substitute components no later than organization-defined fraction or percentage of mean time to failure.
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for MTTF activities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
organizational personnel with contingency planning responsibilities
+
+
+ TEST
+
Organizational processes for managing MTTF
+
automated mechanisms supporting and/or implementing transfer of component responsibilities to substitute components
+
+
+
+ TIME LIMIT ON PROCESS EXECUTION WITHOUT SUPERVISION
+ SI-13 (2)
+
+
+
+ Incorporated into SI-7 (16).
+
+
+
+ MANUAL TRANSFER BETWEEN COMPONENTS
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined time period
+ organization-defined time period
+
+ SI-13 (3)
+
+
The organization manually initiates transfers between active and standby information system components if the mean time to failure exceeds .
+
+
+
Determine if the organization:
+
+ SI-13(3)[1]
+
defines the minimum frequency with which the organization manually initiates a transfer between active and standby information system components if the mean time to failure exceeds the organization-defined time period;
+
+
+ SI-13(3)[2]
+
defines the time period that the mean time to failure must exceed before the organization manually initiates a transfer between active and standby information system components; and
+
+
+ SI-13(3)[3]
+
manually initiates transfers between active and standby information system components at the organization-defined frequency if the mean time to failure exceeds the organization-defined time period.
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for MTTF activities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
organizational personnel with contingency planning responsibilities
+
+
+ TEST
+
Organizational processes for managing MTTF and conducting the manual transfer between active and standby components
+
+
+
+ STANDBY COMPONENT INSTALLATION / NOTIFICATION
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined alarm
+ organization-defined alarm
+
+ SI-13 (4)
+
+
The organization, if information system component failures are detected:
+
+ SI-13 (4)(a)
+
Ensures that the standby components are successfully and transparently installed within ; and
+
+
+ SI-13 (4)(b)
+
[Selection (one or more): activates ; automatically shuts down the information system].
+
+
+
+
Automatic or manual transfer of components from standby to active mode can occur, for example, upon detection of component failures.
+
+
+
Determine if the organization:
+
+ SI-13(4)(a)
+
+ SI-13(4)(a)[1]
+
defines a time period for standby information system components to be successfully and transparently installed when information system component failures are detected;
+
+
+ SI-13(4)(a)[2]
+
ensures that the standby components are successfully and transparently installed within the organization-defined time period;
+
+
+
+ SI-13(4)(b)
+
+ SI-13(4)(b)[1]
+
defines an alarm to be activated when information system component failures are detected;
+
+
+ SI-13(4)(b)[2]
+
if information system component failures are detected, does one or more of the following:
The organization provides [Selection: real-time; near real-time] for the information system.
+
+
+
Failover refers to the automatic switchover to an alternate information system upon the failure of the primary information system. Failover capability includes, for example, incorporating mirrored information system operations at alternate processing sites or periodic data mirroring at regular intervals defined by recovery time periods of organizations.
+
+
+
Determine if the organization:
+
+ SI-13(5)[1]
+
defines failover capability to be provided for the information system;
+
+
+ SI-13(5)[2]
+
provides one of the following organization-defined failover capabilities for the information system:
information system configuration settings and associated documentation
+
list of MTTF substitution criteria
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for MTTF determinations and activities
+
organizational personnel with information security responsibilities
+
system/network administrators
+
organizational personnel with contingency planning responsibilities
+
+
+ TEST
+
Organizational processes for managing MTTF
+
+
+
+ NON-PERSISTENCE
+
+ organization-defined information system components and services
+ organization-defined information system components and services
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+ SI-14
+ P0
+
+
The organization implements non-persistent that are initiated in a known state and terminated [Selection (one or more): upon end of session of use; periodically at ].
+
+
+
This control mitigates risk from advanced persistent threats (APTs) by significantly reducing the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete cyber attacks. By implementing the concept of non-persistence for selected information system components, organizations can provide a known state computing resource for a specific period of time that does not give adversaries sufficient time on target to exploit vulnerabilities in organizational information systems and the environments in which those systems operate. Since the advanced persistent threat is a high-end threat with regard to capability, intent, and targeting, organizations assume that over an extended period of time, a percentage of cyber attacks will be successful. Non-persistent information system components and services are activated as required using protected information and terminated periodically or upon the end of sessions. Non-persistence increases the work factor of adversaries in attempting to compromise or breach organizational information systems.
+Non-persistent system components can be implemented, for example, by periodically re-imaging components or by using a variety of common virtualization techniques. Non-persistent services can be implemented using virtualization techniques as part of virtual machines or as new instances of processes on physical machines (either persistent or non-persistent).The benefit of periodic refreshes of information system components/services is that it does not require organizations to first determine whether compromises of components or services have occurred (something that may often be difficult for organizations to determine). The refresh of selected information system components and services occurs with sufficient frequency to prevent the spread or intended impact of attacks, but not with such frequency that it makes the information system unstable. In some instances, refreshes of critical components and services may be done periodically in order to hinder the ability of adversaries to exploit optimum windows of vulnerabilities.
The organization ensures that software and data employed during information system component and service refreshes are obtained from .
+
+
+
Trusted sources include, for example, software/data from write-once, read-only media or from selected off-line secure storage facilities.
+
+
+
Determine if the organization:
+
+ SI-14(1)[1]
+
defines trusted sources from which software and data employed during information system component and service refreshes are to be obtained; and
+
+
+ SI-14(1)[2]
+
ensures that software and data employed during information system component and service refreshes are obtained from organization-defined trusted sources.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing non-persistence for information system components
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for obtaining component and service refreshes from trusted sources
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for defining and obtaining component and service refreshes from trusted sources
+
automated mechanisms supporting and/or implementing component and service refreshes
+
+
+
+
Determine if the organization:
+
+ SI-14[1]
+
defines non-persistent information system components and services to be implemented;
+
+
+ SI-14[2]
+
+ SI-14[2][a]
+
defines a frequency to terminate non-persistent organization-defined components and services that are initiated in a known state;
+
+
+ SI-14[2][b]
+
implements non-persistent organization-defined information system components and services that are initiated in a known state and terminated one or more of the following:
+
+ SI-14[2][b][1]
+
upon end of session of use; and/or
+
+
+ SI-14[2][b][2]
+
periodically at the organization-defined frequency.
+
+
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing non-persistence for information system components
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for non-persistence
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developer
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing initiation and termination of non-persistent components
The information system validates information output from to ensure that the information is consistent with the expected content.
+
+
+
Certain types of cyber attacks (e.g., SQL injections) produce output results that are unexpected or inconsistent with the output results that would normally be expected from software programs or applications. This control enhancement focuses on detecting extraneous content, preventing such extraneous content from being displayed, and alerting monitoring tools that anomalous behavior has been discovered.
+
+
+
+
+
Determine if:
+
+ SI-15[1]
+
the organization defines software programs and/or applications whose information output requires validation to ensure that the information is consistent with the expected content; and
+
+
+ SI-15[2]
+
the information system validates information output from organization-defined software programs and/or applications to ensure that the information is consistent with the expected content.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing information output filtering
+
information system design documentation
+
information system configuration settings and associated documentation
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for validating information output
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developer
+
+
+ TEST
+
Organizational processes for validating information output
+
automated mechanisms supporting and/or implementing information output validation
The information system implements to protect its memory from unauthorized code execution.
+
+
+
Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Security safeguards employed to protect memory include, for example, data execution prevention and address space layout randomization. Data execution prevention safeguards can either be hardware-enforced or software-enforced with hardware providing the greater strength of mechanism.
+
+
+
+
+
Determine if:
+
+ SI-16[1]
+
the organization defines security safeguards to be implemented to protect information system memory from unauthorized code execution; and
+
+
+ SI-16[2]
+
the information system implements organization-defined security safeguards to protect its memory from unauthorized code execution.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing memory protection for the information system
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of security safeguards protecting information system memory from unauthorized code execution
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for memory protection
+
organizational personnel with information security responsibilities
+
system/network administrators
+
system developer
+
+
+ TEST
+
Automated mechanisms supporting and/or implementing safeguards to protect information system memory from unauthorized code execution
Failure conditions include, for example, loss of communications among critical system components or between system components and operational facilities. Fail-safe procedures include, for example, alerting operator personnel and providing specific instructions on subsequent steps to take (e.g., do nothing, reestablish system settings, shut down processes, restart the system, or contact designated organizational personnel).
+
+
+
+
+
+
+
Determine if:
+
+ SI-17[1]
+
the organization defines fail-safe procedures to be implemented when organization-defined failure conditions occur;
+
+
+ SI-17[2]
+
the organization defines failure conditions resulting in organization-defined fail-safe procedures being implemented when such conditions occur; and
+
+
+ SI-17[3]
+
the information system implements organization-defined fail-safe procedures when organization-defined failure conditions occur.
+
+
+
+ EXAMINE
+
System and information integrity policy
+
procedures addressing memory protection for the information system
+
information system design documentation
+
information system configuration settings and associated documentation
+
list of security safeguards protecting information system memory from unauthorized code execution
+
information system audit records
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for fail-safe procedures
+
organizational personnel with information security responsibilities
+
+
+
+
+ PROGRAM MANAGEMENT
+
+ INFORMATION SECURITY PROGRAM PLAN
+
+ organization-defined frequency
+ organization-defined frequency
+
+ PM-1
+
+
The organization:
+
+ PM-1a.
+
Develops and disseminates an organization-wide information security program plan that:
+
+ PM-1a.1.
+
Provides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements;
+
+
+ PM-1a.2.
+
Includes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;
+
+
+ PM-1a.3.
+
Reflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical); and
+
+
+ PM-1a.4.
+
Is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;
+
+
+
+ PM-1b.
+
Reviews the organization-wide information security program plan ;
+
+
+ PM-1c.
+
Updates the plan to address organizational changes and problems identified during plan implementation or security control assessments; and
+
+
+ PM-1d.
+
Protects the information security program plan from unauthorized disclosure and modification.
+
+
+
+
Information security program plans can be represented in single documents or compilations of documents at the discretion of organizations. The plans document the program management controls and organization-defined common controls. Information security program plans provide sufficient information about the program management controls/common controls (including specification of parameters for any assignment and selection statements either explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plans and a determination of the risk to be incurred if the plans are implemented as intended.
+The security plans for individual information systems and the organization-wide information security program plan together, provide complete coverage for all security controls employed within the organization. Common controls are documented in an appendix to the organization�s information security program plan unless the controls are included in a separate security plan for an information system (e.g., security controls employed as part of an intrusion detection system providing organization-wide boundary protection inherited by one or more organizational information systems). The organization-wide information security program plan will indicate which separate security plans contain descriptions of common controls.
+Organizations have the flexibility to describe common controls in a single document or in multiple documents. In the case of multiple documents, the documents describing common controls are included as attachments to the information security program plan. If the information security program plan contains multiple documents, the organization specifies in each document the organizational official or officials responsible for the development, implementation, assessment, authorization, and monitoring of the respective common controls. For example, the organization may require that the Facilities Management Office develop, implement, assess, authorize, and continuously monitor common physical and environmental protection controls from the PE family when such controls are not associated with a particular information system but instead, support multiple information systems.
+
+
+
+
Determine if the organization:
+
+ PM-1(a)
+
develops and disseminates an organization-wide information security program plan that:
+
+ PM-1(a)(1)
+
+ PM-1(a)(1)[1]
+
provides an overview of the requirements for the security program;
+
+
+ PM-1(a)(1)[2]
+
provides a description of the:
+
+ PM-1(a)(1)[2][a]
+
security program management controls in place or planned for meeting those requirements;
+
+
+ PM-1(a)(1)[2][b]
+
common controls in place or planned for meeting those requirements;
+
+
+
+
+ PM-1(a)(2)
+
includes the identification and assignment of:
+
+ PM-1(a)(2)[1]
+
roles;
+
+
+ PM-1(a)(2)[2]
+
responsibilities;
+
+
+ PM-1(a)(2)[3]
+
management commitment;
+
+
+ PM-1(a)(2)[4]
+
coordination among organizational entities;
+
+
+ PM-1(a)(2)[5]
+
compliance;
+
+
+
+ PM-1(a)(3)
+
reflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical);
+
+
+ PM-1(a)(4)
+
is approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations, organizational assets, individuals, other organizations, and the Nation;
+
+
+
+ PM-1(b)
+
+ PM-1(b)[1]
+
defines the frequency to review the security program plan for the information system;
+
+
+ PM-1(b)[2]
+
reviews the organization-wide information security program plan with the organization-defined frequency;
+
+
+
+ PM-1(c)
+
updates the plan to address organizational:
+
+ PM-1(c)[1]
+
changes identified during plan implementation;
+
+
+ PM-1(c)[2]
+
changes identified during security control assessments;
+
+
+ PM-1(c)[3]
+
problems identified during plan implementation;
+
+
+ PM-1(c)[4]
+
problems identified during security control assessments;
+
+
+
+ PM-1(d)
+
protects the information security program plan from unauthorized:
+
+ PM-1(d)[1]
+
disclosure; and
+
+
+ PM-1(d)[2]
+
modification.
+
+
+
+
+ EXAMINE
+
Information security program plan
+
procedures addressing program plan development and implementation
+
procedures addressing program plan reviews and updates
+
procedures addressing coordination of the program plan with relevant entities
+
procedures for program plan approvals
+
records of program plan reviews and updates
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security program planning and plan implementation responsibilities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for information security program plan development/review/update/approval
+
automated mechanisms supporting and/or implementing the information security program plan
The organization appoints a senior information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program.
+
+
+
The security officer described in this control is an organizational official. For a federal agency (as defined in applicable federal laws, Executive Orders, directives, policies, or regulations) this official is the Senior Agency Information Security Officer. Organizations may also refer to this official as the Senior Information Security Officer or Chief Information Security Officer.
+
+
+
Determine if the organization appoints a senior information security officer with the mission and resources to:
+
+ PM-2[1]
+
coordinate an organization-wide information security program;
+
+
+ PM-2[2]
+
develop an organization-wide information security program;
+
+
+ PM-2[3]
+
implement an organization-wide information security program; and
+
+
+ PM-2[4]
+
maintain an organization-wide information security program.
+
+
+
+ EXAMINE
+
Information security program plan
+
procedures addressing program plan development and implementation
+
procedures addressing program plan reviews and updates
+
procedures addressing coordination of the program plan with relevant entities
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security program planning and plan implementation responsibilities
+
senior information security officer
+
organizational personnel with information security responsibilities
+
+
+
+ INFORMATION SECURITY RESOURCES
+ PM-3
+
+
The organization:
+
+ PM-3a.
+
Ensures that all capital planning and investment requests include the resources needed to implement the information security program and documents all exceptions to this requirement;
+
+
+ PM-3b.
+
Employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and
+
+
+ PM-3c.
+
Ensures that information security resources are available for expenditure as planned.
+
+
+
+
Organizations consider establishing champions for information security efforts and as part of including the necessary resources, assign specialized expertise and resources as needed. Organizations may designate and empower an Investment Review Board (or similar group) to manage and provide oversight for the information security-related aspects of the capital planning and investment control process.
+
+
+
+
+
Determine if the organization:
+
+ PM-3(a)
+
+ PM-3(a)[1]
+
ensures that all capital planning and investment requests include the resources needed to implement the information security program plan;
+
+
+ PM-3(a)[2]
+
documents all exceptions to the requirement;
+
+
+
+ PM-3(b)
+
employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and
+
+
+ PM-3(c)
+
ensures that information security resources are available for expenditure as planned.
+
+
+
+ EXAMINE
+
Information security program plan
+
Exhibits 300
+
Exhibits 53
+
business cases for capital planning and investment
+
procedures for capital planning and investment
+
documentation of exceptions to capital planning requirements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security program planning responsibilities
+
organizational personnel responsible for capital planning and investment
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for capital planning and investment
+
organizational processes for business case/Exhibit 300/Exhibit 53 development
+
automated mechanisms supporting the capital planning and investment process
+
+
+
+ NIST Special Publication 800-65
+
+
+
+
+ PLAN OF ACTION AND MILESTONES PROCESS
+ PM-4
+
+
The organization:
+
+ PM-4a.
+
Implements a process for ensuring that plans of action and milestones for the security program and associated organizational information systems:
+
+ PM-4a.1.
+
Are developed and maintained;
+
+
+ PM-4a.2.
+
Document the remedial information security actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and
+
+
+ PM-4a.3.
+
Are reported in accordance with OMB FISMA reporting requirements.
+
+
+
+ PM-4b.
+
Reviews plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.
+
+
+
+
The plan of action and milestones is a key document in the information security program and is subject to federal reporting requirements established by OMB. With the increasing emphasis on organization-wide risk management across all three tiers in the risk management hierarchy (i.e., organization, mission/business process, and information system), organizations view plans of action and milestones from an organizational perspective, prioritizing risk response actions and ensuring consistency with the goals and objectives of the organization. Plan of action and milestones updates are based on findings from security control assessments and continuous monitoring activities. OMB FISMA reporting guidance contains instructions regarding organizational plans of action and milestones.
+
+
+
+
Determine if the organization:
+
+ PM-4(a)
+
implements a process for ensuring that plans of action and milestones for the security program and associated organizational information systems:
+
+ PM-4(a)(1)
+
+ PM-4(a)(1)[1]
+
are developed;
+
+
+ PM-4(a)(1)[2]
+
are maintained;
+
+
+
+ PM-4(a)(2)
+
document the remedial information security actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation;
+
+
+ PM-4(a)(3)
+
are reported in accordance with OMB FISMA reporting requirements;
+
+
+
+ PM-4(b)
+
reviews plans of action and milestones for consistency with:
+
+ PM-4(b)[1]
+
the organizational risk management strategy; and
+
+
+ PM-4(b)[2]
+
organization-wide priorities for risk response actions.
+
+
+
+
+ EXAMINE
+
Information security program plan
+
plans of action and milestones
+
procedures addressing plans of action and milestones development and maintenance
+
procedures addressing plans of action and milestones reporting
+
procedures for review of plans of action and milestones for consistency with risk management strategy and risk response priorities
+
results of risk assessments associated with plans of action and milestones
+
OMB FISMA reporting requirements
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for developing, maintaining, reviewing, and reporting plans of action and milestones
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for plan of action and milestones development, review, maintenance, reporting
+
automated mechanisms supporting plans of action and milestones
+
+
+
+ OMB Memorandum 02-01
+
+
+ NIST Special Publication 800-37
+
+
+
+
+ INFORMATION SYSTEM INVENTORY
+ PM-5
+
+
The organization develops and maintains an inventory of its information systems.
+
+
+
This control addresses the inventory requirements in FISMA. OMB provides guidance on developing information systems inventories and associated reporting requirements. For specific information system inventory reporting requirements, organizations consult OMB annual FISMA reporting guidance.
+
+
+
Determine if the organization:
+
+ PM-5[1]
+
develops an inventory of its information systems; and
+
+
+ PM-5[2]
+
maintains the inventory of its information systems.
+
+
+
+ EXAMINE
+
Information security program plan
+
information system inventory
+
procedures addressing information system inventory development and maintenance
+
OMB FISMA reporting guidance
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security program planning and plan implementation responsibilities
+
organizational personnel responsible for developing and maintaining the information system inventory
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for information system inventory development and maintenance
+
automated mechanisms supporting the information system inventory
+
+
+
+ http://www.omb.gov
+
+
+
+
+ INFORMATION SECURITY MEASURES OF PERFORMANCE
+ PM-6
+
+
The organization develops, monitors, and reports on the results of information security measures of performance.
+
+
+
Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security program and the security controls employed in support of the program.
+
+
+
Determine if the organization:
+
+ PM-6[1]
+
develops information security measures of performance;
+
+
+ PM-6[2]
+
monitors information security measures of performance; and
+
+
+ PM-6[3]
+
reports information security measures of performance.
+
+
+
+ EXAMINE
+
Information security program plan
+
information security measures of performance
+
procedures addressing development, monitoring, and reporting of information security measures of performance
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security program planning and plan implementation responsibilities
+
organizational personnel responsible for developing, monitoring, and reporting information security measures of performance
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for developing, monitoring, and reporting information security measures of performance
+
automated mechanisms supporting the development, monitoring, and reporting of information security measures of performance
The organization develops an enterprise architecture with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation.
+
+
+
The enterprise architecture developed by the organization is aligned with the Federal Enterprise Architecture. The integration of information security requirements and associated security controls into the organization�s enterprise architecture helps to ensure that security considerations are addressed by organizations early in the system development life cycle and are directly and explicitly related to the organization�s mission/business processes. This process of security requirements integration also embeds into the enterprise architecture, an integral information security architecture consistent with organizational risk management and information security strategies. For PM-7, the information security architecture is developed at a system-of-systems level (organization-wide), representing all of the organizational information systems. For PL-8, the information security architecture is developed at a level representing an individual information system but at the same time, is consistent with the information security architecture defined for the organization. Security requirements and security control integration are most effectively accomplished through the application of the Risk Management Framework and supporting security standards and guidelines. The Federal Segment Architecture Methodology provides guidance on integrating information security requirements and security controls into enterprise architectures.
+
+
+
+
+
+
+
+
Determine if the organization develops an enterprise architecture with consideration for:
+
+ PM-7[1]
+
information security; and
+
+
+ PM-7[2]
+
the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation.
+
+
+
+ EXAMINE
+
Information security program plan
+
enterprise architecture documentation
+
procedures addressing enterprise architecture development
+
results of risk assessment of enterprise architecture
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security program planning and plan implementation responsibilities
+
organizational personnel responsible for developing enterprise architecture
+
organizational personnel responsible for risk assessment of enterprise architecture
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for enterprise architecture development
+
automated mechanisms supporting the enterprise architecture and its development
+
+
+
+ NIST Special Publication 800-39
+
+
+
+
+ CRITICAL INFRASTRUCTURE PLAN
+ PM-8
+
+
The organization addresses information security issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan.
+
+
+
Protection strategies are based on the prioritization of critical assets and resources. The requirement and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+
+
+
+
+
+
+
Determine if the organization addresses information security issues in the:
+
+ PM-8[1]
+
development of a critical infrastructure and key resources protection plan;
+
+
+ PM-8[2]
+
documentation of a critical infrastructure and key resources protection plan; and
+
+
+ PM-8[3]
+
updating of the critical infrastructure and key resources protection plan.
+
+
+
+ EXAMINE
+
Information security program plan
+
critical infrastructure and key resources protection plan
+
procedures addressing development, documentation, and updating of the critical infrastructure and key resources protection plan
+
HSPD 7
+
National Infrastructure Protection Plan
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security program planning and plan implementation responsibilities
+
organizational personnel responsible for developing, documenting, and updating the critical infrastructure and key resources protection plan
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for developing, documenting, and updating the critical infrastructure and key resources protection plan
+
automated mechanisms supporting the development, documentation, and updating of the critical infrastructure and key resources protection plan
+
+
+
+ HSPD 7
+
+
+ National Infrastructure Protection Plan
+
+
+
+
+ RISK MANAGEMENT STRATEGY
+
+ organization-defined frequency
+ organization-defined frequency
+
+ PM-9
+
+
The organization:
+
+ PM-9a.
+
Develops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information systems;
+
+
+ PM-9b.
+
Implements the risk management strategy consistently across the organization; and
+
+
+ PM-9c.
+
Reviews and updates the risk management strategy or as required, to address organizational changes.
+
+
+
+
An organization-wide risk management strategy includes, for example, an unambiguous expression of the risk tolerance for the organization, acceptable risk assessment methodologies, risk mitigation strategies, a process for consistently evaluating risk across the organization with respect to the organization�s risk tolerance, and approaches for monitoring risk over time. The use of a risk executive function can facilitate consistent, organization-wide application of the risk management strategy. The organization-wide risk management strategy can be informed by risk-related inputs from other sources both internal and external to the organization to ensure the strategy is both broad-based and comprehensive.
+
+
+
+
Determine if the organization:
+
+ PM-9(a)
+
develops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information systems;
+
+
+ PM-9(b)
+
implements the risk management strategy consistently across the organization;
+
+
+ PM-9(c)
+
+ PM-9(c)[1]
+
defines the frequency to review and update the risk management strategy;
+
+
+ PM-9(c)[2]
+
reviews and updates the risk management strategy to address organizational changes:
+
+ PM-9(c)[2][a]
+
with the organization-defined frequency; or
+
+
+ PM-9(c)[2][b]
+
as required.
+
+
+
+
+
+ EXAMINE
+
Information security program plan
+
risk management strategy
+
procedures addressing development, implementation, review, and update of the risk management strategy
+
risk assessment results relevant to the risk management strategy
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security program planning and plan implementation responsibilities
+
organizational personnel responsible for development, implementation, review, and update of the risk management strategy
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for development, implementation, review, and update of the risk management strategy
+
automated mechanisms supporting the development, implementation, review, and update of the risk management strategy
+
+
+
+ NIST Special Publication 800-30
+
+
+ NIST Special Publication 800-39
+
+
+
+
+ SECURITY AUTHORIZATION PROCESS
+ PM-10
+
+
The organization:
+
+ PM-10a.
+
Manages (i.e., documents, tracks, and reports) the security state of organizational information systems and the environments in which those systems operate through security authorization processes;
+
+
+ PM-10b.
+
Designates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and
+
+
+ PM-10c.
+
Fully integrates the security authorization processes into an organization-wide risk management program.
+
+
+
+
Security authorization processes for information systems and environments of operation require the implementation of an organization-wide risk management process, a Risk Management Framework, and associated security standards and guidelines. Specific roles within the risk management process include an organizational risk executive (function) and designated authorizing officials for each organizational information system and common control provider. Security authorization processes are integrated with organizational continuous monitoring processes to facilitate ongoing understanding and acceptance of risk to organizational operations and assets, individuals, other organizations, and the Nation.
+
+
+
+
Determine if the organization:
+
+ PM-10(a)
+
manages (i.e., documents, tracks, and reports) the security state of organizational information systems and the environments in which those systems operate through security authorization processes;
+
+
+ PM-10(b)
+
designates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and
+
+
+ PM-10(c)
+
fully integrates the security authorization processes into an organization-wide risk management program.
+
+
+
+ EXAMINE
+
Information security program plan
+
procedures addressing management (i.e., documentation, tracking, and reporting) of the security authorization process
+
security authorization documents
+
lists or other documentation about security authorization process roles and responsibilities
+
risk assessment results relevant to the security authorization process and the organization-wide risk management program
+
organizational risk management strategy
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security program planning and plan implementation responsibilities
+
organizational personnel responsible for management of the security authorization process
+
authorizing officials
+
system owners, senior information security officer
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for security authorization
+
automated mechanisms supporting the security authorization process
+
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-39
+
+
+
+
+ MISSION/BUSINESS PROCESS DEFINITION
+ PM-11
+
+
The organization:
+
+ PM-11a.
+
Defines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and
+
+
+ PM-11b.
+
Determines information protection needs arising from the defined mission/business processes and revises the processes as necessary, until achievable protection needs are obtained.
+
+
+
+
Information protection needs are technology-independent, required capabilities to counter threats to organizations, individuals, or the Nation through the compromise of information (i.e., loss of confidentiality, integrity, or availability). Information protection needs are derived from the mission/business needs defined by the organization, the mission/business processes selected to meet the stated needs, and the organizational risk management strategy. Information protection needs determine the required security controls for the organization and the associated information systems supporting the mission/business processes. Inherent in defining an organization�s information protection needs is an understanding of the level of adverse impact that could result if a compromise of information occurs. The security categorization process is used to make such potential impact determinations. Mission/business process definitions and associated information protection requirements are documented by the organization in accordance with organizational policy and procedure.
+
+
+
+
+
+
Determine if the organization:
+
+ PM-11(a)
+
defines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation;
+
+
+ PM-11(b)
+
+ PM-11(b)[1]
+
determines information protection needs arising from the defined mission/business process; and
+
+
+ PM-11(b)[2]
+
revises the processes as necessary until achievable protection needs are obtained.
+
+
+
+
+ EXAMINE
+
Information security program plan
+
risk management strategy
+
procedures for determining mission/business protection needs
+
risk assessment results relevant to determination of mission/business protection needs
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security program planning and plan implementation responsibilities
+
organizational personnel responsible for mission/business processes
+
organizational personnel responsible for determining information protection needs for mission/business processes
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for defining mission/business processes and their information protection needs
+
+
+
+ FIPS Publication 199
+
+
+ NIST Special Publication 800-60
+
+
+
+
+ INSIDER THREAT PROGRAM
+ PM-12
+
+
The organization implements an insider threat program that includes a cross-discipline insider threat incident handling team.
+
+
+
Organizations handling classified information are required, under Executive Order 13587 and the National Policy on Insider Threat, to establish insider threat programs. The standards and guidelines that apply to insider threat programs in classified environments can also be employed effectively to improve the security of Controlled Unclassified Information in non-national security systems. Insider threat programs include security controls to detect and prevent malicious insider activity through the centralized integration and analysis of both technical and non-technical information to identify potential insider threat concerns. A senior organizational official is designated by the department/agency head as the responsible individual to implement and provide oversight for the program. In addition to the centralized integration and analysis capability, insider threat programs as a minimum, prepare department/agency insider threat policies and implementation plans, conduct host-based user monitoring of individual employee activities on government-owned classified computers, provide insider threat awareness training to employees, receive access to information from all offices within the department/agency (e.g., human resources, legal, physical security, personnel security, information technology, information system security, and law enforcement) for insider threat analysis, and conduct self-assessments of department/agency insider threat posture.
+Insider threat programs can leverage the existence of incident handling teams organizations may already have in place, such as computer security incident response teams. Human resources records are especially important in this effort, as there is compelling evidence to show that some types of insider crimes are often preceded by nontechnical behaviors in the workplace (e.g., ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues). These precursors can better inform and guide organizational officials in more focused, targeted monitoring efforts. The participation of a legal team is important to ensure that all monitoring activities are performed in accordance with appropriate legislation, directives, regulations, policies, standards, and guidelines.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Determine if the organization implements an insider threat program that includes a cross-discipline insider threat incident handling team.
+
+
+ EXAMINE
+
Information security program plan
+
insider threat program documentation
+
procedures for the insider threat program
+
risk assessment results relevant to insider threats
+
list or other documentation on the cross-discipline insider threat incident handling team
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security program planning and plan implementation responsibilities
+
organizational personnel responsible for the insider threat program
+
members of the cross-discipline insider threat incident handling team
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for implementing the insider threat program and the cross-discipline insider threat incident handling team
+
automated mechanisms supporting and/or implementing the insider threat program and the cross-discipline insider threat incident handling team
+
+
+
+ Executive Order 13587
+
+
+
+
+ INFORMATION SECURITY WORKFORCE
+ PM-13
+
+
The organization establishes an information security workforce development and improvement program.
+
+
+
Information security workforce development and improvement programs include, for example: (i) defining the knowledge and skill levels needed to perform information security duties and tasks; (ii) developing role-based training programs for individuals assigned information security roles and responsibilities; and (iii) providing standards for measuring and building individual qualifications for incumbents and applicants for information security-related positions. Such workforce programs can also include associated information security career paths to encourage: (i) information security professionals to advance in the field and fill positions with greater responsibility; and (ii) organizations to fill information security-related positions with qualified personnel. Information security workforce development and improvement programs are complementary to organizational security awareness and training programs. Information security workforce development and improvement programs focus on developing and institutionalizing core information security capabilities of selected personnel needed to protect organizational operations, assets, and individuals.
+
+
+
+
+
Determine if the organization establishes an information security workforce development and improvement program.
+
+
+ EXAMINE
+
Information security program plan
+
information security workforce development and improvement program documentation
+
procedures for the information security workforce development and improvement program
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security program planning and plan implementation responsibilities
+
organizational personnel responsible for the information security workforce development and improvement program
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for implementing information security workforce development and improvement program
+
automated mechanisms supporting and/or implementing the information security workforce development and improvement program
Implements a process for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational information systems:
+
+ PM-14a.1.
+
Are developed and maintained; and
+
+
+ PM-14a.2.
+
Continue to be executed in a timely manner;
+
+
+
+ PM-14b.
+
Reviews testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.
+
+
+
+
This control ensures that organizations provide oversight for the security testing, training, and monitoring activities conducted organization-wide and that those activities are coordinated. With the importance of continuous monitoring programs, the implementation of information security across the three tiers of the risk management hierarchy, and the widespread use of common controls, organizations coordinate and consolidate the testing and monitoring activities that are routinely conducted as part of ongoing organizational assessments supporting a variety of security controls. Security training activities, while typically focused on individual information systems and specific roles, also necessitate coordination across all organizational elements. Testing, training, and monitoring plans and activities are informed by current threat and vulnerability assessments.
+
+
+
+
+
+
+
+
Determine if the organization:
+
+ PM-14(a)
+
implements a process for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational information systems:
+
+ PM-14(a)(1)
+
+ PM-14(a)(1)[1]
+
are developed;
+
+
+ PM-14(a)(1)[2]
+
are maintained;
+
+
+
+ PM-14(a)(2)
+
continue to be executed in a timely manner;
+
+
+
+ PM-14(b)
+
reviews testing, training, and monitoring plans for consistency with:
+
+ PM-14(b)[1]
+
the organizational risk management strategy; and
+
+
+ PM-14(b)[2]
+
organization-wide priorities for risk response actions.
+
+
+
+
+ EXAMINE
+
Information security program plan
+
plans for conducting security testing, training, and monitoring activities
+
organizational procedures addressing development and maintenance of plans for conducting security testing, training, and monitoring activities
+
risk management strategy
+
procedures for review of plans for conducting security testing, training, and monitoring activities for consistency with risk management strategy and risk response priorities
+
results of risk assessments associated with conducting security testing, training, and monitoring activities
+
evidence that plans for conducting security testing, training, and monitoring activities are executed in a timely manner
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with responsibility for developing and maintaining plans for conducting security testing, training, and monitoring activities
+
organizational personnel with information security responsibilities
+
+
+ TEST
+
Organizational processes for development and maintenance of plans for conducting security testing, training, and monitoring activities
+
automated mechanisms supporting development and maintenance of plans for conducting security testing, training, and monitoring activities
+
+
+
+ NIST Special Publication 800-16
+
+
+ NIST Special Publication 800-37
+
+
+ NIST Special Publication 800-53A
+
+
+ NIST Special Publication 800-137
+
+
+
+
+ CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS
+ PM-15
+
+
The organization establishes and institutionalizes contact with selected groups and associations within the security community:
+
+ PM-15a.
+
To facilitate ongoing security education and training for organizational personnel;
+
+
+ PM-15b.
+
To maintain currency with recommended security practices, techniques, and technologies; and
+
+
+ PM-15c.
+
To share current security-related information including threats, vulnerabilities, and incidents.
+
+
+
+
Ongoing contact with security groups and associations is of paramount importance in an environment of rapidly changing technologies and threats. Security groups and associations include, for example, special interest groups, forums, professional associations, news groups, and/or peer groups of security professionals in similar organizations. Organizations select groups and associations based on organizational missions/business functions. Organizations share threat, vulnerability, and incident information consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+
+
+
+
Determine if the organization establishes and institutionalizes contact with selected groups and associations with the security community to:
+
+ PM-15(a)
+
facilitate ongoing security education and training for organizational personnel;
+
+
+ PM-15(b)
+
maintain currency with recommended security practices, techniques, and technologies; and
+
+
+ PM-15(c)
+
share current security-related information including threats, vulnerabilities, and incidents.
+
+
+
+ EXAMINE
+
Information security program plan
+
risk management strategy
+
procedures for contacts with security groups and associations
+
evidence of established and institutionalized contact with security groups and associations
+
lists or other documentation about contact with and/or membership in security groups and associations
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security program planning and plan implementation responsibilities
+
organizational personnel responsible for establishing and institutionalizing contact with security groups and associations
+
organizational personnel with information security responsibilities
+
personnel from selected groups and associations with which the organization has established and institutionalized contact
+
+
+ TEST
+
Organizational processes for establishing and institutionalizing contact with security groups and associations
+
automated mechanisms supporting contacts with security groups and associations
+
+
+
+ THREAT AWARENESS PROGRAM
+ PM-16
+
+
The organization implements a threat awareness program that includes a cross-organization information-sharing capability.
+
+
+
Because of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it is becoming more likely that adversaries may successfully breach or compromise organizational information systems. One of the best techniques to address this concern is for organizations to share threat information. This can include, for example, sharing threat events (i.e., tactics, techniques, and procedures) that organizations have experienced, mitigations that organizations have found are effective against certain types of threats, threat intelligence (i.e., indications and warnings about threats that are likely to occur). Threat information sharing may be bilateral (e.g., government-commercial cooperatives, government-government cooperatives), or multilateral (e.g., organizations taking part in threat-sharing consortia). Threat information may be highly sensitive requiring special agreements and protection, or less sensitive and freely shared.
+
+
+
+
+
Determine if the organization implements a threat awareness program that includes a cross-organization information-sharing capability.
+
+
+ EXAMINE
+
Information security program plan
+
threat awareness program documentation
+
procedures for the threat awareness program
+
risk assessment results relevant to threat awareness
+
list or other documentation on the cross-organization information-sharing capability
+
other relevant documents or records
+
+
+ INTERVIEW
+
Organizational personnel with information security program planning and plan implementation responsibilities
+
organizational personnel responsible for the threat awareness program
+
organizational personnel with responsibility for the cross-organization information-sharing capability
+
organizational personnel with information security responsibilities
+
personnel with whom threat awareness information is shared by the organization
+
+
+ TEST
+
Organizational processes for implementing the threat awareness program
+
Organizational processes for implementing the cross-organization information-sharing capability
+
automated mechanisms supporting and/or implementing the threat awareness program
+
automated mechanisms supporting and/or implementing the cross-organization information-sharing capability
The organization develops, disseminates, and reviews/updates organization-defined
+ frequency:
+
+
+
+
+
A formal, documented access control policy that addresses purpose, scope, roles,
+ responsibilities, management commitment, coordination among organizational entities, and
+ compliance; and
+
+
+
Formal, documented procedures to facilitate the implementation of the access control
+ policy and associated access controls.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended to produce the policy and procedures that are required for the
+ effective implementation of selected security controls and control enhancements in the
+ access control family. The policy and procedures are consistent with applicable federal
+ laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+ Existing organizational policies and procedures may make the need for additional specific
+ policies and procedures unnecessary. The access control policy can be included as parstmtt
+ of the general information security policy for the organization. Access control procedures
+ can be developed for the security program in general and for a particular information
+ system, when required. The organizational risk management strategy is a key factor in the
+ development of the access control policy. Related control: PM-9.
+
+
+
+
+
+
+
+
+
NIST 800-100
+
+
+
+
+
+
NIST
+ 800-12
+
+
+
+
+
+
+
+
+
+
Account Management
+
+
+
control-class: Technical
+
+
number: AC-2
+
+
priority: P1
+
+
+
Control
+
+
The organization manages information system accounts, including:
Identifying authorized users of the information system and specifying access
+ privileges;
+
+
+
Requiring appropriate approvals for requests to establish accounts;
+
+
Establishing, activating, modifying, disabling, and removing accounts;
+
+
Specifically authorizing and monitoring the use of guest/anonymous and temporary
+ accounts;
+
+
+
Notifying account managers when temporary accounts are no longer required and when
+ information system users are terminated, transferred, or information system usage or
+ need-to-know/need-to-share changes;
+
+
+
Deactivating: (i) temporary accounts that are no longer required; and (ii) accounts of
+ terminated or transferred users;
+
+
+
Granting access to the system based on: (i) a valid access authorization; (ii)
+ intended system usage; and (iii) other attributes as required by the organization or
+ associated missions/business functions; and
+
The identification of authorized users of the information system and the specification of
+ access privileges is consistent with the requirements in other security controls in the
+ security plan. Users requiring administrative privileges on information system accounts
+ receive additional scrutiny by organizational officials responsible for approving such
+ accounts and privileged access. Related controls: AC-3, AC-4, AC-5, AC-6, AC-10, AC-17,
+ AC-19, AC-20, AU-9, IA-4, IA-5, CM-5, CM-6, MA-3, MA-4, MA-5, SA-7, SC-13, SI-9.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automated mechanisms to support the management of
+ information system accounts.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system automatically terminates temporary and emergency accounts
+ after organization-defined time period for each type of
+ account.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system automatically disables inactive accounts after
+ organization-defined time period.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system automatically audits account creation, modification,
+ disabling, and termination actions and notifies, as required, appropriate
+ individuals.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization:
+
+
+
+
Requires that users log out when organization defined time-period
+ of expected inactivity and/or description of when to log out;
+
+
+
Determines normal time-of-day and duration usage for information system accounts;
+
+
Monitors for atypical usage of information system accounts; and
+
+
Reports atypical usage to designated organizational officials.
+
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system dynamically manages user privileges and associated access
+ authorizations.
+
+
+
+
+
+
Supplemental guidance
+
+
In contrast to conventional access control approaches which employ static information
+ system accounts and predefined sets of user privileges, many service-oriented
+ architecture implementations rely on run time access control decisions facilitated by
+ dynamic privilege management. While user identities remain relatively constant over
+ time, user privileges may change more frequently based on the ongoing mission/business
+ requirements and operational needs of the organization.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization:
+
+
+
+
Establishes and administers privileged user accounts in accordance with a
+ role-based access scheme that organizes information system and network privileges
+ into roles; and
+
+
+
Tracks and monitors privileged role assignments.
+
+
+
+
+
+
+
Supplemental guidance
+
+
Privileged roles include, for example, key management, network and system
+ administration, database administration, web administration.
+
+
+
+
+
+
+
+
+
+
+
+
Access Enforcement
+
+
+
control-class: Technical
+
+
number: AC-3
+
+
priority: P1
+
+
+
Control
+
+
The information system enforces approved authorizations for logical access to the system
+ in accordance with applicable policy.
+
+
+
+
+
+
Supplemental guidance
+
+
Access control policies (e.g., identity-based policies, role-based policies,
+ attribute-based policies) and access enforcement mechanisms (e.g., access control lists,
+ access control matrices, cryptography) are employed by organizations to control access
+ between users (or processes acting on behalf of users) and objects (e.g., devices, files,
+ records, processes, programs, domains) in the information system. In addition to enforcing
+ authorized access at the information-system level, access enforcement mechanisms are
+ employed at the application level, when necessary, to provide increased information
+ security for the organization. Consideration is given to the implementation of an audited,
+ explicit override of automated mechanisms in the event of emergencies or other serious
+ events. If encryption of stored information is employed as an access enforcement
+ mechanism, the cryptography used is FIPS 140-2 (as amended) compliant. For classified
+ information, the cryptography used is largely dependent on the classification level of the
+ information and the clearances of the individuals having access to the information.
+ Mechanisms implemented by AC-3 are configured to enforce authorizations determined by
+ other security controls. Related controls: AC-2, AC-4, AC-5, AC-6, AC-16, AC-17, AC-18,
+ AC-19, AC-20, AC-21, AC-22, AU-9, CM-5, CM-6, MA-3, MA-4, MA-5, SA-7, SC-13, SI-9.
+
The information system enforces dual authorization, based on organizational policies
+ and procedures for organization-defined privileged
+ commands.
+
+
+
+
+
+
Supplemental guidance
+
+
Dual authorization mechanisms require two forms of approval to execute. The
+ organization does not employ dual authorization mechanisms when an immediate response
+ is necessary to ensure public and environmental safety.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system enforces organization-defined nondiscretionary access
+ control policies over organization-defined set of users and
+ resources where the policy rule set for each policy specifies:
+
+
+
+
+
Access control information (i.e., attributes) employed by the policy rule set
+ (e.g., position, nationality, age, project, time of day); and
+
+
+
Required relationships among the access control information to permit access.
+
+
+
+
+
+
+
Supplemental guidance
+
+
Nondiscretionary access control policies that may be implemented by organizations
+ include, for example, Attribute-Based Access Control, Mandatory Access Control, and
+ Originator Controlled Access Control. Nondiscretionary access control policies may be
+ employed by organizations in addition to the employment of discretionary access
+ control policies.
+
+
+
For Mandatory Access Control (MAC): Policy establishes coverage over all subjects and
+ objects under its control to ensure that each user receives only that information to
+ which the user is authorized access based on classification of the information, and on
+ user clearance and formal access authorization. The information system assigns
+ appropriate security attributes (e.g., labels/security domains/types) to subjects and
+ objects, and uses these attributes as the basis for MAC decisions. The Bell-LaPadula
+ security model defines allowed access with regard to an organization-defined set of
+ strictly hierarchical security levels as follows: A subject can read an object only if
+ the security level of the subject dominates the security level of the object and a
+ subject can write to an object only if two conditions are met: the security level of
+ the object dominates the security level of the subject, and the security level of the
+ users clearance dominates the security level of the object (no read up, no write
+ down).
+
+
+
For Role-Based Access Control (RBAC): Policy establishes coverage over all users and
+ resources to ensure that access rights are grouped by role name, and access to
+ resources is restricted to users who have been authorized to assume the associated
+ role.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system enforces a Discretionary Access Control (DAC) policy that:
+
+
+
+
Allows users to specify and control sharing by named individuals or groups of
+ individuals, or by both;
+
+
+
Limits propagation of access rights; and
+
+
Includes or excludes access to the granularity of a single user.
+
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system prevents access to organization-defined
+ security-relevant information except during secure, nonoperable system
+ states.
+
+
+
+
+
+
Supplemental guidance
+
+
Security-relevant information is any information within the information system that
+ can potentially impact the operation of security functions in a manner that could
+ result in failure to enforce the system security policy or maintain isolation of code
+ and data. Filtering rules for routers and firewalls, cryptographic key management
+ information, key configuration parameters for security services, and access control
+ lists are examples of security-relevant information. Secure, nonoperable system states
+ are states in which the information system is not performing mission/business-related
+ processing (e.g., the system is off-line for maintenance, troubleshooting, boot-up,
+ shutdown).
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization encrypts or stores off-line in a secure location
+ organization-defined user and/or system information.
+
+
+
+
+
+
Supplemental guidance
+
+
The use of encryption by the organization reduces the probability of unauthorized
+ disclosure of information and can also detect unauthorized changes to information.
+ Removing information from online storage to offline storage eliminates the possibility
+ of individuals gaining unauthorized access via a network. Related control: MP-4.
+
+
+
+
+
+
+
+
+
+
+
+
Information Flow Enforcement
+
+
+
control-class: Technical
+
+
number: AC-4
+
+
priority: P1
+
+
+
Control
+
+
The information system enforces approved authorizations for controlling the flow of
+ information within the system and between interconnected systems in accordance with
+ applicable policy.
+
+
+
+
+
+
Supplemental guidance
+
+
Information flow control regulates where information is allowed to travel within an
+ information system and between information systems (as opposed to who is allowed to access
+ the information) and without explicit regard to subsequent accesses to that information. A
+ few examples of flow control restrictions include: keeping export controlled information
+ from being transmitted in the clear to the Internet, blocking outside traffic that claims
+ to be from within the organization, and not passing any web requests to the Internet that
+ are not from the internal web proxy. Information flow control policies and enforcement
+ mechanisms are commonly employed by organizations to control the flow of information
+ between designated sources and destinations (e.g., networks, individuals, devices) within
+ information systems and between interconnected systems. Flow control is based on the
+ characteristics of the information and/or the information path. Specific examples of flow
+ control enforcement can be found in boundary protection devices (e.g., proxies, gateways,
+ guards, encrypted tunnels, firewalls, and routers) that employ rule sets or establish
+ configuration settings that restrict information system services, provide a
+ packet-filtering capability based on header information, or message-filtering capability
+ based on content (e.g., using key word searches or document characteristics). Mechanisms
+ implemented by AC-4 are configured to enforce authorizations determined by other security
+ controls. Related controls: AC-17, AC-19, AC-21, CM-7, SA-8, SC-2, SC-5, SC-7, SC-18.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system enforces information flow control using explicit security
+ attributes on information, source, and destination objects as a basis for flow control
+ decisions.
+
+
+
+
+
+
Supplemental guidance
+
+
Information flow enforcement mechanisms compare security attributes on all
+ information (data content and data structure), source and destination objects, and
+ respond appropriately (e.g., block, quarantine, alert administrator) when the
+ mechanisms encounter information flows not explicitly allowed by the information flow
+ policy. Information flow enforcement using explicit security attributes can be used,
+ for example, to control the release of certain types of information.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system enforces information flow control using protected processing
+ domains (e.g., domain type-enforcement) as a basis for flow control decisions.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system enforces dynamic information flow control based on policy that
+ allows or disallows information flows based on changing conditions or operational
+ considerations.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system prevents encrypted data from bypassing content-checking
+ mechanisms.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system enforces organization-defined limitations on
+ the embedding of data types within other data types.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system enforces information flow control on metadata.
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system enforces organization-defined one-way
+ flows using hardware mechanisms.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system enforces information flow control using
+ organization-defined security policy filters as a basis for flow
+ control decisions.
+
+
+
+
+
+
Supplemental guidance
+
+
Organization-defined security policy filters include, for example, dirty word
+ filters, file type checking filters, structured data filters, unstructured data
+ filters, metadata content filters, and hidden content filters. Structured data permits
+ the interpretation of its content by virtue of atomic elements that are understandable
+ by an application and indivisible. Unstructured data refers to masses of (usually)
+ digital information that does not have a data structure or has a data structure that
+ is not easily readable by a machine. Unstructured data consists of two basic
+ categories: (i) bitmap objects that are inherently non language-based (i.e., image,
+ video, or audio files); and (ii) textual objects that are based on a written or
+ printed language (i.e., commercial off-the-shelf word processing documents,
+ spreadsheets, or emails).
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system enforces the use of human review for
+ organization-defined security policy filters when the system is not
+ capable of making an information flow control decision.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system provides the capability for a privileged administrator to
+ enable/disable organization-defined security policy
+ filters.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system provides the capability for a privileged administrator to
+ configure organization-defined security policy filters to
+ support different security policies.
+
+
+
+
+
+
Supplemental guidance
+
+
For example, to reflect changes in the security policy, an administrator can change
+ the list of "dirty words" that the security policy mechanism checks in accordance with
+ the definitions provided by the organization.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system, when transferring information between different security
+ domains, identifies information flows by data type specification and usage.
+
+
+
+
+
+
Supplemental guidance
+
+
Data type specification and usage include, for example, using file naming to reflect
+ type of data and limiting data transfer based on file type.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system, when transferring information between different security
+ domains, decomposes information into policy-relevant subcomponents for submission to
+ policy enforcement mechanisms.
+
+
+
+
+
+
Supplemental guidance
+
+
Policy enforcement mechanisms include the filtering and/or sanitization rules that
+ are applied to information prior to transfer to a different security domain. Parsing
+ transfer files facilitates policy decisions on source, destination, certificates,
+ classification, subject, attachments, and other information security-related component
+ differentiators. Policy rules for cross domain transfers include, for example,
+ limitations on embedding components/information types within other
+ components/information types, prohibiting more than two-levels of embedding, and
+ prohibiting the transfer of archived information types.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system, when transferring information between different security
+ domains, implements policy filters that constrain data structure and content to
+ organization-defined information security policy
+ requirements.
+
+
+
+
+
+
Supplemental guidance
+
+
Constraining file lengths, allowed enumerations, character sets, schemas, and other
+ data object attributes reduces the range of potential malicious and/or unsanctioned
+ content. Examples of constraints include ensuring that: (i) character data fields only
+ contain printable ASCII; (ii) character data fields only contain alpha-numeric
+ characters; (iii) character data fields do not contain special characters; or (iv)
+ maximum field sizes and file lengths are enforced based upon organization-defined
+ security policy
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system, when transferring information between different security
+ domains, detects unsanctioned information and prohibits the transfer of such
+ information in accordance with the security policy.
+
+
+
+
+
+
Supplemental guidance
+
+
Actions to support this enhancement include: checking all transferred information for
+ malware, implementing dirty word list searches on transferred information, and
+ applying the same protection measures to metadata (e.g., security attributes) that is
+ applied to the information payload.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system enforces security policies regarding information on
+ interconnected systems.
+
+
+
+
+
+
Supplemental guidance
+
+
Transferring information between interconnected information systems of differing
+ security policies introduces risk that such transfers violate one or more policies.
+ While security policy violations may not be absolutely prohibited, policy guidance
+ from information owners/stewards is implemented at the policy enforcement point
+ between the interconnected systems. Specific architectural solutions are mandated,
+ when required, to reduce the potential for undiscovered vulnerabilities. Architectural
+ solutions include, for example: (i) prohibiting information transfers between
+ interconnected systems (i.e. implementing access only, one way transfer mechanisms);
+ (ii) employing hardware mechanisms to enforce unitary information flow directions; and
+ (iii) implementing fully tested, re-grading mechanisms to reassign security attributes
+ and associated security labels.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system:
+
+
+
+
Uniquely identifies and authenticates source and destination domains for
+ information transfer;
+
+
+
Binds security attributes to information to facilitate information flow policy
+ enforcement; and
+
+
+
Tracks problems associated with the security attribute binding and information
+ transfer.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Attribution is a critical component of a security concept of operations. The ability
+ to identify source and destination points for information flowing in an information
+ system, allows forensic reconstruction of events when required, and increases policy
+ compliance by attributing policy violations to specific organizations/individuals.
+ Means to enforce this enhancement include ensuring that the information system
+ resolution labels distinguish between information systems and organizations, and
+ between specific system components or individuals involved in preparing, sending,
+ receiving, or disseminating information.
+
+
+
+
+
+
+
+
+
+
+
+
Separation of Duties
+
+
+
control-class: Technical
+
+
number: AC-5
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Separates duties of individuals as necessary, to prevent malevolent activity without
+ collusion;
+
+
+
Documents separation of duties; and
+
+
Implements separation of duties through assigned information system access
+ authorizations.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Examples of separation of duties include: (i) mission functions and distinct information
+ system support functions are divided among different individuals/roles; (ii) different
+ individuals perform information system support functions (e.g., system management, systems
+ programming, configuration management, quality assurance and testing, network security);
+ (iii) security personnel who administer access control functions do not administer audit
+ functions; and (iv) different administrator accounts for different roles. Access
+ authorizations defined in this control are implemented by control AC-3. Related controls:
+ AC-3.
+
+
+
+
+
+
+
+
Least Privilege
+
+
+
control-class: Technical
+
+
number: AC-6
+
+
priority: P1
+
+
+
Control
+
+
The organization employs the concept of least privilege, allowing only authorized
+ accesses for users (and processes acting on behalf of users) which are necessary to
+ accomplish assigned tasks in accordance with organizational missions and business
+ functions.
+
+
+
+
+
+
Supplemental guidance
+
+
The access authorizations defined in this control are largely implemented by control
+ AC-3. The organization employs the concept of least privilege for specific duties and
+ information systems (including specific ports, protocols, and services) in accordance with
+ risk assessments as necessary to adequately mitigate risk to organizational operations and
+ assets, individuals, other organizations, and the Nation. Related controls: AC-2, AC-3,
+ CM-7.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization explicitly authorizes access to organization-defined list of
+ security functions (deployed in hardware, software, and firmware) and
+ security-relevant information.
+
+
+
+
+
+
Supplemental guidance
+
+
Establishing system accounts, configuring access authorizations (i.e., permissions,
+ privileges), setting events to be audited, and setting intrusion detection parameters
+ are examples of security functions. Explicitly authorized personnel include, for
+ example, security administrators, system and network administrators, system security
+ officers, system maintenance personnel, system programmers, and other privileged
+ users. Related control: AC-17.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization requires that users of information system accounts, or roles, with
+ access to organization-defined list of security functions or
+ security-relevant information, use non-privileged accounts, or roles, when
+ accessing other system functions, and if feasible, audits any use of privileged
+ accounts, or roles, for such functions.
+
+
+
+
+
+
Supplemental guidance
+
+
This control enhancement is intended to limit exposure due to operating from within a
+ privileged account or role. The inclusion of role is intended to address
+ those situations where an access control policy such as Role Based Access Control
+ (RBAC) is being implemented and where a change of role provides the same degree
+ of assurance in the change of access authorizations for both the user and all
+ processes acting on behalf of the user as would be provided by a change between a
+ privileged and non-privileged account. Audit of privileged activity may require
+ physical separation employing information systems on which the user does not have
+ privileged access.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization authorizes network access to organization-defined
+ privileged commands only for compelling operational needs and documents the
+ rationale for such access in the security plan for the information system.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system provides separate processing domains to enable finer-grained
+ allocation of user privileges.
+
+
+
+
+
+
Supplemental guidance
+
+
Employing virtualization techniques to allow greater privilege within a virtual
+ machine while restricting privilege to the underlying actual machine is an example of
+ providing separate processing domains for finer-grained allocation of user
+ privileges.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization limits authorization to super user accounts on the information
+ system to designated system administration personnel.
+
+
+
+
+
+
Supplemental guidance
+
+
Super user accounts are typically described as "root" or "administrator" for various
+ types of commercial off-the-shelf operating systems. Configuring organizational
+ information systems (e.g., notebook/laptop computers, servers, workstations) such that
+ day-to-day users are not authorized access to super user accounts is an example of
+ limiting system authorization. The organization may differentiate in the application
+ of this control enhancement between allowed privileges for local information system
+ accounts and for domain accounts provided the organization retains the ability to
+ control the configuration of the system with regard to key security parameters and as
+ otherwise necessary to sufficiently mitigate risk.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization prohibits privileged access to the information system by
+ non-organizational users.
+
+
+
+
+
+
Supplemental guidance
+
+
A qualified organizational user may be advised by a non-organizational user, if
+ necessary.
+
+
+
+
+
+
+
+
+
+
+
+
Unsuccessful Login Attempts
+
+
+
control-class: Technical
+
+
number: AC-7
+
+
priority: P2
+
+
+
Control
+
+
The information system:
+
+
+
+
Enforces a limit of organization-defined number consecutive
+ invalid login attempts by a user during a organization-defined time
+ period; and
+
+
+
Automatically
+
+
+
locks the account/node for an organization-defined time
+ period;
+
+
+
locks the account/node until released by an administrator;
+
+
delays next login prompt according to organization-defined delay
+ algorithm
+
+
when the maximum number of unsuccessful attempts is exceeded. The control
+ applies regardless of whether the login occurs via a local or network connection.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Due to the potential for denial of service, automatic lockouts initiated by the
+ information system are usually temporary and automatically release after a predetermined
+ time period established by the organization. If a delay algorithm is selected, the
+ organization may chose to employ different algorithms for different information system
+ components based on the capabilities of those components. Response to unsuccessful login
+ attempts may be implemented at both the operating system and the application levels. This
+ control applies to all accesses other than those accesses explicitly identified and
+ documented by the organization in AC-14.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system automatically locks the account/node until released by an
+ administrator when the maximum number of unsuccessful attempts is exceeded
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system provides additional protection for mobile devices accessed via
+ login by purging information from the device after organization-defined
+ number consecutive, unsuccessful login attempts to the device.
+
+
+
+
+
+
Supplemental guidance
+
+
This enhancement applies only to mobile devices for which a login occurs (e.g.,
+ personal digital assistants) and not to mobile devices accessed without a login such
+ as removable media. In certain situations, this enhancement may not apply to mobile
+ devices if the information on the device is encrypted with sufficiently strong
+ encryption mechanisms, making purging unnecessary. The login is to the mobile device,
+ not to any one account on the device. Therefore, a successful login to any account on
+ the mobile device resets the unsuccessful login count to zero.
+
+
+
+
+
+
+
+
+
+
+
+
System Use Notification
+
+
+
control-class: Technical
+
+
number: AC-8
+
+
priority: P1
+
+
+
Control
+
+
The information system:
+
+
+
+
Displays an approved system use notification message or banner before granting access
+ to the system that provides privacy and security notices consistent with applicable
+ federal laws, Executive Orders, directives, policies, regulations, standards, and
+ guidance and states that: (i) users are accessing a U.S. Government information system;
+ (ii) system usage may be monitored, recorded, and subject to audit; (iii) unauthorized
+ use of the system is prohibited and subject to criminal and civil penalties; and (iv)
+ use of the system indicates consent to monitoring and recording;
+
+
+
Retains the notification message or banner on the screen until users take explicit
+ actions to log on to or further access the information system; and
+
+
+
For publicly accessible systems: (i) displays the system use information when
+ appropriate, before granting further access; (ii) displays references, if any, to
+ monitoring, recording, or auditing that are consistent with privacy accommodations for
+ such systems that generally prohibit those activities; and (iii) includes in the notice
+ given to public users of the information system, a description of the authorized uses of
+ the system.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
System use notification messages can be implemented in the form of warning banners
+ displayed when individuals log in to the information system. System use notification is
+ intended only for information system access that includes an interactive login interface
+ with a human user and is not intended to require notification when an interactive
+ interface does not exist.
+
+
+
+
+
+
+
+
Previous Logon (Access) Notification
+
+
+
control-class: Technical
+
+
number: AC-9
+
+
priority: P0
+
+
+
Control
+
+
The information system notifies the user, upon successful logon (access), of the date and
+ time of the last logon (access).
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended to cover both traditional logons to information systems and
+ general accesses to information systems that occur in other types of architectural
+ configurations (e.g., service oriented architectures).
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system notifies the user, upon successful logon/access, of the number
+ of unsuccessful logon/access attempts since the last successful logon/access.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system notifies the user of the number of
+
+
successful logins/accesses;
+
unsuccessful login/access attempts;
+
both
+
during
+ organization-defined time period.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system notifies the user of organization-defined set of
+ security-related changes to the users account during
+ organization-defined time period.
+
+
+
+
+
+
+
+
+
+
+
+
Concurrent Session Control
+
+
+
control-class: Technical
+
+
number: AC-10
+
+
priority: P2
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The information system limits the number of concurrent sessions for each system account
+ to organization-defined number.
+
+
+
+
+
+
Supplemental guidance
+
+
The organization may define the maximum number of concurrent sessions for an information
+ system account globally, by account type, by account, or a combination. This control
+ addresses concurrent sessions for a given information system account and does not address
+ concurrent sessions by a single user via multiple system accounts.
+
+
+
+
+
+
+
+
Session Lock
+
+
+
control-class: Technical
+
+
number: AC-11
+
+
priority: P3
+
+
+
Control
+
+
The information system:
+
+
+
+
Prevents further access to the system by initiating a session lock after
+ organization-defined time period of inactivity or upon
+ receiving a request from a user; and
+
+
+
Retains the session lock until the user reestablishes access using established
+ identification and authentication procedures.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
A session lock is a temporary action taken when a user stops work and moves away from the
+ immediate physical vicinity of the information system but does not want to log out because
+ of the temporary nature of the absence. The session lock is implemented at the point where
+ session activity can be determined. This is typically at the operating system-level, but
+ may be at the application-level. A session lock is not a substitute for logging out of the
+ information system, for example, if the organization requires users to log out at the end
+ of the workday.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system session lock mechanism, when activated on a device with a
+ display screen, places a publicly viewable pattern onto the associated display, hiding
+ what was previously visible on the screen.
+
Permitted Actions Without Identification Or Authentication
+
+
+
control-class: Technical
+
+
number: AC-14
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Identifies specific user actions that can be performed on the information system
+ without identification or authentication; and
+
+
+
Documents and provides supporting rationale in the security plan for the information
+ system, user actions not requiring identification and authentication.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended for those specific instances where an organization determines
+ that no identification and authentication is required; it is not, however, mandating that
+ such instances exist in given information system. The organization may allow a limited
+ number of user actions without identification and authentication (e.g., when individuals
+ access public websites or other publicly accessible federal information systems such as
+ http://www.usa.gov). Organizations also identify any actions that normally require
+ identification or authentication but may under certain circumstances (e.g., emergencies),
+ allow identification or authentication mechanisms to be bypassed. Such bypass may be, for
+ example, via a software-readable physical switch that commands bypass of the login
+ functionality and is protected from accidental or unmonitored use. This control does not
+ apply to situations where identification and authentication have already occurred and are
+ not being repeated, but rather to situations where identification and/or authentication
+ have not yet occurred. Related control: CP-2, IA-2.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization permits actions to be performed without identification and
+ authentication only to the extent necessary to accomplish mission/business
+ objectives.
+
The information system supports and maintains the binding of organization-defined
+ security attributes to information in storage, in process, and in
+ transmission.
+
+
+
+
+
+
Supplemental guidance
+
+
Security attributes are abstractions representing the basic properties or characteristics
+ of an entity (e.g., subjects and objects) with respect to safeguarding information. These
+ attributes are typically associated with internal data structures (e.g., records, buffers,
+ files) within the information system and are used to enable the implementation of access
+ control and flow control policies, reflect special dissemination, handling or distribution
+ instructions, or support other aspects of the information security policy. The term
+ security label is often used to associate a set of security attributes with a specific
+ information object as part of the data structure for that object (e.g., user access
+ privileges, nationality, affiliation as contractor). Related controls: AC-3, AC-4, SC-16,
+ MP-3.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system dynamically reconfigures security attributes in accordance
+ with an identified security policy as information is created and combined.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system allows authorized entities to change security attributes.
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system maintains the binding of security attributes to information
+ with sufficient assurance that the information--attribute association can be used as
+ the basis for automated policy actions.
+
+
+
+
+
+
Supplemental guidance
+
+
Examples of automated policy actions include automated access control decisions
+ (e.g., Mandatory Access Control decisions), or decisions to release (or not release)
+ information (e.g., information flows via cross domain systems).
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system allows authorized users to associate security attributes with
+ information.
+
+
+
+
+
+
Supplemental guidance
+
+
The support provided by the information system can vary from prompting users to
+ select security attributes to be associated with specific information objects, to
+ ensuring that the combination of attributes selected is valid.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system displays security attributes in human-readable form on each
+ object output from the system to system output devices to identify
+ organization-identified set of special dissemination, handling, or
+ distribution instructions using organization-identified human
+ readable, standard naming conventions.
+
+
+
+
+
+
Supplemental guidance
+
+
Objects output from the information system include, for example, pages, screens, or
+ equivalent. Output devices include, for example, printers and video displays on
+ computer terminals, monitors, screens on notebook/laptop computers and personal
+ digital assistants.
+
+
+
+
+
+
+
+
+
+
+
+
Remote Access
+
+
+
control-class: Technical
+
+
number: AC-17
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Documents allowed methods of remote access to the information system;
+
+
Establishes usage restrictions and implementation guidance for each allowed remote
+ access method;
+
+
+
Monitors for unauthorized remote access to the information system;
+
+
Authorizes remote access to the information system prior to connection; and
+
+
Enforces requirements for remote connections to the information system.
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control requires explicit authorization prior to allowing remote access to an
+ information system without specifying a specific format for that authorization. For
+ example, while the organization may deem it appropriate to use a system interconnection
+ agreement to authorize a given remote access, such agreements are not required by this
+ control. Remote access is any access to an organizational information system by a user (or
+ process acting on behalf of a user) communicating through an external network (e.g., the
+ Internet). Examples of remote access methods include dial-up, broadband, and wireless (see
+ AC-18 for wireless access). A virtual private network when adequately provisioned with
+ appropriate security controls, is considered an internal network (i.e., the organization
+ establishes a network connection between organization-controlled endpoints in a manner
+ that does not require the organization to depend on external networks to protect the
+ confidentiality or integrity of information transmitted across the network). Remote access
+ controls are applicable to information systems other than public web servers or systems
+ specifically designed for public access. Enforcing access restrictions associated with
+ remote connections is accomplished by control AC-3. Related controls: AC-3, AC-18, AC-20,
+ IA-2, IA-3, IA-8, MA-4.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automated mechanisms to facilitate the monitoring and
+ control of remote access methods.
+
+
+
+
+
+
Supplemental guidance
+
+
Automated monitoring of remote access sessions allows organizations to audit user
+ activities on a variety of information system components (e.g., servers, workstations,
+ notebook/laptop computers) and to ensure compliance with remote access policy.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization uses cryptography to protect the confidentiality and integrity of
+ remote access sessions.
+
+
+
+
+
+
Supplemental guidance
+
+
The encryption strength of mechanism is selected based on the security categorization
+ of the information. Related controls: SC-8, SC-9, SC-13.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system routes all remote accesses through a limited number of managed
+ access control points.
+
The organization authorizes the execution of privileged commands and access to
+ security-relevant information via remote access only for compelling operational needs
+ and documents the rationale for such access in the security plan for the information
+ system.
+
The organization monitors for unauthorized remote connections to the information
+ system organization-defined frequency, and takes appropriate
+ action if an unauthorized connection is discovered.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization ensures that users protect information about remote access
+ mechanisms from unauthorized use and disclosure.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization ensures that remote sessions for accessing
+ organization-defined list of security functions and security-relevant
+ information employ organization-defined additional security
+ measures and are audited.
+
+
+
+
+
+
Supplemental guidance
+
+
Additional security measures are typically above and beyond standard bulk or session
+ layer encryption (e.g., Secure Shell [SSH], Virtual Private Networking [VPN] with
+ blocking mode enabled). Related controls: SC-8, SC-9.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization disables organization-defined networking protocols
+ within the information system deemed to be nonsecure except for explicitly
+ identified components in support of specific operational requirements.
+
+
+
+
+
+
Supplemental guidance
+
+
The organization can either make a determination of the relative security of the
+ networking protocol or base the security decision on the assessment of other entities.
+ Bluetooth and peer-to-peer networking are examples of less than secure networking
+ protocols.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-113
+
+
+
+
+
+
+
NIST
+ 800-114
+
+
+
+
+
+
+
NIST
+ 800-121
+
+
+
+
+
+
+
NIST
+ 800-46
+
+
+
+
+
+
+
NIST
+ 800-77
+
+
+
+
+
+
+
+
+
+
Wireless Access
+
+
+
control-class: Technical
+
+
number: AC-18
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Establishes usage restrictions and implementation guidance for wireless access;
+
+
Monitors for unauthorized wireless access to the information system;
+
+
Authorizes wireless access to the information system prior to connection; and
+
+
Enforces requirements for wireless connections to the information system.
+
+
+
+
+
+
+
Supplemental guidance
+
+
Wireless technologies include, but are not limited to, microwave, satellite, packet radio
+ (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g.,
+ EAP/TLS, PEAP), which provide credential protection and mutual authentication. In certain
+ situations, wireless signals may radiate beyond the confines and control of
+ organization-controlled facilities. Related controls: AC-3, IA-2, IA-3, IA-8.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system protects wireless access to the system using authentication
+ and encryption.
+
+
+
+
+
+
Supplemental guidance
+
+
Authentication applies to user, device, or both as necessary. Related control:
+ SC-13.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization monitors for unauthorized wireless connections to the information
+ system, including scanning for unauthorized wireless access points
+ organization-defined frequency, and takes appropriate action if an
+ unauthorized connection is discovered.
+
+
+
+
+
+
Supplemental guidance
+
+
Organizations proactively search for unauthorized wireless connections including the
+ conduct of thorough scans for unauthorized wireless access points. The scan is not
+ necessarily limited to only those areas within the facility containing the information
+ systems, yet is conducted outside of those areas only as needed to verify that
+ unauthorized wireless access points are not connected to the system.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization disables, when not intended for use, wireless networking
+ capabilities internally embedded within information system components prior to
+ issuance and deployment.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization does not allow users to independently configure wireless networking
+ capabilities.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization confines wireless communications to organization-controlled
+ boundaries.
+
+
+
+
+
+
Supplemental guidance
+
+
Actions that may be taken by the organization to confine wireless communications to
+ organization-controlled boundaries include: (i) reducing the power of the wireless
+ transmission such that it cannot transit the physical perimeter of the organization;
+ (ii) employing measures such as TEMPEST to control wireless emanations; and (iii)
+ configuring the wireless access such that it is point to point in nature.
+
+
+
+
+
+
+
+
+
+
+
+
+
DOD Instruction
+ 8552.01
+
+
+
+
+
+
+
NIST
+ 800-48
+
+
+
+
+
+
+
NIST
+ 800-94
+
+
+
+
+
+
+
NIST
+ 800-97
+
+
+
+
+
+
+
+
+
+
Access Control for Mobile Devices
+
+
+
control-class: Technical
+
+
number: AC-19
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Establishes usage restrictions and implementation guidance for organization-controlled
+ mobile devices;
+
+
+
Authorizes connection of mobile devices meeting organizational usage restrictions and
+ implementation guidance to organizational information systems;
+
+
+
Monitors for unauthorized connections of mobile devices to organizational information
+ systems;
+
+
+
Enforces requirements for the connection of mobile devices to organizational
+ information systems;
+
+
+
Disables information system functionality that provides the capability for automatic
+ execution of code on mobile devices without user direction;
+
+
+
Issues specially configured mobile devices to individuals traveling to locations that
+ the organization deems to be of significant risk in accordance with organizational
+ policies and procedures; and
+
+
+
Applies organization-defined inspection and preventative
+ measures to mobile devices returning from locations that the organization deems
+ to be of significant risk in accordance with organizational policies and
+ procedures.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Mobile devices include portable storage media (e.g., USB memory sticks, external hard
+ disk drives) and portable computing and communications devices with information storage
+ capability (e.g., notebook/laptop computers, personal digital assistants, cellular
+ telephones, digital cameras, and audio recording devices). Organization-controlled mobile
+ devices include those devices for which the organization has the authority to specify and
+ the ability to enforce specific security requirements. Usage restrictions and
+ implementation guidance related to mobile devices include, for example, configuration
+ management, device identification and authentication, implementation of mandatory
+ protective software (e.g., malicious code detection, firewall), scanning devices for
+ malicious code, updating virus protection software, scanning for critical software updates
+ and patches, conducting primary operating system (and possibly other resident software)
+ integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). Examples
+ of information system functionality that provide the capability for automatic execution of
+ code are AutoRun and AutoPlay.
+
+
+
Organizational policies and procedures for mobile devices used by individuals departing
+ on and returning from travel include, for example, determining which locations are of
+ concern, defining required configurations for the devices, ensuring that the devices are
+ configured as intended before travel is initiated, and applying specific measures to the
+ device after travel is completed. Specially configured mobile devices include, for
+ example, computers with sanitized hard drives, limited applications, and additional
+ hardening (e.g., more stringent configuration settings). Specified measures applied to
+ mobile devices upon return from travel include, for example, examining the device for
+ signs of physical tampering and purging/reimaging the hard disk drive. Protecting
+ information residing on mobile devices is covered in the media protection family. Related
+ controls: MP-4, MP-5.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization restricts the use of writable, removable media in organizational
+ information systems.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization prohibits the use of personally owned, removable media in
+ organizational information systems.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization prohibits the use of removable media in organizational information
+ systems when the media has no identifiable owner.
+
+
+
+
+
+
Supplemental guidance
+
+
An identifiable owner (e.g., individual, organization, or project) for removable
+ media helps to reduce the risk of using such technology by assigning responsibility
+ and accountability for addressing known vulnerabilities in the media (e.g., malicious
+ code insertion).
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization:
+
+
+
+
Prohibits the use of unclassified mobile devices in facilities containing
+ information systems processing, storing, or transmitting classified information
+ unless specifically permitted by the appropriate authorizing official(s); and
+
+
+
Enforces the following restrictions on individuals permitted to use mobile devices
+ in facilities containing information systems processing, storing, or transmitting
+ classified information: \
+
+
+
+
+
- Connection of unclassified mobile devices to classified information systems is
+ prohibited;
+
+
+
- Connection of unclassified mobile devices to unclassified information systems
+ requires approval from the appropriate authorizing official(s);
+
+
+
- Use of internal or external modems or wireless interfaces within the mobile devices
+ is prohibited; and
+
+
+
- Mobile devices and the information stored on those devices are subject to random
+ reviews/inspections by organization-defined security officials,
+ and if classified information is found, the incident handling policy is followed.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-114
+
+
+
+
+
+
+
NIST
+ 800-124
+
+
+
+
+
+
+
+
+
+
Use of External Information Systems
+
+
+
control-class: Technical
+
+
number: AC-20
+
+
priority: P1
+
+
+
Control
+
+
The organization establishes terms and conditions, consistent with any trust
+ relationships established with other organizations owning, operating, and/or maintaining
+ external information systems, allowing authorized individuals to:
+
+
+
+
+
Access the information system from the external information systems; and
+
+
Process, store, and/or transmit organization-controlled information using the external
+ information systems.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
External information systems are information systems or components of information systems
+ that are outside of the authorization boundary established by the organization and for
+ which the organization typically has no direct supervision and authority over the
+ application of required security controls or the assessment of security control
+ effectiveness. External information systems include, but are not limited to: (i)
+ personally owned information systems (e.g., computers, cellular telephones, or personal
+ digital assistants); (ii) privately owned computing and communications devices resident in
+ commercial or public facilities (e.g., hotels, convention centers, or airports); (iii)
+ information systems owned or controlled by nonfederal governmental organizations; and (iv)
+ federal information systems that are not owned by, operated by, or under the direct
+ supervision and authority of the organization. For some external systems, in particular
+ those systems operated by other federal agencies, including organizations subordinate to
+ those agencies, the trust relationships that have been established between those
+ organizations and the originating organization may be such, that no explicit terms and
+ conditions are required. In effect, the information systems of these organizations would
+ not be considered external. These situations typically occur when, for example, there is
+ some pre-existing sharing or trust agreement (either implicit or explicit) established
+ between federal agencies and/or organizations subordinate to those agencies, or such trust
+ agreements are specified by applicable laws, Executive Orders, directives, or policies.
+ Authorized individuals include organizational personnel, contractors, or any other
+ individuals with authorized access to the organizational information system and over which
+ the organization has the authority to impose rules of behavior with regard to system
+ access. The restrictions that an organization imposes on authorized individuals need not
+ be uniform, as those restrictions are likely to vary depending upon the trust
+ relationships between organizations. Thus, an organization might impose more stringent
+ security restrictions on a contractor than on a state, local, or tribal government.
+
+
+
This control does not apply to the use of external information systems to access public
+ interfaces to organizational information systems and information (e.g., individuals
+ accessing federal information through www.usa.gov). The organization establishes terms and
+ conditions for the use of external information systems in accordance with organizational
+ security policies and procedures. The terms and conditions address as a minimum; (i) the
+ types of applications that can be accessed on the organizational information system from
+ the external information system; and (ii) the maximum security categorization of
+ information that can be processed, stored, and transmitted on the external information
+ system. This control defines access authorizations enforced by AC-3, rules of behavior
+ requirements enforced by PL-4, and session establishment rules enforced by AC-17. Related
+ controls: AC-3, AC-17, PL-4.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization permits authorized individuals to use an external information system
+ to access the information system or to process, store, or transmit
+ organization-controlled information only when the organization:
+
+
+
+
+
Can verify the implementation of required security controls on the external system
+ as specified in the organizations information security policy and security plan;
+ or
+
+
+
Has approved information system connection or processing agreements with the
+ organizational entity hosting the external information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization limits the use of organization-controlled portable storage media by
+ authorized individuals on external information systems.
+
+
+
+
+
+
Supplemental guidance
+
+
Limits on the use of organization-controlled portable storage media in external
+ information systems can include, for example, complete prohibition of the use of such
+ devices or restrictions on how the devices may be used and under what conditions the
+ devices may be used.
+
+
+
+
+
+
+
+
+
+
+
+
+
FIPS
+ Publication 199
+
+
+
+
+
+
+
+
+
+
User-based Collaboration and Information Sharing
+
+
+
control-class: Technical
+
+
number: AC-21
+
+
priority: P0
+
+
+
Control
+
+
The organization:
+
+
+
+
Facilitates information sharing by enabling authorized users to determine whether
+ access authorizations assigned to the sharing partner match the access restrictions on
+ the information for organization-defined information sharing
+ circumstances where user discretion is required; and
+
+
+
Employs list of organization-defined information sharing
+ circumstances and automated mechanisms or manual processes required to assist
+ users in making information sharing/collaboration decisions.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
The control applies to information that may be restricted in some manner (e.g.,
+ privileged medical, contract-sensitive, proprietary, personally identifiable information,
+ special access programs/compartments) based on some formal or administrative
+ determination. Depending on the information-sharing circumstance, the sharing partner may
+ be defined at the individual, group, or organization level and information may be defined
+ by specific content, type, or security categorization. Related control: AC-3.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system employs automated mechanisms to enable authorized users to
+ make information-sharing decisions based on access authorizations of sharing partners
+ and access restrictions on information to be shared.
+
+
+
+
+
+
+
+
+
+
+
+
Publicly Accessible Content
+
+
+
control-class: Technical
+
+
number: AC-22
+
+
priority: P2
+
+
+
Control
+
+
The organization:
+
+
+
+
Designates individuals authorized to post information onto an organizational
+ information system that is publicly accessible;
+
+
+
Trains authorized individuals to ensure that publicly accessible information does not
+ contain nonpublic information;
+
+
+
Reviews the proposed content of publicly accessible information for nonpublic
+ information prior to posting onto the organizational information system;
+
+
+
Reviews the content on the publicly accessible organizational information system for
+ nonpublic information organization-defined frequency; and
+
+
+
Removes nonpublic information from the publicly accessible organizational information
+ system, if discovered.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Nonpublic information is any information for which the general public is not authorized
+ access in accordance with federal laws, Executive Orders, directives, policies,
+ regulations, standards, or guidance. Information protected under the Privacy Act and
+ vendor proprietary information are examples of nonpublic information. This control
+ addresses posting information on an organizational information system that is accessible
+ to the general public, typically without identification or authentication. The posting of
+ information on non-organization information systems is covered by appropriate
+ organizational policy. Related controls: AC-3, AU-13.
+
+
+
+
+
+
+
+
+
+
+
Awareness and Training
+
+
+
Security Awareness and Training Policy and Procedures
+
+
+
control-class: Operational
+
+
number: AT-1
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, disseminates, and reviews/updates organization-defined
+ frequency:
+
+
+
+
+
A formal, documented security awareness and training policy that addresses purpose,
+ scope, roles, responsibilities, management commitment, coordination among organizational
+ entities, and compliance; and
+
+
+
Formal, documented procedures to facilitate the implementation of the security
+ awareness and training policy and associated security awareness and training
+ controls.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended to produce the policy and procedures that are required for the
+ effective implementation of selected security controls and control enhancements in the
+ security awareness and training family. The policy and procedures are consistent with
+ applicable federal laws, Executive Orders, directives, policies, regulations, standards,
+ and guidance. Existing organizational policies and procedures may make the need for
+ additional specific policies and procedures unnecessary. The security awareness and
+ training policy can be included as part of the general information security policy for the
+ organization. Security awareness and training procedures can be developed for the security
+ program in general and for a particular information system, when required. The
+ organizational risk management strategy is a key factor in the development of the security
+ awareness and training policy. Related control: PM-9.
+
+
+
+
+
+
+
+
+
NIST 800-100
+
+
+
+
+
+
NIST
+ 800-12
+
+
+
+
+
+
+
NIST 800-16
+
+
+
+
+
+
NIST
+ 800-50
+
+
+
+
+
+
+
+
+
+
Security Awareness
+
+
+
control-class: Operational
+
+
number: AT-2
+
+
priority: P1
+
+
+
Control
+
+
The organization provides basic security awareness training to all information system
+ users (including managers, senior executives, and contractors) as part of initial training
+ for new users, when required by system changes, and organization-defined
+ frequency thereafter.
+
+
+
+
+
+
Supplemental guidance
+
+
The organization determines the appropriate content of security awareness training and
+ security awareness techniques based on the specific requirements of the organization and
+ the information systems to which personnel have authorized access. The content includes a
+ basic understanding of the need for information security and user actions to maintain
+ security and to respond to suspected security incidents. The content also addresses
+ awareness of the need for operations security as it relates to the organizations
+ information security program. Security awareness techniques can include, for example,
+ displaying posters, offering supplies inscribed with security reminders, generating email
+ advisories/notices from senior organizational officials, displaying logon screen messages,
+ and conducting information security awareness events.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization includes practical exercises in security awareness training that
+ simulate actual cyber attacks.
+
+
+
+
+
+
Supplemental guidance
+
+
Practical exercises may include, for example, no-notice social engineering attempts
+ to collect information, gain unauthorized access, or simulate the adverse impact of
+ opening malicious email attachments or invoking malicious web links.
+
+
+
+
+
+
+
+
+
+
+
+
+
5 C.F.R.
+ 930.301
+
+
+
+
+
+
+
NIST
+ 800-50
+
+
+
+
+
+
+
+
+
+
Security Training
+
+
+
control-class: Operational
+
+
number: AT-3
+
+
priority: P1
+
+
+
Control
+
+
The organization provides role-based security-related training: (i) before authorizing
+ access to the system or performing assigned duties; (ii) when required by system changes;
+ and (iii) organization-defined frequency thereafter.
+
+
+
+
+
+
Supplemental guidance
+
+
The organization determines the appropriate content of security training based on
+ assigned roles and responsibilities and the specific requirements of the organization and
+ the information systems to which personnel have authorized access. In addition, the
+ organization provides information system managers, system and network administrators,
+ personnel performing independent verification and validation activities, security control
+ assessors, and other personnel having access to system-level software, adequate
+ security-related technical training to perform their assigned duties. Organizational
+ security training addresses management, operational, and technical roles and
+ responsibilities covering physical, personnel, and technical safeguards and
+ countermeasures. The organization also provides the training necessary for these
+ individuals to carry out their responsibilities related to operations security within the
+ context of the organizations information security program. Related controls: AT-2,
+ SA-3.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization provides employees with initial and organization-defined
+ frequency training in the employment and operation of environmental
+ controls.
+
+
+
+
+
+
Supplemental guidance
+
+
Environmental controls include, for example, fire suppression and detection
+ devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses,
+ smoke detectors, temperature/humidity, HVAC, and power within the facility.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization provides employees with initial and organization-defined
+ frequency training in the employment and operation of physical security
+ controls.
+
+
+
+
+
+
Supplemental guidance
+
+
Physical security controls include, for example, physical access control devices,
+ physical intrusion alarms, monitoring and surveillance equipment, and security guards
+ (deployment and operating procedures).
+
+
+
+
+
+
+
+
+
+
+
+
+
5 C.F.R.
+ 930.301
+
+
+
+
+
+
+
NIST 800-16
+
+
+
+
+
+
NIST
+ 800-50
+
+
+
+
+
+
+
+
+
+
Security Training Records
+
+
+
control-class: Operational
+
+
number: AT-4
+
+
priority: P3
+
+
+
Control
+
+
The organization:
+
+
+
+
Documents and monitors individual information system security training activities
+ including basic security awareness training and specific information system security
+ training; and
+
+
+
Retains individual training records for organization-defined time
+ period.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
While an organization may deem that organizationally mandated individual training
+ programs and the development of individual training plans are necessary, this control does
+ not mandate either. Documentation for specialized training may be maintained by individual
+ supervisors at the option of the organization.
+
+
+
+
+
+
+
+
Contacts With Security Groups and Associations
+
+
+
control-class: Operational
+
+
number: AT-5
+
+
priority: P0
+
+
+
Control
+
+
The organization establishes and institutionalizes contact with selected groups and
+ associations within the security community:
+
+
+
- To facilitate ongoing security education and training for organizational personnel;
+
+
- To stay up to date with the latest recommended security practices, techniques, and
+ technologies; and
+
+
+
- To share current security-related information including threats, vulnerabilities, and
+ incidents.
+
+
+
+
+
+
Supplemental guidance
+
+
Ongoing contact with security groups and associations is of paramount importance in an
+ environment of rapid technology changes and dynamic threats. Security groups and
+ associations can include, for example, special interest groups, specialized forums,
+ professional associations, news groups, and/or peer groups of security professionals in
+ similar organizations. The groups and associations selected are consistent with the
+ organizations mission/business requirements. Information-sharing activities regarding
+ threats, vulnerabilities, and incidents related to information systems are consistent with
+ applicable federal laws, Executive Orders, directives, policies, regulations, standards,
+ and guidance.
+
+
+
+
+
+
+
+
+
+
+
Audit and Accountability
+
+
+
Audit and Accountability Policy and Procedures
+
+
+
control-class: Technical
+
+
number: AU-1
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, disseminates, and reviews/updates organization-defined
+ frequency:
+
+
+
+
+
A formal, documented audit and accountability policy that addresses purpose, scope,
+ roles, responsibilities, management commitment, coordination among organizational
+ entities, and compliance; and
+
+
+
Formal, documented procedures to facilitate the implementation of the audit and
+ accountability policy and associated audit and accountability controls.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended to produce the policy and procedures that are required for the
+ effective implementation of selected security controls and control enhancements in the
+ audit and accountability family. The policy and procedures are consistent with applicable
+ federal laws, Executive Orders, directives, policies, regulations, standards, and
+ guidance. Existing organizational policies and procedures may make the need for additional
+ specific policies and procedures unnecessary. The audit and accountability policy can be
+ included as part of the general information security policy for the organization. Audit
+ and accountability procedures can be developed for the security program in general and for
+ a particular information system, when required. The organizational risk management
+ strategy is a key factor in the development of the audit and accountability policy.
+ Related control: PM-9.
+
+
+
+
+
+
+
+
+
NIST 800-100
+
+
+
+
+
+
NIST
+ 800-12
+
+
+
+
+
+
+
+
+
+
Auditable Events
+
+
+
control-class: Technical
+
+
number: AU-2
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Determines, based on a risk assessment and mission/business needs, that the
+ information system must be capable of auditing the following events:
+ organization-defined list of auditable events;
+
+
+
Coordinates the security audit function with other organizational entities requiring
+ audit-related information to enhance mutual support and to help guide the selection of
+ auditable events;
+
+
+
Provides a rationale for why the list of auditable events are deemed to be adequate to
+ support after-the-fact investigations of security incidents; and
+
+
+
Determines, based on current threat information and ongoing assessment of risk, that
+ the following events are to be audited within the information system:
+ organization-defined subset of the auditable events defined in AU-2 a. to be
+ audited along with the frequency of (or situation requiring) auditing for each
+ identified event.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
The purpose of this control is for the organization to identify events which need to be
+ auditable as significant and relevant to the security of the information system; giving an
+ overall system requirement in order to meet ongoing and specific audit needs. To balance
+ auditing requirements with other information system needs, this control also requires
+ identifying that subset of auditable events that are to be audited at a given point in
+ time. For example, the organization may determine that the information system must have
+ the capability to log every file access both successful and unsuccessful, but not activate
+ that capability except for specific circumstances due to the extreme burden on system
+ performance. In addition, audit records can be generated at various levels of abstraction,
+ including at the packet level as information traverses the network. Selecting the right
+ level of abstraction for audit record generation is a critical aspect of an audit
+ capability and can facilitate the identification of root causes to problems. Related
+ control: AU-3.
+
The organization reviews and updates the list of auditable events
+ organization-defined frequency.
+
+
+
+
+
+
Supplemental guidance
+
+
The list of auditable events is defined in AU-2.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization includes execution of privileged functions in the list of events to
+ be audited by the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-92
+
+
+
+
+
+
+
Web Resource
+ CSRC.NIST.GOV/PCIG/CIG.HTML
+
+
+
+
+
+
+
+
+
+
Content of Audit Records
+
+
+
control-class: Technical
+
+
number: AU-3
+
+
priority: P1
+
+
+
Control
+
+
The information system produces audit records that contain sufficient information to, at
+ a minimum, establish what type of event occurred, when (date and time) the event occurred,
+ where the event occurred, the source of the event, the outcome (success or failure) of the
+ event, and the identity of any user/subject associated with the event.
+
+
+
+
+
+
Supplemental guidance
+
+
Audit record content that may be necessary to satisfy the requirement of this control,
+ includes, for example, time stamps, source and destination addresses, user/process
+ identifiers, event descriptions, success/fail indications, filenames involved, and access
+ control or flow control rules invoked. Related controls: AU-2, AU-8.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system includes organization-defined additional,
+ more detailed information in the audit records for audit events identified by
+ type, location, or subject.
+
+
+
+
+
+
Supplemental guidance
+
+
An example of detailed information that the organization may require in audit records
+ is full-text recording of privileged commands or the individual identities of group
+ account users.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization centrally manages the content of audit records generated by
+ organization-defined information system components.
+
+
+
+
+
+
+
+
+
+
+
+
Audit Storage Capacity
+
+
+
control-class: Technical
+
+
number: AU-4
+
+
priority: P1
+
+
+
Control
+
+
The organization allocates audit record storage capacity and configures auditing to
+ reduce the likelihood of such capacity being exceeded.
+
+
+
+
+
+
Supplemental guidance
+
+
The organization considers the types of auditing to be performed and the audit processing
+ requirements when allocating audit storage capacity. Related controls: AU-2, AU-5, AU-6,
+ AU-7, SI-4.
+
+
+
+
+
+
+
+
Response To Audit Processing Failures
+
+
+
control-class: Technical
+
+
number: AU-5
+
+
priority: P1
+
+
+
Control
+
+
The information system:
+
+
+
+
Alerts designated organizational officials in the event of an audit processing
+ failure; and
+
+
+
Takes the following additional actions: organization-defined actions
+ to be taken (e.g., shut down information system, overwrite oldest audit records, stop
+ generating audit records).
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Audit processing failures include, for example, software/hardware errors, failures in the
+ audit capturing mechanisms, and audit storage capacity being reached or exceeded. Related
+ control: AU-4.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The information system provides a warning when allocated audit record storage volume
+ reaches organization-defined percentage of maximum audit record
+ storage capacity.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The information system provides a real-time alert when the following audit failure
+ events occur: organization-defined audit failure events requiring
+ real-time alerts.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system enforces configurable traffic volume thresholds representing
+ auditing capacity for network traffic and
+
+
rejects
+
or delays
+
+ network traffic above those thresholds.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system invokes a system shutdown in the event of an audit failure,
+ unless an alternative audit capability exists.
+
+
+
+
+
+
+
+
+
+
+
+
Audit Review, Analysis, and Reporting
+
+
+
control-class: Technical
+
+
number: AU-6
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Reviews and analyzes information system audit records organization-defined
+ frequency for indications of inappropriate or unusual activity, and reports
+ findings to designated organizational officials; and
+
+
+
Adjusts the level of audit review, analysis, and reporting within the information
+ system when there is a change in risk to organizational operations, organizational
+ assets, individuals, other organizations, or the Nation based on law enforcement
+ information, intelligence information, or other credible sources of information.
+
The information system integrates audit review, analysis, and reporting processes to
+ support organizational processes for investigation and response to suspicious
+ activities.
+
The organization analyzes and correlates audit records across different repositories
+ to gain organization-wide situational awareness.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system centralizes the review and analysis of audit records from
+ multiple components within the system.
+
+
+
+
+
+
Supplemental guidance
+
+
An example of an automated mechanism for centralized review and analysis is a
+ Security Information Management (SIM) product. Related control: AU-2.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization integrates analysis of audit records with analysis of vulnerability
+ scanning information, performance data, and network monitoring information to further
+ enhance the ability to identify inappropriate or unusual activity.
+
+
+
+
+
+
Supplemental guidance
+
+
A Security Event/Information Management system tool can facilitate audit record
+ aggregation and consolidation from multiple information system components as well as
+ audit record correlation and analysis. The use of standardized audit record analysis
+ scripts developed by the organization (with localized script adjustments, as
+ necessary), provides a more cost-effective approach for analyzing audit record
+ information collected. The correlation of audit record information with vulnerability
+ scanning information is important in determining the veracity of the vulnerability
+ scans and correlating attack detection events with scanning results. Related control:
+ AU-7, RA-5, SI-4.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization correlates information from audit records with information obtained
+ from monitoring physical access to further enhance the ability to identify suspicious,
+ inappropriate, unusual, or malevolent activity.
+
The organization specifies the permitted actions for each authorized information
+ system process, role, and/or user in the audit and accountability policy.
+
+
+
+
+
+
Supplemental guidance
+
+
Permitted actions for information system processes, roles, and/or users associated
+ with the review, analysis, and reporting of audit records include, for example, read,
+ write, append, and delete.
+
The organization performs, in a physically dedicated information system, full-text
+ analysis of privileged functions executed.
+
+
+
+
+
+
+
+
+
+
+
+
Audit Reduction and Report Generation
+
+
+
control-class: Technical
+
+
number: AU-7
+
+
priority: P2
+
+
+
Control
+
+
The information system provides an audit reduction and report generation capability.
+
+
+
+
+
Supplemental guidance
+
+
An audit reduction and report generation capability provides support for near real-time
+ audit review, analysis, and reporting requirements described in AU-6 and after-the-fact
+ investigations of security incidents. Audit reduction and reporting tools do not alter
+ original audit records. Related control: AU-6.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system provides the capability to automatically process audit records
+ for events of interest based on selectable event criteria.
+
+
+
+
+
+
+
+
+
+
+
+
Time Stamps
+
+
+
control-class: Technical
+
+
number: AU-8
+
+
priority: P1
+
+
+
Control
+
+
The information system uses internal system clocks to generate time stamps for audit
+ records.
+
+
+
+
+
+
Supplemental guidance
+
+
Time stamps generated by the information system include both date and time. The time may
+ be expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean
+ Time (GMT), or local time with an offset from UTC. Related control: AU-3.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system synchronizes internal information system clocks
+ organization-defined frequency with organization-defined
+ authoritative time source.
+
+
+
+
+
+
+
+
+
+
+
+
Protection of Audit Information
+
+
+
control-class: Technical
+
+
number: AU-9
+
+
priority: P1
+
+
+
Control
+
+
The information system protects audit information and audit tools from unauthorized
+ access, modification, and deletion.
+
+
+
+
+
+
Supplemental guidance
+
+
Audit information includes all information (e.g., audit records, audit settings, and
+ audit reports) needed to successfully audit information system activity. Related controls:
+ AC-3, AC-6.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system produces audit records on hardware-enforced, write-once
+ media.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system backs up audit records organization-defined
+ frequency onto a different system or media than the system being audited.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system uses cryptographic mechanisms to protect the integrity of
+ audit information and audit tools.
+
+
+
+
+
+
Supplemental guidance
+
+
An example of a cryptographic mechanism for the protection of integrity is the
+ computation and application of a cryptographic-signed hash using asymmetric
+ cryptography, protecting the confidentiality of the key used to generate the hash, and
+ using the public key to verify the hash information.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization:
+
+
+
+
Authorizes access to management of audit functionality to only a limited subset of
+ privileged users; and
+
+
+
Protects the audit records of non-local accesses to privileged accounts and the
+ execution of privileged functions.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Auditing may not be reliable when performed by the information system to which the
+ user being audited has privileged access. The privileged user may inhibit auditing or
+ modify audit records. This control enhancement helps mitigate this risk by requiring
+ that privileged access be further defined between audit-related privileges and other
+ privileges, thus, limiting the users with audit-related privileges. Reducing the risk
+ of audit compromises by privileged users can also be achieved, for example, by
+ performing audit activity on a separate information system or by using storage media
+ that cannot be modified (e.g., write-once recording devices).
+
+
+
+
+
+
+
+
+
+
+
+
Non-repudiation
+
+
+
control-class: Technical
+
+
number: AU-10
+
+
priority: P1
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The information system protects against an individual falsely denying having performed a
+ particular action.
+
+
+
+
+
+
Supplemental guidance
+
+
Examples of particular actions taken by individuals include creating information, sending
+ a message, approving information (e.g., indicating concurrence or signing a contract), and
+ receiving a message. Non-repudiation protects individuals against later claims by an
+ author of not having authored a particular document, a sender of not having transmitted a
+ message, a receiver of not having received a message, or a signatory of not having signed
+ a document. Non-repudiation services can be used to determine if information originated
+ from an individual, or if an individual took specific actions (e.g., sending an email,
+ signing a contract, approving a procurement request) or received specific information.
+ Non-repudiation services are obtained by employing various techniques or mechanisms (e.g.,
+ digital signatures, digital message receipts).
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system associates the identity of the information producer with the
+ information.
+
+
+
+
+
+
Supplemental guidance
+
+
This control enhancement supports audit requirements that provide appropriate
+ organizational officials the means to identify who produced specific information in
+ the event of an information transfer. The nature and strength of the binding between
+ the information producer and the information are determined and approved by the
+ appropriate organizational officials based on the security categorization of the
+ information and relevant risk factors.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system validates the binding of the information producers identity to
+ the information.
+
+
+
+
+
+
Supplemental guidance
+
+
This control enhancement is intended to mitigate the risk that information is
+ modified between production and review. The validation of bindings can be achieved,
+ for example, by the use of cryptographic checksums.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system maintains reviewer/releaser identity and credentials within
+ the established chain of custody for all information reviewed or released.
+
+
+
+
+
+
Supplemental guidance
+
+
If the reviewer is a human or if the review function is automated but separate from
+ the release/transfer function, the information system associates the identity of the
+ reviewer of the information to be released with the information and the information
+ label. In the case of human reviews, this control enhancement provides appropriate
+ organizational officials the means to identify who reviewed and released the
+ information. In the case of automated reviews, this control enhancement helps ensure
+ that only approved review functions are employed.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system validates the binding of the reviewers identity to the
+ information at the transfer/release point prior to release/transfer from one security
+ domain to another security domain.
+
+
+
+
+
+
Supplemental guidance
+
+
This control enhancement is intended to mitigate the risk that information is
+ modified between review and transfer/release.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs
+
+
FIPS-validated;
+
NSA-approved
+
+ cryptography to implement digital signatures.
+
+
+
The organization retains audit records for organization-defined time
+ period consistent with records retention policy to provide support for
+ after-the-fact investigations of security incidents and to meet regulatory and
+ organizational information retention requirements.
+
+
+
+
+
+
Supplemental guidance
+
+
The organization retains audit records until it is determined that they are no longer
+ needed for administrative, legal, audit, or other operational purposes. This includes, for
+ example, retention and availability of audit records relative to Freedom of Information
+ Act (FOIA) requests, subpoena, and law enforcement actions. Standard categorizations of
+ audit records relative to such types of actions and standard response processes for each
+ type of action are developed and disseminated. The National Archives and Records
+ Administration (NARA) General Records Schedules (GRS) provide federal policy on record
+ retention.
+
+
+
+
+
+
+
+
Audit Generation
+
+
+
control-class: Technical
+
+
number: AU-12
+
+
priority: P1
+
+
+
Control
+
+
The information system:
+
+
+
+
Provides audit record generation capability for the list of auditable events defined
+ in AU-2 at organization-defined information system
+ components;
+
+
+
Allows designated organizational personnel to select which auditable events are to be
+ audited by specific components of the system; and
+
+
+
Generates audit records for the list of audited events defined in AU-2 with the
+ content as defined in AU-3.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Audits records can be generated from various components within the information system.
+ The list of audited events is the set of events for which audits are to be generated. This
+ set of events is typically a subset of the list of all events for which the system is
+ capable of generating audit records (i.e., auditable events). Related controls: AU-2,
+ AU-3.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The information system compiles audit records from organization-defined
+ information system components into a system-wide (logical or physical)
+ audit trail that is time-correlated to within organization-defined level of
+ tolerance for relationship between time stamps of individual records in the audit
+ trail.
+
+
+
+
+
+
Supplemental guidance
+
+
The audit trail is time-correlated if the time stamp in the individual audit records
+ can be reliably related to the time stamp in other audit records to achieve a time
+ ordering of the records within the organization-defined tolerance.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system produces a system-wide (logical or physical) audit trail
+ composed of audit records in a standardized format.
+
+
+
+
+
+
Supplemental guidance
+
+
Audit information normalized to a common standard promotes interoperability and
+ exchange of such information between dissimilar devices and information systems. This
+ facilitates an audit system that produces event information that can be more readily
+ analyzed and correlated. System log records and audit records compliant with the
+ Common Event Expression (CEE) are examples of standard formats for audit records. If
+ individual logging mechanisms within the information system do not conform to a
+ standardized format, the system may convert individual audit records into a
+ standardized format when compiling the system-wide audit trail.
+
+
+
+
+
+
+
+
+
+
+
+
Monitoring for Information Disclosure
+
+
+
control-class: Technical
+
+
number: AU-13
+
+
priority: P0
+
+
+
Control
+
+
The organization monitors open source information for evidence of unauthorized
+ exfiltration or disclosure of organizational information organization-defined
+ frequency.
+
+
+
+
+
+
Supplemental guidance
+
+
None.
+
+
+
+
+
+
+
Session Audit
+
+
+
control-class: Technical
+
+
number: AU-14
+
+
priority: P0
+
+
+
Control
+
+
The information system provides the capability to:
+
+
+
+
Capture/record and log all content related to a user session; and
+
+
Remotely view/hear all content related to an established user session in real
+ time.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Session auditing activities are developed, integrated, and used in consultation with
+ legal counsel in accordance with applicable federal laws, Executive Orders, directives,
+ policies, or regulations.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system initiates session audits at system start-up.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Security Assessment and Authorization
+
+
+
Security Assessment and Authorization Policies and Procedures
+
+
+
control-class: Management
+
+
number: CA-1
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, disseminates, and reviews/updates organization-defined
+ frequency:
+
+
+
+
+
Formal, documented security assessment and authorization policies that address
+ purpose, scope, roles, responsibilities, management commitment, coordination among
+ organizational entities, and compliance; and
+
+
+
Formal, documented procedures to facilitate the implementation of the security
+ assessment and authorization policies and associated security assessment and
+ authorization controls.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended to produce the policy and procedures that are required for the
+ effective implementation of selected security controls and control enhancements in the
+ security assessment and authorization family. The policies and procedures are consistent
+ with applicable federal laws, Executive Orders, directives, policies, regulations,
+ standards, and guidance. Existing organizational policies and procedures may make the need
+ for additional specific policies and procedures unnecessary. The security
+ assessment/authorization policies can be included as part of the general information
+ security policy for the organization. Security assessment/authorization procedures can be
+ developed for the security program in general and for a particular information system,
+ when required. The organizational risk management strategy is a key factor in the
+ development of the security assessment and authorization policy. Related control:
+ PM-9.
+
+
+
+
+
+
+
+
+
NIST 800-100
+
+
+
+
+
+
NIST
+ 800-12
+
+
+
+
+
+
+
NIST 800-37
+
+
+
+
+
+
NIST 800-53A
+
+
+
+
+
+
+
+
+
Security Assessments
+
+
+
control-class: Management
+
+
number: CA-2
+
+
priority: P2
+
+
+
Control
+
+
The organization:
+
+
+
+
Develops a security assessment plan that describes the scope of the assessment
+ including:
+
+
+
Security controls and control enhancements under assessment;
+
+
Assessment procedures to be used to determine security control effectiveness; and
+
+
Assessment environment, assessment team, and assessment roles and
+ responsibilities;
+
+
+
+
+
+
+
Assesses the security controls in the information system organization-defined
+ frequency to determine the extent to which the controls are implemented
+ correctly, operating as intended, and producing the desired outcome with respect to
+ meeting the security requirements for the system;
+
+
+
Produces a security assessment report that documents the results of the assessment;
+ and
+
+
+
Provides the results of the security control assessment, in writing, to the
+ authorizing official or authorizing official designated representative.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
The organization assesses the security controls in an information system as part of: (i)
+ security authorization or reauthorization; (ii) meeting the FISMA requirement for annual
+ assessments; (iii) continuous monitoring; and (iv) testing/evaluation of the information
+ system as part of the system development life cycle process. The assessment report
+ documents the assessment results in sufficient detail as deemed necessary by the
+ organization, to determine the accuracy and completeness of the report and whether the
+ security controls are implemented correctly, operating as intended, and producing the
+ desired outcome with respect to meeting the security requirements of the information
+ system. The FISMA requirement for (at least) annual security control assessments should
+ not be interpreted by organizations as adding additional assessment requirements to those
+ requirements already in place in the security authorization process. To satisfy the FISMA
+ annual assessment requirement, organizations can draw upon the security control assessment
+ results from any of the following sources, including but not limited to: (i) assessments
+ conducted as part of an information system authorization or reauthorization process; (ii)
+ continuous monitoring (see CA-7); or (iii) testing and evaluation of an information system
+ as part of the ongoing system development life cycle (provided that the testing and
+ evaluation results are current and relevant to the determination of security control
+ effectiveness). Existing security control assessment results are reused to the extent that
+ they are still valid and are supplemented with additional assessments as needed.
+
+
+
Subsequent to the initial authorization of the information system and in accordance with
+ OMB policy, the organization assesses a subset of the security controls annually during
+ continuous monitoring. The organization establishes the security control selection
+ criteria and subsequently selects a subset of the security controls within the information
+ system and its environment of operation for assessment. Those security controls that are
+ the most volatile (i.e., controls most affected by ongoing changes to the information
+ system or its environment of operation) or deemed critical by the organization to
+ protecting organizational operations and assets, individuals, other organizations, and the
+ Nation are assessed more frequently in accordance with an organizational assessment of
+ risk. All other controls are assessed at least once during the information systems
+ three-year authorization cycle. The organization can use the current years assessment
+ results from any of the above sources to meet the FISMA annual assessment requirement
+ provided that the results are current, valid, and relevant to determining security control
+ effectiveness. External audits (e.g., audits conducted by external entities such as
+ regulatory agencies) are outside the scope of this control. Related controls: CA-6, CA-7,
+ PM-9, SA-11.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs an independent assessor or assessment team to conduct an
+ assessment of the security controls in the information system.
+
+
+
+
+
+
Supplemental guidance
+
+
An independent assessor or assessment team is any individual or group capable of
+ conducting an impartial assessment of an organizational information system.
+ Impartiality implies that the assessors are free from any perceived or actual
+ conflicts of interest with respect to the developmental, operational, and/or
+ management chain associated with the information system or to the determination of
+ security control effectiveness. Independent security assessment services can be
+ obtained from other elements within the organization or can be contracted to a public
+ or private sector entity outside of the organization. Contracted assessment services
+ are considered independent if the information system owner is not directly involved in
+ the contracting process or cannot unduly influence the impartiality of the assessor or
+ assessment team conducting the assessment of the security controls in the information
+ system. The authorizing official determines the required level of assessor
+ independence based on the security categorization of the information system and/or the
+ ultimate risk to organizational operations and assets, and to individuals. The
+ authorizing official determines if the level of assessor independence is sufficient to
+ provide confidence that the assessment results produced are sound and can be used to
+ make a credible, risk-based decision. In special situations, for example when the
+ organization that owns the information system is small or the organizational structure
+ requires that the assessment be accomplished by individuals that are in the
+ developmental, operational, and/or management chain of the system owner, independence
+ in the assessment process can be achieved by ensuring that the assessment results are
+ carefully reviewed and analyzed by an independent team of experts to validate the
+ completeness, accuracy, integrity, and reliability of the results.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization includes as part of security control assessments,
+ organization-defined frequency,
+
+
+
announced;
+
+
unannounced
+
+
,
+
+
+
in-depth monitoring;
+
+
malicious user testing;
+
+
penetration testing; red team exercises;
+
+
organization-defined other forms of security
+ testing
+
+
+
.
+
+
+
+
+
+
Supplemental guidance
+
+
Penetration testing exercises both physical and technical security controls. A
+ standard method for penetration testing consists of: (i) pretest analysis based on
+ full knowledge of the target system; (ii) pretest identification of potential
+ vulnerabilities based on pretest analysis; and (iii) testing designed to determine
+ exploitability of identified vulnerabilities. Detailed rules of engagement are agreed
+ upon by all parties before the commencement of any penetration testing scenario. These
+ rules of engagement are correlated with the tools, techniques, and procedures that are
+ anticipated to be employed by threat-sources in carrying out attacks. An
+ organizational assessment of risk guides the decision on the level of independence
+ required for penetration agents or penetration teams conducting penetration testing.
+ Red team exercises are conducted as a simulated adversarial attempt to compromise
+ organizational missions and/or business processes to provide a comprehensive
+ assessment of the security capability of the information system and organization.
+ While penetration testing may be laboratory-based testing, red team exercises are
+ intended to be more comprehensive in nature and reflect real-world conditions.
+ Information system monitoring, malicious user testing, penetration testing, red-team
+ exercises, and other forms of security testing (e.g., independent verification and
+ validation) are conducted to improve the readiness of the organization by exercising
+ organizational capabilities and indicating current performance levels as a means of
+ focusing organizational actions to improve the security state of the system and
+ organization. Testing is conducted in accordance with applicable federal laws,
+ Executive Orders, directives, policies, regulations, and standards. Testing methods
+ are approved by authorizing officials in coordination with the organizations Risk
+ Executive Function. Vulnerabilities uncovered during red team exercises are
+ incorporated into the vulnerability remediation process. Related controls: RA-5,
+ SI-2.
+
+
+
+
+
+
+
+
+
+
+
+
+
FIPS
+ Publication 199
+
+
+
+
+
+
+
NIST
+ 800-115
+
+
+
+
+
+
+
NIST 800-37
+
+
+
+
+
+
NIST 800-53A
+
+
+
+
+
+
+
+
+
Information System Connections
+
+
+
control-class: Management
+
+
number: CA-3
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Authorizes connections from the information system to other information systems
+ outside of the authorization boundary through the use of Interconnection Security
+ Agreements;
+
+
+
Documents, for each connection, the interface characteristics, security requirements,
+ and the nature of the information communicated; and
+
+
+
Monitors the information system connections on an ongoing basis verifying enforcement
+ of security requirements.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control applies to dedicated connections between information systems and does not
+ apply to transitory, user-controlled connections such as email and website browsing. The
+ organization carefully considers the risks that may be introduced when information systems
+ are connected to other systems with different security requirements and security controls,
+ both within the organization and external to the organization. Authorizing officials
+ determine the risk associated with each connection and the appropriate controls employed.
+ If the interconnecting systems have the same authorizing official, an Interconnection
+ Security Agreement is not required. Rather, the interface characteristics between the
+ interconnecting information systems are described in the security plans for the respective
+ systems. If the interconnecting systems have different authorizing officials but the
+ authorizing officials are in the same organization, the organization determines whether an
+ Interconnection Security Agreement is required, or alternatively, the interface
+ characteristics between systems are described in the security plans of the respective
+ systems. Instead of developing an Interconnection Security Agreement, organizations may
+ choose to incorporate this information into a formal contract, especially if the
+ interconnection is to be established between a federal agency and a nonfederal (private
+ sector) organization. In every case, documenting the interface characteristics is
+ required, yet the formality and approval process vary considerably even though all
+ accomplish the same fundamental objective of managing the risk being incurred by the
+ interconnection of the information systems. Risk considerations also include information
+ systems sharing the same networks. Information systems may be identified and authenticated
+ as devices in accordance with IA-3. Related controls: AC-4, IA-3, SC-7, SA-9.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization prohibits the direct connection of an unclassified, national
+ security system to an external network.
+
+
+
+
+
+
Supplemental guidance
+
+
An external network is a network that is not controlled by the organization (e.g.,
+ the Internet). No direct connection means that an information system cannot connect to
+ an external network without the use of an approved boundary protection device (e.g.,
+ firewall) that mediates the communication between the system and the network
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization prohibits the direct connection of a classified, national security
+ system to an external network.
+
+
+
+
+
+
Supplemental guidance
+
+
An external network is a network that is not controlled by the organization (e.g.,
+ the Internet). No direct connection means that an information system cannot connect to
+ an external network without the use of an approved boundary protection device (e.g.,
+ firewall) that mediates the communication between the system and the network. In
+ addition, the approved boundary protection device (typically a managed
+ interface/cross-domain system), provides information flow enforcement from the
+ information system to the external network consistent with AC-4.
+
Develops a plan of action and milestones for the information system to document the
+ organizations planned remedial actions to correct weaknesses or deficiencies noted
+ during the assessment of the security controls and to reduce or eliminate known
+ vulnerabilities in the system; and
+
+
+
Updates existing plan of action and milestones organization-defined
+ frequency based on the findings from security controls assessments, security
+ impact analyses, and continuous monitoring activities.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
The plan of action and milestones is a key document in the security authorization package
+ and is subject to federal reporting requirements established by OMB. Related control:
+ PM-4.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automated mechanisms to help ensure that the plan of action
+ and milestones for the information system is accurate, up to date, and readily
+ available.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST 800-37
+
+
+
+
+
+
OMB Memorandum 02-01
+
+
+
+
+
+
+
+
+
Security Authorization
+
+
+
control-class: Management
+
+
number: CA-6
+
+
priority: P3
+
+
+
Control
+
+
The organization:
+
+
+
+
Assigns a senior-level executive or manager to the role of authorizing official for
+ the information system;
+
+
+
Ensures that the authorizing official authorizes the information system for processing
+ before commencing operations; and
+
+
+
Updates the security authorization organization-defined
+ frequency.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Security authorization is the official management decision, conveyed through the
+ authorization decision document, given by a senior organizational official or executive
+ (i.e., authorizing official) to authorize operation of an information system and to
+ explicitly accept the risk to organizational operations and assets, individuals, other
+ organizations, and the Nation based on the implementation of an agreed-upon set of
+ security controls. Authorizing officials typically have budgetary oversight for
+ information systems or are responsible for the mission or business operations supported by
+ the systems. Security authorization is an inherently federal responsibility and therefore,
+ authorizing officials must be federal employees. Through the security authorization
+ process, authorizing officials are accountable for the security risks associated with
+ information system operations. Accordingly, authorizing officials are in management
+ positions with a level of authority commensurate with understanding and accepting such
+ information system-related security risks. Through the employment of a comprehensive
+ continuous monitoring process, the critical information contained in the authorization
+ package (i.e., the security plan (including risk assessment), the security assessment
+ report, and the plan of action and milestones) is updated on an ongoing basis, providing
+ the authorizing official and the information system owner with an up-to-date status of the
+ security state of the information system. To reduce the administrative cost of security
+ reauthorization, the authorizing official uses the results of the continuous monitoring
+ process to the maximum extent possible as the basis for rendering a reauthorization
+ decision. OMB policy requires that federal information systems are reauthorized at least
+ every three years or when there is a significant change to the system. The organization
+ defines what constitutes a significant change to the information system. Related controls:
+ CA-2, CA-7, PM-9, PM-10.
+
+
+
+
+
+
+
+
+
NIST 800-37
+
+
+
+
+
+
OMB Circular
+ A-130
+
+
+
+
+
+
+
+
+
+
Continuous Monitoring
+
+
+
control-class: Management
+
+
number: CA-7
+
+
priority: P3
+
+
+
Control
+
+
The organization establishes a continuous monitoring strategy and implements a continuous
+ monitoring program that includes:
+
+
+
+
+
A configuration management process for the information system and its constituent
+ components;
+
+
+
A determination of the security impact of changes to the information system and
+ environment of operation;
+
+
+
Ongoing security control assessments in accordance with the organizational continuous
+ monitoring strategy; and
+
+
+
Reporting the security state of the information system to appropriate organizational
+ officials organization-defined frequency.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
A continuous monitoring program allows an organization to maintain the security
+ authorization of an information system over time in a highly dynamic environment of
+ operation with changing threats, vulnerabilities, technologies, and missions/business
+ processes. Continuous monitoring of security controls using automated support tools
+ facilitates near real-time risk management and promotes organizational situational
+ awareness with regard to the security state of the information system. The implementation
+ of a continuous monitoring program results in ongoing updates to the security plan, the
+ security assessment report, and the plan of action and milestones, the three principal
+ documents in the security authorization package. A rigorous and well executed continuous
+ monitoring program significantly reduces the level of effort required for the
+ reauthorization of the information system. Continuous monitoring activities are scaled in
+ accordance with the security categorization of the information system. Related controls:
+ CA-2, CA-5, CA-6, CM-3, CM-4.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs an independent assessor or assessment team to monitor the
+ security controls in the information system on an ongoing basis.
+
+
+
+
+
+
Supplemental guidance
+
+
The organization can extend and maximize the value of the ongoing assessment of
+ security controls during the continuous monitoring process by requiring an independent
+ assessor or team to assess all of the security controls during the information systems
+ three-year authorization cycle. See supplemental guidance for CA-2, enhancement (1),
+ for further information on assessor independence. Related controls: CA-2, CA-5, CA-6,
+ CM-4.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization plans, schedules, and conducts assessments
+ organization-defined frequency,
+
+
+
announced;
+
+
unannounced
+
+
,
+
+
+
in-depth monitoring;
+
+
malicious user testing;
+
+
penetration testing;
+
+
red team exercises;
+
+
+ organization-defined other forms of security assessment
+
+
to ensure compliance with all vulnerability mitigation procedures.
+
+
+
+
+
+
Supplemental guidance
+
+
Examples of vulnerability mitigation procedures are contained in Information
+ Assurance Vulnerability Alerts. Testing is intended to ensure that the information
+ system continues to provide adequate security against constantly evolving threats and
+ vulnerabilities. Conformance testing also provides independent validation. See
+ supplemental guidance for CA-2, enhancement (2) for further information on malicious
+ user testing, penetration testing, red-team exercises, and other forms of security
+ testing. Related control: CA-2.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST 800-37
+
+
+
+
+
+
NIST 800-53A
+
+
+
+
+
+
US-CERT Technical Cyber Security
+ Alerts
+
+
+
+
+
+
+
+
+
+
+
+
+
Configuration Management
+
+
+
Configuration Management Policy and Procedures
+
+
+
control-class: Operational
+
+
number: CM-1
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, disseminates, and reviews/updates organization-defined
+ frequency:
+
+
+
+
+
A formal, documented configuration management policy that addresses purpose, scope,
+ roles, responsibilities, management commitment, coordination among organizational
+ entities, and compliance; and
+
+
+
Formal, documented procedures to facilitate the implementation of the configuration
+ management policy and associated configuration management controls.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended to produce the policy and procedures that are required for the
+ effective implementation of selected security controls and control enhancements in the
+ configuration management family. The policy and procedures are consistent with applicable
+ federal laws, Executive Orders, directives, policies, regulations, standards, and
+ guidance. Existing organizational policies and procedures may make the need for additional
+ specific policies and procedures unnecessary. The configuration management policy can be
+ included as part of the general information security policy for the organization.
+ Configuration management procedures can be developed for the security program in general
+ and for a particular information system, when required. The organizational risk management
+ strategy is a key factor in the development of the configuration management policy.
+ Related control: PM-9.
+
+
+
+
+
+
+
+
+
NIST 800-100
+
+
+
+
+
+
NIST
+ 800-12
+
+
+
+
+
+
+
+
+
+
Baseline Configuration
+
+
+
control-class: Operational
+
+
number: CM-2
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, documents, and maintains under configuration control, a
+ current baseline configuration of the information system.
+
+
+
+
+
+
Supplemental guidance
+
+
This control establishes a baseline configuration for the information system and its
+ constituent components including communications and connectivity-related aspects of the
+ system. The baseline configuration provides information about the components of an
+ information system (e.g., the standard software load for a workstation, server, network
+ component, or mobile device including operating system/installed applications with current
+ version numbers and patch information), network topology, and the logical placement of the
+ component within the system architecture. The baseline configuration is a documented,
+ up-to-date specification to which the information system is built. Maintaining the
+ baseline configuration involves creating new baselines as the information system changes
+ over time. The baseline configuration of the information system is consistent with the
+ organizations enterprise architecture. Related controls: CM-3, CM-6, CM-8, CM-9.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization reviews and updates the baseline configuration of the information
+ system:
+
+
+
+
+
organization-defined frequency;
+
+
+
When required due to Assignment organization-defined circumstances;
+ and
+
+
+
As an integral part of information system component installations and
+ upgrades.
+
+
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization employs automated mechanisms to maintain an up-to-date, complete,
+ accurate, and readily available baseline configuration of the information system.
+
+
+
+
+
+
Supplemental guidance
+
+
Software inventory tools are examples of automated mechanisms that help organizations
+ maintain consistent baseline configurations for information systems. Software
+ inventory tools can be deployed for each operating system in use within the
+ organization (e.g., on workstations, servers, network components, mobile devices) and
+ used to track operating system version numbers, applications and types of software
+ installed on the operating systems, and current patch levels. Software inventory tools
+ can also scan information systems for unauthorized software to validate
+ organization-defined lists of authorized and unauthorized software programs.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization retains older versions of baseline configurations as deemed
+ necessary to support rollback.
+
+
+
+
+
+
+
+
+
+
baseline-impact: MODERATE
+
+
+
Control
+
+
The organization:
+
+
+
+
Develops and maintains organization-defined list of software
+ programs not authorized to execute on the information system; and
+
+
+
Employs an allow-all, deny-by-exception authorization policy to identify software
+ allowed to execute on the information system.
+
+
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization:
+
+
+
+
Develops and maintains organization-defined list of software
+ programs authorized to execute on the information system; and
+
+
+
Employs a deny-all, permit-by-exception authorization policy to identify software
+ allowed to execute on the information system.
+
+
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization maintains a baseline configuration for development and test
+ environments that is managed separately from the operational baseline
+ configuration.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-128
+
+
+
+
+
+
+
+
+
+
Configuration Change Control
+
+
+
control-class: Operational
+
+
number: CM-3
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Determines the types of changes to the information system that are configuration
+ controlled;
+
+
+
Approves configuration-controlled changes to the system with explicit consideration
+ for security impact analyses;
+
+
+
Documents approved configuration-controlled changes to the system;
+
+
Retains and reviews records of configuration-controlled changes to the system;
+
+
Audits activities associated with configuration-controlled changes to the system;
+ and
+
+
+
Coordinates and provides oversight for configuration change control activities through
+ organization-defined configuration change control element (e.g.,
+ committee, board that convenes
+
The organization determines the types of changes to the information system that are
+ configuration controlled. Configuration change control for the information system involves
+ the systematic proposal, justification, implementation, test/evaluation, review, and
+ disposition of changes to the system, including upgrades and modifications. Configuration
+ change control includes changes to components of the information system, changes to the
+ configuration settings for information technology products (e.g., operating systems,
+ applications, firewalls, routers), emergency changes, and changes to remediate flaws. A
+ typical organizational process for managing configuration changes to the information
+ system includes, for example, a chartered Configuration Control Board that approves
+ proposed changes to the system. Auditing of changes refers to changes in activity before
+ and after a change is made to the information system and the auditing activities required
+ to implement the change. Related controls: CM-4, CM-5, CM-6, SI-2.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization employs automated mechanisms to:
+
+
+
+
Document proposed changes to the information system;
+
+
Notify designated approval authorities;
+
+
Highlight approvals that have not been received by organization-defined
+ time period;
+
+
+
Inhibit change until designated approvals are received; and
+
+
Document completed changes to the information system.
+
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization tests, validates, and documents changes to the information system
+ before implementing the changes on the operational system.
+
+
+
+
+
+
Supplemental guidance
+
+
The organization ensures that testing does not interfere with information system
+ operations. The individual/group conducting the tests understands the organizational
+ information security policies and procedures, the information system security policies
+ and procedures, and the specific health, safety, and environmental risks associated
+ with a particular facility and/or process. An operational system may need to be taken
+ off-line, or replicated to the extent feasible, before testing can be conducted. If an
+ information system must be taken off-line for testing, the tests are scheduled to
+ occur during planned system outages whenever possible. In situations where the
+ organization cannot conduct testing of an operational system, the organization employs
+ compensating controls (e.g., providing a replicated system to conduct testing) in
+ accordance with the general tailoring guidance.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automated mechanisms to implement changes to the current
+ information system baseline and deploys the updated baseline across the installed
+ base.
+
The organization requires an information security representative to be a member of
+ the organization-defined configuration change control element (e.g.,
+ committee, board).
+
+
+
+
+
+
Supplemental guidance
+
+
Information security representatives can include, for example, information system
+ security officers or information system security managers. The configuration change
+ control element in this control enhancement is consistent with the change control
+ element defined by the organization in CM-3.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-128
+
+
+
+
+
+
+
+
+
+
Security Impact Analysis
+
+
+
control-class: Operational
+
+
number: CM-4
+
+
priority: P2
+
+
+
Control
+
+
The organization analyzes changes to the information system to determine potential
+ security impacts prior to change implementation.
+
+
+
+
+
+
Supplemental guidance
+
+
Security impact analyses are conducted by organizational personnel with information
+ security responsibilities, including for example, Information System Administrators,
+ Information System Security Officers, Information System Security Managers, and
+ Information System Security Engineers. Individuals conducting security impact analyses
+ have the appropriate skills and technical expertise to analyze the changes to information
+ systems and the associated security ramifications. Security impact analysis may include,
+ for example, reviewing information system documentation such as the security plan to
+ understand how specific security controls are implemented within the system and how the
+ changes might affect the controls. Security impact analysis may also include an assessment
+ of risk to understand the impact of the changes and to determine if additional security
+ controls are required. Security impact analysis is scaled in accordance with the security
+ categorization of the information system. Related controls: CA-2, CA-7, CM-3, CM-9,
+ SI-2.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization analyzes new software in a separate test environment before
+ installation in an operational environment, looking for security impacts due to flaws,
+ weaknesses, incompatibility, or intentional malice.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization, after the information system is changed, checks the security
+ functions to verify that the functions are implemented correctly, operating as
+ intended, and producing the desired outcome with regard to meeting the security
+ requirements for the system.
+
+
+
+
+
+
Supplemental guidance
+
+
Changes include information system upgrades and modifications.
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-128
+
+
+
+
+
+
+
+
+
+
Access Restrictions for Change
+
+
+
control-class: Operational
+
+
number: CM-5
+
+
priority: P1
+
+
+
Control
+
+
The organization defines, documents, approves, and enforces physical and logical access
+ restrictions associated with changes to the information system.
+
+
+
+
+
+
Supplemental guidance
+
+
Any changes to the hardware, software, and/or firmware components of the information
+ system can potentially have significant effects on the overall security of the system.
+ Accordingly, only qualified and authorized individuals are allowed to obtain access to
+ information system components for purposes of initiating changes, including upgrades and
+ modifications. Additionally, maintaining records of access is essential for ensuring that
+ configuration change control is being implemented as intended and for supporting
+ after-the-fact actions should the organization become aware of an unauthorized change to
+ the information system. Access restrictions for change also include software libraries.
+ Examples of access restrictions include, for example, physical and logical access controls
+ (see AC-3 and PE-3), workflow automation, media libraries, abstract layers (e.g., changes
+ are implemented into a third-party interface rather than directly into the information
+ system component), and change windows (e.g., changes occur only during specified times,
+ making unauthorized changes outside the window easy to discover). Some or all of the
+ enforcement mechanisms and processes necessary to implement this security control are
+ included in other controls. For measures implemented in other controls, this control
+ provides information to be used in the implementation of the other controls to cover
+ specific needs related to enforcing authorizations to make changes to the information
+ system, auditing changes, and retaining and review records of changes. Related controls:
+ AC-3, AC-6, PE-3.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization employs automated mechanisms to enforce access restrictions and
+ support auditing of the enforcement actions.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization conducts audits of information system changes
+ organization-defined frequency and when indications so warrant to
+ determine whether unauthorized changes have occurred.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The information system prevents the installation of organization-defined
+ critical software programs that are not signed with a certificate that is
+ recognized and approved by the organization.
+
+
+
+
+
+
Supplemental guidance
+
+
Critical software programs and/or modules include, for example, patches, service
+ packs, and where applicable, device drivers.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization enforces a two-person rule for changes to
+ organization-defined information system components and system-level
+ information.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization:
+
+
+
+
Limits information system developer/integrator privileges to change hardware,
+ software, and firmware components and system information directly within a
+ production environment; and
+
+
+
Reviews and reevaluates information system developer/integrator privileges
+ organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization limits privileges to change software resident within software
+ libraries (including privileged programs).
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system automatically implements organization-defined
+ safeguards and countermeasures if security functions (or mechanisms) are
+ changed inappropriately.
+
+
+
+
+
+
Supplemental guidance
+
+
The information system reacts automatically when inappropriate and/or unauthorized
+ modifications have occurred to security functions or mechanisms. Automatic
+ implementation of safeguards and countermeasures includes, for example, reversing the
+ change, halting the information system or triggering an audit alert when an
+ unauthorized modification to a critical security file occurs.
+
+
+
+
+
+
+
+
+
+
+
+
Configuration Settings
+
+
+
control-class: Operational
+
+
number: CM-6
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Establishes and documents mandatory configuration settings for information technology
+ products employed within the information system using organization-defined
+ security configuration checklists that reflect the most restrictive mode
+ consistent with operational requirements;
+
+
+
Implements the configuration settings;
+
+
Identifies, documents, and approves exceptions from the mandatory configuration
+ settings for individual components within the information system based on explicit
+ operational requirements; and
+
+
+
Monitors and controls changes to the configuration settings in accordance with
+ organizational policies and procedures.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Configuration settings are the configurable security-related parameters of information
+ technology products that are part of the information system. Security-related parameters
+ are those parameters impacting the security state of the system including parameters
+ related to meeting other security control requirements. Security-related parameters
+ include, for example, registry settings; account, file, and directory settings (i.e.,
+ permissions); and settings for services, ports, protocols, and remote connections.
+ Organizations establish organization-wide mandatory configuration settings from which the
+ settings for a given information system are derived. A security configuration checklist
+ (sometimes referred to as a lockdown guide, hardening guide, security guide, security
+ technical implementation guide [STIG], or benchmark) is a series of instructions or
+ procedures for configuring an information system component to meet operational
+ requirements. Checklists can be developed by information technology developers and
+ vendors, consortia, academia, industry, federal agencies (and other government
+ organizations), and others in the public and private sectors. An example of a security
+ configuration checklist is the Federal Desktop Core Configuration (FDCC) which potentially
+ affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security
+ Content Automation Protocol (SCAP) and defined standards within the protocol (e.g., Common
+ Configuration Enumeration) provide an effective method to uniquely identify, track, and
+ control configuration settings. OMB establishes federal policy on configuration
+ requirements for federal information systems. Related controls: CM-2, CM-3, SI-4.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization employs automated mechanisms to centrally manage, apply, and verify
+ configuration settings.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization employs automated mechanisms to respond to unauthorized changes to
+ organization-defined configuration settings.
+
+
+
+
+
+
Supplemental guidance
+
+
Responses to unauthorized changes to configuration settings can include, for example,
+ alerting designated organizational personnel, restoring mandatory/organization-defined
+ configuration settings, or in the extreme case, halting affected information system
+ processing.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization incorporates detection of unauthorized, security-relevant
+ configuration changes into the organizations incident response capability to ensure
+ that such detected events are tracked, monitored, corrected, and available for
+ historical purposes.
+
The information system (including modifications to the baseline configuration)
+ demonstrates conformance to security configuration guidance (i.e., security
+ checklists), prior to being introduced into a production environment.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-128
+
+
+
+
+
+
+
NIST
+ 800-70
+
+
+
+
+
+
+
OMB Memorandum 07-11
+
+
+
+
+
+
OMB Memorandum 07-18
+
+
+
+
+
+
OMB Memorandum 08-22
+
+
+
+
+
+
Web Resource NVD.NIST.GOV
+
+
+
+
+
+
Web Resource WWW.NSA.GOV
+
+
+
+
+
+
+
+
+
Least Functionality
+
+
+
control-class: Operational
+
+
number: CM-7
+
+
priority: P1
+
+
+
Control
+
+
The organization configures the information system to provide only essential capabilities
+ and specifically prohibits or restricts the use of the following functions, ports,
+ protocols, and/or services: organization-defined list of prohibited or
+ restricted functions, ports, protocols, and/or services.
+
+
+
+
+
+
Supplemental guidance
+
+
Information systems are capable of providing a wide variety of functions and services.
+ Some of the functions and services, provided by default, may not be necessary to support
+ essential organizational operations (e.g., key missions, functions). Additionally, it is
+ sometimes convenient to provide multiple services from a single component of an
+ information system, but doing so increases risk over limiting the services provided by any
+ one component. Where feasible, organizations limit component functionality to a single
+ function per device (e.g., email server or web server, not both). The functions and
+ services provided by organizational information systems, or individual components of
+ information systems, are carefully reviewed to determine which functions and services are
+ candidates for elimination (e.g., Voice Over Internet Protocol, Instant Messaging,
+ auto-execute, file sharing). Organizations consider disabling unused or unnecessary
+ physical and logical ports and protocols (e.g., Universal Serial Bus [USB], File Transfer
+ Protocol [FTP], Internet Protocol Version 6 [IPv6], Hyper Text Transfer Protocol [HTTP])
+ on information system components to prevent unauthorized connection of devices,
+ unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize
+ network scanning tools, intrusion detection and prevention systems, and end-point
+ protections such as firewalls and host-based intrusion detection systems to identify and
+ prevent the use of prohibited functions, ports, protocols, and services. Related control:
+ RA-5.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization reviews the information system organization-defined
+ frequency to identify and eliminate unnecessary functions, ports, protocols,
+ and/or services.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization employs automated mechanisms to prevent program execution in
+ accordance with
+
+
Selection (one or more): list of authorized software programs;
+
+ list of unauthorized software programs;
+
+
rules authorizing the terms and conditions
+ of software program usage
+
The organization ensures compliance with organization-defined
+ registration requirements for ports, protocols, and services.
+
+
+
+
+
+
Supplemental guidance
+
+
Organizations use the registration process to manage, track, and provide oversight
+ for information systems and implemented functionality.
+
+
+
+
+
+
+
+
+
+
+
+
Information System Component Inventory
+
+
+
control-class: Operational
+
+
number: CM-8
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, documents, and maintains an inventory of information system
+ components that:
+
+
+
+
+
Accurately reflects the current information system;
+
+
Is consistent with the authorization boundary of the information system;
+
+
Is at the level of granularity deemed necessary for tracking and reporting;
+
+
Includes organization-defined information deemed necessary to achieve
+ effective property accountability; and
+
+
+
Is available for review and audit by designated organizational officials.
+
+
+
+
+
+
+
Supplemental guidance
+
+
Information deemed to be necessary by the organization to achieve effective property
+ accountability can include, for example, hardware inventory specifications (manufacturer,
+ type, model, serial number, physical location), software license information, information
+ system/component owner, and for a networked component/device, the machine name and network
+ address. Related controls: CM-2, CM-6.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization updates the inventory of information system components as an
+ integral part of component installations, removals, and information system
+ updates.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization employs automated mechanisms to help maintain an up-to-date,
+ complete, accurate, and readily available inventory of information system
+ components.
+
+
+
+
+
+
Supplemental guidance
+
+
Organizations maintain the information system inventory to the extent feasible.
+ Virtual machines, for example, can be difficult to monitor because they are not
+ visible to the network when not in use. In such cases, the intent of this control
+ enhancement is to maintain as up-to-date, complete, and accurate an inventory as is
+ reasonable.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization:
+
+
+
+
Employs automated mechanisms organization-defined frequency
+ to detect the addition of unauthorized components/devices into the information
+ system; and
+
+
+
Disables network access by such components/devices or notifies designated
+ organizational officials.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control enhancement is applied in addition to the monitoring for unauthorized
+ remote connections in AC-17 and for unauthorized mobile devices in AC-19. The
+ monitoring for unauthorized components/devices on information system networks may be
+ accomplished on an ongoing basis or by the periodic scanning of organizational
+ networks for that purpose. Automated mechanisms can be implemented within the
+ information system and/or in another separate information system or device. Related
+ controls: AC-17, AC-19.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization includes in property accountability information for information
+ system components, a means for identifying by
+
+
Selection (one or more): name;
+
+ position;
+
+
role
+
individuals responsible for administering those components.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization verifies that all components within the authorization boundary of
+ the information system are either inventoried as a part of the system or recognized by
+ another system as a component within that system.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization includes assessed component configurations and any approved
+ deviations to current deployed configurations in the information system component
+ inventory.
+
+
+
+
+
+
Supplemental guidance
+
+
: This control enhancement focuses on the configuration settings established by the
+ organization for its information system components, the specific information system
+ components that have been assessed to determine compliance with the required
+ configuration settings, and any approved deviations from established configuration
+ settings in the deployed information system components. Related controls: CM-2,
+ CM-6.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-128
+
+
+
+
+
+
+
+
+
+
Configuration Management Plan
+
+
+
control-class: Operational
+
+
number: CM-9
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, documents, and implements a configuration management plan for
+ the information system that:
+
+
+
+
+
Addresses roles, responsibilities, and configuration management processes and
+ procedures;
+
+
+
Defines the configuration items for the information system and when in the system
+ development life cycle the configuration items are placed under configuration
+ management; and
+
+
+
Establishes the means for identifying configuration items throughout the system
+ development life cycle and a process for managing the configuration of the configuration
+ items.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Configuration items are the information system items (hardware, software, firmware, and
+ documentation) to be configuration managed. The configuration management plan satisfies
+ the requirements in the organizations configuration management policy while being tailored
+ to the individual information system. The configuration management plan defines detailed
+ processes and procedures for how configuration management is used to support system
+ development life cycle activities at the information system level. The plan describes how
+ to move a change through the change management process, how configuration settings and
+ configuration baselines are updated, how the information system component inventory is
+ maintained, how development, test, and operational environments are controlled, and
+ finally, how documents are developed, released, and updated. The configuration management
+ approval process includes designation of key management stakeholders that are responsible
+ for reviewing and approving proposed changes to the information system, and security
+ personnel that would conduct an impact analysis prior to the implementation of any changes
+ to the system. Related control: SA-10.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization assigns responsibility for developing the configuration management
+ process to organizational personnel that are not directly involved in system
+ development.
+
+
+
+
+
+
Supplemental guidance
+
+
In the absence of a dedicated configuration management team, the system integrator
+ may be tasked with developing the configuration management process.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-128
+
+
+
+
+
+
+
+
+
+
+
+
+
Contingency Planning
+
+
+
Contingency Planning Policy and Procedures
+
+
+
control-class: Operational
+
+
number: CP-1
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, disseminates, and reviews/updates organization-defined
+ frequency:
+
+
+
+
+
A formal, documented contingency planning policy that addresses purpose, scope, roles,
+ responsibilities, management commitment, coordination among organizational entities, and
+ compliance; and
+
+
+
Formal, documented procedures to facilitate the implementation of the contingency
+ planning policy and associated contingency planning controls.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended to produce the policy and procedures that are required for the
+ effective implementation of selected security controls and control enhancements in the
+ contingency planning family. The policy and procedures are consistent with applicable
+ federal laws, Executive Orders, directives, policies, regulations, standards, and
+ guidance. Existing organizational policies and procedures may make the need for additional
+ specific policies and procedures unnecessary. The contingency planning policy can be
+ included as part of the general information security policy for the organization.
+ Contingency planning procedures can be developed for the security program in general and
+ for a particular information system, when required. The organizational risk management
+ strategy is a key factor in the development of the contingency planning policy. Related
+ control: PM-9.
+
+
+
+
+
+
+
+
+
Federal Continuity Directive
+ 1
+
+
+
+
+
+
+
NIST 800-100
+
+
+
+
+
+
NIST
+ 800-12
+
+
+
+
+
+
+
NIST 800-34
+
+
+
+
+
+
+
+
+
Contingency Plan
+
+
+
control-class: Operational
+
+
number: CP-2
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Develops a contingency plan for the information system that:
+
+
+
Identifies essential missions and business functions and associated contingency
+ requirements;
+
+
+
Provides recovery objectives, restoration priorities, and metrics;
Addresses maintaining essential missions and business functions despite an
+ information system disruption, compromise, or failure;
+
+
+
Addresses eventual, full information system restoration without deterioration of
+ the security measures originally planned and implemented; and
+
+
+
Is reviewed and approved by designated officials within the organization;
+
+
+
+
+
+
Distributes copies of the contingency plan to organization-defined
+ list of key contingency personnel (identified by name and/or by role) and
+ organizational elements;
+
+
+
Coordinates contingency planning activities with incident handling activities;
+
+
Reviews the contingency plan for the information system organization-defined
+ frequency;
+
+
+
Revises the contingency plan to address changes to the organization, information
+ system, or environment of operation and problems encountered during contingency plan
+ implementation, execution, or testing; and
+
+
+
Communicates contingency plan changes to organization-defined list of
+ key contingency personnel (identified by name and/or by role) and organizational
+ elements.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Contingency planning for information systems is part of an overall organizational program
+ for achieving continuity of operations for mission/business operations. Contingency
+ planning addresses both information system restoration and implementation of alternative
+ mission/business processes when systems are compromised. Information system recovery
+ objectives are consistent with applicable laws, Executive Orders, directives, policies,
+ standards, or regulations. In addition to information system availability, contingency
+ plans also address other security-related events resulting in a reduction in
+ mission/business effectiveness, such as malicious attacks compromising the confidentiality
+ or integrity of the information system. Examples of actions to call out in contingency
+ plans include, for example, graceful degradation, information system shutdown, fall back
+ to a manual mode, alternate information flows, or operating in a mode that is reserved
+ solely for when the system is under attack. Related controls: AC-14, CP-6, CP-7, CP-8,
+ IR-4, PM-8, PM-11.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization coordinates contingency plan development with organizational
+ elements responsible for related plans.
+
+
+
+
+
+
Supplemental guidance
+
+
Examples of related plans include Business Continuity Plan, Disaster Recovery Plan,
+ Continuity of Operations Plan, Crisis Communications Plan, Critical Infrastructure
+ Plan, Cyber Incident Response Plan, and Occupant Emergency Plan.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization conducts capacity planning so that necessary capacity for
+ information processing, telecommunications, and environmental support exists during
+ contingency operations.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization plans for the resumption of essential missions and business
+ functions within organization-defined time period of
+ contingency plan activation.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization plans for the full resumption of missions and business functions
+ within organization-defined time period of contingency plan
+ activation.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization plans for the continuance of essential missions and business
+ functions with little or no loss of operational continuity and sustains that
+ continuity until full information system restoration at primary processing and/or
+ storage sites.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization provides for the transfer of all essential missions and business
+ functions to alternate processing and/or storage sites with little or no loss of
+ operational continuity and sustains that continuity through restoration to primary
+ processing and/or storage sites.
+
+
+
+
+
+
+
+
+
+
+
+
+
Federal Continuity Directive
+ 1
+
+
+
+
+
+
+
NIST 800-34
+
+
+
+
+
+
+
+
+
Contingency Training
+
+
+
control-class: Operational
+
+
number: CP-3
+
+
priority: P2
+
+
+
Control
+
+
The organization trains personnel in their contingency roles and responsibilities with
+ respect to the information system and provides refresher training
+ organization-defined frequency.
+
+
+
+
+
+
Supplemental guidance
+
+
None.
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization incorporates simulated events into contingency training to
+ facilitate effective response by personnel in crisis situations.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automated mechanisms to provide a more thorough and
+ realistic training environment.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST 800-16
+
+
+
+
+
+
NIST
+ 800-50
+
+
+
+
+
+
+
+
+
+
Contingency Plan Testing and Exercises
+
+
+
control-class: Operational
+
+
number: CP-4
+
+
priority: P2
+
+
+
Control
+
+
The organization:
+
+
+
+
Tests and/or exercises the contingency plan for the information system
+ organization-defined frequency using organization-defined
+ tests and/or exercises to determine the plans effectiveness and the
+ organizations readiness to execute the plan; and
+
+
+
Reviews the contingency plan test/exercise results and initiates corrective
+ actions.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
There are several methods for testing and/or exercising contingency plans to identify
+ potential weaknesses (e.g., checklist, walk-through/tabletop, simulation: parallel, full
+ interrupt). Contingency plan testing and/or exercises include a determination of the
+ effects on organizational operations and assets (e.g., reduction in mission capability)
+ and individuals arising due to contingency operations in accordance with the plan.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization coordinates contingency plan testing and/or exercises with
+ organizational elements responsible for related plans.
+
+
+
+
+
+
Supplemental guidance
+
+
Examples of related plans include Business Continuity Plan, Disaster Recovery Plan,
+ Continuity of Operations Plan, Crisis Communications Plan, Critical Infrastructure
+ Plan, Cyber Incident Response Plan, and Occupant Emergency Plan.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization tests/exercises the contingency plan at the alternate processing
+ site to familiarize contingency personnel with the facility and available resources
+ and to evaluate the sites capabilities to support contingency operations.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automated mechanisms to more thoroughly and effectively
+ test/exercise the contingency plan by providing more complete coverage of contingency
+ issues, selecting more realistic test/exercise scenarios and environments, and more
+ effectively stressing the information system and supported missions.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization includes a full recovery and reconstitution of the information
+ system to a known state as part of contingency plan testing.
+
The organization establishes an alternate storage site including necessary agreements to
+ permit the storage and recovery of information system backup information.
+
The organization identifies an alternate storage site that is separated from the
+ primary storage site so as not to be susceptible to the same hazards.
+
+
+
+
+
+
Supplemental guidance
+
+
Hazards of concern to the organization are typically defined in an organizational
+ assessment of risk.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization configures the alternate storage site to facilitate recovery
+ operations in accordance with recovery time and recovery point objectives.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization identifies potential accessibility problems to the alternate storage
+ site in the event of an area-wide disruption or disaster and outlines explicit
+ mitigation actions.
+
+
+
+
+
+
Supplemental guidance
+
+
Explicit mitigation actions include, for example, duplicating backup information at
+ another alternate storage site if access to the first alternate site is hindered; or,
+ if electronic accessibility to the alternate site is disrupted, planning for physical
+ access to retrieve backup information.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST 800-34
+
+
+
+
+
+
+
+
+
Alternate Processing Site
+
+
+
control-class: Operational
+
+
number: CP-7
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Establishes an alternate processing site including necessary agreements to permit the
+ resumption of information system operations for essential missions and business
+ functions within organization-defined time period consistent with
+ recovery time objectives when the primary processing capabilities are
+ unavailable; and
+
+
+
Ensures that equipment and supplies required to resume operations are available at the
+ alternate site or contracts are in place to support delivery to the site in time to
+ support the organization-defined time period for resumption.
+
The organization identifies an alternate processing site that is separated from the
+ primary processing site so as not to be susceptible to the same hazards.
+
+
+
+
+
+
Supplemental guidance
+
+
Hazards that might affect the information system are typically defined in the risk
+ assessment.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization identifies potential accessibility problems to the alternate
+ processing site in the event of an area-wide disruption or disaster and outlines
+ explicit mitigation actions.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization develops alternate processing site agreements that contain
+ priority-of-service provisions in accordance with the organizations availability
+ requirements.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization configures the alternate processing site so that it is ready to be
+ used as the operational site supporting essential missions and business functions.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization ensures that the alternate processing site provides information
+ security measures equivalent to that of the primary site
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST 800-34
+
+
+
+
+
+
+
+
+
Telecommunications Services
+
+
+
control-class: Operational
+
+
number: CP-8
+
+
priority: P1
+
+
+
Control
+
+
The organization establishes alternate telecommunications services including necessary
+ agreements to permit the resumption of information system operations for essential
+ missions and business functions within organization-defined time
+ period when the primary telecommunications capabilities are unavailable.
+
Develops primary and alternate telecommunications service agreements that contain
+ priority-of-service provisions in accordance with the organizations availability
+ requirements; and
+
+
+
Requests Telecommunications Service Priority for all telecommunications services
+ used for national security emergency preparedness in the event that the primary
+ and/or alternate telecommunications services are provided by a common carrier.
+
+
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization obtains alternate telecommunications services with consideration for
+ reducing the likelihood of sharing a single point of failure with primary
+ telecommunications services.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization obtains alternate telecommunications service providers that are
+ separated from primary service providers so as not to be susceptible to the same
+ hazards.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization requires primary and alternate telecommunications service providers
+ to have contingency plans.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST 800-34
+
+
+
+
+
+
Web Resource TSP.NCS.GOV
+
+
+
+
+
+
+
+
+
Information System Backup
+
+
+
control-class: Operational
+
+
number: CP-9
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Conducts backups of user-level information contained in the information system
+ organization-defined frequency consistent with recovery time and
+ recovery point objectives;
+
+
+
Conducts backups of system-level information contained in the information system
+ organization-defined frequency consistent with recovery time and
+ recovery point objectives;
+
+
+
Conducts backups of information system documentation including security-related
+ documentation organization-defined frequency consistent with recovery
+ time and recovery point objectives; and
+
+
+
Protects the confidentiality and integrity of backup information at the storage
+ location.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
System-level information includes, for example, system-state information, operating
+ system and application software, and licenses. Digital signatures and cryptographic hashes
+ are examples of mechanisms that can be employed by organizations to protect the integrity
+ of information system backups. An organizational assessment of risk guides the use of
+ encryption for protecting backup information. The protection of system backup information
+ while in transit is beyond the scope of this control. Related controls: CP-6, MP-4.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization tests backup information organization-defined
+ frequency to verify media reliability and information integrity.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization uses a sample of backup information in the restoration of selected
+ information system functions as part of contingency plan testing.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization stores backup copies of the operating system and other critical
+ information system software, as well as copies of the information system inventory
+ (including hardware, software, and firmware components) in a separate facility or in a
+ fire-rated container that is not colocated with the operational system.
+
The organization transfers information system backup information to the alternate
+ storage site organization-defined time period and transfer rate
+ consistent with the recovery time and recovery point objectives.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization accomplishes information system backup by maintaining a redundant
+ secondary system, not collocated, that can be activated without loss of information or
+ disruption to the operation.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST 800-34
+
+
+
+
+
+
+
+
+
Information System Recovery and Reconstitution
+
+
+
control-class: Operational
+
+
number: CP-10
+
+
priority: P1
+
+
+
Control
+
+
The organization provides for the recovery and reconstitution of the information system
+ to a known state after a disruption, compromise, or failure.
+
+
+
+
+
+
Supplemental guidance
+
+
Recovery is executing information system contingency plan activities to restore essential
+ missions and business functions. Reconstitution takes place following recovery and
+ includes activities for returning the information system to its original functional state
+ before contingency plan activation. Recovery and reconstitution procedures are based on
+ organizational priorities, established recovery point/time and reconstitution objectives,
+ and appropriate metrics. Reconstitution includes the deactivation of any interim
+ information system capability that may have been needed during recovery operations.
+ Reconstitution also includes an assessment of the fully restored information system
+ capability, a potential system reauthorization and the necessary activities to prepare the
+ system against another disruption, compromise, or failure. Recovery and reconstitution
+ capabilities employed by the organization can be a combination of automated mechanisms and
+ manual procedures. Related controls: CA-2, CA-6, CA-7, SC-24.
+
The information system implements transaction recovery for systems that are
+ transaction-based.
+
+
+
+
+
+
Supplemental guidance
+
+
Database management systems and transaction processing systems are examples of
+ information systems that are transaction-based. Transaction rollback and transaction
+ journaling are examples of mechanisms supporting transaction recovery.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization provides compensating security controls for
+ organization-defined circumstances that can inhibit recovery and
+ reconstitution to a known state.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization provides the capability to reimage information system components
+ within organization-defined restoration time-periods from
+ configuration-controlled and integrity-protected disk images representing a secure,
+ operational state for the components.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization provides
+
+
+
real-time;
+
+
near-real-time
+
+
organization-defined failover capability for the
+ information system
+
+
[].
+
+
+
+
+
+
Supplemental guidance
+
+
Examples of failover capability are incorporating mirrored information system
+ operations at an alternate processing site or periodic data mirroring at regular
+ intervals during a time period defined by the organization's recovery time period.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization protects backup and restoration hardware, firmware, and
+ software.
+
+
+
+
+
+
Supplemental guidance
+
+
Protection of backup and restoration hardware, firmware, and software includes both
+ physical and technical measures. Router tables, compilers, and other security-relevant
+ system software are examples of backup and restoration software.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST 800-34
+
+
+
+
+
+
+
+
+
+
+
+
Identification and Authentication
+
+
+
Identification and Authentication Policy and Procedures
+
+
+
control-class: Technical
+
+
number: IA-1
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, disseminates, and reviews/updates organization-defined
+ frequency:
+
+
+
+
+
A formal, documented identification and authentication policy that addresses purpose,
+ scope, roles, responsibilities, management commitment, coordination among organizational
+ entities, and compliance; and
+
+
+
Formal, documented procedures to facilitate the implementation of the identification
+ and authentication policy and associated identification and authentication
+ controls.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended to produce the policy and procedures that are required for the
+ effective implementation of selected security controls and control enhancements in the
+ identification and authentication family. The policy and procedures are consistent with
+ applicable federal laws, Executive Orders, directives, policies, regulations, standards,
+ and guidance. Existing organizational policies and procedures may make the need for
+ additional specific policies and procedures unnecessary. The identification and
+ authentication policy can be included as part of the general information security policy
+ for the organization. Identification and authentication procedures can be developed for
+ the security program in general and for a particular information system, when required.
+ The organizational risk management strategy is a key factor in the development of the
+ identification and authentication policy. Related control: PM-9.
+
+
+
+
+
+
+
+
+
FIPS
+ 201
+
+
+
+
+
+
+
NIST 800-100
+
+
+
+
+
+
NIST
+ 800-12
+
+
+
+
+
+
+
NIST
+ 800-63
+
+
+
+
+
+
+
NIST 800-73
+
+
+
+
+
+
NIST
+ 800-76
+
+
+
+
+
+
+
NIST
+ 800-78
+
+
+
+
+
+
+
+
+
+
Identification and Authentication (Organizational Users)
+
+
+
control-class: Technical
+
+
number: IA-2
+
+
priority: P1
+
+
+
Control
+
+
The information system uniquely identifies and authenticates organizational users (or
+ processes acting on behalf of organizational users).
+
+
+
+
+
+
Supplemental guidance
+
+
Organizational users include organizational employees or individuals the organization
+ deems to have equivalent status of employees (e.g., contractors, guest researchers,
+ individuals from allied nations). Users are uniquely identified and authenticated for all
+ accesses other than those accesses explicitly identified and documented by the
+ organization in AC-14. Unique identification of individuals in group accounts (e.g.,
+ shared privilege accounts) may need to be considered for detailed accountability of
+ activity. Authentication of user identities is accomplished through the use of passwords,
+ tokens, biometrics, or in the case of multifactor authentication, some combination
+ thereof. Access to organizational information systems is defined as either local or
+ network. Local access is any access to an organizational information system by a user (or
+ process acting on behalf of a user) where such access is obtained by direct connection
+ without the use of a network. Network access is any access to an organizational
+ information system by a user (or process acting on behalf of a user) where such access is
+ obtained through a network connection. Remote access is a type of network access which
+ involves communication through an external network (e.g., the Internet). Internal networks
+ include local area networks, wide area networks, and virtual private networks that are
+ under the control of the organization. For a virtual private network (VPN), the VPN is
+ considered an internal network if the organization establishes the VPN connection between
+ organization-controlled endpoints in a manner that does not require the organization to
+ depend on any external networks across which the VPN transits to protect the
+ confidentiality and integrity of information transmitted. Identification and
+ authentication requirements for information system access by other than organizational
+ users are described in IA-8.
+
+
+
The identification and authentication requirements in this control are satisfied by
+ complying with Homeland Security Presidential Directive 12 consistent with
+ organization-specific implementation plans provided to OMB. In addition to identifying and
+ authenticating users at the information-system level (i.e., at logon), identification and
+ authentication mechanisms are employed at the application level, when necessary, to
+ provide increased information security for the organization. Related controls: AC-14,
+ AC-17, AC-18, IA-4, IA-5.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system uses multifactor authentication for network access to
+ privileged accounts.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system uses multifactor authentication for network access to
+ non-privileged accounts.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system uses multifactor authentication for local access to privileged
+ accounts.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The information system uses multifactor authentication for local access to
+ non-privileged accounts.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization:
+
+
+
+
Allows the use of group authenticators only when used in conjunction with an
+ individual/unique authenticator; and
+
+
+
Requires individuals to be authenticated with an individual authenticator prior to
+ using a group authenticator
+
+
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system uses multifactor authentication for network access to
+ privileged accounts where one of the factors is provided by a device separate from the
+ information system being accessed.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system uses multifactor authentication for network access to
+ non-privileged accounts where one of the factors is provided by a device separate from
+ the information system being accessed.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system uses organization-defined replay-resistant
+ authentication mechanisms for network access to privileged accounts.
+
+
+
+
+
+
Supplemental guidance
+
+
An authentication process resists replay attacks if it is impractical to achieve a
+ successful authentication by recording and replaying a previous authentication
+ message. Techniques used to address this include protocols that use nonces or
+ challenges (e.g., TLS), and time synchronous or challenge-response one-time
+ authenticators.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The information system uses organization-defined replay-resistant
+ authentication mechanisms for network access to non-privileged accounts.
+
+
+
+
+
+
Supplemental guidance
+
+
An authentication process resists replay attacks if it is impractical to achieve a
+ successful authentication by recording and replaying a previous authentication
+ message. Techniques used to address this include protocols that use nonces or
+ challenges (e.g., TLS), and time synchronous or challenge-response one-time
+ authenticators.
+
+
+
+
+
+
+
+
+
+
+
+
+
FIPS
+ 201
+
+
+
+
+
+
+
HSPD 12
+
+
+
+
+
+
NIST
+ 800-63
+
+
+
+
+
+
+
NIST 800-73
+
+
+
+
+
+
NIST
+ 800-76
+
+
+
+
+
+
+
NIST
+ 800-78
+
+
+
+
+
+
+
OMB Memorandum 04-04
+
+
+
+
+
+
+
+
+
Device Identification and Authentication
+
+
+
control-class: Technical
+
+
number: IA-3
+
+
priority: P1
+
+
+
Control
+
+
The information system uniquely identifies and authenticates organization-defined
+ list of specific and/or types of devices before establishing a connection.
+
+
+
+
+
+
Supplemental guidance
+
+
The devices requiring unique identification and authentication may be defined by type, by
+ specific device, or by a combination of type and device as deemed appropriate by the
+ organization. The information system typically uses either shared known information (e.g.,
+ Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP]
+ addresses) for identification or an organizational authentication solution (e.g., IEEE
+ 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport
+ Layer Security [TLS] authentication, Kerberos) to identify and authenticate devices on
+ local and/or wide area networks. The required strength of the device authentication
+ mechanism is determined by the security categorization of the information system.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system authenticates devices before establishing remote and wireless
+ network connections using bidirectional authentication between devices that is
+ cryptographically based.
+
+
+
+
+
+
Supplemental guidance
+
+
Remote network connection is any connection with a device communicating through an
+ external network (e.g., the Internet). Related controls: AC-17, AC-18.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system authenticates devices before establishing network connections
+ using bidirectional authentication between devices that is cryptographically
+ based.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization standardizes, with regard to dynamic address allocation, Dynamic
+ Host Control Protocol (DHCP) lease information and the time assigned to devices, and
+ audits lease information when assigned to a device.
+
+
+
+
+
+
Supplemental guidance
+
+
With regard to dynamic address allocation for devices, DHCP-enabled clients typically
+ obtain leases for IP addresses from DHCP servers.
+
+
+
+
+
+
+
+
+
+
+
+
Identifier Management
+
+
+
control-class: Technical
+
+
number: IA-4
+
+
priority: P1
+
+
+
Control
+
+
The organization manages information system identifiers for users and devices by:
+
+
+
+
Receiving authorization from a designated organizational official to assign a user or
+ device identifier;
+
+
+
Selecting an identifier that uniquely identifies an individual or device;
+
+
Assigning the user identifier to the intended party or the device identifier to the
+ intended device;
+
+
+
Preventing reuse of user or device identifiers for organization-defined time
+ period; and
+
+
+
Disabling the user identifier after organization-defined time period
+ of inactivity.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Common device identifiers include media access control (MAC) or Internet protocol (IP)
+ addresses, or device-unique token identifiers. Management of user identifiers is not
+ applicable to shared information system accounts (e.g., guest and anonymous accounts). It
+ is commonly the case that a user identifier is the name of an information system account
+ associated with an individual. In such instances, identifier management is largely
+ addressed by the account management activities of AC-2. IA-4 also covers user identifiers
+ not necessarily associated with an information system account (e.g., the identifier used
+ in a physical security control database accessed by a badge reader system for access to
+ the information system). Related control: AC-2, IA-2.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization prohibits the use of information system account identifiers as
+ public identifiers for user electronic mail accounts (i.e., user identifier portion of
+ the electronic mail address)
+
+
+
+
+
+
Supplemental guidance
+
+
The organization implements this control enhancement to the extent that the
+ information system allows.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization requires that registration to receive a user ID and password include
+ authorization by a supervisor, and be done in person before a designated registration
+ authority.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization requires multiple forms of certification of individual
+ identification such as documentary evidence or a combination of documents and
+ biometrics be presented to the registration authority.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization manages user identifiers by uniquely identifying the user as
+ organization-defined characteristic identifying user
+ status.
+
+
+
+
+
+
Supplemental guidance
+
+
Characteristics identifying user status include, for example, contractors and foreign
+ nationals.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system dynamically manages identifiers, attributes, and associated
+ access authorizations.
+
+
+
+
+
+
Supplemental guidance
+
+
: In contrast to conventional approaches to identification and authentication which
+ employ static information system accounts for preregistered users, many
+ service-oriented architecture implementations rely on establishing identities at run
+ time for entities that were previously unknown. Dynamic establishment of identities
+ and association of attributes and privileges with these identities is anticipated and
+ provisioned. Pre-established trust relationships and mechanisms with appropriate
+ authorities to validate identities and related credentials are essential.
+
+
+
+
+
+
+
+
+
+
+
+
+
FIPS
+ 201
+
+
+
+
+
+
+
NIST 800-73
+
+
+
+
+
+
NIST
+ 800-76
+
+
+
+
+
+
+
NIST
+ 800-78
+
+
+
+
+
+
+
+
+
+
Authenticator Management
+
+
+
control-class: Technical
+
+
number: IA-5
+
+
priority: P1
+
+
+
Control
+
+
The organization manages information system authenticators for users and devices by:
+
+
+
+
Verifying, as part of the initial authenticator distribution, the identity of the
+ individual and/or device receiving the authenticator;
+
+
+
Establishing initial authenticator content for authenticators defined by the
+ organization;
+
+
+
Ensuring that authenticators have sufficient strength of mechanism for their intended
+ use;
+
+
+
Establishing and implementing administrative procedures for initial authenticator
+ distribution, for lost/compromised or damaged authenticators, and for revoking
+ authenticators;
+
+
+
Changing default content of authenticators upon information system installation;
+
+
Establishing minimum and maximum lifetime restrictions and reuse conditions for
+ authenticators (if appropriate);
+
+
+
Changing/refreshing authenticators organization-defined time period
+ by authenticator type;
+
+
+
Protecting authenticator content from unauthorized disclosure and modification;
+ and
+
+
+
Requiring users to take, and having devices implement, specific measures to safeguard
+ authenticators.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
User authenticators include, for example, passwords, tokens, biometrics, PKI
+ certificates, and key cards. Initial authenticator content is the actual content (e.g.,
+ the initial password) as opposed to requirements about authenticator content (e.g.,
+ minimum password length). Many information system components are shipped with factory
+ default authentication credentials to allow for initial installation and configuration.
+ Default authentication credentials are often well known, easily discoverable, present a
+ significant security risk, and therefore, are changed upon installation. The requirement
+ to protect user authenticators may be implemented via control PL-4 or PS-6 for
+ authenticators in the possession of users and by controls AC-3, AC-6, and SC-28 for
+ authenticators stored within the information system (e.g., passwords stored in a hashed or
+ encrypted format, files containing encrypted or hashed passwords accessible only with
+ super user privileges). The information system supports user authenticator management by
+ organization-defined settings and restrictions for various authenticator characteristics
+ including, for example, minimum password length, password composition, validation time
+ window for time synchronous one time tokens, and number of allowed rejections during
+ verification stage of biometric authentication. Measures to safeguard user authenticators
+ include, for example, maintaining possession of individual authenticators, not loaning or
+ sharing authenticators with others, and reporting lost or compromised authenticators
+ immediately. Authenticator management includes issuing and revoking, when no longer
+ needed, authenticators for temporary access such as that required for remote maintenance.
+ Device authenticators include, for example, certificates and passwords. Related controls:
+ AC-2, IA-2, PL-4, PS-6.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system, for password-based authentication:
+
+
+
+
Enforces minimum password complexity of organization-defined
+ requirements for case sensitivity, number of characters, mix of upper-case
+ letters, lower-case letters, numbers, and special characters, including minimum
+ requirements for each type;
+
+
+
Enforces at least a organization-defined number of changed
+ characters when new passwords are created;
+
+
+
Encrypts passwords in storage and in transmission;
+
+
Enforces password minimum and maximum lifetime restrictions of
+ organization-defined numbers for lifetime minimum, lifetime
+ maximum; and
+
+
+
Prohibits password reuse for organization-defined number
+ generations.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control enhancement is intended primarily for environments where passwords are
+ used as a single factor to authenticate users, or in a similar manner along with one
+ or more additional authenticators. The enhancement generally does not apply to
+ situations where passwords are used to unlock hardware authenticators. The
+ implementation of such password mechanisms may not meet all of the requirements in the
+ enhancement.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system, for PKI-based authentication:
+
+
+
+
Validates certificates by constructing a certification path with status
+ information to an accepted trust anchor;
+
+
+
Enforces authorized access to the corresponding private key; and
+
+
Maps the authenticated identity to the user account.
+
+
+
+
+
+
+
Supplemental guidance
+
+
Status information for certification paths includes, for example, certificate
+ revocation lists or online certificate status protocol responses.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization requires that the registration process to receive
+ organization-defined types of and/or specific authenticators be
+ carried out in person before a designated registration authority with authorization by
+ a designated organizational official (e.g., a supervisor).
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automated tools to determine if authenticators are
+ sufficiently strong to resist attacks intended to discover or otherwise compromise the
+ authenticators.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization requires vendors and/or manufacturers of information system
+ components to provide unique authenticators or change default authenticators prior to
+ delivery.
+
+
+
+
+
+
Supplemental guidance
+
+
This control enhancement extends the requirement for organizations to change default
+ authenticators upon information system installation, by requiring vendors and/or
+ manufacturers of information system components to provide unique authenticators or
+ change default authenticators for those components prior to delivery to the
+ organization. Unique authenticators are assigned by vendors and/or manufacturers to
+ specific information system components (i.e., delivered information technology
+ products) with distinct serial numbers. This requirement is included in acquisition
+ documents prepared by the organization when procuring information systems and/or
+ information system components.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization protects authenticators commensurate with the classification or
+ sensitivity of the information accessed.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization ensures that unencrypted static authenticators are not embedded in
+ applications or access scripts or stored on function keys.
+
+
+
+
+
+
Supplemental guidance
+
+
Organizations exercise caution in determining whether an embedded or stored
+ authenticator is in encrypted or unencrypted form. If the authenticator in its stored
+ representation, is used in the manner stored, then that representation is considered
+ an unencrypted authenticator. This is irrespective of whether that representation is
+ perhaps an encrypted version of something else (e.g., a password).
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization takes organization-defined measures to manage
+ the risk of compromise due to individuals having accounts on multiple information
+ systems.
+
+
+
+
+
+
Supplemental guidance
+
+
When an individual has accounts on multiple information systems, there is the risk
+ that if one account is compromised and the individual is using the same user
+ identifier and authenticator, other accounts will be compromised as well. Possible
+ alternatives include, but are not limited to: (i) having the same user identifier but
+ different authenticators on all systems; (ii) having different user identifiers and
+ authenticators on each system; (iii) employing some form of single sign-on mechanism;
+ or (iv) including some form of one-time passwords on all systems.
+
+
+
+
+
+
+
+
+
+
+
+
+
FIPS
+ 201
+
+
+
+
+
+
+
NIST
+ 800-63
+
+
+
+
+
+
+
NIST 800-73
+
+
+
+
+
+
NIST
+ 800-76
+
+
+
+
+
+
+
NIST
+ 800-78
+
+
+
+
+
+
+
OMB Memorandum 04-04
+
+
+
+
+
+
+
+
+
Authenticator Feedback
+
+
+
control-class: Technical
+
+
number: IA-6
+
+
priority: P1
+
+
+
Control
+
+
The information system obscures feedback of authentication information during the
+ authentication process to protect the information from possible exploitation/use by
+ unauthorized individuals
+
+
+
+
+
+
Supplemental guidance
+
+
The feedback from the information system does not provide information that would allow an
+ unauthorized user to compromise the authentication mechanism. Displaying asterisks when a
+ user types in a password, is an example of obscuring feedback of authentication
+ information.
+
+
+
+
+
+
+
+
Cryptographic Module Authentication
+
+
+
control-class: Technical
+
+
number: IA-7
+
+
priority: P1
+
+
+
Control
+
+
The information system uses mechanisms for authentication to a cryptographic module that
+ meet the requirements of applicable federal laws, Executive Orders, directives, policies,
+ regulations, standards, and guidance for such authentication.
+
+
+
+
+
+
Supplemental guidance
+
+
None.
+
+
+
+
+
+
+
+
FIPS 140-2
+
+
+
+
+
+
Web Resource CSRC.NIST.GOV/CRYPTVAL
+
+
+
+
+
+
+
+
+
Identification and Authentication (Non-organizational Users)
+
+
+
control-class: Technical
+
+
number: IA-8
+
+
priority: P1
+
+
+
Control
+
+
The information system uniquely identifies and authenticates non-organizational users (or
+ processes acting on behalf of non-organizational users).
+
+
+
+
+
+
Supplemental guidance
+
+
Non-organizational users include all information system users other than organizational
+ users explicitly covered by IA-2. Users are uniquely identified and authenticated for all
+ accesses other than those accesses explicitly identified and documented by the
+ organization in accordance with AC-14. In accordance with the E-Authentication
+ E-Government initiative, authentication of non-organizational users accessing federal
+ information systems may be required to protect federal, proprietary, or privacy-related
+ information (with exceptions noted for national security systems). Accordingly, a risk
+ assessment is used in determining the authentication needs of the organization.
+ Scalability, practicality, and security are simultaneously considered in balancing the
+ need to ensure ease of use for access to federal information and information systems with
+ the need to protect and adequately mitigate risk to organizational operations,
+ organizational assets, individuals, other organizations, and the Nation. Identification
+ and authentication requirements for information system access by organizational users are
+ described in IA-2. Related controls: AC-14, AC-17, AC-18, MA-4.
+
+
+
+
+
+
+
+
+
NIST
+ 800-63
+
+
+
+
+
+
+
OMB Memorandum 04-04
+
+
+
+
+
+
Web Resource
+ WWW.CIO.GOV/EAUTHENTICATION
+
+
+
+
+
+
+
+
+
+
+
+
+
Incident Response
+
+
+
Incident Response Policy and Procedures
+
+
+
control-class: Operational
+
+
number: IR-1
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, disseminates, and reviews/updates organization-defined
+ frequency:
+
+
+
+
+
A formal, documented incident response policy that addresses purpose, scope, roles,
+ responsibilities, management commitment, coordination among organizational entities, and
+ compliance; and
+
+
+
Formal, documented procedures to facilitate the implementation of the incident
+ response policy and associated incident response controls.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended to produce the policy and procedures that are required for the
+ effective implementation of selected security controls and control enhancements in the
+ incident response family. The policy and procedures are consistent with applicable federal
+ laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+ Existing organizational policies and procedures may make the need for additional specific
+ policies and procedures unnecessary. The incident response policy can be included as part
+ of the general information security policy for the organization. Incident response
+ procedures can be developed for the security program in general and for a particular
+ information system, when required. The organizational risk management strategy is a key
+ factor in the development of the incident response policy. Related control: PM-9.
+
+
+
+
+
+
+
+
+
NIST 800-100
+
+
+
+
+
+
NIST
+ 800-12
+
+
+
+
+
+
+
NIST
+ 800-61
+
+
+
+
+
+
+
NIST
+ 800-83
+
+
+
+
+
+
+
+
+
+
Incident Response Training
+
+
+
control-class: Operational
+
+
number: IR-2
+
+
priority: P2
+
+
+
Control
+
+
The organization:
+
+
+
+
Trains personnel in their incident response roles and responsibilities with respect to
+ the information system; and
+
+
+
Provides refresher training organization-defined
+ frequency.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Incident response training includes user training in the identification and reporting of
+ suspicious activities, both from external and internal sources. Related control: AT-3.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization incorporates simulated events into incident response training to
+ facilitate effective response by personnel in crisis situations.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization employs automated mechanisms to provide a more thorough and
+ realistic training environment.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST 800-16
+
+
+
+
+
+
NIST
+ 800-50
+
+
+
+
+
+
+
+
+
+
Incident Response Testing and Exercises
+
+
+
control-class: Operational
+
+
number: IR-3
+
+
priority: P2
+
+
+
Control
+
+
The organization tests and/or exercises the incident response capability for the
+ information system organization-defined frequency using
+ organization-defined tests and/or exercises to determine the
+ incident response effectiveness and documents the results.
+
+
+
+
+
+
Supplemental guidance
+
+
None.
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization employs automated mechanisms to more thoroughly and effectively
+ test/exercise the incident response capability.
+
+
+
+
+
+
Supplemental guidance
+
+
Automated mechanisms can provide the ability to more thoroughly and effectively test
+ or exercise the incident response capability by providing more complete coverage of
+ incident response issues, selecting more realistic test/exercise scenarios and
+ environments, and more effectively stressing the response capability. Related control:
+ AT-2.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-115
+
+
+
+
+
+
+
NIST
+ 800-84
+
+
+
+
+
+
+
+
+
+
Incident Handling
+
+
+
control-class: Operational
+
+
number: IR-4
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Implements an incident handling capability for security incidents that includes
+ preparation, detection and analysis, containment, eradication, and recovery;
+
+
+
Coordinates incident handling activities with contingency planning activities;
+ and
+
+
+
Incorporates lessons learned from ongoing incident handling activities into incident
+ response procedures, training, and testing/exercises, and implements the resulting
+ changes accordingly.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Incident-related information can be obtained from a variety of sources including, but not
+ limited to, audit monitoring, network monitoring, physical access monitoring, and
+ user/administrator reports. Related controls: AU-6, CP-2, IR-2, IR-3, PE-6, SC-5, SC-7,
+ SI-3, SI-4, SI-7.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automated mechanisms to support the incident handling
+ process.
+
+
+
+
+
+
Supplemental guidance
+
+
An online incident management system is an example of an automated mechanism.
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization includes dynamic reconfiguration of the information system as part
+ of the incident response capability.
+
+
+
+
+
+
Supplemental guidance
+
+
Dynamic reconfiguration includes, for example, changes to router rules, access
+ control lists, intrusion detection/prevention system parameters, and filter rules for
+ firewalls and gateways.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization identifies classes of incidents and defines appropriate actions to
+ take in response to ensure continuation of organizational missions and business
+ functions.
+
+
+
+
+
+
Supplemental guidance
+
+
Classes of incidents include, for example, malfunctions due to design/implementation
+ errors and omissions, targeted malicious attacks, and untargeted malicious attacks.
+ Incident response actions that may be appropriate include, for example, graceful
+ degradation, information system shutdown, fall back to manual mode or alternative
+ technology whereby the system operates differently, employing deceptive measures
+ (e.g., false data flows, false status measures), alternate information flows, or
+ operating in a mode that is reserved solely for when a system is under attack.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization correlates incident information and individual incident responses to
+ achieve an organization-wide perspective on incident awareness and response.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization implements a configurable capability to automatically disable the
+ information system if any of the following security violations are detected:
+ organization-defined list of security violations.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-61
+
+
+
+
+
+
+
+
+
+
Incident Monitoring
+
+
+
control-class: Operational
+
+
number: IR-5
+
+
priority: P1
+
+
+
Control
+
+
The organization tracks and documents information system security incidents.
+
+
+
+
+
Supplemental guidance
+
+
Documenting information system security incidents includes, for example, maintaining
+ records about each incident, the status of the incident, and other pertinent information
+ necessary for forensics, evaluating incident details, trends, and handling. Incident
+ information can be obtained from a variety of sources including, for example, incident
+ reports, incident response teams, audit monitoring, network monitoring, physical access
+ monitoring, and user/administrator reports.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization employs automated mechanisms to assist in the tracking of security
+ incidents and in the collection and analysis of incident information.
+
+
+
+
+
+
Supplemental guidance
+
+
Automated mechanisms for tracking security incidents and collecting/analyzing
+ incident information include, for example, the Einstein network monitoring device and
+ monitoring online Computer Incident Response Centers (CIRCs) or other electronic
+ databases of incidents. Related controls: AU-6, AU-7, SI-4.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-61
+
+
+
+
+
+
+
+
+
+
Incident Reporting
+
+
+
control-class: Operational
+
+
number: IR-6
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Requires personnel to report suspected security incidents to the organizational
+ incident response capability within organization-defined
+ time-period; and
+
+
+
Reports security incident information to designated authorities.
+
+
+
+
+
+
+
Supplemental guidance
+
+
The intent of this control is to address both specific incident reporting requirements
+ within an organization and the formal incident reporting requirements for federal agencies
+ and their subordinate organizations. The types of security incidents reported, the content
+ and timeliness of the reports, and the list of designated reporting authorities are
+ consistent with applicable federal laws, Executive Orders, directives, policies,
+ regulations, standards, and guidance. Current federal policy requires that all federal
+ agencies (unless specifically exempted from such requirements) report security incidents
+ to the United States Computer Emergency Readiness Team (US-CERT) within specified time
+ frames designated in the US-CERT Concept of Operations for Federal Cyber Security Incident
+ Handling. Related controls: IR-4, IR-5.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automated mechanisms to assist in the reporting of security
+ incidents.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization reports information system weaknesses, deficiencies, and/or
+ vulnerabilities associated with reported security incidents to appropriate
+ organizational officials.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-61
+
+
+
+
+
+
+
+
+
+
Incident Response Assistance
+
+
+
control-class: Operational
+
+
number: IR-7
+
+
priority: P3
+
+
+
Control
+
+
The organization provides an incident response support resource, integral to the
+ organizational incident response capability, that offers advice and assistance to users of
+ the information system for the handling and reporting of security incidents.
+
+
+
+
+
+
Supplemental guidance
+
+
Possible implementations of incident response support resources in an organization
+ include a help desk or an assistance group and access to forensics services, when
+ required. Related controls: IR-4, IR-6.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automated mechanisms to increase the availability of
+ incident response-related information and support.
+
+
+
+
+
+
Supplemental guidance
+
+
Automated mechanisms can provide a push and/or pull capability for users to obtain
+ incident response assistance. For example, individuals might have access to a website
+ to query the assistance capability, or conversely, the assistance capability may have
+ the ability to proactively send information to users (general distribution or
+ targeted) as part of increasing understanding of current response capabilities and
+ support.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization:
+
+
+
+
Establishes a direct, cooperative relationship between its incident response
+ capability and external providers of information system protection capability;
+ and
+
+
+
Identifies organizational incident response team members to the external
+ providers.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
External providers of information system protection capability include, for example,
+ the Computer Network Defense program within the U.S. Department of Defense. External
+ providers help to protect, monitor, analyze, detect, and respond to unauthorized
+ activity within organizational information systems and networks.
+
+
+
+
+
+
+
+
+
+
+
+
Incident Response Plan
+
+
+
control-class: Operational
+
+
number: IR-8
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Develops an incident response plan that:
+
+
+
Provides the organization with a roadmap for implementing its incident response
+ capability;
+
+
+
Describes the structure and organization of the incident response capability;
+
+
Provides a high-level approach for how the incident response capability fits into
+ the overall organization;
+
+
+
Meets the unique requirements of the organization, which relate to mission, size,
+ structure, and functions;
+
+
+
Defines reportable incidents;
+
+
Provides metrics for measuring the incident response capability within the
+ organization.
+
+
+
Defines the resources and management support needed to effectively maintain and
+ mature an incident response capability; and
+
+
+
Is reviewed and approved by designated officials within the organization;
+
+
+
+
+
+
Distributes copies of the incident response plan to organization-defined list
+ of incident response personnel (identified by name and/or by role) and organizational
+ elements;
+
+
+
Reviews the incident response plan organization-defined
+ frequency;
+
+
+
Revises the incident response plan to address system/organizational changes or
+ problems encountered during plan implementation, execution, or testing; and
+
+
+
Communicates incident response plan changes to organization-defined
+ list of incident response personnel (identified by name and/or by role) and
+ organizational elements.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
It is important that organizations have a formal, focused, and coordinated approach to
+ responding to incidents. The organizations mission, strategies, and goals for incident
+ response help determine the structure of its incident response capability.
+
+
+
+
+
+
+
+
+
NIST
+ 800-61
+
+
+
+
+
+
+
+
+
+
+
+
+
Maintenance
+
+
+
System Maintenance Policy and Procedures
+
+
+
control-class: Operational
+
+
number: MA-1
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, disseminates, and reviews/updates organization-defined
+ frequency:
+
+
+
+
+
A formal, documented information system maintenance policy that addresses purpose,
+ scope, roles, responsibilities, management commitment, coordination among organizational
+ entities, and compliance; and
+
+
+
Formal, documented procedures to facilitate the implementation of the information
+ system maintenance policy and associated system maintenance controls.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended to produce the policy and procedures that are required for the
+ effective implementation of selected security controls and control enhancements in the
+ system maintenance family. The policy and procedures are consistent with applicable
+ federal laws, Executive Orders, directives, policies, regulations, standards, and
+ guidance. Existing organizational policies and procedures may make the need for additional
+ specific policies and procedures unnecessary. The information system maintenance policy
+ can be included as part of the general information security policy for the organization.
+ System maintenance procedures can be developed for the security program in general and for
+ a particular information system, when required. The organizational risk management
+ strategy is a key factor in the development of the system maintenance policy. Related
+ control: PM-9.
+
+
+
+
+
+
+
+
+
NIST 800-100
+
+
+
+
+
+
NIST
+ 800-12
+
+
+
+
+
+
+
+
+
+
Controlled Maintenance
+
+
+
control-class: Operational
+
+
number: MA-2
+
+
priority: P2
+
+
+
Control
+
+
The organization:
+
+
+
+
Schedules, performs, documents, and reviews records of maintenance and repairs on
+ information system components in accordance with manufacturer or vendor specifications
+ and/or organizational requirements;
+
+
+
Controls all maintenance activities, whether performed on site or remotely and whether
+ the equipment is serviced on site or removed to another location;
+
+
+
Requires that a designated official explicitly approve the removal of the information
+ system or system components from organizational facilities for off-site maintenance or
+ repairs;
+
+
+
Sanitizes equipment to remove all information from associated media prior to removal
+ from organizational facilities for off-site maintenance or repairs; and
+
+
+
Checks all potentially impacted security controls to verify that the controls are
+ still functioning properly following maintenance or repair actions.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
The control is intended to address the information security aspects of the organizations
+ information system maintenance program. Related controls: MP-6, SI-2.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization maintains maintenance records for the information system that
+ include:
+
+
+
+
+
Date and time of maintenance;
+
+
Name of the individual performing the maintenance;
+
+
Name of escort, if necessary;
+
+
A description of the maintenance performed; and
+
+
A list of equipment removed or replaced (including identification numbers, if
+ applicable).
+
+
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization employs automated mechanisms to schedule, conduct, and document
+ maintenance and repairs as required, producing up-to date, accurate, complete, and
+ available records of all maintenance and repair actions, needed, in process, and
+ completed.
+
+
+
+
+
+
+
+
+
+
+
+
Maintenance Tools
+
+
+
control-class: Operational
+
+
number: MA-3
+
+
priority: P2
+
+
+
Control
+
+
The organization approves, controls, monitors the use of, and maintains on an ongoing
+ basis, information system maintenance tools.
+
+
+
+
+
+
Supplemental guidance
+
+
The intent of this control is to address the security-related issues arising from the
+ hardware and software brought into the information system specifically for diagnostic and
+ repair actions (e.g., a hardware or software packet sniffer that is introduced for the
+ purpose of a particular maintenance activity). Hardware and/or software components that
+ may support information system maintenance, yet are a part of the system (e.g., the
+ software implementing ping, ls, ipconfig, or the hardware and software implementing the
+ monitoring port of an Ethernet switch) are not covered by this control. Related control:
+ MP-6.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization inspects all maintenance tools carried into a facility by
+ maintenance personnel for obvious improper modifications.
+
+
+
+
+
+
Supplemental guidance
+
+
Maintenance tools include, for example, diagnostic and test equipment used to conduct
+ maintenance on the information system.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization checks all media containing diagnostic and test programs for
+ malicious code before the media are used in the information system.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization prevents the unauthorized removal of maintenance equipment by one of
+ the following:
+
+
+
+
+
verifying that there is no organizational information contained on the equipment;
+ (ii) sanitizing or destroying the equipment; (iii) retaining the equipment within
+ the facility; or (iv) obtaining an exemption from a designated organization official
+ explicitly authorizing removal of the equipment from the facility.
+
+
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automated mechanisms to restrict the use of maintenance
+ tools to authorized personnel only.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-88
+
+
+
+
+
+
+
+
+
+
Non-local Maintenance
+
+
+
control-class: Operational
+
+
number: MA-4
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Authorizes, monitors, and controls non-local maintenance and diagnostic
+ activities;
+
+
+
Allows the use of non-local maintenance and diagnostic tools only as consistent with
+ organizational policy and documented in the security plan for the information
+ system;
+
+
+
Employs strong identification and authentication techniques in the establishment of
+ non-local maintenance and diagnostic sessions;
+
+
+
Maintains records for non-local maintenance and diagnostic activities; and
+
+
Terminates all sessions and network connections when non-local maintenance is
+ completed.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Non-local maintenance and diagnostic activities are those activities conducted by
+ individuals communicating through a network; either an external network (e.g., the
+ Internet) or an internal network. Local maintenance and diagnostic activities are those
+ activities carried out by individuals physically present at the information system or
+ information system component and not communicating across a network connection.
+ Identification and authentication techniques used in the establishment of non-local
+ maintenance and diagnostic sessions are consistent with the network access requirements in
+ IA-2. Strong authenticators include, for example, PKI where certificates are stored on a
+ token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is
+ accomplished in part, by other controls. Related controls: AC-2, AC-3, AC-6, AC-17, AU-2,
+ AU-3, IA-2, IA-8, MA-5, MP-6, SC-7.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization audits non-local maintenance and diagnostic sessions and designated
+ organizational personnel review the maintenance records of the sessions.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization documents, in the security plan for the information system, the
+ installation and use of non-local maintenance and diagnostic connections.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization:
+
+
+
+
Requires that non-local maintenance and diagnostic services be performed from an
+ information system that implements a level of security at least as high as that
+ implemented on the system being serviced; or
+
+
+
Removes the component to be serviced from the information system and prior to
+ non-local maintenance or diagnostic services, sanitizes the component (with regard
+ to organizational information) before removal from organizational facilities, and
+ after the service is performed, inspects and sanitizes the component (with regard to
+ potentially malicious software and surreptitious implants) before reconnecting the
+ component to the information system.
+
+
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization protects non-local maintenance sessions through the use of a strong
+ authenticator tightly bound to the user and by separating the maintenance session from
+ other network sessions with the information system by either:
+
+
+
+
+
Physically separated communications paths; or
+
+
Logically separated communications paths based upon encryption.
Maintenance personnel notify organization-defined personnel
+ when non-local maintenance is planned (i.e., date/time); and
+
+
+
A designated organizational official with specific information
+ security/information system knowledge approves the non-local maintenance.
+
+
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs cryptographic mechanisms to protect the integrity and
+ confidentiality of non-local maintenance and diagnostic communications.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs remote disconnect verification at the termination of
+ non-local maintenance and diagnostic sessions.
+
+
+
+
+
+
+
+
+
+
+
+
+
CNSS 15
+
+
+
+
+
+
FIPS 140-2
+
+
+
+
+
+
FIPS 197
+
+
+
+
+
+
FIPS
+ 201
+
+
+
+
+
+
+
NIST
+ 800-63
+
+
+
+
+
+
+
NIST
+ 800-88
+
+
+
+
+
+
+
+
+
+
Maintenance Personnel
+
+
+
control-class: Operational
+
+
number: MA-5
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Establishes a process for maintenance personnel authorization and maintains a current
+ list of authorized maintenance organizations or personnel; and
+
+
+
Ensures that personnel performing maintenance on the information system have required
+ access authorizations or designates organizational personnel with required access
+ authorizations and technical competence deemed necessary to supervise information system
+ maintenance when maintenance personnel do not possess the required access
+ authorizations.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Individuals not previously identified in the information system, such as vendor personnel
+ and consultants, may legitimately require privileged access to the system, for example,
+ when required to conduct maintenance or diagnostic activities with little or no notice.
+ Based on a prior assessment of risk, the organization may issue temporary credentials to
+ these individuals. Temporary credentials may be for one-time use or for a very limited
+ time period. Related controls: IA-8, MA-5.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization maintains procedures for the use of maintenance personnel that lack
+ appropriate security clearances or are not U.S. citizens, that include the following
+ requirements:
+
+
+
+
+
Maintenance personnel who do not have needed access authorizations, clearances, or
+ formal access approvals are escorted and supervised during the performance of
+ maintenance and diagnostic activities on the information system by approved
+ organizational personnel who are fully cleared, have appropriate access
+ authorizations, and are technically qualified;
+
+
+
Prior to initiating maintenance or diagnostic activities by personnel who do not
+ have needed access authorizations, clearances or formal access approvals, all
+ volatile information storage components within the information system are sanitized
+ and all nonvolatile storage media are removed or physically disconnected from the
+ system and secured; and
+
+
+
In the event an information system component cannot be sanitized, the procedures
+ contained in the security plan for the system are enforced.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
The intent of this control enhancement is to deny individuals who lack appropriate
+ security clearances (i.e., individuals who do not possess security clearances or
+ possess security clearances at a lower level than required) or who are not U.S.
+ citizens, visual and electronic access to any classified information, Controlled
+ Unclassified Information (CUI), or any other sensitive information contained on the
+ information system. Procedures for the use of maintenance personnel can be documented
+ in the security plan for the information system.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization ensures that personnel performing maintenance and diagnostic
+ activities on an information system processing, storing, or transmitting classified
+ information are cleared (i.e., possess appropriate security clearances) for the
+ highest level of information on the system.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization ensures that personnel performing maintenance and diagnostic
+ activities on an information system processing, storing, or transmitting classified
+ information are U.S. citizens.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization ensures that:
+
+
+
+
Cleared foreign nationals (i.e., foreign nationals with appropriate security
+ clearances), are used to conduct maintenance and diagnostic activities on an
+ information system only when the system is jointly owned and operated by the United
+ States and foreign allied governments, or owned and operated solely by foreign
+ allied governments; and
+
+
+
Approvals, consents, and detailed operational conditions regarding the use of
+ foreign nationals to conduct maintenance and diagnostic activities on an information
+ system are fully documented within a Memorandum of Agreement.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
Timely Maintenance
+
+
+
control-class: Operational
+
+
number: MA-6
+
+
priority: P1
+
+
+
Control
+
+
The organization obtains maintenance support and/or spare parts for
+ organization-defined list of security-critical information system components
+ and/or key information technology components within
+ organization-defined time period of failure.
+
+
+
+
+
+
Supplemental guidance
+
+
The organization specifies those information system components that, when not
+ operational, result in increased risk to organizations, individuals, or the Nation because
+ the security functionality intended by that component is not being provided.
+ Security-critical components include, for example, firewalls, guards, gateways, intrusion
+ detection systems, audit repositories, authentication servers, and intrusion prevention
+ systems. Related control: CP-2.
+
+
+
+
+
+
+
+
+
+
+
Media Protection
+
+
+
Media Protection Policy and Procedures
+
+
+
control-class: Operational
+
+
number: MP-1
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, disseminates, and reviews/updates organization-defined
+ frequency:
+
+
+
+
+
A formal, documented media protection policy that addresses purpose, scope, roles,
+ responsibilities, management commitment, coordination among organizational entities, and
+ compliance; and
+
+
+
Formal, documented procedures to facilitate the implementation of the media protection
+ policy and associated media protection controls.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended to produce the policy and procedures that are required for the
+ effective implementation of selected security controls and control enhancements in the
+ media protection family. The policy and procedures are consistent with applicable federal
+ laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+ Existing organizational policies and procedures may make the need for additional specific
+ policies and procedures unnecessary. The media protection policy can be included as part
+ of the general information security policy for the organization. Media protection
+ procedures can be developed for the security program in general and for a particular
+ information system, when required. The organizational risk management strategy is a key
+ factor in the development of the media protection policy. Related control: PM-9.
+
+
+
+
+
+
+
+
+
NIST 800-100
+
+
+
+
+
+
NIST
+ 800-12
+
+
+
+
+
+
+
+
+
+
Media Access
+
+
+
control-class: Operational
+
+
number: MP-2
+
+
priority: P1
+
+
+
Control
+
+
The organization restricts access to organization-defined types of
+ digital and non-digital media to organization-defined list of
+ authorized individuals using organization-defined security
+ measures.
+
+
+
+
+
+
Supplemental guidance
+
+
Information system media includes both digital media (e.g., diskettes, magnetic tapes,
+ external/removable hard drives, flash/thumb drives, compact disks, digital video disks)
+ and non-digital media (e.g., paper, microfilm). This control also applies to mobile
+ computing and communications devices with information storage capability (e.g.,
+ notebook/laptop computers, personal digital assistants, cellular telephones, digital
+ cameras, and audio recording devices). An organizational assessment of risk guides the
+ selection of media and associated information contained on that media requiring restricted
+ access. Organizations document in policy and procedures, the media requiring restricted
+ access, individuals authorized to access the media, and the specific measures taken to
+ restrict access. Fewer protection measures are needed for media containing information
+ determined by the organization to be in the public domain, to be publicly releasable, or
+ to have limited or no adverse impact if accessed by other than authorized personnel. In
+ these situations, it is assumed that the physical access controls where the media resides
+ provide adequate protection. Related controls: MP-4, PE-3.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automated mechanisms to restrict access to media storage
+ areas and to audit access attempts and access granted.
+
+
+
+
+
+
Supplemental guidance
+
+
This control enhancement is primarily applicable to media storage areas within an
+ organization where a significant volume of media is stored and is not applicable to
+ every location where some media is stored (e.g., in individual offices).
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system uses cryptographic mechanisms to protect and restrict access
+ to information on portable digital media.
+
+
+
+
+
+
+
+
+
+
+
+
+
FIPS
+ Publication 199
+
+
+
+
+
+
+
NIST
+ 800-111
+
+
+
+
+
+
+
+
+
+
Media Marking
+
+
+
control-class: Operational
+
+
number: MP-3
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Marks, in accordance with organizational policies and procedures, removable
+ information system media and information system output indicating the distribution
+ limitations, handling caveats, and applicable security markings (if any) of the
+ information; and
+
+
+
Exempts organization-defined list of removable media types from
+ marking as long as the exempted items remain within organization-defined
+ controlled areas.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
The term marking is used when referring to the application or use of human-readable
+ security attributes. The term labeling is used when referring to the application or use of
+ security attributes with regard to internal data structures within the information system
+ (see AC-16, Security Attributes). Removable information system media includes both digital
+ media (e.g., diskettes, magnetic tapes, external/removable hard drives, flash/thumb
+ drives, compact disks, digital video disks) and non-digital media (e.g., paper,
+ microfilm). An organizational assessment of risk guides the selection of media requiring
+ marking. Marking is generally not required for media containing information determined by
+ the organization to be in the public domain or to be publicly releasable. Some
+ organizations, however, may require markings for public information indicating that the
+ information is publicly releasable. Organizations may extend the scope of this control to
+ include information system output devices containing organizational information,
+ including, for example, monitors and printers. Marking of removable media and information
+ system output is consistent with applicable federal laws, Executive Orders, directives,
+ policies, regulations, standards, and guidance.
+
+
+
+
+
+
+
+
+
FIPS
+ Publication 199
+
+
+
+
+
+
+
+
+
+
Media Storage
+
+
+
control-class: Operational
+
+
number: MP-4
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Physically controls and securely stores organization-defined types of
+ digital and non-digital media within organization-defined
+ controlled areas using organization-defined security
+ measures;
+
+
+
Protects information system media until the media are destroyed or sanitized using
+ approved equipment, techniques, and procedures
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Information system media includes both digital media (e.g., diskettes, magnetic tapes,
+ external/removable hard drives, flash/thumb drives, compact disks, digital video disks)
+ and non-digital media (e.g., paper, microfilm). This control also applies to mobile
+ computing and communications devices with information storage capability (e.g.,
+ notebook/laptop computers, personal digital assistants, cellular telephones, digital
+ cameras, and audio recording devices). Telephone systems are also considered information
+ systems and may have the capability to store information on internal media (e.g., on
+ voicemail systems). Since telephone systems do not have, in most cases, the
+ identification, authentication, and access control mechanisms typically employed in other
+ information systems, organizational personnel use extreme caution in the types of
+ information stored on telephone voicemail systems. A controlled area is any area or space
+ for which the organization has confidence that the physical and procedural protections are
+ sufficient to meet the requirements established for protecting the information and/or
+ information system.
+
+
+
An organizational assessment of risk guides the selection of media and associated
+ information contained on that media requiring physical protection. Fewer protection
+ measures are needed for media containing information determined by the organization to be
+ in the public domain, to be publicly releasable, or to have limited or no adverse impact
+ on the organization or individuals if accessed by other than authorized personnel. In
+ these situations, it is assumed that the physical access controls to the facility where
+ the media resides provide adequate protection.
+
+
+
As part of a defense-in-depth strategy, the organization considers routinely encrypting
+ information at rest on selected secondary storage devices. The employment of cryptography
+ is at the discretion of the information owner/steward. The selection of the cryptographic
+ mechanisms used is based upon maintaining the confidentiality and integrity of the
+ information. The strength of mechanisms is commensurate with the classification and
+ sensitivity of the information. Related controls: AC-3, AC-19, CP-6, CP-9, MP-2, PE-3.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs cryptographic mechanisms to protect information in
+ storage.
+
Protects and controls organization-defined types of digital and
+ non-digital media during transport outside of controlled areas using
+ organization-defined security measures;
+
+
+
Maintains accountability for information system media during transport outside of
+ controlled areas; and
+
+
+
Restricts the activities associated with transport of such media to authorized
+ personnel.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Information system media includes both digital media (e.g., diskettes, magnetic tapes,
+ removable hard drives, flash/thumb drives, compact disks, digital video disks) and
+ non-digital media (e.g., paper, microfilm). This control also applies to mobile computing
+ and communications devices with information storage capability (e.g., notebook/laptop
+ computers, personal digital assistants, cellular telephones, digital cameras, and audio
+ recording devices) that are transported outside of controlled areas. Telephone systems are
+ also considered information systems and may have the capability to store information on
+ internal media (e.g., on voicemail systems). Since telephone systems do not have, in most
+ cases, the identification, authentication, and access control mechanisms typically
+ employed in other information systems, organizational personnel use caution in the types
+ of information stored on telephone voicemail systems that are transported outside of
+ controlled areas. A controlled area is any area or space for which the organization has
+ confidence that the physical and procedural protections provided are sufficient to meet
+ the requirements established for protecting the information and/or information system.
+
+
+
Physical and technical security measures for the protection of digital and non-digital
+ media are commensurate with the classification or sensitivity of the information residing
+ on the media, and consistent with applicable federal laws, Executive Orders, directives,
+ policies, regulations, standards, and guidance. Locked containers and cryptography are
+ examples of security measures available to protect digital and non-digital media during
+ transport. Cryptographic mechanisms can provide confidentiality and/or integrity
+ protections depending upon the mechanisms used. An organizational assessment of risk
+ guides: (i) the selection of media and associated information contained on that media
+ requiring protection during transport; and (ii) the selection and use of storage
+ containers for transporting non-digital media. Authorized transport and courier personnel
+ may include individuals from outside the organization (e.g., U.S. Postal Service or a
+ commercial transport or delivery service). Related controls: AC-19, CP-9.
+
The organization documents activities associated with the transport of information
+ system media.
+
+
+
+
+
+
Supplemental guidance
+
+
Organizations establish documentation requirements for activities associated with the
+ transport of information system media in accordance with the organizational assessment
+ of risk to include the flexibility to define different record-keeping methods for
+ different types of media transport as part of an overall system of transport-related
+ records.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization employs an identified custodian throughout the transport of
+ information system media.
+
+
+
+
+
+
Supplemental guidance
+
+
Custodial responsibilities can be transferred from one individual to another as long
+ as an unambiguous custodian is identified at all times.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs cryptographic mechanisms to protect the confidentiality and
+ integrity of information stored on digital media during transport outside of
+ controlled areas.
+
+
+
+
+
+
Supplemental guidance
+
+
This control enhancement also applies to mobile devices. Mobile devices include
+ portable storage media (e.g., USB memory sticks, external hard disk drives) and
+ portable computing and communications devices with storage capability (e.g.,
+ notebook/laptop computers, personal digital assistants, cellular telephones). Related
+ control: MP-4. Related controls: MP-2; SC-13.
+
+
+
+
+
+
+
+
+
+
+
+
+
FIPS
+ Publication 199
+
+
+
+
+
+
+
NIST 800-60
+
+
+
+
+
+
+
+
+
Media Sanitization
+
+
+
control-class: Operational
+
+
number: MP-6
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Sanitizes information system media, both digital and non-digital, prior to disposal,
+ release out of organizational control, or release for reuse; and
+
+
+
Employs sanitization mechanisms with strength and integrity commensurate with the
+ classification or sensitivity of the information.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control applies to all media subject to disposal or reuse, whether or not considered
+ removable. Sanitization is the process used to remove information from information system
+ media such that there is reasonable assurance that the information cannot be retrieved or
+ reconstructed. Sanitization techniques, including clearing, purging, and destroying media
+ information, prevent the disclosure of organizational information to unauthorized
+ individuals when such media is reused or released for disposal. The organization uses its
+ discretion on the employment of sanitization techniques and procedures for media
+ containing information deemed to be in the public domain or publicly releasable, or deemed
+ to have no adverse impact on the organization or individuals if released for reuse or
+ disposal.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization tracks, documents, and verifies media sanitization and disposal
+ actions.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization tests sanitization equipment and procedures to verify correct
+ performance organization-defined frequency.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization sanitizes portable, removable storage devices prior to connecting
+ such devices to the information system under the following circumstances:
+ organization-defined list of circumstances requiring sanitization
+ of portable, removable storage devices.
+
+
+
+
+
+
Supplemental guidance
+
+
Portable, removable storage devices (e.g., thumb drives, flash drives, external
+ storage devices) can be the source of malicious code insertions into organizational
+ information systems. Many of these devices are obtained from unknown sources and may
+ contain various types of malicious code that can be readily transferred to the
+ information system through USB ports or other entry portals. While scanning such
+ devices is always recommended, sanitization provides additional assurance that the
+ device is free of all malicious code to include code capable of initiating zero-day
+ attacks. Organizations consider sanitization of portable, removable storage devices,
+ for example, when such devices are first purchased from the manufacturer or vendor
+ prior to initial use or when the organization loses a positive chain of custody for
+ the device. An organizational assessment of risk guides the specific circumstances for
+ employing the sanitization process. Related control: SI-3.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization sanitizes information system media containing Controlled
+ Unclassified Information (CUI) or other sensitive information in accordance with
+ applicable organizational and/or federal standards and policies.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization sanitizes information system media containing classified information
+ in accordance with NSA standards and policies.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization destroys information system media that cannot be sanitized.
+
+
+
+
+
+
+
+
+
+
+
+
FIPS
+ Publication 199
+
+
+
+
+
+
+
NIST 800-60
+
+
+
+
+
+
NIST
+ 800-88
+
+
+
+
+
+
+
Web
+ Resource WWW.NSA.GOV/IA/GUIDANCE/MEDIA_DESTRUCTION_GUIDANCE/INDEX.SHTML
+
+
+
+
+
+
+
+
+
+
+
+
+
Physical and Environmental Protection
+
+
+
Physical and Environmental Protection Policy and Procedures
+
+
+
control-class: Operational
+
+
number: PE-1
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, disseminates, and reviews/updates organization-defined
+ frequency:
+
+
+
+
+
A formal, documented physical and environmental protection policy that addresses
+ purpose, scope, roles, responsibilities, management commitment, coordination among
+ organizational entities, and compliance; and
+
+
+
Formal, documented procedures to facilitate the implementation of the physical and
+ environmental protection policy and associated physical and environmental protection
+ controls.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended to produce the policy and procedures that are required for the
+ effective implementation of selected security controls and control enhancements in the
+ physical and environmental protection family. The policy and procedures are consistent
+ with applicable federal laws, Executive Orders, directives, policies, regulations,
+ standards, and guidance. Existing organizational policies and procedures may make the need
+ for additional specific policies and procedures unnecessary. The physical and
+ environmental protection policy can be included as part of the general information
+ security policy for the organization. Physical and environmental protection procedures can
+ be developed for the security program in general and for a particular information system,
+ when required. The organizational risk management strategy is a key factor in the
+ development of the physical and environmental protection policy. Related control:
+ PM-9.
+
+
+
+
+
+
+
+
+
NIST 800-100
+
+
+
+
+
+
NIST
+ 800-12
+
+
+
+
+
+
+
+
+
+
Physical Access Authorizations
+
+
+
control-class: Operational
+
+
number: PE-2
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Develops and keeps current a list of personnel with authorized access to the facility
+ where the information system resides (except for those areas within the facility
+ officially designated as publicly accessible);
+
+
+
Issues authorization credentials;
+
+
Reviews and approves the access list and authorization credentials
+ organization-defined frequency, removing from the access list
+ personnel no longer requiring access.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Authorization credentials include, for example, badges, identification cards, and smart
+ cards. Related control: PE-3, PE-4.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization authorizes physical access to the facility where the information
+ system resides based on position or role.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization requires two forms of identification to gain access to the facility
+ where the information system resides.
+
+
+
+
+
+
Supplemental guidance
+
+
Examples of forms of identification are identification badge, key card, cipher PIN,
+ and biometrics.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization restricts physical access to the facility containing an information
+ system that processes classified information to authorized personnel with appropriate
+ clearances and access authorizations.
+
+
+
+
+
+
+
+
+
+
+
+
Physical Access Control
+
+
+
control-class: Operational
+
+
number: PE-3
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Enforces physical access authorizations for all physical access points (including
+ designated entry/exit points) to the facility where the information system resides
+ (excluding those areas within the facility officially designated as publicly
+ accessible);
+
+
+
Verifies individual access authorizations before granting access to the facility;
+
+
Controls entry to the facility containing the information system using physical access
+ devices and/or guards;
+
+
+
Controls access to areas officially designated as publicly accessible in accordance
+ with the organizations assessment of risk;
+
+
+
Secures keys, combinations, and other physical access devices;
+
+
Inventories physical access devices organization-defined
+ frequency; and
+
+
+
Changes combinations and keys organization-defined frequency
+ and when keys are lost, combinations are compromised, or individuals are transferred or
+ terminated.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
The organization determines the types of guards needed, for example, professional
+ physical security staff or other personnel such as administrative staff or information
+ system users, as deemed appropriate. Physical access devices include, for example, keys,
+ locks, combinations, and card readers. Workstations and associated peripherals connected
+ to (and part of) an organizational information system may be located in areas designated
+ as publicly accessible with access to such devices being safeguarded. Related controls:
+ MP-2, MP-4, PE-2
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization enforces physical access authorizations to the information system
+ independent of the physical access controls for the facility
+
+
+
+
+
+
Supplemental guidance
+
+
This control enhancement applies to server rooms, media storage areas, communications
+ centers, or any other areas within an organizational facility containing large
+ concentrations of information system components. The intent is to provide additional
+ physical security for those areas where the organization may be more vulnerable due to
+ the concentration of information system components. Security requirements for
+ facilities containing organizational information systems that process, store, or
+ transmit Sensitive Compartmented Information (SCI) are consistent with applicable
+ federal laws, Executive Orders, directives, policies, regulations, standards, and
+ guidance. See also PS-3, security requirements for personnel access to SCI.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization performs security checks at the physical boundary of the facility or
+ information system for unauthorized exfiltration of information or information system
+ components.
+
+
+
+
+
+
Supplemental guidance
+
+
The extent/frequency or randomness of the checks is as deemed necessary by the
+ organization to adequately mitigate risk associated with exfiltration.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization guards, alarms, and monitors every physical access point to the
+ facility where the information system resides 24 hours per day, 7 days per week.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization uses lockable physical casings to protect
+ organization-defined information system components from
+ unauthorized physical access.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system detects/prevents physical tampering or alteration of hardware
+ components within the system.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs a penetration testing process that includes
+ organization-defined frequency, unannounced attempts to bypass or
+ circumvent security controls associated with physical access points to the
+ facility.
+
The organization controls physical access to information system distribution and
+ transmission lines within organizational facilities.
+
+
+
+
+
+
Supplemental guidance
+
+
Physical protections applied to information system distribution and transmission lines
+ help prevent accidental damage, disruption, and physical tampering. Additionally, physical
+ protections are necessary to help prevent eavesdropping or in transit modification of
+ unencrypted transmissions. Protective measures to control physical access to information
+ system distribution and transmission lines include: (i) locked wiring closets; (ii)
+ disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable
+ trays. Related control: PE-2.
+
+
+
+
+
+
+
+
+
NSTISSI 7003
+
+
+
+
+
+
+
+
+
Access Control for Output Devices
+
+
+
control-class: Operational
+
+
number: PE-5
+
+
priority: P1
+
+
+
Control
+
+
The organization controls physical access to information system output devices to prevent
+ unauthorized individuals from obtaining the output.
+
+
+
+
+
+
Supplemental guidance
+
+
Monitors, printers, and audio devices are examples of information system output
+ devices.
+
+
+
+
+
+
+
+
Monitoring Physical Access
+
+
+
control-class: Operational
+
+
number: PE-6
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Monitors physical access to the information system to detect and respond to physical
+ security incidents;
+
+
+
Reviews physical access logs organization-defined frequency;
+ and
+
+
+
Coordinates results of reviews and investigations with the organizations incident
+ response capability.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Investigation of and response to detected physical security incidents, including apparent
+ security violations or suspicious physical access activities, are part of the
+ organizations incident response capability.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization monitors real-time physical intrusion alarms and surveillance
+ equipment.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization employs automated mechanisms to recognize potential intrusions and
+ initiate designated response actions.
+
+
+
+
+
+
+
+
+
+
+
+
Visitor Control
+
+
+
control-class: Operational
+
+
number: PE-7
+
+
priority: P1
+
+
+
Control
+
+
The organization controls physical access to the information system by authenticating
+ visitors before authorizing access to the facility where the information system resides
+ other than areas designated as publicly accessible.
+
+
+
+
+
+
Supplemental guidance
+
+
Individuals (to include organizational employees, contract personnel, and others) with
+ permanent authorization credentials for the facility are not considered visitors.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization escorts visitors and monitors visitor activity, when required.
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization requires two forms of identification for visitor access to the
+ facility.
+
+
+
+
+
+
+
+
+
+
+
+
Access Records
+
+
+
control-class: Operational
+
+
number: PE-8
+
+
priority: P3
+
+
+
Control
+
+
The organization:
+
+
+
+
Maintains visitor access records to the facility where the information system resides
+ (except for those areas within the facility officially designated as publicly
+ accessible); and
+
+
+
Reviews visitor access records organization-defined
+ frequency.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Visitor access records include, for example, name/organization of the person visiting,
+ signature of the visitor, form(s) of identification, date of access, time of entry and
+ departure, purpose of visit, and name/organization of person visited.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization employs automated mechanisms to facilitate the maintenance and
+ review of access records.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization maintains a record of all physical access, both visitor and
+ authorized individuals.
+
+
+
+
+
+
+
+
+
+
+
+
Power Equipment and Power Cabling
+
+
+
control-class: Operational
+
+
number: PE-9
+
+
priority: P1
+
+
+
Control
+
+
The organization protects power equipment and power cabling for the information system
+ from damage and destruction.
+
+
+
+
+
+
Supplemental guidance
+
+
This control, to include any enhancements specified, may be satisfied by similar
+ requirements fulfilled by another organizational entity other than the information
+ security program. Organizations avoid duplicating actions already covered.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs redundant and parallel power cabling paths.
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automatic voltage controls for organization-defined
+ list of critical information system components.
+
+
+
+
+
+
+
+
+
+
+
+
Emergency Shutoff
+
+
+
control-class: Operational
+
+
number: PE-10
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Provides the capability of shutting off power to the information system or individual
+ system components in emergency situations;
+
+
+
Places emergency shutoff switches or devices in organization-defined
+ location by information system or system component to facilitate safe and easy
+ access for personnel; and
+
+
+
Protects emergency power shutoff capability from unauthorized activation.
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control applies to facilities containing concentrations of information system
+ resources, for example, data centers, server rooms, and mainframe computer rooms.
+
The organization provides a short-term uninterruptible power supply to facilitate an
+ orderly shutdown of the information system in the event of a primary power source
+ loss.
+
+
+
+
+
+
Supplemental guidance
+
+
This control, to include any enhancements specified, may be satisfied by similar
+ requirements fulfilled by another organizational entity other than the information
+ security program. Organizations avoid duplicating actions already covered.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization provides a long-term alternate power supply for the information
+ system that is capable of maintaining minimally required operational capability in the
+ event of an extended loss of the primary power source.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization provides a long-term alternate power supply for the information
+ system that is self-contained and not reliant on external power generation.
+
+
+
+
+
+
Supplemental guidance
+
+
Long-term alternate power supplies for the information system are either manually or
+ automatically activated.
+
+
+
+
+
+
+
+
+
+
+
+
Emergency Lighting
+
+
+
control-class: Operational
+
+
number: PE-12
+
+
priority: P1
+
+
+
Control
+
+
The organization employs and maintains automatic emergency lighting for the information
+ system that activates in the event of a power outage or disruption and that covers
+ emergency exits and evacuation routes within the facility.
+
+
+
+
+
+
Supplemental guidance
+
+
This control, to include any enhancements specified, may be satisfied by similar
+ requirements fulfilled by another organizational entity other than the information
+ security program. Organizations avoid duplicating actions already covered.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization provides emergency lighting for all areas within the facility
+ supporting essential missions and business functions.
+
+
+
+
+
+
+
+
+
+
+
+
Fire Protection
+
+
+
control-class: Operational
+
+
number: PE-13
+
+
priority: P1
+
+
+
Control
+
+
The organization employs and maintains fire suppression and detection devices/systems for
+ the information system that are supported by an independent energy source.
+
+
+
+
+
+
Supplemental guidance
+
+
Fire suppression and detection devices/systems include, for example, sprinkler systems,
+ handheld fire extinguishers, fixed fire hoses, and smoke detectors. This control, to
+ include any enhancements specified, may be satisfied by similar requirements fulfilled by
+ another organizational entity other than the information security program. Organizations
+ avoid duplicating actions already covered.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs fire detection devices/systems for the information system
+ that activate automatically and notify the organization and emergency responders in
+ the event of a fire.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs fire suppression devices/systems for the information system
+ that provide automatic notification of any activation to the organization and
+ emergency responders.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs an automatic fire suppression capability for the information
+ system when the facility is not staffed on a continuous basis.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization ensures that the facility undergoes organization-defined
+ frequency fire marshal inspections and promptly resolves identified
+ deficiencies.
+
+
+
+
+
+
+
+
+
+
+
+
Temperature and Humidity Controls
+
+
+
control-class: Operational
+
+
number: PE-14
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Maintains temperature and humidity levels within the facility where the information
+ system resides at organization-defined acceptable levels;
+ and
+
+
+
Monitors temperature and humidity levels organization-defined
+ frequency.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control, to include any enhancements specified, may be satisfied by similar
+ requirements fulfilled by another organizational entity other than the information
+ security program. Organizations avoid duplicating actions already covered.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automatic temperature and humidity controls in the facility
+ to prevent fluctuations potentially harmful to the information system.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs temperature and humidity monitoring that provides an alarm
+ or notification of changes potentially harmful to personnel or equipment.
+
+
+
+
+
+
+
+
+
+
+
+
Water Damage Protection
+
+
+
control-class: Operational
+
+
number: PE-15
+
+
priority: P1
+
+
+
Control
+
+
The organization protects the information system from damage resulting from water leakage
+ by providing master shutoff valves that are accessible, working properly, and known to key
+ personnel.
+
+
+
+
+
+
Supplemental guidance
+
+
This control, to include any enhancements specified, may be satisfied by similar
+ requirements fulfilled by another organizational entity other than the information
+ security program. Organizations avoid duplicating actions already covered.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization employs mechanisms that, without the need for manual intervention,
+ protect the information system from water damage in the event of a water leak.
+
+
+
+
+
+
+
+
+
+
+
+
Delivery and Removal
+
+
+
control-class: Operational
+
+
number: PE-16
+
+
priority: P1
+
+
+
Control
+
+
The organization authorizes, monitors, and controls organization-defined
+ types of information system components entering and exiting the facility and
+ maintains records of those items.
+
+
+
+
+
+
Supplemental guidance
+
+
Effectively enforcing authorizations for entry and exit of information system components
+ may require restricting access to delivery areas and possibly isolating the areas from the
+ information system and media libraries.
+
+
+
+
+
+
+
+
Alternate Work Site
+
+
+
control-class: Operational
+
+
number: PE-17
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Employs organization-defined management, operational, and technical
+ information system security controls at alternate work sites;
+
+
+
Assesses as feasible, the effectiveness of security controls at alternate work sites;
+ and
+
+
+
Provides a means for employees to communicate with information security personnel in
+ case of security incidents or problems.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Alternate work sites may include, for example, government facilities or private
+ residences of employees. The organization may define different sets of security controls
+ for specific alternate work sites or types of sites.
+
+
+
+
+
+
+
+
+
NIST
+ 800-46
+
+
+
+
+
+
+
+
+
+
Location of Information System Components
+
+
+
control-class: Operational
+
+
number: PE-18
+
+
priority: P2
+
+
+
Control
+
+
The organization positions information system components within the facility to minimize
+ potential damage from physical and environmental hazards and to minimize the opportunity
+ for unauthorized access.
+
+
+
+
+
+
Supplemental guidance
+
+
Physical and environmental hazards include, for example, flooding, fire, tornados,
+ earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, electrical
+ interference, and electromagnetic radiation. Whenever possible, the organization also
+ considers the location or site of the facility with regard to physical and environmental
+ hazards. In addition, the organization considers the location of physical entry points
+ where unauthorized individuals, while not being granted access, might nonetheless be in
+ close proximity to the information system and therefore, increase the potential for
+ unauthorized access to organizational communications (e.g., through the use of wireless
+ sniffers or microphones). This control, to include any enhancements specified, may be
+ satisfied by similar requirements fulfilled by another organizational entity other than
+ the information security program. Organizations avoid duplicating actions already
+ covered.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization plans the location or site of the facility where the information
+ system resides with regard to physical and environmental hazards and for existing
+ facilities, considers the physical and environmental hazards in its risk mitigation
+ strategy.
+
+
+
+
+
+
+
+
+
+
+
+
Information Leakage
+
+
+
control-class: Operational
+
+
number: PE-19
+
+
priority: P0
+
+
+
Control
+
+
The organization protects the information system from information leakage due to
+ electromagnetic signals emanations.
+
+
+
+
+
+
Supplemental guidance
+
+
The security categorization of the information system (with respect to confidentiality)
+ and organizational security policy guides the application of safeguards and
+ countermeasures employed to protect the information system against information leakage due
+ to electromagnetic signals emanations.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization ensures that information system components, associated data
+ communications, and networks are protected in accordance with:
+
+
+
+
+
national emissions and TEMPEST policies and procedures; and (ii) the sensitivity
+ of the information being transmitted.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
FIPS
+ Publication 199
+
+
+
+
+
+
+
+
+
+
+
+
+
Planning
+
+
+
Security Planning Policy and Procedures
+
+
+
control-class: Management
+
+
number: PL-1
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, disseminates, and reviews/updates organization-defined
+ frequency:
+
+
+
+
+
A formal, documented security planning policy that addresses purpose, scope, roles,
+ responsibilities, management commitment, coordination among organizational entities, and
+ compliance; and
+
+
+
Formal, documented procedures to facilitate the implementation of the security
+ planning policy and associated security planning controls.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended to produce the policy and procedures that are required for the
+ effective implementation of selected security controls and control enhancements in the
+ security planning family. The policy and procedures are consistent with applicable federal
+ laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+ Existing organizational policies and procedures may make the need for additional specific
+ policies and procedures unnecessary. The security planning policy addresses the overall
+ policy requirements for confidentiality, integrity, and availability and can be included
+ as part of the general information security policy for the organization. Security planning
+ procedures can be developed for the security program in general and for a particular
+ information system, when required. The organizational risk management strategy is a key
+ factor in the development of the security planning policy. Related control: PM-9.
+
+
+
+
+
+
+
+
+
NIST 800-100
+
+
+
+
+
+
NIST
+ 800-12
+
+
+
+
+
+
+
NIST 800-18
+
+
+
+
+
+
+
+
+
System Security Plan
+
+
+
control-class: Management
+
+
number: PL-2
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Develops a security plan for the information system that: - Is consistent with the
+ organizations enterprise architecture; - Explicitly defines the authorization boundary
+ for the system; - Describes the operational context of the information system in terms
+ of missions and business processes; - Provides the security categorization of the
+ information system including supporting rationale; - Describes the operational
+ environment for the information system; - Describes relationships with or connections to
+ other information systems; - Provides an overview of the security requirements for the
+ system; - Describes the security controls in place or planned for meeting those
+ requirements including a rationale for the tailoring and supplementation decisions; and
+ - Is reviewed and approved by the authorizing official or designated representative
+ prior to plan implementation;
+
+
+
Reviews the security plan for the information system organization-defined
+ frequency; and
+
+
+
Updates the plan to address changes to the information system/environment of operation
+ or problems identified during plan implementation or security control assessments.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
The security plan contains sufficient information (including specification of parameters
+ for assignment and selection statements in security controls either explicitly or by
+ reference) to enable an implementation that is unambiguously compliant with the intent of
+ the plan and a subsequent determination of risk to organizational operations and assets,
+ individuals, other organizations, and the Nation if the plan is implemented as intended.
+ Related controls: PM-1, PM-7, PM-8, PM-9, PM-11.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization:
+
+
+
+
Develops a security Concept of Operations (CONOPS) for the information system
+ containing, at a minimum: (i) the purpose of the system; (ii) a description of the
+ system architecture; (iii) the security authorization schedule; and (iv) the
+ security categorization and associated factors considered in determining the
+ categorization; and
+
+
+
Reviews and updates the CONOPS organization-defined
+ frequency.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
The security CONOPS may be included in the security plan for the information
+ system.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization develops a functional architecture for the information system that
+ identifies and maintains:
+
+
+
+
+
External interfaces, the information being exchanged across the interfaces, and
+ the protection mechanisms associated with each interface;
+
+
+
User roles and the access privileges assigned to each role;
+
+
Unique security requirements;
+
+
Types of information processed, stored, or transmitted by the information system
+ and any specific protection needs in accordance with applicable federal laws,
+ Executive Orders, directives, policies, regulations, standards, and guidance;
+ and
+
+
+
Restoration priority of information or information system services.
+
+
+
+
+
+
+
Supplemental guidance
+
+
Unique security requirements for the information system include, for example,
+ encryption of key data elements at rest. Specific protection needs for the information
+ system include, for example, the Privacy Act and Health Insurance Portability and
+ Accountability Act.
+
Establishes and makes readily available to all information system users, the rules
+ that describe their responsibilities and expected behavior with regard to information
+ and information system usage; and
+
+
+
Receives signed acknowledgment from users indicating that they have read, understand,
+ and agree to abide by the rules of behavior, before authorizing access to information
+ and the information system.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
The organization considers different sets of rules based on user roles and
+ responsibilities, for example, differentiating between the rules that apply to privileged
+ users and rules that apply to general users. Electronic signatures are acceptable for use
+ in acknowledging rules of behavior. Related control: PS-6.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization includes in the rules of behavior, explicit restrictions on the use
+ of social networking sites, posting information on commercial websites, and sharing
+ information system account information.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST 800-18
+
+
+
+
+
+
+
+
+
Privacy Impact Assessment
+
+
+
control-class: Management
+
+
number: PL-5
+
+
priority: P1
+
+
+
Control
+
+
The organization conducts a privacy impact assessment on the information system in
+ accordance with OMB policy.
+
+
+
+
+
+
Supplemental guidance
+
+
None.
+
+
+
+
+
+
+
+
OMB Memorandum
+ 03-22
+
+
+
+
+
+
+
+
+
+
Security-related Activity Planning
+
+
+
control-class: Management
+
+
number: PL-6
+
+
priority: P3
+
+
+
Control
+
+
The organization plans and coordinates security-related activities affecting the
+ information system before conducting such activities in order to reduce the impact on
+ organizational operations (i.e., mission, functions, image, and reputation),
+ organizational assets, and individuals.
+
+
+
+
+
+
Supplemental guidance
+
+
Security-related activities include, for example, security assessments, audits, system
+ hardware and software maintenance, and contingency plan testing/exercises. Organizational
+ advance planning and coordination includes both emergency and nonemergency (i.e., planned
+ or nonurgent unplanned) situations.
+
+
+
+
+
+
+
+
+
+
+
Program Management
+
+
+
Information Security Program Plan
+
+
+
control-class: Management
+
+
number: PM-1
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Develops and disseminates an organization-wide information security program plan that:
+ - Provides an overview of the requirements for the security program and a description of
+ the security program management controls and common controls in place or planned for
+ meeting those requirements; - Provides sufficient information about the program
+ management controls and common controls (including specification of parameters for any
+ assignment and selection operations either explicitly or by reference) to enable an
+ implementation that is unambiguously compliant with the intent of the plan and a
+ determination of the risk to be incurred if the plan is implemented as intended; -
+ Includes roles, responsibilities, management commitment, coordination among
+ organizational entities, and compliance; - Is approved by a senior official with
+ responsibility and accountability for the risk being incurred to organizational
+ operations (including mission, functions, image, and reputation), organizational assets,
+ individuals, other organizations, and the Nation;
+
+
+
Reviews the organization-wide information security program plan
+ organization-defined frequency; and
+
+
+
Revises the plan to address organizational changes and problems identified during plan
+ implementation or security control assessments.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
The information security program plan can be represented in a single document or
+ compilation of documents at the discretion of the organization. The plan documents the
+ organization-wide program management controls and organization-defined common controls.
+ The security plans for individual information systems and the organization-wide
+ information security program plan together, provide complete coverage for all security
+ controls employed within the organization. Common controls are documented in an appendix
+ to the organizations information security program plan unless the controls are included in
+ a separate security plan for an information system (e.g., security controls employed as
+ part of an intrusion detection system providing organization-wide boundary protection
+ inherited by one or more organizational information systems). The organization-wide
+ information security program plan will indicate which separate security plans contain
+ descriptions of common controls.
+
+
+
Organizations have the flexibility to describe common controls in a single document or in
+ multiple documents. In the case of multiple documents, the documents describing common
+ controls are included as attachments to the information security program plan. If the
+ information security program plan contains multiple documents, the organization specifies
+ in each document the organizational official or officials responsible for the development,
+ implementation, assessment, authorization, and monitoring of the respective common
+ controls. For example, the organization may require that the Facilities Management Office
+ develop, implement, assess, authorize, and continuously monitor common physical and
+ environmental protection controls from the PE family when such controls are not associated
+ with a particular information system but instead, support multiple information systems.
+ Related control: PM-8.
+
+
+
+
+
+
+
+
Senior Information Security Officer
+
+
+
control-class: Management
+
+
number: PM-2
+
+
priority: P1
+
+
+
Control
+
+
The organization appoints a senior information security officer with the mission and
+ resources to coordinate, develop, implement, and maintain an organization-wide information
+ security program.
+
+
+
+
+
+
Supplemental guidance
+
+
The security officer described in this control is an organizational official. For a
+ federal agency (as defined in applicable federal laws, Executive Orders, directives,
+ policies, or regulations) this official is the Senior Agency Information Security Officer.
+ Organizations may also refer to this organizational official as the Senior Information
+ Security Officer or Chief Information Security Officer.
+
+
+
+
+
+
+
+
Information Security Resources
+
+
+
control-class: Management
+
+
number: PM-3
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Ensures that all capital planning and investment requests include the resources needed
+ to implement the information security program and documents all exceptions to this
+ requirement;
+
+
+
Employs a business case/Exhibit 300/Exhibit 53 to record the resources required;
+ and
+
+
+
Ensures that information security resources are available for expenditure as
+ planned.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Organizations may designate and empower an Investment Review Board (or similar group) to
+ manage and provide oversight for the information security-related aspects of the capital
+ planning and investment control process. Related controls: PM-4, SA-2.
+
+
+
+
+
+
+
+
Plan of Action and Milestones Process
+
+
+
control-class: Management
+
+
number: PM-4
+
+
priority: P1
+
+
+
Control
+
+
The organization implements a process for ensuring that plans of action and milestones
+ for the security program and the associated organizational information systems are
+ maintained and document the remedial information security actions to mitigate risk to
+ organizational operations and assets, individuals, other organizations, and the
+ Nation.
+
+
+
+
+
+
Supplemental guidance
+
+
The plan of action and milestones is a key document in the information security program
+ and is subject to federal reporting requirements established by OMB. The plan of action
+ and milestones updates are based on the findings from security control assessments,
+ security impact analyses, and continuous monitoring activities. OMB FISMA reporting
+ guidance contains instructions regarding organizational plans of action and milestones.
+ Related control: CA-5.
+
+
+
+
+
+
+
+
+
NIST 800-37
+
+
+
+
+
+
OMB Memorandum 02-01
+
+
+
+
+
+
+
+
+
Information System Inventory
+
+
+
control-class: Management
+
+
number: PM-5
+
+
priority: P1
+
+
+
Control
+
+
The organization develops and maintains an inventory of its information systems.
+
+
+
+
+
Supplemental guidance
+
+
This control addresses the inventory requirements in FISMA. OMB provides guidance on
+ developing information systems inventories and associated reporting requirements.
+
+
+
+
+
+
+
+
Information Security Measures of Performance
+
+
+
control-class: Management
+
+
number: PM-6
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, monitors, and reports on the results of information security
+ measures of performance.
+
+
+
+
+
+
Supplemental guidance
+
+
Measures of performance are outcome-based metrics used by an organization to measure the
+ effectiveness or efficiency of the information security program and the security controls
+ employed in support of the program.
+
+
+
+
+
+
+
+
+
NIST
+ 800-55
+
+
+
+
+
+
+
+
+
+
Enterprise Architecture
+
+
+
control-class: Management
+
+
number: PM-7
+
+
priority: P1
+
+
+
Control
+
+
The organization develops an enterprise architecture with consideration for information
+ security and the resulting risk to organizational operations, organizational assets,
+ individuals, other organizations, and the Nation.
+
+
+
+
+
+
Supplemental guidance
+
+
The enterprise architecture developed by the organization is aligned with the Federal
+ Enterprise Architecture. The integration of information security requirements and
+ associated security controls into the organizations enterprise architecture helps to
+ ensure that security considerations are addressed by organizations early in the system
+ development life cycle and are directly and explicitly related to the organizations
+ mission/business processes. This also embeds into the enterprise architecture, an integral
+ security architecture consistent with organizational risk management and information
+ security strategies. Security requirements and control integration are most effectively
+ accomplished through the application of the Risk Management Framework and supporting
+ security standards and guidelines. The Federal Segment Architecture Methodology provides
+ guidance on integrating information security requirements and security controls into
+ enterprise architectures. Related controls: PL-2, PM-11, RA-2.
+
+
+
+
+
+
+
+
+
NIST 800-39
+
+
+
+
+
+
Web Resource WWW.FSAM.GOV
+
+
+
+
+
+
+
+
+
Critical Infrastructure Plan
+
+
+
control-class: Management
+
+
number: PM-8
+
+
priority: P1
+
+
+
Control
+
+
The organization addresses information security issues in the development, documentation,
+ and updating of a critical infrastructure and key resources protection plan.
+
+
+
+
+
+
Supplemental guidance
+
+
The requirement and guidance for defining critical infrastructure and key resources and
+ for preparing an associated critical infrastructure protection plan are found in
+ applicable federal laws, Executive Orders, directives, policies, regulations, standards,
+ and guidance. Related controls: PM-1, PM-9, PM-11, RA-3.
+
+
+
+
+
+
+
+
+
HSPD 7
+
+
+
+
+
+
+
+
+
Risk Management Strategy
+
+
+
control-class: Management
+
+
number: PM-9
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Develops a comprehensive strategy to manage risk to organizational operations and
+ assets, individuals, other organizations, and the Nation associated with the operation
+ and use of information systems; and
+
+
+
Implements that strategy consistently across the organization.
+
+
+
+
+
+
+
Supplemental guidance
+
+
An organization-wide risk management strategy includes, for example, an unambiguous
+ expression of the risk tolerance for the organization, acceptable risk assessment
+ methodologies, risk mitigation strategies, a process for consistently evaluating risk
+ across the organization with respect to the organizations risk tolerance, and approaches
+ for monitoring risk over time. The use of a risk executive function can facilitate
+ consistent, organization-wide application of the risk management strategy. The
+ organization-wide risk management strategy can be informed by risk-related inputs from
+ other sources both internal and external to the organization to ensure the strategy is
+ both broad-based and comprehensive. Related control: RA-3.
+
+
+
+
+
+
+
+
+
NIST
+ 800-30
+
+
+
+
+
+
+
NIST 800-39
+
+
+
+
+
+
+
+
+
Security Authorization Process
+
+
+
control-class: Management
+
+
number: PM-10
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Manages (i.e., documents, tracks, and reports) the security state of organizational
+ information systems through security authorization processes;
+
+
+
Designates individuals to fulfill specific roles and responsibilities within the
+ organizational risk management process; and
+
+
+
Fully integrates the security authorization processes into an organization-wide risk
+ management program.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
The security authorization process for information systems requires the implementation of
+ the Risk Management Framework and the employment of associated security standards and
+ guidelines. Specific roles within the risk management process include a designated
+ authorizing official for each organizational information system. Related control:
+ CA-6.
+
+
+
+
+
+
+
+
+
NIST 800-37
+
+
+
+
+
+
NIST 800-39
+
+
+
+
+
+
+
+
+
Mission/business Process Definition
+
+
+
control-class: Management
+
+
number: PM-11
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Defines mission/business processes with consideration for information security and the
+ resulting risk to organizational operations, organizational assets, individuals, other
+ organizations, and the Nation; and
+
+
+
Determines information protection needs arising from the defined mission/business
+ processes and revises the processes as necessary, until an achievable set of protection
+ needs is obtained.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Information protection needs are technology-independent, required capabilities to counter
+ threats to organizations, individuals, or the Nation through the compromise of information
+ (i.e., loss of confidentiality, integrity, or availability). Information protection needs
+ are derived from the mission/business needs defined by the organization, the
+ mission/business processes selected to meet the stated needs, and the organizational risk
+ management strategy. Information protection needs determine the required security controls
+ for the organization and the associated information systems supporting the
+ mission/business processes. Inherent in defining an organizations information protection
+ needs is an understanding of the level of adverse impact that could result if a compromise
+ of information occurs. The security categorization process is used to make such potential
+ impact determinations. Mission/business process definitions and associated information
+ protection requirements are documented by the organization in accordance with
+ organizational policy and procedure. Related controls: PM-7, PM-8, RA-2.
+
+
+
+
+
+
+
+
+
FIPS
+ Publication 199
+
+
+
+
+
+
+
NIST 800-60
+
+
+
+
+
+
+
+
+
+
+
+
Personnel Security
+
+
+
Personnel Security Policy and Procedures
+
+
+
control-class: Operational
+
+
number: PS-1
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, disseminates, and reviews/updates organization-defined
+ frequency:
+
+
+
+
+
A formal, documented personnel security policy that addresses purpose, scope, roles,
+ responsibilities, management commitment, coordination among organizational entities, and
+ compliance; and
+
+
+
Formal, documented procedures to facilitate the implementation of the personnel
+ security policy and associated personnel security controls.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended to produce the policy and procedures that are required for the
+ effective implementation of selected security controls and control enhancements in the
+ personnel security family. The policy and procedures are consistent with applicable
+ federal laws, Executive Orders, directives, policies, regulations, standards, and
+ guidance. Existing organizational policies and procedures may make the need for additional
+ specific policies and procedures unnecessary. The personnel security policy can be
+ included as part of the general information security policy for the organization.
+ Personnel security procedures can be developed for the security program in general and for
+ a particular information system, when required. The organizational risk management
+ strategy is a key factor in the development of the personnel security policy. Related
+ control: PM-9.
+
+
+
+
+
+
+
+
+
NIST 800-100
+
+
+
+
+
+
NIST
+ 800-12
+
+
+
+
+
+
+
+
+
+
Position Categorization
+
+
+
control-class: Operational
+
+
number: PS-2
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Assigns a risk designation to all positions;
+
+
Establishes screening criteria for individuals filling those positions; and
+
+
Reviews and revises position risk designations organization-defined
+ frequency.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Position risk designations are consistent with Office of Personnel Management policy and
+ guidance. The screening criteria include explicit information security role appointment
+ requirements (e.g., training, security clearance).
+
+
+
+
+
+
+
+
+
5 C.F.R.
+ 731.106
+
+
+
+
+
+
+
+
+
+
Personnel Screening
+
+
+
control-class: Operational
+
+
number: PS-3
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Screens individuals prior to authorizing access to the information system; and
+
+
Rescreens individuals according to organization-defined list of
+ conditions requiring rescreening and, where re-screening is so indicated, the
+ frequency of such rescreening.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Screening and rescreening are consistent with applicable federal laws, Executive Orders,
+ directives, policies, regulations, standards, guidance, and the criteria established for
+ the risk designation of the assigned position. The organization may define different
+ rescreening conditions and frequencies for personnel accessing the information system
+ based on the type of information processed, stored, or transmitted by the system.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization ensures that every user accessing an information system processing,
+ storing, or transmitting classified information is cleared and indoctrinated to the
+ highest classification level of the information on the system.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization ensures that every user accessing an information system processing,
+ storing, or transmitting types of classified information which require formal
+ indoctrination, is formally indoctrinated for all of the relevant types of information
+ on the system.
+
+
+
+
+
+
Supplemental guidance
+
+
Types of information requiring formal indoctrination include, for example, Special
+ Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information
+ (SCI).
+
+
+
+
+
+
+
+
+
+
+
+
+
5 C.F.R.
+ 731.106
+
+
+
+
+
+
+
FIPS
+ 201
+
+
+
+
+
+
+
FIPS
+ Publication 199
+
+
+
+
+
+
+
ICD 704
+
+
+
+
+
+
NIST 800-73
+
+
+
+
+
+
NIST
+ 800-76
+
+
+
+
+
+
+
NIST
+ 800-78
+
+
+
+
+
+
+
+
+
+
Personnel Termination
+
+
+
control-class: Operational
+
+
number: PS-4
+
+
priority: P2
+
+
+
Control
+
+
The organization, upon termination of individual employment:
+
+
+
+
Terminates information system access;
+
+
Conducts exit interviews;
+
+
Retrieves all security-related organizational information system-related property;
+ and
+
+
+
Retains access to organizational information and information systems formerly
+ controlled by terminated individual.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Information system-related property includes, for example, hardware authentication
+ tokens, system administration technical manuals, keys, identification cards, and building
+ passes. Exit interviews ensure that individuals understand any security constraints
+ imposed by being former employees and that proper accountability is achieved for all
+ information system-related property. Exit interviews may not be possible for some
+ employees (e.g., in the case of job abandonment, some illnesses, and nonavailability of
+ supervisors). Exit interviews are important for individuals with security clearances.
+ Timely execution of this control is particularly essential for employees or contractors
+ terminated for cause.
+
+
+
+
+
+
+
+
Personnel Transfer
+
+
+
control-class: Operational
+
+
number: PS-5
+
+
priority: P2
+
+
+
Control
+
+
The organization reviews logical and physical access authorizations to information
+ systems/facilities when personnel are reassigned or transferred to other positions within
+ the organization and initiates organization-defined transfer or
+ reassignment actions within organization-defined time period
+ following the formal transfer action.
+
+
+
+
+
+
Supplemental guidance
+
+
This control applies when the reassignment or transfer of an employee is permanent or of
+ such an extended duration as to make the actions warranted. In addition the organization
+ defines the actions appropriate for the type of reassignment or transfer; whether
+ permanent or temporary. Actions that may be required when personnel are transferred or
+ reassigned to other positions within the organization include, for example: (i) returning
+ old and issuing new keys, identification cards, and building passes; (ii) closing previous
+ information system accounts and establishing new accounts; (iii) changing information
+ system access authorizations; and (iv) providing for access to official records to which
+ the employee had access at the previous work location and in the previous information
+ system accounts.
+
+
+
+
+
+
+
+
Access Agreements
+
+
+
control-class: Operational
+
+
number: PS-6
+
+
priority: P3
+
+
+
Control
+
+
The organization:
+
+
+
+
Ensures that individuals requiring access to organizational information and
+ information systems sign appropriate access agreements prior to being granted access;
+ and
+
+
+
Reviews/updates the access agreements organization-defined
+ frequency.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Access agreements include, for example, nondisclosure agreements, acceptable use
+ agreements, rules of behavior, and conflict-of-interest agreements. Signed access
+ agreements include an acknowledgement that individuals have read, understand, and agree to
+ abide by the constraints associated with the information system to which access is
+ authorized. Electronic signatures are acceptable for use in acknowledging access
+ agreements unless specifically prohibited by organizational policy. Related control:
+ PL-4.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization ensures that access to information with special protection measures
+ is granted only to individuals who:
+
+
+
+
+
Have a valid access authorization that is demonstrated by assigned official
+ government duties; and
+
+
+
Satisfy associated personnel security criteria.
+
+
+
+
+
+
+
Supplemental guidance
+
+
Information with special protection measures includes, for example, privacy
+ information, proprietary information, and Sources and Methods Information (SAMI).
+ Personnel security criteria include, for example, position sensitivity background
+ screening requirements.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization ensures that access to classified information with special
+ protection measures is granted only to individuals who:
+
+
+
+
+
Have a valid access authorization that is demonstrated by assigned official
+ government duties;
+
+
+
Satisfy associated personnel security criteria; and
+
+
Have read, understand, and signed a nondisclosure agreement.
+
+
+
+
+
+
+
Supplemental guidance
+
+
Examples of special protection measures include, for example, collateral, Special
+ Access Program (SAP) and Sensitive Compartmented Information (SCI). Personnel security
+ criteria are consistent with applicable federal laws, Executive Orders, directives,
+ policies, regulations, standards, and guidance.
+
+
+
+
+
+
+
+
+
+
+
+
Third-party Personnel Security
+
+
+
control-class: Operational
+
+
number: PS-7
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Establishes personnel security requirements including security roles and
+ responsibilities for third-party providers;
+
+
+
Documents personnel security requirements; and
+
+
Monitors provider compliance.
+
+
+
+
+
+
+
Supplemental guidance
+
+
Third-party providers include, for example, service bureaus, contractors, and other
+ organizations providing information system development, information technology services,
+ outsourced applications, and network and security management. The organization explicitly
+ includes personnel security requirements in acquisition-related documents.
+
+
+
+
+
+
+
+
+
NIST
+ 800-35
+
+
+
+
+
+
+
+
+
+
Personnel Sanctions
+
+
+
control-class: Operational
+
+
number: PS-8
+
+
priority: P3
+
+
+
Control
+
+
The organization employs a formal sanctions process for personnel failing to comply with
+ established information security policies and procedures.
+
+
+
+
+
+
Supplemental guidance
+
+
The sanctions process is consistent with applicable federal laws, Executive Orders,
+ directives, policies, regulations, standards, and guidance. The process is described in
+ access agreements and can be included as part of the general personnel policies and
+ procedures for the organization. Related controls: PL-4, PS-6.
+
+
+
+
+
+
+
+
+
+
+
Risk Assessment
+
+
+
Risk Assessment Policy and Procedures
+
+
+
control-class: Management
+
+
number: RA-1
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, disseminates, and reviews/updates organization-defined
+ frequency:
+
+
+
+
+
A formal, documented risk assessment policy that addresses purpose, scope, roles,
+ responsibilities, management commitment, coordination among organizational entities, and
+ compliance; and
+
+
+
Formal, documented procedures to facilitate the implementation of the risk assessment
+ policy and associated risk assessment controls.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended to produce the policy and procedures that are required for the
+ effective implementation of selected security controls and control enhancements in the
+ risk assessment family. The policy and procedures are consistent with applicable federal
+ laws, Executive Orders, directives, policies, regulations, standards, and guidance.
+ Existing organizational policies and procedures may make the need for additional specific
+ policies and procedures unnecessary. The risk assessment policy can be included as part of
+ the general information security policy for the organization. Risk assessment procedures
+ can be developed for the security program in general and for a particular information
+ system, when required. The organizational risk management strategy is a key factor in the
+ development of the risk assessment policy. Related control: PM-9.
+
+
+
+
+
+
+
+
+
NIST 800-100
+
+
+
+
+
+
NIST
+ 800-12
+
+
+
+
+
+
+
NIST
+ 800-30
+
+
+
+
+
+
+
+
+
+
Security Categorization
+
+
+
control-class: Management
+
+
number: RA-2
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Categorizes information and the information system in accordance with applicable
+ federal laws, Executive Orders, directives, policies, regulations, standards, and
+ guidance;
+
+
+
Documents the security categorization results (including supporting rationale) in the
+ security plan for the information system; and
+
+
+
Ensures the security categorization decision is reviewed and approved by the
+ authorizing official or authorizing official designated representative.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
A clearly defined authorization boundary is a prerequisite for an effective security
+ categorization. Security categorization describes the potential adverse impacts to
+ organizational operations, organizational assets, and individuals should the information
+ and information system be comprised through a loss of confidentiality, integrity, or
+ availability. The organization conducts the security categorization process as an
+ organization-wide activity with the involvement of the chief information officer, senior
+ information security officer, information system owner, mission owners, and information
+ owners/stewards. The organization also considers potential adverse impacts to other
+ organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security
+ Presidential Directives, potential national-level adverse impacts in categorizing the
+ information system. The security categorization process facilitates the creation of an
+ inventory of information assets, and in conjunction with CM-8, a mapping to the
+ information system components where the information is processed, stored, and transmitted.
+ Related controls: CM-8, MP-4, SC-7.
+
+
+
+
+
+
+
+
+
FIPS
+ Publication 199
+
+
+
+
+
+
+
NIST
+ 800-30
+
+
+
+
+
+
+
NIST 800-39
+
+
+
+
+
+
NIST 800-60
+
+
+
+
+
+
+
+
+
Risk Assessment
+
+
+
control-class: Management
+
+
number: RA-3
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Conducts an assessment of risk, including the likelihood and magnitude of harm, from
+ the unauthorized access, use, disclosure, disruption, modification, or destruction of
+ the information system and the information it processes, stores, or transmits;
+
+
+
Documents risk assessment results in
+
+
+
security plan;
+
+
risk assessment report;
+
+
organization-defined document
+
+
+
+
+
Reviews risk assessment results organization-defined frequency;
+ and
+
+
+
Updates the risk assessment organization-defined frequency or
+ whenever there are significant changes to the information system or environment of
+ operation (including the identification of new threats and vulnerabilities), or other
+ conditions that may impact the security state of the system.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
A clearly defined authorization boundary is a prerequisite for an effective risk
+ assessment. Risk assessments take into account vulnerabilities, threat sources, and
+ security controls planned or in place to determine the level of residual risk posed to
+ organizational operations and assets, individuals, other organizations, and the Nation
+ based on the operation of the information system. Risk assessments also take into account
+ risk posed to organizational operations, organizational assets, or individuals from
+ external parties (e.g., service providers, contractors operating information systems on
+ behalf of the organization, individuals accessing organizational information systems,
+ outsourcing entities). In accordance with OMB policy and related E-authentication
+ initiatives, authentication of public users accessing federal information systems may also
+ be required to protect nonpublic or privacy-related information. As such, organizational
+ assessments of risk also address public access to federal information systems. The General
+ Services Administration provides tools supporting that portion of the risk assessment
+ dealing with public access to federal information systems.
+
+
+
Risk assessments (either formal or informal) can be conducted by organizations at various
+ steps in the Risk Management Framework including: information system categorization;
+ security control selection; security control implementation; security control assessment;
+ information system authorization; and security control monitoring. RA-3 is a noteworthy
+ security control in that the control must be partially implemented prior to the
+ implementation of other controls in order to complete the first two steps in the Risk
+ Management Framework. Risk assessments can play an important role in the security control
+ selection process during the application of tailoring guidance for security control
+ baselines and when considering supplementing the tailored baselines with additional
+ security controls or control enhancements.
+
Scans for vulnerabilities in the information system and hosted applications
+ organization-defined frequency and/or randomly in accordance with
+ organization-defined process and when new vulnerabilities potentially affecting
+ the system/applications are identified and reported;
+
+
+
Employs vulnerability scanning tools and techniques that promote interoperability
+ among tools and automate parts of the vulnerability management process by using
+ standards for:
+
+
+
Enumerating platforms, software flaws, and improper configurations;
+
+
Formatting and making transparent, checklists and test procedures; and
+
+
Measuring vulnerability impact;
+
+
+
+
+
+
Analyzes vulnerability scan reports and results from security control
+ assessments;
+
+
+
Remediates legitimate vulnerabilities organization-defined response
+ times in accordance with an organizational assessment of risk; and
+
+
+
Shares information obtained from the vulnerability scanning process and security
+ control assessments with designated personnel throughout the organization to help
+ eliminate similar vulnerabilities in other information systems (i.e., systemic
+ weaknesses or deficiencies).
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
The security categorization of the information system guides the frequency and
+ comprehensiveness of the vulnerability scans. Vulnerability analysis for custom software
+ and applications may require additional, more specialized techniques and approaches (e.g.,
+ web-based application scanners, source code reviews, source code analyzers). Vulnerability
+ scanning includes scanning for specific functions, ports, protocols, and services that
+ should not be accessible to users or devices and for improperly configured or incorrectly
+ operating information flow mechanisms. The organization considers using tools that express
+ vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and
+ that use the Open Vulnerability Assessment Language (OVAL) to test for the presence of
+ vulnerabilities. The Common Weakness Enumeration (CWE) and the National Vulnerability
+ Database (NVD) are also excellent sources for vulnerability information. In addition,
+ security control assessments such as red team exercises are another source of potential
+ vulnerabilities for which to scan. Related controls: CA-2, CM-6, RA-3, SI-2.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs vulnerability scanning tools that include the capability to
+ readily update the list of information system vulnerabilities scanned.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization updates the list of information system vulnerabilities scanned
+ organization-defined frequency or when new vulnerabilities
+ are identified and reported.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization employs vulnerability scanning procedures that can demonstrate the
+ breadth and depth of coverage (i.e., information system components scanned and
+ vulnerabilities checked).
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization attempts to discern what information about the information system is
+ discoverable by adversaries.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization includes privileged access authorization to
+ organization-identified information system components for selected
+ vulnerability scanning activities to facilitate more thorough scanning.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automated mechanisms to compare the results of vulnerability
+ scans over time to determine trends in information system vulnerabilities.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization employs automated mechanisms organization-defined
+ frequency to detect the presence of unauthorized software on organizational
+ information systems and notify designated organizational officials.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization reviews historic audit logs to determine if a vulnerability
+ identified in the information system has been previously exploited.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs an independent penetration agent or penetration team to:
+
+
+
+
Conduct a vulnerability analysis on the information system; and
+
+
Perform penetration testing on the information system based on the vulnerability
+ analysis to determine the exploitability of identified vulnerabilities.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
A standard method for penetration testing includes: (i) pre-test analysis based on
+ full knowledge of the target information system; (ii) pre-test identification of
+ potential vulnerabilities based on pre-test analysis; and (iii) testing designed to
+ determine exploitability of identified vulnerabilities. Detailed rules of engagement
+ are agreed upon by all parties before the commencement of any penetration testing
+ scenario.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-115
+
+
+
+
+
+
+
NIST
+ 800-40
+
+
+
+
+
+
+
NIST
+ 800-70
+
+
+
+
+
+
+
Web Resource CWE.MITRE.ORG
+
+
+
+
+
+
Web Resource NVD.NIST.GOV
+
+
+
+
+
+
+
+
+
+
+
+
System and Services Acquisition
+
+
+
System and Services Acquisition Policy and Procedures
+
+
+
control-class: Management
+
+
number: SA-1
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, disseminates, and reviews/updates organization-defined
+ frequency:
+
+
+
+
+
A formal, documented system and services acquisition policy that includes information
+ security considerations and that addresses purpose, scope, roles, responsibilities,
+ management commitment, coordination among organizational entities, and compliance;
+ and
+
+
+
Formal, documented procedures to facilitate the implementation of the system and
+ services acquisition policy and associated system and services acquisition
+ controls.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended to produce the policy and procedures that are required for the
+ effective implementation of selected security controls and control enhancements in the
+ system and services acquisition family. The policy and procedures are consistent with
+ applicable federal laws, Executive Orders, directives, policies, regulations, standards,
+ and guidance. Existing organizational policies and procedures may make the need for
+ additional specific policies and procedures unnecessary. The system and services
+ acquisition policy can be included as part of the general information security policy for
+ the organization. System and services acquisition procedures can be developed for the
+ security program in general and for a particular information system, when required. The
+ organizational risk management strategy is a key factor in the development of the system
+ and services acquisition policy. Related control: PM-9.
+
+
+
+
+
+
+
+
+
NIST 800-100
+
+
+
+
+
+
NIST
+ 800-12
+
+
+
+
+
+
+
+
+
+
Allocation of Resources
+
+
+
control-class: Management
+
+
number: SA-2
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Includes a determination of information security requirements for the information
+ system in mission/business process planning;
+
+
+
Determines, documents, and allocates the resources required to protect the information
+ system as part of its capital planning and investment control process; and
+
+
+
Establishes a discrete line item for information security in organizational
+ programming and budgeting documentation.
+
The organization includes the following requirements and/or specifications, explicitly or
+ by reference, in information system acquisition contracts based on an assessment of risk
+ and in accordance with applicable federal laws, Executive Orders, directives, policies,
+ regulations, and standards:
+
+
+
+
+
Security functional requirements/specifications;
+
+
Security-related documentation requirements; and
+
+
Developmental and evaluation-related assurance requirements.
+
+
+
+
+
+
+
Supplemental guidance
+
+
The acquisition documents for information systems, information system components, and
+ information system services include, either explicitly or by reference, security
+ requirements that describe: (i) required security capabilities (i.e., security needs and,
+ as necessary, specific security controls and other specific FISMA requirements); (ii)
+ required design and development processes; (iii) required test and evaluation procedures;
+ and (iv) required documentation. The requirements in the acquisition documents permit
+ updating security controls as new threats/vulnerabilities are identified and as new
+ technologies are implemented. Acquisition documents also include requirements for
+ appropriate information system documentation. The documentation addresses user and system
+ administrator guidance and information regarding the implementation of the security
+ controls in the information system. The level of detail required in the documentation is
+ based on the security categorization for the information system. In addition, the required
+ documentation includes security configuration settings and security implementation
+ guidance. FISMA reporting instructions provide guidance on configuration requirements for
+ federal information systems.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization requires in acquisition documents that vendors/contractors provide
+ information describing the functional properties of the security controls to be
+ employed within the information system, information system components, or information
+ system services in sufficient detail to permit analysis and testing of the
+ controls.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization requires in acquisition documents that vendors/contractors provide
+ information describing the design and implementation details of the security controls
+ to be employed within the information system, information system components, or
+ information system services (including functional interfaces among control components)
+ in sufficient detail to permit analysis and testing of the controls.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization requires software vendors/manufacturers to demonstrate that their
+ software development processes employ state-of-the-practice software and security
+ engineering methods, quality control processes, and validation techniques to minimize
+ flawed or malformed software.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization ensures that each information system component acquired is
+ explicitly assigned to an information system, and that the owner of the system
+ acknowledges this assignment.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization requires in acquisition documents, that information system
+ components are delivered in a secure, documented configuration, and that the secure
+ configuration is the default configuration for any software reinstalls or
+ upgrades.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization:
+
+
+
+
Employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS)
+ information assurance (IA) and IA-enabled information technology products that
+ composes an NSA-approved solution to protect classified information when the
+ networks used to transmit the information are at a lower classification level than
+ the information being transmitted; and
+
+
+
Ensures that these products have been evaluated and/or validated by the NSA or in
+ accordance with NSA-approved procedures.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
COTS IA or IA-enabled information technology products used to protect classified
+ information by cryptographic means, may be required to use NSA-approved key
+ management.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization:
+
+
+
+
Limits the use of commercially provided information technology products to those
+ products that have been successfully evaluated against a validated U.S. Government
+ Protection Profile for a specific technology type, if such a profile exists;
+ and
+
+
+
Requires, if no U.S. Government Protection Profile exists for a specific
+ technology type but a commercially provided information technology product relies on
+ cryptographic functionality to enforce its security policy, then the cryptographic
+ module is FIPS-validated.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
FIPS 140-2
+
+
+
+
+
+
ISO/IEC 15408
+
+
+
+
+
+
NIST
+ 800-23
+
+
+
+
+
+
+
NIST
+ 800-35
+
+
+
+
+
+
+
NIST
+ 800-36
+
+
+
+
+
+
+
NIST 800-64
+
+
+
+
+
+
NIST
+ 800-70
+
+
+
+
+
+
+
Web Resource WWW.NIAP-CCEVS.ORG
+
+
+
+
+
+
+
+
+
Information System Documentation
+
+
+
control-class: Management
+
+
number: SA-5
+
+
priority: P2
+
+
+
Control
+
+
The organization:
+
+
+
+
Obtains, protects as required, and makes available to authorized personnel,
+ administrator documentation for the information system that describes:
+
+
+
Secure configuration, installation, and operation of the information system;
+
+
Effective use and maintenance of security features/functions; and
+
+
Known vulnerabilities regarding configuration and use of administrative (i.e.,
+ privileged) functions; and
+
+
+
+
+
+
+
Obtains, protects as required, and makes available to authorized personnel, user
+ documentation for the information system that describes:
+
+
+
User-accessible security features/functions and how to effectively use those
+ security features/functions;
+
+
+
Methods for user interaction with the information system, which enables
+ individuals to use the system in a more secure manner; and
+
+
+
User responsibilities in maintaining the security of the information and
+ information system; and
+
+
+
+
+
+
+
Documents attempts to obtain information system documentation when such documentation
+ is either unavailable or nonexistent.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
The inability of the organization to obtain necessary information system documentation
+ may occur, for example, due to the age of the system and/or lack of support from the
+ vendor/contractor. In those situations, organizations may need to recreate selected
+ information system documentation if such documentation is essential to the effective
+ implementation and/or operation of security controls.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization obtains, protects as required, and makes available to authorized
+ personnel, vendor/manufacturer documentation that describes the functional properties
+ of the security controls employed within the information system with sufficient detail
+ to permit analysis and testing.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization obtains, protects as required, and makes available to authorized
+ personnel, vendor/manufacturer documentation that describes the security-relevant
+ external interfaces to the information system with sufficient detail to permit
+ analysis and testing.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization obtains, protects as required, and makes available to authorized
+ personnel, vendor/manufacturer documentation that describes the high-level design of
+ the information system in terms of subsystems and implementation details of the
+ security controls employed within the system with sufficient detail to permit analysis
+ and testing.
+
+
+
+
+
+
Supplemental guidance
+
+
An information system can be partitioned into multiple subsystems.
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization obtains, protects as required, and makes available to authorized
+ personnel, vendor/manufacturer documentation that describes the low-level design of
+ the information system in terms of modules and implementation details of the security
+ controls employed within the system with sufficient detail to permit analysis and
+ testing.
+
+
+
+
+
+
Supplemental guidance
+
+
Each subsystem within an information system can contain one or more modules.
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization obtains, protects as required, and makes available to authorized
+ personnel, the source code for the information system to permit analysis and
+ testing.
+
+
+
+
+
+
+
+
+
+
+
+
Software Usage Restrictions
+
+
+
control-class: Management
+
+
number: SA-6
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Uses software and associated documentation in accordance with contract agreements and
+ copyright laws;
+
+
+
Employs tracking systems for software and associated documentation protected by
+ quantity licenses to control copying and distribution; and
+
+
+
Controls and documents the use of peer-to-peer file sharing technology to ensure that
+ this capability is not used for the unauthorized distribution, display, performance, or
+ reproduction of copyrighted work.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Tracking systems can include, for example, simple spreadsheets or fully automated,
+ specialized applications depending on the needs of the organization.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization:
+
+
+
+
Prohibits the use of binary or machine executable code from sources with limited
+ or no warranty without accompanying source code; and
+
+
+
Provides exceptions to the source code requirement only for compelling
+ mission/operational requirements when no alternative solutions are available and
+ with the express written consent of the authorizing official.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Software products without accompanying source code from sources with limited or no
+ warranty are assessed for potential security impacts. The assessment addresses the
+ fact that these types of software products are difficult or impossible to review,
+ repair, or extend, given that the organization does not have access to the original
+ source code and there is no owner who could make such repairs on behalf of the
+ organization.
+
+
+
+
+
+
+
+
+
+
+
+
User-installed Software
+
+
+
control-class: Management
+
+
number: SA-7
+
+
priority: P1
+
+
+
Control
+
+
The organization enforces explicit rules governing the installation of software by
+ users.
+
+
+
+
+
+
Supplemental guidance
+
+
If provided the necessary privileges, users have the ability to install software. The
+ organization identifies what types of software installations are permitted (e.g., updates
+ and security patches to existing software) and what types of installations are prohibited
+ (e.g., software whose pedigree with regard to being potentially malicious is unknown or
+ suspect). Related control: CM-2.
+
+
+
+
+
+
+
+
Security Engineering Principles
+
+
+
control-class: Management
+
+
number: SA-8
+
+
priority: P1
+
+
+
Control
+
+
The organization applies information system security engineering principles in the
+ specification, design, development, implementation, and modification of the information
+ system.
+
+
+
+
+
+
Supplemental guidance
+
+
The application of security engineering principles is primarily targeted at new
+ development information systems or systems undergoing major upgrades and is integrated
+ into the system development life cycle. For legacy information systems, the organization
+ applies security engineering principles to system upgrades and modifications to the extent
+ feasible, given the current state of the hardware, software, and firmware within the
+ system. Examples of security engineering principles include, for example: (i) developing
+ layered protections; (ii) establishing sound security policy, architecture, and controls
+ as the foundation for design; (iii) incorporating security into the system development
+ life cycle; (iv) delineating physical and logical security boundaries; (v) ensuring system
+ developers and integrators are trained on how to develop secure software; (vi) tailoring
+ security controls to meet organizational and operational needs; and (vii) reducing risk to
+ acceptable levels, thus enabling informed risk management decisions.
+
+
+
+
+
+
+
+
+
NIST
+ 800-27
+
+
+
+
+
+
+
+
+
+
External Information System Services
+
+
+
control-class: Management
+
+
number: SA-9
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Requires that providers of external information system services comply with
+ organizational information security requirements and employ appropriate security
+ controls in accordance with applicable federal laws, Executive Orders, directives,
+ policies, regulations, standards, and guidance;
+
+
+
Defines and documents government oversight and user roles and responsibilities with
+ regard to external information system services; and
+
+
+
Monitors security control compliance by external service providers.
+
+
+
+
+
+
+
Supplemental guidance
+
+
An external information system service is a service that is implemented outside of the
+ authorization boundary of the organizational information system (i.e., a service that is
+ used by, but not a part of, the organizational information system). Relationships with
+ external service providers are established in a variety of ways, for example, through
+ joint ventures, business partnerships, outsourcing arrangements (i.e., contracts,
+ interagency agreements, lines of business arrangements), licensing agreements, and/or
+ supply chain exchanges. The responsibility for adequately mitigating risks arising from
+ the use of external information system services remains with the authorizing official.
+ Authorizing officials require that an appropriate chain of trust be established with
+ external service providers when dealing with the many issues associated with information
+ security. For services external to the organization, a chain of trust requires that the
+ organization establish and retain a level of confidence that each participating provider
+ in the potentially complex consumer-provider relationship provides adequate protection for
+ the services rendered to the organization. The extent and nature of this chain of trust
+ varies based on the relationship between the organization and the external provider. Where
+ a sufficient level of trust cannot be established in the external services and/or service
+ providers, the organization employs compensating security controls or accepts the greater
+ degree of risk. The external information system services documentation includes
+ government, service provider, and end user security roles and responsibilities, and any
+ service-level agreements. Service-level agreements define the expectations of performance
+ for each required security control, describe measurable outcomes, and identify remedies
+ and response requirements for any identified instance of noncompliance.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization:
+
+
+
+
Conducts an organizational assessment of risk prior to the acquisition or
+ outsourcing of dedicated information security services; and
+
+
+
Ensures that the acquisition or outsourcing of dedicated information security
+ services is approved by organization-defined senior organizational
+ official.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Dedicated information security services include, for example, incident monitoring,
+ analysis and response, operation of information security-related devices such as
+ firewalls, or key management services.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-35
+
+
+
+
+
+
+
+
+
+
Developer Configuration Management
+
+
+
control-class: Management
+
+
number: SA-10
+
+
priority: P1
+
+
+
Control
+
+
The organization requires that information system developers/integrators:
+
+
+
+
Perform configuration management during information system design, development,
+ implementation, and operation;
+
+
+
Manage and control changes to the information system;
+
+
Implement only organization-approved changes;
+
+
Document approved changes to the information system; and
The organization requires that information system developers/integrators provide an
+ integrity check of software to facilitate organizational verification of software
+ integrity after delivery.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization provides an alternative configuration management process with
+ organizational personnel in the absence of dedicated developer/integrator
+ configuration management team.
+
+
+
+
+
+
Supplemental guidance
+
+
The configuration management process includes key organizational personnel that are
+ responsible for reviewing and approving proposed changes to the information system,
+ and security personnel that conduct impact analyses prior to the implementation of any
+ changes to the system.
+
+
+
+
+
+
+
+
+
+
+
+
Developer Security Testing
+
+
+
control-class: Management
+
+
number: SA-11
+
+
priority: P2
+
+
+
Control
+
+
The organization requires that information system developers/integrators, in consultation
+ with associated security personnel (including security engineers):
+
+
+
+
+
Create and implement a security test and evaluation plan;
+
+
Implement a verifiable flaw remediation process to correct weaknesses and deficiencies
+ identified during the security testing and evaluation process; and
+
+
+
Document the results of the security testing/evaluation and flaw remediation
+ processes.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Developmental security test results are used to the greatest extent feasible after
+ verification of the results and recognizing that these results are impacted whenever there
+ have been security-relevant modifications to the information system subsequent to
+ developer testing. Test results may be used in support of the security authorization
+ process for the delivered information system. Related control: CA-2, SI-2.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization requires that information system developers/integrators employ code
+ analysis tools to examine software for common flaws and document the results of the
+ analysis.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization requires that information system developers/integrators perform a
+ vulnerability analysis to document vulnerabilities, exploitation potential, and risk
+ mitigations.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization requires that information system developers/integrators create a
+ security test and evaluation plan and implement the plan under the witness of an
+ independent verification and validation agent.
+
+
+
+
+
+
+
+
+
+
+
+
Supply Chain Protection
+
+
+
control-class: Management
+
+
number: SA-12
+
+
priority: P1
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization protects against supply chain threats by employing:
+ organization-defined list of measures to protect against supply chain
+ threats as part of a comprehensive, defense-in-breadth information security
+ strategy.
+
+
+
+
+
+
Supplemental guidance
+
+
A defense-in-breadth approach helps to protect information systems (including the
+ information technology products that compose those systems) throughout the system
+ development life cycle (i.e., during design and development, manufacturing, packaging,
+ assembly, distribution, system integration, operations, maintenance, and retirement). This
+ is accomplished by the identification, management, and elimination of vulnerabilities at
+ each phase of the life cycle and the use of complementary, mutually reinforcing strategies
+ to mitigate risk.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization purchases all anticipated information system components and spares
+ in the initial acquisition.
+
+
+
+
+
+
Supplemental guidance
+
+
Stockpiling information system components and spares avoids the need to use less
+ trustworthy secondary or resale markets in future years.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization conducts a due diligence review of suppliers prior to entering into
+ contractual agreements to acquire information system hardware, software, firmware, or
+ services.
+
+
+
+
+
+
Supplemental guidance
+
+
The organization reviews supplier claims with regard to the use of appropriate
+ security processes in the development and manufacture of information system components
+ or products.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization uses trusted shipping and warehousing for information systems,
+ information system components, and information technology products.
+
+
+
+
+
+
Supplemental guidance
+
+
Trusted shipping and warehousing reduces opportunities for subversive activities or
+ interception during transit. Examples of supporting techniques include the use of a
+ geographically aware beacon to detect shipment diversions or delays. Related control:
+ PE-16.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs a diverse set of suppliers for information systems,
+ information system components, information technology products, and information system
+ services.
+
+
+
+
+
+
Supplemental guidance
+
+
Diversification of suppliers is intended to limit the potential harm from a given
+ supplier in a supply chain, increasing the work factor for an adversary.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs standard configurations for information systems, information
+ system components, and information technology products.
+
+
+
+
+
+
Supplemental guidance
+
+
By avoiding the purchase of custom configurations for information systems,
+ information system components, and information technology products, the organization
+ limits the possibility of acquiring systems and products that have been corrupted via
+ the supply chain actions targeted at the organization.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization minimizes the time between purchase decisions and delivery of
+ information systems, information system components, and information technology
+ products.
+
+
+
+
+
+
Supplemental guidance
+
+
By minimizing the time between purchase decisions and required delivery of
+ information systems, information system components, and information technology
+ products, the organization limits the opportunity for an adversary to corrupt the
+ purchased system, component, or product.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs independent analysis and penetration testing against
+ delivered information systems, information system components, and information
+ technology products.
+
+
+
+
+
+
+
+
+
+
+
+
Trustworthiness
+
+
+
control-class: Management
+
+
number: SA-13
+
+
priority: P1
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization requires that the information system meets organization-defined
+ level of trustworthiness.
+
+
+
+
+
+
Supplemental guidance
+
+
The intent of this control is to ensure that organizations recognize the importance of
+ trustworthiness and making explicit trustworthiness decisions when designing, developing,
+ and implementing organizational information systems. Trustworthiness is a characteristic
+ or property of an information system that expresses the degree to which the system can be
+ expected to preserve the confidentiality, integrity, and availability of the information
+ being processed, stored, or transmitted by the system. Trustworthy information systems are
+ systems that are capable of being trusted to operate within defined levels of risk despite
+ the environmental disruptions, human errors, and purposeful attacks that are expected to
+ occur in the specified environments of operation. Two factors affecting the
+ trustworthiness of an information system include: (i) security functionality (i.e., the
+ security features or functions employed within the system); and (ii) security assurance
+ (i.e., the grounds for confidence that the security functionality is effective in its
+ application).
+
+
+
Appropriate security functionality for the information system can be obtained by using
+ the Risk Management Framework (Steps 1, 2, and 3) to select and implement the necessary
+ management, operational, and technical security controls necessary to mitigate risk to
+ organizational operations and assets, individuals, other organizations, and the Nation.
+ Appropriate security assurance can be obtained by: (i) the actions taken by developers and
+ implementers of security controls with regard to the design, development, implementation,
+ and operation of those controls; and (ii) the actions taken by assessors to determine the
+ extent to which the controls are implemented correctly, operating as intended, and
+ producing the desired outcome with respect to meeting the security requirements for the
+ information system.
+
+
+
Developers and implementers can increase the assurance in security controls by employing
+ well-defined security policy models, structured, disciplined, and rigorous hardware and
+ software development techniques, and sound system/security engineering principles.
+ Assurance is also based on the assessment of evidence produced during the initiation,
+ acquisition/development, implementation, and operations/maintenance phases of the system
+ development life cycle. For example, developmental evidence may include the techniques and
+ methods used to design and develop security functionality. Operational evidence may
+ include flaw reporting and remediation, the results of security incident reporting, and
+ the results of the ongoing monitoring of security controls. Independent assessments by
+ qualified assessors may include analyses of the evidence as well as testing, inspections,
+ and audits. Minimum assurance requirements are described in Appendix E.
+
+
+
Explicit trustworthiness decisions highlight situations where achieving the information
+ system resilience and security capability necessary to withstand cyber attacks from
+ adversaries with certain threat capabilities may require adjusting the risk management
+ strategy, the design of mission/business processes with regard to automation, the
+ selection and implementation rigor of management and operational protections, or the
+ selection of information technology components with higher levels of trustworthiness.
+ Trustworthiness may be defined on a component-by-component, subsystem-by-subsystem, or
+ function-by-function basis. It is noted, however, that typically functions, subsystems,
+ and components are highly interrelated, making separation by trustworthiness perhaps
+ problematic and at a minimum, something that likely requires careful attention in order to
+ achieve practically useful results. Related controls: RA-2, SA-4, SA-8, SC-3.
+
+
+
+
+
+
+
+
+
FIPS
+ 200
+
+
+
+
+
+
+
FIPS
+ Publication 199
+
+
+
+
+
+
+
NIST 800-53
+
+
+
+
+
+
NIST 800-53A
+
+
+
+
+
+
NIST 800-60
+
+
+
+
+
+
NIST 800-64
+
+
+
+
+
+
+
+
+
Critical Information System Components
+
+
+
control-class: Management
+
+
number: SA-14
+
+
priority: P0
+
+
+
Control
+
+
The organization:
+
+
+
+
Determines organization-defined list of critical information system
+ components that require re-implementation; and
+
+
+
Re-implements or custom develops such information system components.
+
+
+
+
+
+
+
Supplemental guidance
+
+
The underlying assumption is that the list of information technology products defined by
+ the organization cannot be trusted due to threats from the supply chain that the
+ organization finds unacceptable. The organization re-implements or custom develops such
+ components to satisfy requirements for high assurance. Related controls: SA-12, SA-13.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization:
+
+
+
+
Identifies information system components for which alternative sourcing is not
+ viable; and
+
+
+
Employs organization-defined measures to ensure that
+ critical security controls for the information system components are not
+ compromised.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Measures that the organization considers implementing include, for example, enhanced
+ auditing, restrictions on source code and system utility access, and protection from
+ deletion of system and application files.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
System and Communications Protection
+
+
+
System and Communications Protection Policy and Procedures
+
+
+
control-class: Technical
+
+
number: SC-1
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, disseminates, and reviews/updates organization-defined
+ frequency:
+
+
+
+
+
A formal, documented system and communications protection policy that addresses
+ purpose, scope, roles, responsibilities, management commitment, coordination among
+ organizational entities, and compliance; and
+
+
+
Formal, documented procedures to facilitate the implementation of the system and
+ communications protection policy and associated system and communications protection
+ controls.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended to produce the policy and procedures that are required for the
+ effective implementation of selected security controls and control enhancements in the
+ system and communications protection family. The policy and procedures are consistent with
+ applicable federal laws, Executive Orders, directives, policies, regulations, standards,
+ and guidance. Existing organizational policies and procedures may make the need for
+ additional specific policies and procedures unnecessary. The system and communications
+ protection policy can be included as part of the general information security policy for
+ the organization. System and communications protection procedures can be developed for the
+ security program in general and for a particular information system, when required. The
+ organizational risk management strategy is a key factor in the development of the system
+ and communications protection policy. Related control: PM-9.
+
+
+
+
+
+
+
+
+
NIST 800-100
+
+
+
+
+
+
NIST
+ 800-12
+
+
+
+
+
+
+
+
+
+
Application Partitioning
+
+
+
control-class: Technical
+
+
number: SC-2
+
+
priority: P1
+
+
+
Control
+
+
The information system separates user functionality (including user interface services)
+ from information system management functionality.
+
+
+
+
+
+
Supplemental guidance
+
+
Information system management functionality includes, for example, functions necessary to
+ administer databases, network components, workstations, or servers, and typically requires
+ privileged user access. The separation of user functionality from information system
+ management functionality is either physical or logical and is accomplished by using
+ different computers, different central processing units, different instances of the
+ operating system, different network addresses, combinations of these methods, or other
+ methods as appropriate. An example of this type of separation is observed in web
+ administrative interfaces that use separate authentication methods for users of any other
+ information system resources. This may include isolating the administrative interface on a
+ different domain and with additional access controls.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system prevents the presentation of information system
+ management-related functionality at an interface for general (i.e., non-privileged)
+ users.
+
+
+
+
+
+
Supplemental guidance
+
+
The intent of this control enhancement is to ensure that administration options are
+ not available to general users (including prohibiting the use of the grey-out option
+ commonly used to eliminate accessibility to such information). For example,
+ administration options are not presented until the user has appropriately established
+ a session with administrator privileges.
+
+
+
+
+
+
+
+
+
+
+
+
Security Function Isolation
+
+
+
control-class: Technical
+
+
number: SC-3
+
+
priority: P1
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The information system isolates security functions from nonsecurity functions.
+
+
+
+
+
Supplemental guidance
+
+
The information system isolates security functions from nonsecurity functions by means of
+ an isolation boundary (implemented via partitions and domains) that controls access to and
+ protects the integrity of, the hardware, software, and firmware that perform those
+ security functions. The information system maintains a separate execution domain (e.g.,
+ address space) for each executing process. Related control: SA-13.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system implements underlying hardware separation mechanisms to
+ facilitate security function isolation.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system isolates security functions enforcing access and information
+ flow control from both nonsecurity functions and from other security functions.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization implements an information system isolation boundary to minimize the
+ number of nonsecurity functions included within the boundary containing security
+ functions.
+
+
+
+
+
+
Supplemental guidance
+
+
Nonsecurity functions contained within the isolation boundary are considered
+ security-relevant.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization implements security functions as largely independent modules that
+ avoid unnecessary interactions between modules.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization implements security functions as a layered structure minimizing
+ interactions between layers of the design and avoiding any dependence by lower layers
+ on the functionality or correctness of higher layers.
+
+
+
+
+
+
+
+
+
+
+
+
Information In Shared Resources
+
+
+
control-class: Technical
+
+
number: SC-4
+
+
priority: P1
+
+
+
Control
+
+
The information system prevents unauthorized and unintended information transfer via
+ shared system resources.
+
+
+
+
+
+
Supplemental guidance
+
+
The purpose of this control is to prevent information, including encrypted
+ representations of information, produced by the actions of a prior user/role (or the
+ actions of a process acting on behalf of a prior user/role) from being available to any
+ current user/role (or current process) that obtains access to a shared system resource
+ (e.g., registers, main memory, secondary storage) after that resource has been released
+ back to the information system. Control of information in shared resources is also
+ referred to as object reuse. This control does not address: (i) information remanence
+ which refers to residual representation of data that has been in some way nominally erased
+ or removed; (ii) covert channels where shared resources are manipulated to achieve a
+ violation of information flow restrictions; or (iii) components in the information system
+ for which there is only a single user/role.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system does not share resources that are used to interface with
+ systems operating at different security levels.
+
+
+
+
+
+
Supplemental guidance
+
+
Shared resources include, for example, memory, input/output queues, and network
+ interface cards.
+
+
+
+
+
+
+
+
+
+
+
+
Denial of Service Protection
+
+
+
control-class: Technical
+
+
number: SC-5
+
+
priority: P1
+
+
+
Control
+
+
The information system protects against or limits the effects of the following types of
+ denial of service attacks: organization-defined list of types of denial
+ of service attacks or reference to source for current list.
+
+
+
+
+
+
Supplemental guidance
+
+
A variety of technologies exist to limit, or in some cases, eliminate the effects of
+ denial of service attacks. For example, boundary protection devices can filter certain
+ types of packets to protect devices on an organizations internal network from being
+ directly affected by denial of service attacks. Employing increased capacity and bandwidth
+ combined with service redundancy may reduce the susceptibility to some denial of service
+ attacks. Related control: SC-7.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system restricts the ability of users to launch denial of service
+ attacks against other information systems or networks.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system manages excess capacity, bandwidth, or other redundancy to
+ limit the effects of information flooding types of denial of service attacks.
+
+
+
+
+
+
+
+
+
+
+
+
Resource Priority
+
+
+
control-class: Technical
+
+
number: SC-6
+
+
priority: P0
+
+
+
Control
+
+
The information system limits the use of resources by priority.
+
+
+
+
+
Supplemental guidance
+
+
Priority protection helps prevent a lower-priority process from delaying or interfering
+ with the information system servicing any higher-priority process. This control does not
+ apply to components in the information system for which there is only a single
+ user/role.
+
+
+
+
+
+
+
+
Boundary Protection
+
+
+
control-class: Technical
+
+
number: SC-7
+
+
priority: P1
+
+
+
Control
+
+
The information system:
+
+
+
+
Monitors and controls communications at the external boundary of the system and at key
+ internal boundaries within the system; and
+
+
+
Connects to external networks or information systems only through managed interfaces
+ consisting of boundary protection devices arranged in accordance with an organizational
+ security architecture.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Restricting external web traffic only to organizational web servers within managed
+ interfaces and prohibiting external traffic that appears to be spoofing an internal
+ address as the source are examples of restricting and prohibiting communications. Managed
+ interfaces employing boundary protection devices include, for example, proxies, gateways,
+ routers, firewalls, guards, or encrypted tunnels arranged in an effective security
+ architecture (e.g., routers protecting firewalls and application gateways residing on a
+ protected subnetwork commonly referred to as a demilitarized zone or DMZ).
+
+
+
The organization considers the intrinsically shared nature of commercial
+ telecommunications services in the implementation of security controls associated with the
+ use of such services. Commercial telecommunications services are commonly based on network
+ components and consolidated management systems shared by all attached commercial
+ customers, and may include third-party provided access lines and other service elements.
+ Consequently, such interconnecting transmission services may represent sources of
+ increased risk despite contract security provisions. Therefore, when this situation
+ occurs, the organization either implements appropriate compensating security controls or
+ explicitly accepts the additional risk. Related controls: AC-4, IR-4, SC-5.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization physically allocates publicly accessible information system
+ components to separate subnetworks with separate physical network interfaces.
+
+
+
+
+
+
Supplemental guidance
+
+
Publicly accessible information system components include, for example, public web
+ servers.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system prevents public access into the organizations internal
+ networks except as appropriately mediated by managed interfaces employing boundary
+ protection devices.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization limits the number of access points to the information system to
+ allow for more comprehensive monitoring of inbound and outbound communications and
+ network traffic.
+
+
+
+
+
+
Supplemental guidance
+
+
The Trusted Internet Connection (TIC) initiative is an example of limiting the number
+ of managed network access points.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization:
+
+
+
+
Implements a managed interface for each external telecommunication service;
+
+
Establishes a traffic flow policy for each managed interface;
+
+
Employs security controls as needed to protect the confidentiality and integrity
+ of the information being transmitted;
+
+
+
Documents each exception to the traffic flow policy with a supporting
+ mission/business need and duration of that need;
+
+
+
Reviews exceptions to the traffic flow policy organization-defined
+ frequency; and
+
+
+
Removes traffic flow policy exceptions that are no longer supported by an explicit
+ mission/business need.
+
+
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system at managed interfaces, denies network traffic by default and
+ allows network traffic by exception (i.e., deny all, permit by exception).
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization prevents the unauthorized release of information outside of the
+ information system boundary or any unauthorized communication through the information
+ system boundary when there is an operational failure of the boundary protection
+ mechanisms.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system prevents remote devices that have established a non-remote
+ connection with the system from communicating outside of that communications path with
+ resources in external networks.
+
+
+
+
+
+
Supplemental guidance
+
+
This control enhancement is implemented within the remote device (e.g.,
+ notebook/laptop computer) via configuration settings that are not configurable by the
+ user of that device. An example of a non-remote communications path from a remote
+ device is a virtual private network. When a non-remote connection is established using
+ a virtual private network, the configuration settings prevent split-tunneling. Split
+ tunneling might otherwise be used by remote users to communicate with the information
+ system as an extension of that system and to communicate with local resources such as
+ a printer or file server. Since the remote device, when connected by a non-remote
+ connection, becomes an extension of the information system, allowing dual
+ communications paths such as split-tunneling would be, in effect, allowing
+ unauthorized external connections into the system.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The information system routes organization-defined internal
+ communications traffic to organization-defined external
+ networks through authenticated proxy servers within the managed interfaces of
+ boundary protection devices.
+
+
+
+
+
+
Supplemental guidance
+
+
External networks are networks outside the control of the organization. Proxy servers
+ support logging individual Transmission Control Protocol (TCP) sessions and blocking
+ specific Uniform Resource Locators (URLs), domain names, and Internet Protocol (IP)
+ addresses. Proxy servers are also configurable with organization-defined lists of
+ authorized and unauthorized websites.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system, at managed interfaces, denies network traffic and audits
+ internal users (or malicious code) posing a threat to external information
+ systems.
+
+
+
+
+
+
Supplemental guidance
+
+
Detecting internal actions that may pose a security threat to external information
+ systems is sometimes termed extrusion detection. Extrusion detection at the
+ information system boundary includes the analysis of network traffic (incoming as well
+ as outgoing) looking for indications of an internal threat to the security of external
+ systems.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization prevents the unauthorized exfiltration of information across managed
+ interfaces.
+
+
+
+
+
+
Supplemental guidance
+
+
Measures to prevent unauthorized exfiltration of information from the information
+ system include, for example: (i) strict adherence to protocol formats; (ii) monitoring
+ for indications of beaconing from the information system; (iii) monitoring for use of
+ steganography; (iv) disconnecting external network interfaces except when explicitly
+ needed; (v) disassembling and reassembling packet headers; and (vi) employing traffic
+ profile analysis to detect deviations from the volume or types of traffic expected
+ within the organization. Examples of devices enforcing strict adherence to protocol
+ formats include, for example, deep packet inspection firewalls and XML gateways. These
+ devices verify adherence to the protocol specification at the application layer and
+ serve to identify vulnerabilities that cannot be detected by devices operating at the
+ network or transport layer.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system checks incoming communications to ensure that the
+ communications are coming from an authorized source and routed to an authorized
+ destination.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system implements host-based boundary protection mechanisms for
+ servers, workstations, and mobile devices.
+
+
+
+
+
+
Supplemental guidance
+
+
A host-based boundary protection mechanism is, for example, a host-based firewall.
+ Host-based boundary protection mechanisms are employed on mobile devices, such as
+ notebook/laptop computers, and other types of mobile devices where such boundary
+ protection mechanisms are available.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization isolates organization defined key information
+ security tools, mechanisms, and support components from other internal
+ information system components via physically separate subnets with managed interfaces
+ to other portions of the system.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization protects against unauthorized physical connections across the
+ boundary protections implemented at organization-defined list of
+ managed interfaces.
+
+
+
+
+
+
Supplemental guidance
+
+
Information systems operating at different security categories may routinely share
+ common physical and environmental controls, since the systems may share space within
+ organizational facilities. In practice, it is possible that these separate information
+ systems may share common equipment rooms, wiring closets, and cable distribution
+ paths. Protection against unauthorized physical connections can be achieved, for
+ example, by employing clearly identified and physically separated cable trays,
+ connection frames, and patch panels for each side of managed interfaces with physical
+ access controls enforcing limited authorized access to these items. Related control:
+ PE-4.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system routes all networked, privileged accesses through a dedicated,
+ managed interface for purposes of access control and auditing.
+
The information system prevents discovery of specific system components (or devices)
+ composing a managed interface.
+
+
+
+
+
+
Supplemental guidance
+
+
This control enhancement is intended to protect the network addresses of information
+ system components that are part of the managed interface from discovery through common
+ tools and techniques used to identify devices on a network. The network addresses are
+ not available for discovery (e.g., not published or entered in the domain name
+ system), requiring prior knowledge for access. Another obfuscation technique is to
+ periodically change network addresses.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automated mechanisms to enforce strict adherence to protocol
+ format.
+
+
+
+
+
+
Supplemental guidance
+
+
Automated mechanisms used to enforce protocol formats include, for example, deep
+ packet inspection firewalls and XML gateways. These devices verify adherence to the
+ protocol specification (e.g., IEEE) at the application layer and serve to identify
+ significant vulnerabilities that cannot be detected by devices operating at the
+ network or transport layer.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system fails securely in the event of an operational failure of a
+ boundary protection device.
+
+
+
+
+
+
Supplemental guidance
+
+
Fail secure is a condition achieved by the application of a set of information system
+ mechanisms to ensure that in the event of an operational failure of a boundary
+ protection device at a managed interface (e.g., router, firewall, guard, application
+ gateway residing on a protected subnetwork commonly referred to as a demilitarized
+ zone), the system does not enter into an unsecure state where intended security
+ properties no longer hold. A failure of a boundary protection device cannot lead to,
+ or cause information external to the boundary protection device to enter the device,
+ nor can a failure permit unauthorized information release.
+
+
+
+
+
+
+
+
+
+
+
+
+
FIPS
+ Publication 199
+
+
+
+
+
+
+
NIST
+ 800-41
+
+
+
+
+
+
+
NIST
+ 800-77
+
+
+
+
+
+
+
+
+
+
Transmission Integrity
+
+
+
control-class: Technical
+
+
number: SC-8
+
+
priority: P1
+
+
+
Control
+
+
The information system protects the integrity of transmitted information.
+
+
+
+
+
Supplemental guidance
+
+
This control applies to communications across internal and external networks. If the
+ organization is relying on a commercial service provider for transmission services as a
+ commodity item rather than a fully dedicated service, it may be more difficult to obtain
+ the necessary assurances regarding the implementation of needed security controls for
+ transmission integrity. When it is infeasible or impractical to obtain the necessary
+ security controls and assurances of control effectiveness through appropriate contracting
+ vehicles, the organization either implements appropriate compensating security controls or
+ explicitly accepts the additional risk. Related controls: AC-17, PE-4.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs cryptographic mechanisms to recognize changes to information
+ during transmission unless otherwise protected by alternative physical measures.
+
+
+
+
+
+
Supplemental guidance
+
+
Alternative physical protection measures include, for example, protected distribution
+ systems. Related control: SC-13.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system maintains the integrity of information during aggregation,
+ packaging, and transformation in preparation for transmission.
+
+
+
+
+
+
Supplemental guidance
+
+
Information can be intentionally and/or maliciously modified at data aggregation or
+ protocol transformation points, compromising the integrity of the information.
+
+
+
+
+
+
+
+
+
+
+
+
+
FIPS 140-2
+
+
+
+
+
+
FIPS 197
+
+
+
+
+
+
NIST
+ 800-113
+
+
+
+
+
+
+
NIST
+ 800-52
+
+
+
+
+
+
+
NIST
+ 800-77
+
+
+
+
+
+
+
NIST
+ 800-81
+
+
+
+
+
+
+
NSTISSI 7003
+
+
+
+
+
+
+
+
+
Transmission Confidentiality
+
+
+
control-class: Technical
+
+
number: SC-9
+
+
priority: P1
+
+
+
Control
+
+
The information system protects the confidentiality of transmitted information.
+
+
+
+
+
Supplemental guidance
+
+
This control applies to communications across internal and external networks. If the
+ organization is relying on a commercial service provider for transmission services as a
+ commodity item rather than a fully dedicated service, it may be more difficult to obtain
+ the necessary assurances regarding the implementation of needed security controls for
+ transmission confidentiality. When it is infeasible or impractical to obtain the necessary
+ security controls and assurances of control effectiveness through appropriate contracting
+ vehicles, the organization either implements appropriate compensating security controls or
+ explicitly accepts the additional risk. Related controls: AC-17, PE-4.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs cryptographic mechanisms to prevent unauthorized disclosure
+ of information during transmission unless otherwise protected by
+ organization-defined alternative physical measures.
+
+
+
+
+
+
Supplemental guidance
+
+
Alternative physical protection measures include, for example, protected distribution
+ systems. Related control: SC-13.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system maintains the confidentiality of information during
+ aggregation, packaging, and transformation in preparation for transmission.
+
+
+
+
+
+
Supplemental guidance
+
+
Information can be intentionally and/or maliciously disclosed at data aggregation or
+ protocol transformation points, compromising the confidentiality of the
+ information.
+
+
+
+
+
+
+
+
+
+
+
+
+
CNSS 15
+
+
+
+
+
+
FIPS 140-2
+
+
+
+
+
+
FIPS 197
+
+
+
+
+
+
NIST
+ 800-113
+
+
+
+
+
+
+
NIST
+ 800-52
+
+
+
+
+
+
+
NIST
+ 800-77
+
+
+
+
+
+
+
NSTISSI 7003
+
+
+
+
+
+
+
+
+
Network Disconnect
+
+
+
control-class: Technical
+
+
number: SC-10
+
+
priority: P2
+
+
+
Control
+
+
The information system terminates the network connection associated with a communications
+ session at the end of the session or after organization-defined time
+ period of inactivity.
+
+
+
+
+
+
Supplemental guidance
+
+
This control applies to both internal and external networks. Terminating network
+ connections associated with communications sessions include, for example, de-allocating
+ associated TCP/IP address/port pairs at the operating-system level, or de-allocating
+ networking assignments at the application level if multiple application sessions are using
+ a single, operating system-level network connection. The time period of inactivity may, as
+ the organization deems necessary, be a set of time periods by type of network access or
+ for specific accesses.
+
+
+
+
+
+
+
+
Trusted Path
+
+
+
control-class: Technical
+
+
number: SC-11
+
+
priority: P0
+
+
+
Control
+
+
The information system establishes a trusted communications path between the user and the
+ following security functions of the system: organization-defined security
+ functions to include at a minimum, information system authentication and
+ reauthentication.
+
+
+
+
+
+
Supplemental guidance
+
+
A trusted path is employed for high-confidence connections between the security functions
+ of the information system and the user (e.g., for login).
+
+
+
+
+
+
+
+
Cryptographic Key Establishment and Management
+
+
+
control-class: Technical
+
+
number: SC-12
+
+
priority: P1
+
+
+
Control
+
+
The organization establishes and manages cryptographic keys for required cryptography
+ employed within the information system.
+
+
+
+
+
+
Supplemental guidance
+
+
Cryptographic key management and establishment can be performed using manual procedures
+ or automated mechanisms with supporting manual procedures. In addition to being required
+ for the effective operation of a cryptographic mechanism, effective cryptographic key
+ management provides protections to maintain the availability of the information in the
+ event of the loss of cryptographic keys by users.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization maintains availability of information in the event of the loss of
+ cryptographic keys by users.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization produces, controls, and distributes symmetric cryptographic keys
+ using
+
+
NIST-approved,
+
NSA-approved
+
key management technology and
+ processes.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization produces, controls, and distributes symmetric and asymmetric
+ cryptographic keys using NSA-approved key management technology and processes.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization produces, controls, and distributes asymmetric cryptographic keys
+ using approved PKI Class 3 certificates or prepositioned keying material.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization produces, controls, and distributes asymmetric cryptographic keys
+ using approved PKI Class 3 or Class 4 certificates and hardware security tokens that
+ protect the user's private key.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST 800-56
+
+
+
+
+
+
NIST 800-57
+
+
+
+
+
+
+
+
+
Use of Cryptography
+
+
+
control-class: Technical
+
+
number: SC-13
+
+
priority: P1
+
+
+
Control
+
+
The information system implements required cryptographic protections using cryptographic
+ modules that comply with applicable federal laws, Executive Orders, directives, policies,
+ regulations, standards, and guidance.
+
+
+
+
+
+
Supplemental guidance
+
+
None.
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs, at a minimum, FIPS-validated cryptography to protect
+ unclassified information.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs NSA-approved cryptography to protect classified
+ information.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs, at a minimum, FIPS-validated cryptography to protect
+ information when such information must be separated from individuals who have the
+ necessary clearances yet lack the necessary access approvals.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs
+
+
FIPS-validated;
+
NSA-approved
+
+ cryptography to implement digital signatures.
+
+
+
+
+
+
+
+
+
+
+
+
+
FIPS 140-2
+
+
+
+
+
+
Web Resource CSRC.NIST.GOV/CRYPTVAL
+
+
+
+
+
+
Web Resource WWW.CNSS.GOV
+
+
+
+
+
+
+
+
+
Public Access Protections
+
+
+
control-class: Technical
+
+
number: SC-14
+
+
priority: P1
+
+
+
Control
+
+
The information system protects the integrity and availability of publicly available
+ information and applications.
+
+
+
+
+
+
Supplemental guidance
+
+
The purpose of this control is to ensure that organizations explicitly address the
+ protection needs for public information and applications with such protection likely being
+ implemented as part of other security controls.
+
+
+
+
+
+
+
+
Collaborative Computing Devices
+
+
+
control-class: Technical
+
+
number: SC-15
+
+
priority: P1
+
+
+
Control
+
+
The information system:
+
+
+
+
Prohibits remote activation of collaborative computing devices with the following
+ exceptions: organization-defined exceptions where remote activation is
+ to be allowed; and
+
+
+
Provides an explicit indication of use to users physically present at the
+ devices.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Collaborative computing devices include, for example, networked white boards, cameras,
+ and microphones. Explicit indication of use includes, for example, signals to users when
+ collaborative computing devices are activated
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system provides physical disconnect of collaborative computing
+ devices in a manner that supports ease of use.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system or supporting environment blocks both inbound and outbound
+ traffic between instant messaging clients that are independently configured by end
+ users and external service providers.
+
+
+
+
+
+
Supplemental guidance
+
+
Blocking restrictions do not include instant messaging services that are configured
+ by an organization to perform an authorized function.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization disables or removes collaborative computing devices from information
+ systems in organization-defined secure work areas.
+
+
+
+
+
+
+
+
+
+
+
+
Transmission of Security Attributes
+
+
+
control-class: Technical
+
+
number: SC-16
+
+
priority: P0
+
+
+
Control
+
+
The information system associates security attributes with information exchanged between
+ information systems.
+
+
+
+
+
+
Supplemental guidance
+
+
Security attributes may be explicitly or implicitly associated with the information
+ contained within the information system. Related control: AC-16.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system validates the integrity of security attributes exchanged
+ between systems.
+
+
+
+
+
+
+
+
+
+
+
+
Public Key Infrastructure Certificates
+
+
+
control-class: Technical
+
+
number: SC-17
+
+
priority: P1
+
+
+
Control
+
+
The organization issues public key certificates under an organization-defined
+ certificate policy or obtains public key certificates under an appropriate
+ certificate policy from an approved service provider.
+
+
+
+
+
+
Supplemental guidance
+
+
For user certificates, each organization attains certificates from an approved, shared
+ service provider, as required by OMB policy. For federal agencies operating a legacy
+ public key infrastructure cross-certified with the Federal Bridge Certification Authority
+ at medium assurance or higher, this Certification Authority will suffice. This control
+ focuses on certificates with a visibility external to the information system and does not
+ include certificates related to internal system operations, for example,
+ application-specific time services.
+
+
+
+
+
+
+
+
+
NIST
+ 800-32
+
+
+
+
+
+
+
NIST
+ 800-63
+
+
+
+
+
+
+
OMB Memorandum 05-24
+
+
+
+
+
+
+
+
+
Mobile Code
+
+
+
control-class: Technical
+
+
number: SC-18
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Defines acceptable and unacceptable mobile code and mobile code technologies;
+
+
Establishes usage restrictions and implementation guidance for acceptable mobile code
+ and mobile code technologies; and
+
+
+
Authorizes, monitors, and controls the use of mobile code within the information
+ system.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Decisions regarding the employment of mobile code within organizational information
+ systems are based on the potential for the code to cause damage to the system if used
+ maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX,
+ PDF, Postscript, Shockwave movies, Flash animations, and VBScript. Usage restrictions and
+ implementation guidance apply to both the selection and use of mobile code installed on
+ organizational servers and mobile code downloaded and executed on individual workstations.
+ Policy and procedures related to mobile code, address preventing the development,
+ acquisition, or introduction of unacceptable mobile code within the information
+ system.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system implements detection and inspection mechanisms to identify
+ unauthorized mobile code and takes corrective actions, when necessary.
+
+
+
+
+
+
Supplemental guidance
+
+
Corrective actions when unauthorized mobile code is detected include, for example,
+ blocking, quarantine, or alerting administrator. Disallowed transfers include, for
+ example, sending word processing files with embedded macros.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization ensures the acquisition, development, and/or use of mobile code to
+ be deployed in information systems meets organization-defined mobile
+ code requirements.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system prevents the download and execution of prohibited mobile
+ code.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system prevents the automatic execution of mobile code in
+ organization-defined software applications and requires
+ organization-defined actions prior to executing the code.
+
+
+
+
+
+
Supplemental guidance
+
+
Actions required before executing mobile code, include, for example, prompting users
+ prior to opening electronic mail attachments.
+
+
+
+
+
+
+
+
+
+
+
+
+
DOD Instruction
+ 8552.01
+
+
+
+
+
+
+
NIST
+ 800-28
+
+
+
+
+
+
+
+
+
+
Voice Over Internet Protocol
+
+
+
control-class: Technical
+
+
number: SC-19
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Establishes usage restrictions and implementation guidance for Voice over Internet
+ Protocol (VoIP) technologies based on the potential to cause damage to the information
+ system if used maliciously; and
+
+
+
Authorizes, monitors, and controls the use of VoIP within the information system.
+
+
+
+
+
+
+
Supplemental guidance
+
+
None.
+
+
+
+
+
+
+
+
NIST
+ 800-58
+
+
+
+
+
+
+
+
+
+
Secure Name / Address Resolution Service (Authoritative Source)
+
+
+
control-class: Technical
+
+
number: SC-20
+
+
priority: P1
+
+
+
Control
+
+
The information system provides additional data origin and integrity artifacts along with
+ the authoritative data the system returns in response to name/address resolution
+ queries.
+
+
+
+
+
+
Supplemental guidance
+
+
This control enables remote clients to obtain origin authentication and integrity
+ verification assurances for the host/service name to network address resolution
+ information obtained through the service. A domain name system (DNS) server is an example
+ of an information system that provides name/address resolution service. Digital signatures
+ and cryptographic keys are examples of additional artifacts. DNS resource records are
+ examples of authoritative data. Information systems that use technologies other than the
+ DNS to map between host/service names and network addresses provide other means to assure
+ the authenticity and integrity of response data. The DNS security controls are consistent
+ with, and referenced from, OMB Memorandum 08-23.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system, when operating as part of a distributed, hierarchical
+ namespace, provides the means to indicate the security status of child subspaces and
+ (if the child supports secure resolution services) enable verification of a chain of
+ trust among parent and child domains.
+
+
+
+
+
+
Supplemental guidance
+
+
An example means to indicate the security status of child subspaces is through the
+ use of delegation signer (DS) resource records in the DNS.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-81
+
+
+
+
+
+
+
OMB Memorandum 08-23
+
+
+
+
+
+
+
+
+
Secure Name / Address Resolution Service (Recursive Or Caching Resolver)
+
+
+
control-class: Technical
+
+
number: SC-21
+
+
priority: P1
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The information system performs data origin authentication and data integrity
+ verification on the name/address resolution responses the system receives from
+ authoritative sources when requested by client systems.
+
+
+
+
+
+
Supplemental guidance
+
+
A recursive resolving or caching domain name system (DNS) server is an example of an
+ information system that provides name/address resolution service for local clients.
+ Authoritative DNS servers are examples of authoritative sources. Information systems that
+ use technologies other than the DNS to map between host/service names and network
+ addresses provide other means to enable clients to verify the authenticity and integrity
+ of response data.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system performs data origin authentication and data integrity
+ verification on all resolution responses whether or not local clients explicitly
+ request this service.
+
+
+
+
+
+
Supplemental guidance
+
+
Local clients include, for example, DNS stub resolvers.
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-81
+
+
+
+
+
+
+
+
+
+
Architecture and Provisioning for Name / Address Resolution Service
+
+
+
control-class: Technical
+
+
number: SC-22
+
+
priority: P1
+
+
+
Control
+
+
The information systems that collectively provide name/address resolution service for an
+ organization are fault-tolerant and implement internal/external role separation.
+
+
+
+
+
+
Supplemental guidance
+
+
A domain name system (DNS) server is an example of an information system that provides
+ name/address resolution service. To eliminate single points of failure and to enhance
+ redundancy, there are typically at least two authoritative domain name system (DNS)
+ servers, one configured as primary and the other as secondary. Additionally, the two
+ servers are commonly located in two different network subnets and geographically separated
+ (i.e., not located in the same physical facility). With regard to role separation, DNS
+ servers with an internal role, only process name/address resolution requests from within
+ the organization (i.e., internal clients). DNS servers with an external role only process
+ name/address resolution information requests from clients external to the organization
+ (i.e., on the external networks including the Internet). The set of clients that can
+ access an authoritative DNS server in a particular role is specified by the organization
+ (e.g., by address ranges, explicit lists).
+
+
+
+
+
+
+
+
+
NIST
+ 800-81
+
+
+
+
+
+
+
+
+
+
Session Authenticity
+
+
+
control-class: Technical
+
+
number: SC-23
+
+
priority: P1
+
+
+
Control
+
+
The information system provides mechanisms to protect the authenticity of communications
+ sessions.
+
+
+
+
+
+
Supplemental guidance
+
+
This control focuses on communications protection at the session, versus packet, level.
+ The intent of this control is to establish grounds for confidence at each end of a
+ communications session in the ongoing identity of the other party and in the validity of
+ the information being transmitted. For example, this control addresses man-in-the-middle
+ attacks including session hijacking or insertion of false information into a session. This
+ control is only implemented where deemed necessary by the organization (e.g., sessions in
+ service-oriented architectures providing web-based services).
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system invalidates session identifiers upon user logout or other
+ session termination.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system provides a readily observable logout capability whenever
+ authentication is used to gain access to web pages.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system generates a unique session identifier for each session and
+ recognizes only session identifiers that are system-generated.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system generates unique session identifiers with
+ organization-defined randomness requirements.
+
+
+
+
+
+
Supplemental guidance
+
+
Employing the concept of randomness in the generation of unique session identifiers
+ helps to protect against brute-force attacks to determine future session
+ identifiers.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-52
+
+
+
+
+
+
+
NIST
+ 800-77
+
+
+
+
+
+
+
NIST
+ 800-95
+
+
+
+
+
+
+
+
+
+
Fail In Known State
+
+
+
control-class: Technical
+
+
number: SC-24
+
+
priority: P1
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The information system fails to a organization-defined known-state
+ for organization-defined types of failures preserving
+ organization-defined system state information in failure.
+
+
+
+
+
+
Supplemental guidance
+
+
Failure in a known state can address safety or security in accordance with the
+ mission/business needs of the organization. Failure in a known secure state helps prevent
+ a loss of confidentiality, integrity, or availability in the event of a failure of the
+ information system or a component of the system. Failure in a known safe state helps
+ prevent systems from failing to a state that may cause injury to individuals or
+ destruction to property. Preserving information system state information facilitates
+ system restart and return to the operational mode of the organization with less disruption
+ of mission/business processes.
+
+
+
+
+
+
+
+
Thin Nodes
+
+
+
control-class: Technical
+
+
number: SC-25
+
+
priority: P0
+
+
+
Control
+
+
The information system employs processing components that have minimal functionality and
+ information storage.
+
+
+
+
+
+
Supplemental guidance
+
+
The deployment of information system components with minimal functionality (e.g.,
+ diskless nodes and thin client technologies) reduces the need to secure every user
+ endpoint, and may reduce the exposure of information, information systems, and services to
+ a successful attack. Related control: SC-30.
+
+
+
+
+
+
+
+
Honeypots
+
+
+
control-class: Technical
+
+
number: SC-26
+
+
priority: P0
+
+
+
Control
+
+
The information system includes components specifically designed to be the target of
+ malicious attacks for the purpose of detecting, deflecting, and analyzing such
+ attacks.
+
+
+
+
+
+
Supplemental guidance
+
+
None.
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system includes components that proactively seek to identify
+ web-based malicious code.
+
+
+
+
+
+
Supplemental guidance
+
+
Devices that actively seek out web-based malicious code by posing as clients are
+ referred to as client honeypots or honey clients.
+
+
+
+
+
+
+
+
+
+
+
+
Operating System-independent Applications
+
+
+
control-class: Technical
+
+
number: SC-27
+
+
priority: P0
+
+
+
Control
+
+
The information system includes: organization-defined operating
+ system-independent applications.
+
+
+
+
+
+
Supplemental guidance
+
+
Operating system-independent applications are applications that can run on multiple
+ operating systems. Such applications promote portability and reconstitution on different
+ platform architectures, increasing the availability for critical functionality within an
+ organization while information systems with a given operating system are under attack.
+
+
+
+
+
+
+
+
Protection of Information At Rest
+
+
+
control-class: Technical
+
+
number: SC-28
+
+
priority: P1
+
+
+
Control
+
+
The information system protects the confidentiality and integrity of information at
+ rest.
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended to address the confidentiality and integrity of information at
+ rest in nonmobile devices and covers user information and system information. Information
+ at rest refers to the state of information when it is located on a secondary storage
+ device (e.g., disk drive, tape drive) within an organizational information system.
+ Configurations and/or rule sets for firewalls, gateways, intrusion detection/prevention
+ systems, and filtering routers and authenticator content are examples of system
+ information likely requiring protection. Organizations may choose to employ different
+ mechanisms to achieve confidentiality and integrity protections, as appropriate.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs cryptographic mechanisms to prevent unauthorized disclosure
+ and modification of information at rest unless otherwise protected by alternative
+ physical measures.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-111
+
+
+
+
+
+
+
NIST 800-56
+
+
+
+
+
+
NIST 800-57
+
+
+
+
+
+
+
+
+
Heterogeneity
+
+
+
control-class: Technical
+
+
number: SC-29
+
+
priority: P0
+
+
+
Control
+
+
The organization employs diverse information technologies in the implementation of the
+ information system.
+
+
+
+
+
+
Supplemental guidance
+
+
Increasing the diversity of information technologies within the information system
+ reduces the impact of the exploitation of a specific technology. Organizations that select
+ this control should consider that an increase in diversity may add complexity and
+ management overhead, both of which have the potential to lead to mistakes and
+ misconfigurations which could increase overall risk.
+
+
+
+
+
+
+
+
Virtualization Techniques
+
+
+
control-class: Technical
+
+
number: SC-30
+
+
priority: P0
+
+
+
Control
+
+
The organization employs virtualization techniques to present information system
+ components as other types of components, or components with differing configurations.
+
+
+
+
+
+
Supplemental guidance
+
+
Virtualization techniques provide organizations with the ability to disguise information
+ systems, potentially reducing the likelihood of successful attacks without the cost of
+ having multiple platforms.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs virtualization techniques to support the deployment of a
+ diversity of operating systems and applications that are changed
+ organization-defined frequency.
+
+
+
+
+
+
Supplemental guidance
+
+
While frequent changes to operating systems and applications pose configuration
+ management challenges, the changes result in an increased work factor for adversaries
+ in order to carry out successful attacks. Changing the apparent operating system or
+ application, as opposed to the actual operating system or application, results in
+ virtual changes that still impede attacker success while helping to reduce the
+ configuration management effort.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs randomness in the implementation of the virtualization
+ techniques.
+
+
+
+
+
+
+
+
+
+
+
+
Covert Channel Analysis
+
+
+
control-class: Technical
+
+
number: SC-31
+
+
priority: P0
+
+
+
Control
+
+
The organization requires that information system developers/integrators perform a covert
+ channel analysis to identify those aspects of system communication that are potential
+ avenues for covert storage and timing channels.
+
+
+
+
+
+
Supplemental guidance
+
+
Information system developers/integrators are in the best position to identify potential
+ avenues within the system that might lead to covert channels. Covert channel analysis is a
+ meaningful activity when there is the potential for unauthorized information flows across
+ security domains, for example, in the case of information systems containing
+ export-controlled information and having connections to external networks (i.e., networks
+ not controlled by the organization). Covert channel analysis is also meaningful in the
+ case of multilevel secure (MLS) systems, multiple security level (MSL) systems, and cross
+ domain systems.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization tests a subset of the vendor-identified covert channel avenues to
+ determine if they are exploitable.
+
+
+
+
+
+
+
+
+
+
+
+
Information System Partitioning
+
+
+
control-class: Technical
+
+
number: SC-32
+
+
priority: P1
+
+
+
Control
+
+
The organization partitions the information system into components residing in separate
+ physical domains (or environments) as deemed necessary.
+
+
+
+
+
+
Supplemental guidance
+
+
Information system partitioning is a part of a defense-in-depth protection strategy. An
+ organizational assessment of risk guides the partitioning of information system components
+ into separate physical domains (or environments). The security categorization also guides
+ the selection of appropriate candidates for domain partitioning. Managed interfaces
+ restrict or prohibit network access and information flow among partitioned information
+ system components. Related controls: AC-4, SC-7.
+
+
+
+
+
+
+
+
+
FIPS
+ Publication 199
+
+
+
+
+
+
+
+
+
+
Transmission Preparation Integrity
+
+
+
control-class: Technical
+
+
number: SC-33
+
+
priority: P0
+
+
+
Control
+
+
The information system protects the integrity of information during the processes of data
+ aggregation, packaging, and transformation in preparation for transmission.
+
+
+
+
+
+
Supplemental guidance
+
+
Information can be subjected to unauthorized changes (e.g., malicious and/or
+ unintentional modification) at information aggregation or protocol transformation
+ points.
+
+
+
+
+
+
+
+
Non-modifiable Executable Programs
+
+
+
control-class: Technical
+
+
number: SC-34
+
+
priority: P0
+
+
+
Control
+
+
The information system at organization-defined information system
+ components:
+
+
+
+
+
Loads and executes the operating environment from hardware-enforced, read-only media;
+ and
+
+
+
Loads and executes organization-defined applications from
+ hardware-enforced, read-only media.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
In this control, the term operating environment is defined as the code upon which
+ applications are hosted, for example, a monitor, executive, operating system, or
+ application running directly on the hardware platform. Hardware-enforced, read-only media
+ include, for example, CD-R/DVD-R disk drives. Use of non-modifiable storage ensures the
+ integrity of the software program from the point of creation of the read-only image.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs organization-defined information system
+ components with no writeable storage that is persistent across component
+ restart or power on/off.
+
+
+
+
+
+
Supplemental guidance
+
+
This control enhancement: (i) eliminates the possibility of malicious code insertion
+ via persistent, writeable storage within the designated information system component;
+ and (ii) requires no such removable storage be employed, a requirement that may be
+ applied directly or as a specific restriction imposed through AC-19.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization protects the integrity of the information on read-only media.
+
+
+
+
+
Supplemental guidance
+
+
This control enhancement covers protecting the integrity of information to be placed
+ onto read-only media and controlling the media after information has been recorded
+ onto the media. Protection measures may include, as deemed necessary by the
+ organization, a combination of prevention and detection/response. This enhancement may
+ be satisfied by requirements imposed by other controls such as AC-3, AC-5, CM-3, CM-5,
+ CM-9, MP-2, MP-4, MP-5, SA-12, SC-28, SI-3, and SI-7.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
System and Information Integrity
+
+
+
System and Information Integrity Policy and Procedures
+
+
+
control-class: Operational
+
+
number: SI-1
+
+
priority: P1
+
+
+
Control
+
+
The organization develops, disseminates, and reviews/updates organization-defined
+ frequency:
+
+
+
+
+
A formal, documented system and information integrity policy that addresses purpose,
+ scope, roles, responsibilities, management commitment, coordination among organizational
+ entities, and compliance; and
+
+
+
Formal, documented procedures to facilitate the implementation of the system and
+ information integrity policy and associated system and information integrity
+ controls.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
This control is intended to produce the policy and procedures that are required for the
+ effective implementation of selected security controls and control enhancements in the
+ system and information integrity family. The policy and procedures are consistent with
+ applicable federal laws, Executive Orders, directives, policies, regulations, standards,
+ and guidance. Existing organizational policies and procedures may make the need for
+ additional specific policies and procedures unnecessary. The system and information
+ integrity policy can be included as part of the general information security policy for
+ the organization. System and information integrity procedures can be developed for the
+ security program in general and for a particular information system, when required. The
+ organizational risk management strategy is a key factor in the development of the system
+ and information integrity policy. Related control: PM-9.
+
+
+
+
+
+
+
+
+
NIST 800-100
+
+
+
+
+
+
NIST
+ 800-12
+
+
+
+
+
+
+
+
+
+
Flaw Remediation
+
+
+
control-class: Operational
+
+
number: SI-2
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Identifies, reports, and corrects information system flaws;
+
+
Tests software updates related to flaw remediation for effectiveness and potential
+ side effects on organizational information systems before installation; and
+
+
+
Incorporates flaw remediation into the organizational configuration management
+ process.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
The organization identifies information systems containing software affected by recently
+ announced software flaws (and potential vulnerabilities resulting from those flaws) and
+ reports this information to designated organizational officials with information security
+ responsibilities (e.g., senior information security officers, information system security
+ managers, information systems security officers). The organization (including any
+ contractor to the organization) promptly installs security-relevant software updates
+ (e.g., patches, service packs, and hot fixes). Flaws discovered during security
+ assessments, continuous monitoring, incident response activities, or information system
+ error handling, are also addressed expeditiously. Organizations are encouraged to use
+ resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and
+ Exposures (CVE) databases in remediating flaws discovered in organizational information
+ systems. By requiring that flaw remediation be incorporated into the organizational
+ configuration management process, it is the intent of this control that
+ required/anticipated remediation actions are tracked and verified. An example of expected
+ flaw remediation that would be so verified is whether the procedures contained in US-CERT
+ guidance and Information Assurance Vulnerability Alerts have been accomplished. Related
+ controls: CA-2, CA-7, CM-3, MA-2, IR-4, RA-5, SA-11, SI-11.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization centrally manages the flaw remediation process and installs software
+ updates automatically.
+
+
+
+
+
+
Supplemental guidance
+
+
Due to information system integrity and availability concerns, organizations give
+ careful consideration to the methodology used to carry out automatic updates.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automated mechanisms organization-defined
+ frequency to determine the state of information system components with regard
+ to flaw remediation.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization measures the time between flaw identification and flaw remediation,
+ comparing with organization-defined benchmarks.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automated patch management tools to facilitate flaw
+ remediation to organization-defined information system
+ components.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-40
+
+
+
+
+
+
+
+
+
+
Malicious Code Protection
+
+
+
control-class: Operational
+
+
number: SI-3
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Employs malicious code protection mechanisms at information system entry and exit
+ points and at workstations, servers, or mobile computing devices on the network to
+ detect and eradicate malicious code: - Transported by electronic mail, electronic mail
+ attachments, web accesses, removable media, or other common means; or - Inserted through
+ the exploitation of information system vulnerabilities;
+
+
+
Updates malicious code protection mechanisms (including signature definitions)
+ whenever new releases are available in accordance with organizational configuration
+ management policy and procedures;
+
+
+
Configures malicious code protection mechanisms to: - Perform periodic scans of the
+ information system organization-defined frequency and real-time
+ scans of files from external sources as the files are downloaded, opened, or executed in
+ accordance with organizational security policy; and - [
+
+
+
+
Selection (one or more): block malicious code;
+
+
quarantine malicious code;
+
+
send alert to administrator;
+
+
organization-defined action]
+
+
+
in response to malicious code
+ detection; and
+
+
+
Addresses the receipt of false positives during malicious code detection and
+ eradication and the resulting potential impact on the availability of the information
+ system.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Information system entry and exit points include, for example, firewalls, electronic mail
+ servers, web servers, proxy servers, and remote-access servers. Malicious code includes,
+ for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be
+ encoded in various formats (e.g., UUENCODE, Unicode) or contained within a compressed
+ file. Removable media includes, for example, USB devices, diskettes, or compact disks. A
+ variety of technologies and methods exist to limit or eliminate the effects of malicious
+ code attacks. Pervasive configuration management and strong software integrity controls
+ may be effective in preventing execution of unauthorized code. In addition to commercial
+ off-the-shelf software, malicious code may also be present in custom-built software. This
+ could include, for example, logic bombs, back doors, and other types of cyber attacks that
+ could affect organizational missions and business functions. Traditional malicious code
+ protection mechanisms are not built to detect such code. In these situations,
+ organizations must rely instead on other risk mitigation measures to include, for example,
+ secure coding practices, trusted procurement processes, configuration management and
+ control, and monitoring practices to help ensure that software does not perform functions
+ other than those intended. Related controls: SA-4, SA-8, SA-12, SA-13, SI-4, SI-7.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization centrally manages malicious code protection mechanisms.
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system automatically updates malicious code protection mechanisms
+ (including signature definitions).
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system prevents non-privileged users from circumventing malicious
+ code protection capabilities.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system updates malicious code protection mechanisms only when
+ directed by a privileged user.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization does not allow users to introduce removable media into the
+ information system.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization tests malicious code protection mechanisms
+ organization-defined frequency by introducing a known benign,
+ non-spreading test case into the information system and subsequently verifying that
+ both detection of the test case and associated incident reporting occur, as
+ required.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-83
+
+
+
+
+
+
+
+
+
+
Information System Monitoring
+
+
+
control-class: Operational
+
+
number: SI-4
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Monitors events on the information system in accordance with
+ organization-defined monitoring objectives and detects information
+ system attacks;
+
+
+
Identifies unauthorized use of the information system;
+
+
Deploys monitoring devices: (i) strategically within the information system to collect
+ organization-determined essential information; and (ii) at ad hoc locations within the
+ system to track specific types of transactions of interest to the organization;
+
+
+
Heightens the level of information system monitoring activity whenever there is an
+ indication of increased risk to organizational operations and assets, individuals, other
+ organizations, or the Nation based on law enforcement information, intelligence
+ information, or other credible sources of information; and
+
+
+
Obtains legal opinion with regard to information system monitoring activities in
+ accordance with applicable federal laws, Executive Orders, directives, policies, or
+ regulations.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Information system monitoring includes external and internal monitoring. External
+ monitoring includes the observation of events occurring at the system boundary (i.e., part
+ of perimeter defense and boundary protection). Internal monitoring includes the
+ observation of events occurring within the system (e.g., within internal organizational
+ networks and system components). Information system monitoring capability is achieved
+ through a variety of tools and techniques (e.g., intrusion detection systems, intrusion
+ prevention systems, malicious code protection software, audit record monitoring software,
+ network monitoring software). Strategic locations for monitoring devices include, for
+ example, at selected perimeter locations and near server farms supporting critical
+ applications, with such devices typically being employed at the managed interfaces
+ associated with controls SC-7 and AC-17. The Einstein network monitoring device from the
+ Department of Homeland Security is an example of a system monitoring device. The
+ granularity of the information collected is determined by the organization based on its
+ monitoring objectives and the capability of the information system to support such
+ activities. An example of a specific type of transaction of interest to the organization
+ with regard to monitoring is Hyper Text Transfer Protocol (HTTP) traffic that bypasses
+ organizational HTTP proxies, when use of such proxies is required. Related controls: AC-4,
+ AC-8, AC-17, AU-2, AU-6, SI-3, SI-7.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization interconnects and configures individual intrusion detection tools
+ into a systemwide intrusion detection system using common protocols.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automated tools to support near real-time analysis of
+ events.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automated tools to integrate intrusion detection tools into
+ access control and flow control mechanisms for rapid response to attacks by enabling
+ reconfiguration of these mechanisms in support of attack isolation and
+ elimination.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system monitors inbound and outbound communications for unusual or
+ unauthorized activities or conditions.
+
+
+
+
+
+
Supplemental guidance
+
+
Unusual/unauthorized activities or conditions include, for example, internal traffic
+ that indicates the presence of malicious code within an information system or
+ propagating among system components, the unauthorized export of information, or
+ signaling to an external information system. Evidence of malicious code is used to
+ identify potentially compromised information systems or information system
+ components.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system provides near real-time alerts when the following indications
+ of compromise or potential compromise occur: organization-defined
+ list of compromise indicators.
+
+
+
+
+
+
Supplemental guidance
+
+
Alerts may be generated, depending on the organization-defined list of indicators,
+ from a variety of sources, for example, audit records or input from malicious code
+ protection mechanisms, intrusion detection or prevention mechanisms, or boundary
+ protection devices such as firewalls, gateways, and routers.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system prevents non-privileged users from circumventing intrusion
+ detection and prevention capabilities.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system notifies organization-defined list of
+ incident response personnel (identified by name and/or by role) of suspicious
+ events and takes organization-defined list of least-disruptive
+ actions to terminate suspicious events.
+
+
+
+
+
+
Supplemental guidance
+
+
The least-disruptive actions may include initiating a request for human response.
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization protects information obtained from intrusion-monitoring tools from
+ unauthorized access, modification, and deletion.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization tests/exercises intrusion-monitoring tools
+ organization-defined time-period.
+
+
+
+
+
+
Supplemental guidance
+
+
The frequency of testing/exercises is dependent upon the type and method of
+ deployment of the intrusion-monitoring tools.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization makes provisions so that encrypted traffic is visible to information
+ system monitoring tools.
+
+
+
+
+
+
Supplemental guidance
+
+
The enhancement recognizes the need to balance encrypting traffic versus the need to
+ have insight into that traffic from a monitoring perspective. For some organizations,
+ the need to ensure the confidentiality of traffic is paramount; for others, the
+ mission-assurance concerns are greater.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization analyzes outbound communications traffic at the external boundary of
+ the system (i.e., system perimeter) and, as deemed necessary, at selected interior
+ points within the system (e.g., subnets, subsystems) to discover anomalies.
+
+
+
+
+
+
Supplemental guidance
+
+
Anomalies within the information system include, for example, large file transfers,
+ long-time persistent connections, unusual protocols and ports in use, and attempted
+ communications with suspected malicious external addresses.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs automated mechanisms to alert security personnel of the
+ following inappropriate or unusual activities with security implications:
+ organization-defined list of inappropriate or unusual activities
+ that trigger alerts.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization:
+
+
+
+
Analyzes communications traffic/event patterns for the information system;
+
+
Develops profiles representing common traffic patterns and/or events; and
+
+
Uses the traffic/event profiles in tuning system-monitoring devices to reduce the
+ number of false positives to organization-defined measure of false
+ positives and the number of false negatives to
+ organization-defined measure of false negatives.
+
+
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs a wireless intrusion detection system to identify rogue
+ wireless devices and to detect attack attempts and potential compromises/breaches to
+ the information system.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs an intrusion detection system to monitor wireless
+ communications traffic as the traffic passes from wireless to wireline networks.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization correlates information from monitoring tools employed throughout the
+ information system to achieve organization-wide situational awareness.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization correlates results from monitoring physical, cyber, and supply chain
+ activities to achieve integrated situational awareness.
+
+
+
+
+
+
Supplemental guidance
+
+
Integrated situational awareness enhances the capability of the organization to more
+ quickly detect sophisticated attacks and investigate the methods and techniques
+ employed to carry out the attacks.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-61
+
+
+
+
+
+
+
NIST
+ 800-83
+
+
+
+
+
+
+
NIST
+ 800-92
+
+
+
+
+
+
+
NIST
+ 800-94
+
+
+
+
+
+
+
+
+
+
Security Alerts, Advisories, and Directives
+
+
+
control-class: Operational
+
+
number: SI-5
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Receives information system security alerts, advisories, and directives from
+ designated external organizations on an ongoing basis;
+
+
+
Generates internal security alerts, advisories, and directives as deemed
+ necessary;
+
+
+
Disseminates security alerts, advisories, and directives to
+ organization-defined list of personnel (identified by name and/or by
+ role); and
+
+
+
Implements security directives in accordance with established time frames, or notifies
+ the issuing organization of the degree of noncompliance.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Security alerts and advisories are generated by the United States Computer Emergency
+ Readiness Team (US-CERT) to maintain situational awareness across the federal government.
+ Security directives are issued by OMB or other designated organizations with the
+ responsibility and authority to issue such directives. Compliance to security directives
+ is essential due to the critical nature of many of these directives and the potential
+ immediate adverse affects on organizational operations and assets, individuals, other
+ organizations, and the Nation should the directives not be implemented in a timely
+ manner.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization employs automated mechanisms to make security alert and advisory
+ information available throughout the organization as needed.
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-40
+
+
+
+
+
+
+
+
+
+
Security Functionality Verification
+
+
+
control-class: Operational
+
+
number: SI-6
+
+
priority: P1
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The information system verifies the correct operation of security functions
+
+
+
Selection (one or more): organization-defined system
+ transitional states;
+
+
+
upon command by user with appropriate privilege;
+
+
periodically every organization-defined
+ time-period
+
+
and
+
+
+
Selection (one or more): notifies system administrator;
+
+
shuts the system down;
+
+
restarts the system;
+
+
organization-defined alternative
+ action(s)
+
+
when anomalies are discovered.
+
+
+
+
+
+
Supplemental guidance
+
+
The need to verify security functionality applies to all security functions. For those
+ security functions that are not able to execute automated self-tests, the organization
+ either implements compensating security controls or explicitly accepts the risk of not
+ performing the verification as required. Information system transitional states include,
+ for example, startup, restart, shutdown, and abort.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system provides notification of failed automated security tests.
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system provides automated support for the management of distributed
+ security testing.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization reports the result of security function verification to designated
+ organizational officials with information security responsibilities.
+
+
+
+
+
+
Supplemental guidance
+
+
Organizational officials with information security responsibilities include, for
+ example, senior information security officers, information system security managers,
+ and information systems security officers.
+
+
+
+
+
+
+
+
+
+
+
+
Software and Information Integrity
+
+
+
control-class: Operational
+
+
number: SI-7
+
+
priority: P1
+
+
+
Control
+
+
The information system detects unauthorized changes to software and information.
+
+
+
+
+
Supplemental guidance
+
+
The organization employs integrity verification applications on the information system to
+ look for evidence of information tampering, errors, and omissions. The organization
+ employs good software engineering practices with regard to commercial off-the-shelf
+ integrity mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic
+ hashes) and uses tools to automatically monitor the integrity of the information system
+ and the applications it hosts.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization reassesses the integrity of software and information by performing
+ organization-defined frequency integrity scans of the
+ information system.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization employs automated tools that provide notification to designated
+ individuals upon discovering discrepancies during integrity verification.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization employs centrally managed integrity verification tools.
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization requires use of tamper-evident packaging for
+ organization-defined information system components during
+
+
+
transportation from vendor to operational site;
+
+
during operation;
+
+
both
+
+
.
+
+
+
+
+
+
+
+
+
+
+
+
Spam Protection
+
+
+
control-class: Operational
+
+
number: SI-8
+
+
priority: P1
+
+
+
Control
+
+
The organization:
+
+
+
+
Employs spam protection mechanisms at information system entry and exit points and at
+ workstations, servers, or mobile computing devices on the network to detect and take
+ action on unsolicited messages transported by electronic mail, electronic mail
+ attachments, web accesses, or other common means; and
+
+
+
Updates spam protection mechanisms (including signature definitions) when new releases
+ are available in accordance with organizational configuration management policy and
+ procedures.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Information system entry and exit points include, for example, firewalls, electronic mail
+ servers, web servers, proxy servers, and remote-access servers. Related controls: SC-5,
+ SI-3.
+
+
+
+
+
+
+
+
+
+
baseline-impact: HIGH
+
+
+
Control
+
+
The organization centrally manages spam protection mechanisms.
+
+
+
+
+
+
+
+
+
+
Control
+
+
The information system automatically updates spam protection mechanisms (including
+ signature definitions).
+
+
+
+
+
+
+
+
+
+
+
+
+
NIST
+ 800-45
+
+
+
+
+
+
+
+
+
+
Information Input Restrictions
+
+
+
control-class: Operational
+
+
number: SI-9
+
+
priority: P2
+
+
+
Control
+
+
The organization restricts the capability to input information to the information system
+ to authorized personnel.
+
+
+
+
+
+
Supplemental guidance
+
+
Restrictions on organizational personnel authorized to input information to the
+ information system may extend beyond the typical access controls employed by the system
+ and include limitations based on specific operational/project responsibilities. Related
+ controls: AC-5, AC-6.
+
+
+
+
+
+
+
+
Information Input Validation
+
+
+
control-class: Operational
+
+
number: SI-10
+
+
priority: P1
+
+
+
Control
+
+
The information system checks the validity of information inputs.
+
+
+
+
+
Supplemental guidance
+
+
Rules for checking the valid syntax and semantics of information system inputs (e.g.,
+ character set, length, numerical range, acceptable values) are in place to verify that
+ inputs match specified definitions for format and content. Inputs passed to interpreters
+ are prescreened to prevent the content from being unintentionally interpreted as
+ commands.
+
Generates error messages that provide information necessary for corrective actions
+ without revealing organization-defined sensitive or potentially harmful
+ information in error logs and administrative messages that could be exploited by
+ adversaries; and
+
+
+
Reveals error messages only to authorized personnel.
+
+
+
+
+
+
+
Supplemental guidance
+
+
The structure and content of error messages are carefully considered by the organization.
+ The extent to which the information system is able to identify and handle error conditions
+ is guided by organizational policy and operational requirements. Sensitive information
+ includes, for example, account numbers, social security numbers, and credit card
+ numbers.
+
+
+
+
+
+
+
+
Information Output Handling and Retention
+
+
+
control-class: Operational
+
+
number: SI-12
+
+
priority: P2
+
+
+
Control
+
+
The organization handles and retains both information within and output from the
+ information system in accordance with applicable federal laws, Executive Orders,
+ directives, policies, regulations, standards, and operational requirements.
+
+
+
+
+
+
Supplemental guidance
+
+
The output handling and retention requirements cover the full life cycle of the
+ information, in some cases extending beyond the disposal of the information system. The
+ National Archives and Records Administration provides guidance on records retention.
+ Related controls: MP-2, MP-4.
+
+
+
+
+
+
+
+
Predictable Failure Prevention
+
+
+
control-class: Operational
+
+
number: SI-13
+
+
priority: P0
+
+
+
Control
+
+
The organization:
+
+
+
+
Protects the information system from harm by considering mean time to failure for
+ organization-defined list of information system components in
+ specific environments of operation; and
+
+
+
Provides substitute information system components, when needed, and a mechanism to
+ exchange active and standby roles of the components.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
While mean time to failure is primarily a reliability issue, this control focuses on the
+ potential failure of specific components of the information system that provide security
+ capability. Mean time to failure rates are defendable and based on considerations that are
+ installation-specific, not industry-average. The transfer of responsibilities between
+ active and standby information system components does not compromise safety, operational
+ readiness, or security (e.g., state variables are preserved). The standby component is
+ available at all times except where a failure recovery is in progress or for maintenance
+ reasons. Related control: CP-2.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization takes the information system component out of service by
+ transferring component responsibilities to a substitute component no later than
+ organization-defined fraction or percentage of mean time to
+ failure.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization does not allow a process to execute without supervision for more
+ than organization-defined time period.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization manually initiates a transfer between active and standby information
+ system components at least once per organization-defined frequency if
+ the mean time to failure exceeds organization-defined time
+ period.
+
+
+
+
+
+
+
+
+
+
+
Control
+
+
The organization, if an information system component failure is detected:
+
+
+
+
Ensures that the standby information system component successfully and
+ transparently assumes its role within organization-defined time
+ period; and
+
+
+
+
+
Selection (one or more): activatesorganization-defined
+ alarm;
+
+
automatically shuts down the information system]
+
.
+
+
+
+
+
+
+
+
Supplemental guidance
+
+
Automatic or manual transfer of roles to a standby unit may occur upon detection of a
+ component failure.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
\ No newline at end of file
diff --git a/working/SP800-53/SP800-53-oscal-browser-display.xsl b/working/SP800-53/SP800-53-oscal-browser-display.xsl
new file mode 100644
index 0000000000..95818e3594
--- /dev/null
+++ b/working/SP800-53/SP800-53-oscal-browser-display.xsl
@@ -0,0 +1,556 @@
+
+
+
+
+
+
+
+ <xsl:value-of select="descendant::oscal:title[1]"/>
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
\ No newline at end of file
diff --git a/working/SP800-53/readme.md b/working/SP800-53/readme.md
new file mode 100644
index 0000000000..ee04e9db30
--- /dev/null
+++ b/working/SP800-53/readme.md
@@ -0,0 +1,34 @@
+# NIST SP 800-53
+
+## OSCAL copy of NIST SP 800-53, with objectives (SP 800-53A)
+
+Find the data in file [SP800-53-OSCAL-refined.xml](SP800-53-OSCAL-refined.xml).
+
+## Converting SP 800-53 into OSCAL
+
+As described below, conversion of SP 800-53 controls into OSCAL occurs (currently) in three stages.
+
+For convenience, an XProc pipeline is offered that combines the three steps into a single call on an XProc processor such as XML Calabash. The source file should be a copy of NIST NVD [800-53-controls.xml](https://nvd.nist.gov/800-53/800-53-controls.xml). Next to this file (in the same subdirectory) must also be a copy of [800-53a-objectives.xml](https://nvd.nist.gov/800-53/800-53a-objectives.xml), which will have its contents (control objectives) aggregated into the result. These files may be found here: https://nvd.nist.gov/800-53
+
+XML Calabash can be invoked inside oXygen XML Editor or Developer; use [SP800-53-extraction.xpl](SP800-53-extraction.xpl) in an XProc scenario set up with appropriate bindings. (The primary source XML file must be bound to the `source` port. The results are given on the `final` port.) This is convenient for development/debugging as intermediate results may be inspected without writing them to the file system.
+
+Alternatively, XML Calabash (a Java application) can be run from the command line or via Apache Maven or Gradle. See http://xmlcalabash.com.
+
+Or the three processes can be run separately, in sequence (i.e., run the second XSLT over the results of the first one).
+
+### Extraction
+
+Run the XSLT [Convert-SP800-53-to-oscal.xsl](Convert-SP800-53-to-oscal.xsl) over the source file to produce OSCAL.
+
+### Enhancement
+
+Run the XSLT [Enhance-SP800-53-oscal.xsl](Enhance-SP800-53-oscal.xsl) over the results of the first transformation. This is a modified identity transformation that amends the source by adding IDs and inferring markup over structured text content.
+
+### Tuneup
+
+Further modifications are performed by the XSLT [Tuneup-SP800-53-oscal.xsl](Tuneup-SP800-53-oscal.xsl). This transformation adds IDs to new elements added in the previous transformation, maps ID values to a more concise form, and makes a few other small adjustments. Currently, this XSLT also re-maps certain elements to conform to the current draft schema. When the latter is more stable, we will move these mappings back into the Extraction stylesheet where they belong.
+
+## Also in this subdirectory
+
+There may be relics of analysis and processing this resource.
+
diff --git a/working/all-of-sp800-53-and-ISO27002-profile.xml b/working/all-of-sp800-53-and-ISO27002-profile.xml
new file mode 100644
index 0000000000..00b0fa532b
--- /dev/null
+++ b/working/all-of-sp800-53-and-ISO27002-profile.xml
@@ -0,0 +1,5982 @@
+
+
+
+
+
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined information system account types
+ organization-defined information system account types
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined procedures or conditions
+ organization-defined procedures or conditions
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined time period for each type of account
+ organization-defined time period for each type of account
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined time-period of expected inactivity or description of when to log out
+ organization-defined time-period of expected inactivity or description of when to log out
+
+
+ organization-defined list of dynamic privilege management capabilities
+ organization-defined list of dynamic privilege management capabilities
+
+
+ organization-defined actions
+ organization-defined actions
+
+
+ organization-defined information system accounts
+ organization-defined information system accounts
+
+
+ organization-defined conditions for establishing shared/group accounts
+ organization-defined conditions for establishing shared/group accounts
+
+
+ organization-defined circumstances and/or usage conditions
+ organization-defined circumstances and/or usage conditions
+
+
+ organization-defined information system accounts
+ organization-defined information system accounts
+
+
+ organization-defined atypical usage
+ organization-defined atypical usage
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+
+ organization-defined time period for each type of account
+ organization-defined time period for each type of account
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+ organization-defined time-period of expected inactivity or description of when to log out
+ organization-defined time-period of expected inactivity or description of when to log out
+
+
+
+ organization-defined list of dynamic privilege management capabilities
+ organization-defined list of dynamic privilege management capabilities
+
+
+
+ organization-defined actions
+ organization-defined actions
+
+
+
+ organization-defined information system accounts
+ organization-defined information system accounts
+
+
+
+ organization-defined conditions for establishing shared/group accounts
+ organization-defined conditions for establishing shared/group accounts
+
+
+
+
+ organization-defined circumstances and/or usage conditions
+ organization-defined circumstances and/or usage conditions
+
+
+ organization-defined information system accounts
+ organization-defined information system accounts
+
+
+
+ organization-defined atypical usage
+ organization-defined atypical usage
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+ organization-defined privileged commands and/or other organization-defined actions
+ organization-defined privileged commands and/or other organization-defined actions
+
+
+ organization-defined mandatory access control policy
+ organization-defined mandatory access control policy
+
+
+ organization-defined subjects
+ organization-defined subjects
+
+
+ organization-defined privileges (i.e., they are trusted subjects)
+ organization-defined privileges (i.e., they are trusted subjects)
+
+
+ organization-defined discretionary access control policy
+ organization-defined discretionary access control policy
+
+
+ organization-defined security-relevant information
+ organization-defined security-relevant information
+
+
+ organization-defined roles and users authorized to assume such roles
+ organization-defined roles and users authorized to assume such roles
+
+
+ organization-defined rules governing the timing of revocations of access authorizations
+ organization-defined rules governing the timing of revocations of access authorizations
+
+
+ organization-defined information system or system component
+ organization-defined information system or system component
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined conditions
+ organization-defined conditions
+
+
+
+
+ organization-defined privileged commands and/or other organization-defined actions
+ organization-defined privileged commands and/or other organization-defined actions
+
+
+
+ organization-defined mandatory access control policy
+ organization-defined mandatory access control policy
+
+
+ organization-defined subjects
+ organization-defined subjects
+
+
+ organization-defined privileges (i.e., they are trusted subjects)
+ organization-defined privileges (i.e., they are trusted subjects)
+
+
+
+ organization-defined discretionary access control policy
+ organization-defined discretionary access control policy
+
+
+
+ organization-defined security-relevant information
+ organization-defined security-relevant information
+
+
+
+
+ organization-defined roles and users authorized to assume such roles
+ organization-defined roles and users authorized to assume such roles
+
+
+
+ organization-defined rules governing the timing of revocations of access authorizations
+ organization-defined rules governing the timing of revocations of access authorizations
+
+
+
+ organization-defined information system or system component
+ organization-defined information system or system component
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+
+ organization-defined conditions
+ organization-defined conditions
+
+
+
+ organization-defined information flow control policies
+ organization-defined information flow control policies
+
+
+ organization-defined security attributes
+ organization-defined security attributes
+
+
+ organization-defined information, source, and destination objects
+ organization-defined information, source, and destination objects
+
+
+ organization-defined information flow control policies
+ organization-defined information flow control policies
+
+
+ organization-defined information flow control policies
+ organization-defined information flow control policies
+
+
+ organization-defined policies
+ organization-defined policies
+
+
+ organization-defined procedure or method
+ organization-defined procedure or method
+
+
+ organization-defined limitations
+ organization-defined limitations
+
+
+ organization-defined metadata
+ organization-defined metadata
+
+
+ organization-defined one-way information flows
+ organization-defined one-way information flows
+
+
+ organization-defined security policy filters
+ organization-defined security policy filters
+
+
+ organization-defined information flows
+ organization-defined information flows
+
+
+ organization-defined information flows
+ organization-defined information flows
+
+
+ organization-defined conditions
+ organization-defined conditions
+
+
+ organization-defined security policy filters
+ organization-defined security policy filters
+
+
+ organization-defined conditions
+ organization-defined conditions
+
+
+ organization-defined security policy filters
+ organization-defined security policy filters
+
+
+ organization-defined data type identifiers
+ organization-defined data type identifiers
+
+
+ organization-defined policy-relevant subcomponents
+ organization-defined policy-relevant subcomponents
+
+
+ organization-defined security policy filters
+ organization-defined security policy filters
+
+
+ organized-defined unsanctioned information
+ organized-defined unsanctioned information
+
+
+ organization-defined security policy
+ organization-defined security policy
+
+
+ organization-defined binding techniques
+ organization-defined binding techniques
+
+
+ organization-defined solutions in approved configurations
+ organization-defined solutions in approved configurations
+
+
+ organization-defined information
+ organization-defined information
+
+
+ organization-defined mechanisms and/or techniques
+ organization-defined mechanisms and/or techniques
+
+
+ organization-defined required separations by types of information
+ organization-defined required separations by types of information
+
+
+
+ organization-defined security attributes
+ organization-defined security attributes
+
+
+ organization-defined information, source, and destination objects
+ organization-defined information, source, and destination objects
+
+
+ organization-defined information flow control policies
+ organization-defined information flow control policies
+
+
+
+ organization-defined information flow control policies
+ organization-defined information flow control policies
+
+
+
+ organization-defined policies
+ organization-defined policies
+
+
+
+ organization-defined procedure or method
+ organization-defined procedure or method
+
+
+
+ organization-defined limitations
+ organization-defined limitations
+
+
+
+ organization-defined metadata
+ organization-defined metadata
+
+
+
+ organization-defined one-way information flows
+ organization-defined one-way information flows
+
+
+
+ organization-defined security policy filters
+ organization-defined security policy filters
+
+
+ organization-defined information flows
+ organization-defined information flows
+
+
+
+ organization-defined information flows
+ organization-defined information flows
+
+
+ organization-defined conditions
+ organization-defined conditions
+
+
+
+ organization-defined security policy filters
+ organization-defined security policy filters
+
+
+ organization-defined conditions
+ organization-defined conditions
+
+
+
+ organization-defined security policy filters
+ organization-defined security policy filters
+
+
+
+ organization-defined data type identifiers
+ organization-defined data type identifiers
+
+
+
+ organization-defined policy-relevant subcomponents
+ organization-defined policy-relevant subcomponents
+
+
+
+ organization-defined security policy filters
+ organization-defined security policy filters
+
+
+
+ organized-defined unsanctioned information
+ organized-defined unsanctioned information
+
+
+ organization-defined security policy
+ organization-defined security policy
+
+
+
+
+
+ organization-defined binding techniques
+ organization-defined binding techniques
+
+
+
+
+ organization-defined solutions in approved configurations
+ organization-defined solutions in approved configurations
+
+
+ organization-defined information
+ organization-defined information
+
+
+
+ organization-defined mechanisms and/or techniques
+ organization-defined mechanisms and/or techniques
+
+
+ organization-defined required separations by types of information
+ organization-defined required separations by types of information
+
+
+
+
+ organization-defined duties of individuals
+ organization-defined duties of individuals
+
+
+
+ organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information
+ organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information
+
+
+ organization-defined security functions or security-relevant information
+ organization-defined security functions or security-relevant information
+
+
+ organization-defined privileged commands
+ organization-defined privileged commands
+
+
+ organization-defined compelling operational needs
+ organization-defined compelling operational needs
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined roles or classes of users
+ organization-defined roles or classes of users
+
+
+ organization-defined software
+ organization-defined software
+
+
+
+ organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information
+ organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information
+
+
+
+ organization-defined security functions or security-relevant information
+ organization-defined security functions or security-relevant information
+
+
+
+ organization-defined privileged commands
+ organization-defined privileged commands
+
+
+ organization-defined compelling operational needs
+ organization-defined compelling operational needs
+
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined roles or classes of users
+ organization-defined roles or classes of users
+
+
+
+ organization-defined software
+ organization-defined software
+
+
+
+
+
+ organization-defined number
+ organization-defined number
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined delay algorithm
+ organization-defined delay algorithm
+
+
+ organization-defined mobile devices
+ organization-defined mobile devices
+
+
+ organization-defined purging/wiping requirements/techniques
+ organization-defined purging/wiping requirements/techniques
+
+
+ organization-defined number
+ organization-defined number
+
+
+
+
+ organization-defined mobile devices
+ organization-defined mobile devices
+
+
+ organization-defined purging/wiping requirements/techniques
+ organization-defined purging/wiping requirements/techniques
+
+
+ organization-defined number
+ organization-defined number
+
+
+
+ organization-defined system use notification message or banner
+ organization-defined system use notification message or banner
+
+
+ organization-defined conditions
+ organization-defined conditions
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined security-related characteristics/parameters of the user�s account
+ organization-defined security-related characteristics/parameters of the user�s account
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined information to be included in addition to the date and time of the last logon (access)
+ organization-defined information to be included in addition to the date and time of the last logon (access)
+
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+ organization-defined security-related characteristics/parameters of the user�s account
+ organization-defined security-related characteristics/parameters of the user�s account
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+ organization-defined information to be included in addition to the date and time of the last logon (access)
+ organization-defined information to be included in addition to the date and time of the last logon (access)
+
+
+
+ organization-defined account and/or account type
+ organization-defined account and/or account type
+
+
+ organization-defined number
+ organization-defined number
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+
+ organization-defined conditions or trigger events requiring session disconnect
+ organization-defined conditions or trigger events requiring session disconnect
+
+
+ organization-defined information resources
+ organization-defined information resources
+
+
+
+ organization-defined information resources
+ organization-defined information resources
+
+
+
+
+ organization-defined user actions
+ organization-defined user actions
+
+
+
+
+
+ organization-defined types of security attributes
+ organization-defined types of security attributes
+
+
+ organization-defined security attribute values
+ organization-defined security attribute values
+
+
+ organization-defined security attributes
+ organization-defined security attributes
+
+
+ organization-defined information systems
+ organization-defined information systems
+
+
+ organization-defined values or ranges
+ organization-defined values or ranges
+
+
+ organization-defined subjects and objects
+ organization-defined subjects and objects
+
+
+ organization-defined security policies
+ organization-defined security policies
+
+
+ organization-defined security attributes
+ organization-defined security attributes
+
+
+ organization-defined subjects and objects
+ organization-defined subjects and objects
+
+
+ organization-defined security attributes
+ organization-defined security attributes
+
+
+ organization-defined subjects and objects
+ organization-defined subjects and objects
+
+
+ organization-identified special dissemination, handling, or distribution instructions
+ organization-identified special dissemination, handling, or distribution instructions
+
+
+ organization-identified human-readable, standard naming conventions
+ organization-identified human-readable, standard naming conventions
+
+
+ organization-defined security attributes
+ organization-defined security attributes
+
+
+ organization-defined subjects and objects
+ organization-defined subjects and objects
+
+
+ organization-defined security policies
+ organization-defined security policies
+
+
+ organization-defined techniques or technologies
+ organization-defined techniques or technologies
+
+
+ organization-defined level of assurance
+ organization-defined level of assurance
+
+
+ organization-defined techniques or procedures
+ organization-defined techniques or procedures
+
+
+
+ organization-defined subjects and objects
+ organization-defined subjects and objects
+
+
+ organization-defined security policies
+ organization-defined security policies
+
+
+
+
+ organization-defined security attributes
+ organization-defined security attributes
+
+
+ organization-defined subjects and objects
+ organization-defined subjects and objects
+
+
+
+ organization-defined security attributes
+ organization-defined security attributes
+
+
+ organization-defined subjects and objects
+ organization-defined subjects and objects
+
+
+
+ organization-identified special dissemination, handling, or distribution instructions
+ organization-identified special dissemination, handling, or distribution instructions
+
+
+ organization-identified human-readable, standard naming conventions
+ organization-identified human-readable, standard naming conventions
+
+
+
+ organization-defined security attributes
+ organization-defined security attributes
+
+
+ organization-defined subjects and objects
+ organization-defined subjects and objects
+
+
+ organization-defined security policies
+ organization-defined security policies
+
+
+
+
+ organization-defined techniques or technologies
+ organization-defined techniques or technologies
+
+
+ organization-defined level of assurance
+ organization-defined level of assurance
+
+
+
+ organization-defined techniques or procedures
+ organization-defined techniques or procedures
+
+
+
+
+ organization-defined number
+ organization-defined number
+
+
+ organization-defined needs
+ organization-defined needs
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+
+
+ organization-defined number
+ organization-defined number
+
+
+
+ organization-defined needs
+ organization-defined needs
+
+
+
+
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+
+
+
+
+
+
+ organization-defined security officials
+ organization-defined security officials
+
+
+ organization-defined security policies
+ organization-defined security policies
+
+
+ organization-defined mobile devices
+ organization-defined mobile devices
+
+
+
+
+
+
+ organization-defined security officials
+ organization-defined security officials
+
+
+ organization-defined security policies
+ organization-defined security policies
+
+
+
+ organization-defined mobile devices
+ organization-defined mobile devices
+
+
+
+ organization-defined network accessible storage devices
+ organization-defined network accessible storage devices
+
+
+
+
+
+
+ organization-defined network accessible storage devices
+ organization-defined network accessible storage devices
+
+
+
+ organization-defined information sharing circumstances where user discretion is required
+ organization-defined information sharing circumstances where user discretion is required
+
+
+ organization-defined automated mechanisms or manual processes
+ organization-defined automated mechanisms or manual processes
+
+
+ organization-defined information sharing restrictions
+ organization-defined information sharing restrictions
+
+
+
+
+ organization-defined information sharing restrictions
+ organization-defined information sharing restrictions
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined data mining prevention and detection techniques
+ organization-defined data mining prevention and detection techniques
+
+
+ organization-defined data storage objects
+ organization-defined data storage objects
+
+
+
+ organization-defined access control decisions
+ organization-defined access control decisions
+
+
+ organization-defined access authorization information
+ organization-defined access authorization information
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined information systems
+ organization-defined information systems
+
+
+ organization-defined security attributes
+ organization-defined security attributes
+
+
+
+ organization-defined access authorization information
+ organization-defined access authorization information
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined information systems
+ organization-defined information systems
+
+
+
+ organization-defined security attributes
+ organization-defined security attributes
+
+
+
+ organization-defined access control policies
+ organization-defined access control policies
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined indicators of malicious code
+ organization-defined indicators of malicious code
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+ organization-defined indicators of malicious code
+ organization-defined indicators of malicious code
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined auditable events
+ organization-defined auditable events
+
+
+ organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event
+ organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+ organization-defined additional, more detailed information
+ organization-defined additional, more detailed information
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+
+ organization-defined additional, more detailed information
+ organization-defined additional, more detailed information
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+
+ organization-defined audit record storage requirements
+ organization-defined audit record storage requirements
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)
+ organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)
+
+
+ organization-defined personnel, roles, and/or locations
+ organization-defined personnel, roles, and/or locations
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined percentage
+ organization-defined percentage
+
+
+ organization-defined real-time period
+ organization-defined real-time period
+
+
+ organization-defined personnel, roles, and/or locations
+ organization-defined personnel, roles, and/or locations
+
+
+ organization-defined audit failure events requiring real-time alerts
+ organization-defined audit failure events requiring real-time alerts
+
+
+ organization-defined audit failures
+ organization-defined audit failures
+
+
+
+ organization-defined personnel, roles, and/or locations
+ organization-defined personnel, roles, and/or locations
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined percentage
+ organization-defined percentage
+
+
+
+ organization-defined real-time period
+ organization-defined real-time period
+
+
+ organization-defined personnel, roles, and/or locations
+ organization-defined personnel, roles, and/or locations
+
+
+ organization-defined audit failure events requiring real-time alerts
+ organization-defined audit failure events requiring real-time alerts
+
+
+
+
+ organization-defined audit failures
+ organization-defined audit failures
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined inappropriate or unusual activity
+ organization-defined inappropriate or unusual activity
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined data/information collected from other sources
+ organization-defined data/information collected from other sources
+
+
+
+
+
+
+
+ organization-defined data/information collected from other sources
+ organization-defined data/information collected from other sources
+
+
+
+
+
+
+
+
+ organization-defined audit fields within audit records
+ organization-defined audit fields within audit records
+
+
+ organization-defined audit fields within audit records
+ organization-defined audit fields within audit records
+
+
+
+ organization-defined audit fields within audit records
+ organization-defined audit fields within audit records
+
+
+
+ organization-defined audit fields within audit records
+ organization-defined audit fields within audit records
+
+
+
+ organization-defined granularity of time measurement
+ organization-defined granularity of time measurement
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined authoritative time source
+ organization-defined authoritative time source
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined authoritative time source
+ organization-defined authoritative time source
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined subset of privileged users
+ organization-defined subset of privileged users
+
+
+ organization-defined audit information
+ organization-defined audit information
+
+
+ organization-defined subset of privileged users
+ organization-defined subset of privileged users
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+ organization-defined subset of privileged users
+ organization-defined subset of privileged users
+
+
+
+ organization-defined audit information
+ organization-defined audit information
+
+
+
+ organization-defined subset of privileged users
+ organization-defined subset of privileged users
+
+
+
+ organization-defined actions to be covered by non-repudiation
+ organization-defined actions to be covered by non-repudiation
+
+
+ organization-defined strength of binding
+ organization-defined strength of binding
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined actions
+ organization-defined actions
+
+
+ organization-defined security domains
+ organization-defined security domains
+
+
+ organization-defined actions
+ organization-defined actions
+
+
+
+ organization-defined strength of binding
+ organization-defined strength of binding
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined actions
+ organization-defined actions
+
+
+
+
+ organization-defined security domains
+ organization-defined security domains
+
+
+ organization-defined actions
+ organization-defined actions
+
+
+
+
+ organization-defined time period consistent with records retention policy
+ organization-defined time period consistent with records retention policy
+
+
+ organization-defined measures
+ organization-defined measures
+
+
+
+ organization-defined measures
+ organization-defined measures
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail
+ organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail
+
+
+ organization-defined individuals or roles
+ organization-defined individuals or roles
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined selectable event criteria
+ organization-defined selectable event criteria
+
+
+ organization-defined time thresholds
+ organization-defined time thresholds
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail
+ organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail
+
+
+
+
+ organization-defined individuals or roles
+ organization-defined individuals or roles
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined selectable event criteria
+ organization-defined selectable event criteria
+
+
+ organization-defined time thresholds
+ organization-defined time thresholds
+
+
+
+ organization-defined open source information and/or information sites
+ organization-defined open source information and/or information sites
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+
+
+
+ organization-defined alternate audit functionality
+ organization-defined alternate audit functionality
+
+
+
+ organization-defined methods
+ organization-defined methods
+
+
+ organization-defined audit information
+ organization-defined audit information
+
+
+ organization-defined organizations
+ organization-defined organizations
+
+
+ organization-defined cross-organizational sharing agreements
+ organization-defined cross-organizational sharing agreements
+
+
+
+
+ organization-defined organizations
+ organization-defined organizations
+
+
+ organization-defined cross-organizational sharing agreements
+ organization-defined cross-organizational sharing agreements
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined individuals or roles
+ organization-defined individuals or roles
+
+
+ organization-defined level of independence
+ organization-defined level of independence
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined other forms of security assessment
+ organization-defined other forms of security assessment
+
+
+ organization-defined information system
+ organization-defined information system
+
+
+ organization-defined external organization
+ organization-defined external organization
+
+
+ organization-defined requirements
+ organization-defined requirements
+
+
+
+ organization-defined level of independence
+ organization-defined level of independence
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined other forms of security assessment
+ organization-defined other forms of security assessment
+
+
+
+ organization-defined information system
+ organization-defined information system
+
+
+ organization-defined external organization
+ organization-defined external organization
+
+
+ organization-defined requirements
+ organization-defined requirements
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined unclassified, national security system
+ organization-defined unclassified, national security system
+
+
+ organization-defined boundary protection device
+ organization-defined boundary protection device
+
+
+ organization-defined boundary protection device
+ organization-defined boundary protection device
+
+
+ organization-defined unclassified, non-national security system
+ organization-defined unclassified, non-national security system
+
+
+ Assignment; organization-defined boundary protection device
+ Assignment; organization-defined boundary protection device
+
+
+ organization-defined information system
+ organization-defined information system
+
+
+ organization-defined information systems
+ organization-defined information systems
+
+
+
+ organization-defined unclassified, national security system
+ organization-defined unclassified, national security system
+
+
+ organization-defined boundary protection device
+ organization-defined boundary protection device
+
+
+
+ organization-defined boundary protection device
+ organization-defined boundary protection device
+
+
+
+ organization-defined unclassified, non-national security system
+ organization-defined unclassified, non-national security system
+
+
+ Assignment; organization-defined boundary protection device
+ Assignment; organization-defined boundary protection device
+
+
+
+ organization-defined information system
+ organization-defined information system
+
+
+
+ organization-defined information systems
+ organization-defined information systems
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined metrics
+ organization-defined metrics
+
+
+ organization-defined frequencies
+ organization-defined frequencies
+
+
+ organization-defined frequencies
+ organization-defined frequencies
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined level of independence
+ organization-defined level of independence
+
+
+
+ organization-defined level of independence
+ organization-defined level of independence
+
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined information systems or system components
+ organization-defined information systems or system components
+
+
+ organization-defined red team exercises
+ organization-defined red team exercises
+
+
+ organization-defined rules of engagement
+ organization-defined rules of engagement
+
+
+
+
+ organization-defined red team exercises
+ organization-defined red team exercises
+
+
+ organization-defined rules of engagement
+ organization-defined rules of engagement
+
+
+
+ organization-defined information system components or classes of components
+ organization-defined information system components or classes of components
+
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ Assignment organization-defined circumstances
+ Assignment organization-defined circumstances
+
+
+ organization-defined previous versions of baseline configurations of the information system
+ organization-defined previous versions of baseline configurations of the information system
+
+
+ organization-defined information systems, system components, or devices
+ organization-defined information systems, system components, or devices
+
+
+ organization-defined configurations
+ organization-defined configurations
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ Assignment organization-defined circumstances
+ Assignment organization-defined circumstances
+
+
+
+
+ organization-defined previous versions of baseline configurations of the information system
+ organization-defined previous versions of baseline configurations of the information system
+
+
+
+
+
+
+ organization-defined information systems, system components, or devices
+ organization-defined information systems, system components, or devices
+
+
+ organization-defined configurations
+ organization-defined configurations
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined configuration change control element (e.g., committee, board)
+ organization-defined configuration change control element (e.g., committee, board)
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined configuration change conditions
+ organization-defined configuration change conditions
+
+
+ organized-defined approval authorities
+ organized-defined approval authorities
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined personnel
+ organization-defined personnel
+
+
+ organization-defined configuration change control element
+ organization-defined configuration change control element
+
+
+ organization-defined security responses
+ organization-defined security responses
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+
+ organized-defined approval authorities
+ organized-defined approval authorities
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined personnel
+ organization-defined personnel
+
+
+
+
+
+ organization-defined configuration change control element
+ organization-defined configuration change control element
+
+
+
+ organization-defined security responses
+ organization-defined security responses
+
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined circumstances
+ organization-defined circumstances
+
+
+ organization-defined software and firmware components
+ organization-defined software and firmware components
+
+
+ organization-defined information system components and system-level information
+ organization-defined information system components and system-level information
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined circumstances
+ organization-defined circumstances
+
+
+
+ organization-defined software and firmware components
+ organization-defined software and firmware components
+
+
+
+ organization-defined information system components and system-level information
+ organization-defined information system components and system-level information
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+
+ organization-defined security configuration checklists
+ organization-defined security configuration checklists
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined operational requirements
+ organization-defined operational requirements
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined configuration settings
+ organization-defined configuration settings
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined configuration settings
+ organization-defined configuration settings
+
+
+
+
+
+ organization-defined prohibited or restricted functions, ports, protocols, and/or services
+ organization-defined prohibited or restricted functions, ports, protocols, and/or services
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure
+ organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure
+
+
+ organization-defined policies regarding software program usage and restrictions
+ organization-defined policies regarding software program usage and restrictions
+
+
+ organization-defined registration requirements for functions, ports, protocols, and services
+ organization-defined registration requirements for functions, ports, protocols, and services
+
+
+ organization-defined software programs not authorized to execute on the information system
+ organization-defined software programs not authorized to execute on the information system
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined software programs authorized to execute on the information system
+ organization-defined software programs authorized to execute on the information system
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure
+ organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure
+
+
+
+ organization-defined policies regarding software program usage and restrictions
+ organization-defined policies regarding software program usage and restrictions
+
+
+
+ organization-defined registration requirements for functions, ports, protocols, and services
+ organization-defined registration requirements for functions, ports, protocols, and services
+
+
+
+ organization-defined software programs not authorized to execute on the information system
+ organization-defined software programs not authorized to execute on the information system
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined software programs authorized to execute on the information system
+ organization-defined software programs authorized to execute on the information system
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined information deemed necessary to achieve effective information system component accountability
+ organization-defined information deemed necessary to achieve effective information system component accountability
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined acquired information system components
+ organization-defined acquired information system components
+
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+
+
+
+
+
+ organization-defined acquired information system components
+ organization-defined acquired information system components
+
+
+
+
+
+ organization-defined restrictions
+ organization-defined restrictions
+
+
+
+ organization-defined restrictions
+ organization-defined restrictions
+
+
+
+ organization-defined policies
+ organization-defined policies
+
+
+ organization-defined methods
+ organization-defined methods
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined key contingency personnel (identified by name and/or by role) and organizational elements
+ organization-defined key contingency personnel (identified by name and/or by role) and organizational elements
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined key contingency personnel (identified by name and/or by role) and organizational elements
+ organization-defined key contingency personnel (identified by name and/or by role) and organizational elements
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined tests
+ organization-defined tests
+
+
+
+
+
+
+
+
+
+
+
+
+ organization-defined information system operations
+ organization-defined information system operations
+
+
+ organization-defined time period consistent with recovery time and recovery point objectives
+ organization-defined time period consistent with recovery time and recovery point objectives
+
+
+
+
+
+
+
+
+
+ organization-defined information system operations
+ organization-defined information system operations
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined frequency consistent with recovery time and recovery point objectives
+ organization-defined frequency consistent with recovery time and recovery point objectives
+
+
+ organization-defined frequency consistent with recovery time and recovery point objectives
+ organization-defined frequency consistent with recovery time and recovery point objectives
+
+
+ organization-defined frequency consistent with recovery time and recovery point objectives
+ organization-defined frequency consistent with recovery time and recovery point objectives
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined critical information system software and other security-related information
+ organization-defined critical information system software and other security-related information
+
+
+ organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives
+ organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives
+
+
+ organization-defined backup information
+ organization-defined backup information
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+ organization-defined critical information system software and other security-related information
+ organization-defined critical information system software and other security-related information
+
+
+
+
+ organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives
+ organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives
+
+
+
+
+ organization-defined backup information
+ organization-defined backup information
+
+
+
+ organization-defined restoration time-periods
+ organization-defined restoration time-periods
+
+
+
+
+
+
+ organization-defined restoration time-periods
+ organization-defined restoration time-periods
+
+
+
+
+
+ organization-defined alternative communications protocols
+ organization-defined alternative communications protocols
+
+
+
+ organization-defined conditions
+ organization-defined conditions
+
+
+ organization-defined restrictions of safe mode of operation
+ organization-defined restrictions of safe mode of operation
+
+
+
+ organization-defined alternative or supplemental security mechanisms
+ organization-defined alternative or supplemental security mechanisms
+
+
+ organization-defined security functions
+ organization-defined security functions
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined strength of mechanism requirements
+ organization-defined strength of mechanism requirements
+
+
+ organization-defined strength of mechanism requirements
+ organization-defined strength of mechanism requirements
+
+
+ organization-defined information system accounts and services
+ organization-defined information system accounts and services
+
+
+ organization-defined strength of mechanism requirements
+ organization-defined strength of mechanism requirements
+
+
+ organization-defined out-of-band authentication
+ organization-defined out-of-band authentication
+
+
+ organization-defined conditions
+ organization-defined conditions
+
+
+
+
+
+
+
+
+ organization-defined strength of mechanism requirements
+ organization-defined strength of mechanism requirements
+
+
+
+ organization-defined strength of mechanism requirements
+ organization-defined strength of mechanism requirements
+
+
+
+
+
+ organization-defined information system accounts and services
+ organization-defined information system accounts and services
+
+
+
+ organization-defined strength of mechanism requirements
+ organization-defined strength of mechanism requirements
+
+
+
+
+ organization-defined out-of-band authentication
+ organization-defined out-of-band authentication
+
+
+ organization-defined conditions
+ organization-defined conditions
+
+
+
+ organization-defined specific and/or types of devices
+ organization-defined specific and/or types of devices
+
+
+ organization-defined specific devices and/or types of devices
+ organization-defined specific devices and/or types of devices
+
+
+ organization-defined lease information and lease duration
+ organization-defined lease information and lease duration
+
+
+ organization-defined configuration management process
+ organization-defined configuration management process
+
+
+
+ organization-defined specific devices and/or types of devices
+ organization-defined specific devices and/or types of devices
+
+
+
+
+ organization-defined lease information and lease duration
+ organization-defined lease information and lease duration
+
+
+
+ organization-defined configuration management process
+ organization-defined configuration management process
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined time period of inactivity
+ organization-defined time period of inactivity
+
+
+ organization-defined characteristic identifying individual status
+ organization-defined characteristic identifying individual status
+
+
+ organization-defined external organizations
+ organization-defined external organizations
+
+
+
+
+
+
+ organization-defined characteristic identifying individual status
+ organization-defined characteristic identifying individual status
+
+
+
+
+ organization-defined external organizations
+ organization-defined external organizations
+
+
+
+
+ organization-defined time period by authenticator type
+ organization-defined time period by authenticator type
+
+
+ organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type
+ organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type
+
+
+ organization-defined number
+ organization-defined number
+
+
+ organization-defined numbers for lifetime minimum, lifetime maximum
+ organization-defined numbers for lifetime minimum, lifetime maximum
+
+
+ organization-defined number
+ organization-defined number
+
+
+ organization-defined types of and/or specific authenticators
+ organization-defined types of and/or specific authenticators
+
+
+ organization-defined registration authority
+ organization-defined registration authority
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined requirements
+ organization-defined requirements
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined external organizations
+ organization-defined external organizations
+
+
+ organization-defined token quality requirements
+ organization-defined token quality requirements
+
+
+ organization-defined biometric quality requirements
+ organization-defined biometric quality requirements
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+ organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type
+ organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type
+
+
+ organization-defined number
+ organization-defined number
+
+
+ organization-defined numbers for lifetime minimum, lifetime maximum
+ organization-defined numbers for lifetime minimum, lifetime maximum
+
+
+ organization-defined number
+ organization-defined number
+
+
+
+
+ organization-defined types of and/or specific authenticators
+ organization-defined types of and/or specific authenticators
+
+
+ organization-defined registration authority
+ organization-defined registration authority
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+ organization-defined requirements
+ organization-defined requirements
+
+
+
+
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+
+ organization-defined external organizations
+ organization-defined external organizations
+
+
+
+
+ organization-defined token quality requirements
+ organization-defined token quality requirements
+
+
+
+ organization-defined biometric quality requirements
+ organization-defined biometric quality requirements
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+
+
+
+
+ organization-defined information systems
+ organization-defined information systems
+
+
+
+
+
+ organization-defined information systems
+ organization-defined information systems
+
+
+
+
+
+ organization-defined information system services
+ organization-defined information system services
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined services
+ organization-defined services
+
+
+
+
+ organization-defined services
+ organization-defined services
+
+
+
+ organization-defined supplemental authentication techniques or mechanisms
+ organization-defined supplemental authentication techniques or mechanisms
+
+
+ organization-defined circumstances or situations
+ organization-defined circumstances or situations
+
+
+
+ organization-defined circumstances or situations requiring re-authentication
+ organization-defined circumstances or situations requiring re-authentication
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined tests
+ organization-defined tests
+
+
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined classes of incidents
+ organization-defined classes of incidents
+
+
+ organization-defined actions to take in response to classes of incidents
+ organization-defined actions to take in response to classes of incidents
+
+
+ organization-defined security violations
+ organization-defined security violations
+
+
+ organization-defined components or elements of the organization
+ organization-defined components or elements of the organization
+
+
+ organization-defined external organizations
+ organization-defined external organizations
+
+
+ organization-defined incident information
+ organization-defined incident information
+
+
+ organization-defined dynamic response capabilities
+ organization-defined dynamic response capabilities
+
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+
+ organization-defined classes of incidents
+ organization-defined classes of incidents
+
+
+ organization-defined actions to take in response to classes of incidents
+ organization-defined actions to take in response to classes of incidents
+
+
+
+
+ organization-defined security violations
+ organization-defined security violations
+
+
+
+
+ organization-defined components or elements of the organization
+ organization-defined components or elements of the organization
+
+
+
+ organization-defined external organizations
+ organization-defined external organizations
+
+
+ organization-defined incident information
+ organization-defined incident information
+
+
+
+ organization-defined dynamic response capabilities
+ organization-defined dynamic response capabilities
+
+
+
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined authorities
+ organization-defined authorities
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined incident response personnel (identified by name and/or by role) and organizational elements
+ organization-defined incident response personnel (identified by name and/or by role) and organizational elements
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined incident response personnel (identified by name and/or by role) and organizational elements
+ organization-defined incident response personnel (identified by name and/or by role) and organizational elements
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined actions
+ organization-defined actions
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined procedures
+ organization-defined procedures
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined procedures
+ organization-defined procedures
+
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined maintenance-related information
+ organization-defined maintenance-related information
+
+
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+
+ organization-defined audit events
+ organization-defined audit events
+
+
+ organization-defined authenticators that are replay resistant
+ organization-defined authenticators that are replay resistant
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+ organization-defined audit events
+ organization-defined audit events
+
+
+
+
+
+ organization-defined authenticators that are replay resistant
+ organization-defined authenticators that are replay resistant
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+
+
+
+
+
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined time intervals
+ organization-defined time intervals
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined time intervals
+ organization-defined time intervals
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined time intervals
+ organization-defined time intervals
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined time intervals
+ organization-defined time intervals
+
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined types of digital and/or non-digital media
+ organization-defined types of digital and/or non-digital media
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+
+
+ organization-defined types of information system media
+ organization-defined types of information system media
+
+
+ organization-defined controlled areas
+ organization-defined controlled areas
+
+
+
+ organization-defined types of digital and/or non-digital media
+ organization-defined types of digital and/or non-digital media
+
+
+ organization-defined controlled areas
+ organization-defined controlled areas
+
+
+
+
+
+ organization-defined types of information system media
+ organization-defined types of information system media
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+
+
+
+
+
+ organization-defined information system media
+ organization-defined information system media
+
+
+ organization-defined sanitization techniques and procedures
+ organization-defined sanitization techniques and procedures
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined circumstances requiring sanitization of portable storage devices
+ organization-defined circumstances requiring sanitization of portable storage devices
+
+
+ organization-defined information system media
+ organization-defined information system media
+
+
+ organization-defined information systems, system components, or devices
+ organization-defined information systems, system components, or devices
+
+
+ organization-defined conditions
+ organization-defined conditions
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined circumstances requiring sanitization of portable storage devices
+ organization-defined circumstances requiring sanitization of portable storage devices
+
+
+
+
+
+
+ organization-defined information system media
+ organization-defined information system media
+
+
+
+ organization-defined information systems, system components, or devices
+ organization-defined information systems, system components, or devices
+
+
+ organization-defined conditions
+ organization-defined conditions
+
+
+
+ organization-defined types of information system media
+ organization-defined types of information system media
+
+
+ organization-defined information systems or system components
+ organization-defined information systems or system components
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+
+
+
+ organization-defined information system media downgrading process
+ organization-defined information system media downgrading process
+
+
+ organization-defined strength and integrity
+ organization-defined strength and integrity
+
+
+ organization-defined information system media requiring downgrading
+ organization-defined information system media requiring downgrading
+
+
+ organization-defined tests
+ organization-defined tests
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined Controlled Unclassified Information (CUI)
+ organization-defined Controlled Unclassified Information (CUI)
+
+
+
+
+ organization-defined tests
+ organization-defined tests
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined Controlled Unclassified Information (CUI)
+ organization-defined Controlled Unclassified Information (CUI)
+
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined list of acceptable forms of identification
+ organization-defined list of acceptable forms of identification
+
+
+ organization-defined credentials
+ organization-defined credentials
+
+
+
+
+ organization-defined list of acceptable forms of identification
+ organization-defined list of acceptable forms of identification
+
+
+
+ organization-defined credentials
+ organization-defined credentials
+
+
+
+ organization-defined entry/exit points to the facility where the information system resides
+ organization-defined entry/exit points to the facility where the information system resides
+
+
+ organization-defined physical access control systems/devices
+ organization-defined physical access control systems/devices
+
+
+ organization-defined entry/exit points
+ organization-defined entry/exit points
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined circumstances requiring visitor escorts and monitoring
+ organization-defined circumstances requiring visitor escorts and monitoring
+
+
+ organization-defined physical access devices
+ organization-defined physical access devices
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined physical spaces containing one or more components of the information system
+ organization-defined physical spaces containing one or more components of the information system
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined hardware components
+ organization-defined hardware components
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined physical spaces containing one or more components of the information system
+ organization-defined physical spaces containing one or more components of the information system
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined hardware components
+ organization-defined hardware components
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined information system distribution and transmission lines
+ organization-defined information system distribution and transmission lines
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+
+ organization-defined output devices
+ organization-defined output devices
+
+
+ organization-defined output devices
+ organization-defined output devices
+
+
+ organization-defined information system output devices
+ organization-defined information system output devices
+
+
+
+ organization-defined output devices
+ organization-defined output devices
+
+
+
+ organization-defined output devices
+ organization-defined output devices
+
+
+
+ organization-defined information system output devices
+ organization-defined information system output devices
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined events or potential indications of events
+ organization-defined events or potential indications of events
+
+
+ organization-defined classes/types of intrusions
+ organization-defined classes/types of intrusions
+
+
+ organization-defined response actions
+ organization-defined response actions
+
+
+ organization-defined operational areas
+ organization-defined operational areas
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined physical spaces containing one or more components of the information system
+ organization-defined physical spaces containing one or more components of the information system
+
+
+
+
+ organization-defined classes/types of intrusions
+ organization-defined classes/types of intrusions
+
+
+ organization-defined response actions
+ organization-defined response actions
+
+
+
+ organization-defined operational areas
+ organization-defined operational areas
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+ organization-defined physical spaces containing one or more components of the information system
+ organization-defined physical spaces containing one or more components of the information system
+
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+
+ organization-defined distance
+ organization-defined distance
+
+
+ organization-defined critical information system components
+ organization-defined critical information system components
+
+
+
+ organization-defined distance
+ organization-defined distance
+
+
+
+ organization-defined critical information system components
+ organization-defined critical information system components
+
+
+
+ organization-defined location by information system or system component
+ organization-defined location by information system or system component
+
+
+
+
+
+
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined emergency responders
+ organization-defined emergency responders
+
+
+ organization-defined emergency responders
+ organization-defined emergency responders
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined emergency responders
+ organization-defined emergency responders
+
+
+
+ organization-defined emergency responders
+ organization-defined emergency responders
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+ organization-defined acceptable levels
+ organization-defined acceptable levels
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+ organization-defined types of information system components
+ organization-defined types of information system components
+
+
+
+ organization-defined security controls
+ organization-defined security controls
+
+
+
+ organization-defined physical and environmental hazards
+ organization-defined physical and environmental hazards
+
+
+
+
+
+
+ organization-defined asset location technologies
+ organization-defined asset location technologies
+
+
+ organization-defined assets
+ organization-defined assets
+
+
+ organization-defined controlled areas
+ organization-defined controlled areas
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined individuals or groups
+ organization-defined individuals or groups
+
+
+
+
+
+ organization-defined individuals or groups
+ organization-defined individuals or groups
+
+
+
+
+ organization-defined frequency
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+
+
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined locations and architectural layers
+ organization-defined locations and architectural layers
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined locations and architectural layers
+ organization-defined locations and architectural layers
+
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined locations and architectural layers
+ organization-defined locations and architectural layers
+
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined locations and architectural layers
+ organization-defined locations and architectural layers
+
+
+
+ organization-defined security controls and related processes
+ organization-defined security controls and related processes
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening
+ organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening
+
+
+ organization-defined additional personnel screening criteria
+ organization-defined additional personnel screening criteria
+
+
+
+
+
+ organization-defined additional personnel screening criteria
+ organization-defined additional personnel screening criteria
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined information security topics
+ organization-defined information security topics
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+ organization-defined transfer or reassignment actions
+ organization-defined transfer or reassignment actions
+
+
+ organization-defined time period following the formal transfer action
+ organization-defined time period following the formal transfer action
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+ organization-defined document
+ organization-defined document
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+ organization-defined frequency and/or randomly in accordance with organization-defined process
+ organization-defined frequency and/or randomly in accordance with organization-defined process
+
+
+ organization-defined response times
+ organization-defined response times
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined corrective actions
+ organization-defined corrective actions
+
+
+ organization-identified information system components
+ organization-identified information system components
+
+
+ organization-defined vulnerability scanning activities
+ organization-defined vulnerability scanning activities
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+ organization-defined corrective actions
+ organization-defined corrective actions
+
+
+
+ organization-identified information system components
+ organization-identified information system components
+
+
+ organization-defined vulnerability scanning activities
+ organization-defined vulnerability scanning activities
+
+
+
+
+
+
+
+
+ organization-defined locations
+ organization-defined locations
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined events or indicators occur
+ organization-defined events or indicators occur
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+ organization-defined system development life cycle
+ organization-defined system development life cycle
+
+
+
+ organization-defined design/implementation information
+ organization-defined design/implementation information
+
+
+ organization-defined level of detail
+ organization-defined level of detail
+
+
+ organization-defined state-of-the-practice system/security engineering methods, software development methods, testing/evaluation/validation techniques, and quality control processes
+ organization-defined state-of-the-practice system/security engineering methods, software development methods, testing/evaluation/validation techniques, and quality control processes
+
+
+ organization-defined security configurations
+ organization-defined security configurations
+
+
+ organization-defined level of detail
+ organization-defined level of detail
+
+
+
+
+ organization-defined design/implementation information
+ organization-defined design/implementation information
+
+
+ organization-defined level of detail
+ organization-defined level of detail
+
+
+
+ organization-defined state-of-the-practice system/security engineering methods, software development methods, testing/evaluation/validation techniques, and quality control processes
+ organization-defined state-of-the-practice system/security engineering methods, software development methods, testing/evaluation/validation techniques, and quality control processes
+
+
+
+
+ organization-defined security configurations
+ organization-defined security configurations
+
+
+
+
+
+ organization-defined level of detail
+ organization-defined level of detail
+
+
+
+
+
+ organization-defined actions
+ organization-defined actions
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+
+
+
+
+
+
+
+
+ organization-defined security controls
+ organization-defined security controls
+
+
+ organization-defined processes, methods, and techniques
+ organization-defined processes, methods, and techniques
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined external information system services
+ organization-defined external information system services
+
+
+ organization-defined security requirements, properties, factors, or conditions defining acceptable trust relationships
+ organization-defined security requirements, properties, factors, or conditions defining acceptable trust relationships
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined external service providers
+ organization-defined external service providers
+
+
+ organization-defined locations
+ organization-defined locations
+
+
+ organization-defined requirements or conditions
+ organization-defined requirements or conditions
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+ organization-defined external information system services
+ organization-defined external information system services
+
+
+
+ organization-defined security requirements, properties, factors, or conditions defining acceptable trust relationships
+ organization-defined security requirements, properties, factors, or conditions defining acceptable trust relationships
+
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined external service providers
+ organization-defined external service providers
+
+
+
+ organization-defined locations
+ organization-defined locations
+
+
+ organization-defined requirements or conditions
+ organization-defined requirements or conditions
+
+
+
+ organization-defined configuration items under configuration management
+ organization-defined configuration items under configuration management
+
+
+ organization-defined personnel
+ organization-defined personnel
+
+
+
+
+
+
+
+
+
+ organization-defined depth and coverage
+ organization-defined depth and coverage
+
+
+ organization-defined independence criteria
+ organization-defined independence criteria
+
+
+ organization-defined specific code
+ organization-defined specific code
+
+
+ organization-defined processes, procedures, and/or techniques
+ organization-defined processes, procedures, and/or techniques
+
+
+ organization-defined breadth/depth
+ organization-defined breadth/depth
+
+
+ organization-defined constraints
+ organization-defined constraints
+
+
+ organization-defined depth of testing/evaluation
+ organization-defined depth of testing/evaluation
+
+
+
+
+
+ organization-defined independence criteria
+ organization-defined independence criteria
+
+
+
+ organization-defined specific code
+ organization-defined specific code
+
+
+ organization-defined processes, procedures, and/or techniques
+ organization-defined processes, procedures, and/or techniques
+
+
+
+ organization-defined breadth/depth
+ organization-defined breadth/depth
+
+
+ organization-defined constraints
+ organization-defined constraints
+
+
+
+
+ organization-defined depth of testing/evaluation
+ organization-defined depth of testing/evaluation
+
+
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined tailored acquisition strategies, contract tools, and procurement methods
+ organization-defined tailored acquisition strategies, contract tools, and procurement methods
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined Operations Security (OPSEC) safeguards
+ organization-defined Operations Security (OPSEC) safeguards
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined supply chain elements, processes, and actors
+ organization-defined supply chain elements, processes, and actors
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined critical information system components
+ organization-defined critical information system components
+
+
+ organization-defined supply chain elements, processes, and actors
+ organization-defined supply chain elements, processes, and actors
+
+
+
+ organization-defined tailored acquisition strategies, contract tools, and procurement methods
+ organization-defined tailored acquisition strategies, contract tools, and procurement methods
+
+
+
+
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+
+
+
+
+ organization-defined Operations Security (OPSEC) safeguards
+ organization-defined Operations Security (OPSEC) safeguards
+
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+
+ organization-defined supply chain elements, processes, and actors
+ organization-defined supply chain elements, processes, and actors
+
+
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined critical information system components
+ organization-defined critical information system components
+
+
+
+ organization-defined supply chain elements, processes, and actors
+ organization-defined supply chain elements, processes, and actors
+
+
+
+
+ organization-defined information system, information system component, or information system service
+ organization-defined information system, information system component, or information system service
+
+
+ organization-defined assurance overlay
+ organization-defined assurance overlay
+
+
+
+ organization-defined information systems, information system components, or information system services
+ organization-defined information systems, information system components, or information system services
+
+
+ organization-defined decision points in the system development life cycle
+ organization-defined decision points in the system development life cycle
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined security requirements
+ organization-defined security requirements
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined program review milestones
+ organization-defined program review milestones
+
+
+ organization-defined breadth/depth
+ organization-defined breadth/depth
+
+
+ organization-defined decision points in the system development life cycle
+ organization-defined decision points in the system development life cycle
+
+
+ organization-defined breadth/depth
+ organization-defined breadth/depth
+
+
+ organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels
+ organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels
+
+
+ organization-defined tools and methods
+ organization-defined tools and methods
+
+
+ organization-defined acceptance criteria
+ organization-defined acceptance criteria
+
+
+ organization-defined thresholds
+ organization-defined thresholds
+
+
+ organization-defined tools
+ organization-defined tools
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined program review milestones
+ organization-defined program review milestones
+
+
+
+
+ organization-defined breadth/depth
+ organization-defined breadth/depth
+
+
+ organization-defined decision points in the system development life cycle
+ organization-defined decision points in the system development life cycle
+
+
+
+ organization-defined breadth/depth
+ organization-defined breadth/depth
+
+
+ organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels
+ organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels
+
+
+ organization-defined tools and methods
+ organization-defined tools and methods
+
+
+ organization-defined acceptance criteria
+ organization-defined acceptance criteria
+
+
+
+ organization-defined thresholds
+ organization-defined thresholds
+
+
+
+
+ organization-defined tools
+ organization-defined tools
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+
+
+
+
+ organization-defined training
+ organization-defined training
+
+
+
+ organization-defined elements of organizational security policy
+ organization-defined elements of organizational security policy
+
+
+
+ organization-defined elements of organizational security policy
+ organization-defined elements of organizational security policy
+
+
+
+
+
+
+
+
+
+ organization-defined information systems, system components, or devices
+ organization-defined information systems, system components, or devices
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined indications of need for inspection
+ organization-defined indications of need for inspection
+
+
+
+
+ organization-defined information systems, system components, or devices
+ organization-defined information systems, system components, or devices
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined indications of need for inspection
+ organization-defined indications of need for inspection
+
+
+
+ organization-defined external reporting organizations
+ organization-defined external reporting organizations
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined techniques and methods
+ organization-defined techniques and methods
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+
+ organization-defined techniques and methods
+ organization-defined techniques and methods
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined critical information system components
+ organization-defined critical information system components
+
+
+
+ organization-defined information system, system component, or information system service
+ organization-defined information system, system component, or information system service
+
+
+ organization-defined official government duties
+ organization-defined official government duties
+
+
+ organization-defined additional personnel screening criteria
+ organization-defined additional personnel screening criteria
+
+
+ organization-defined actions
+ organization-defined actions
+
+
+
+ organization-defined actions
+ organization-defined actions
+
+
+
+ organization-defined support from external providers
+ organization-defined support from external providers
+
+
+
+ organization-defined support from external providers
+ organization-defined support from external providers
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+ organization-defined procedures
+ organization-defined procedures
+
+
+
+
+ organization-defined procedures
+ organization-defined procedures
+
+
+
+ organization-defined types of denial of service attacks or references to sources for such information
+ organization-defined types of denial of service attacks or references to sources for such information
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined denial of service attacks
+ organization-defined denial of service attacks
+
+
+ organization-defined monitoring tools
+ organization-defined monitoring tools
+
+
+ organization-defined information system resources
+ organization-defined information system resources
+
+
+
+ organization-defined denial of service attacks
+ organization-defined denial of service attacks
+
+
+
+
+ organization-defined monitoring tools
+ organization-defined monitoring tools
+
+
+ organization-defined information system resources
+ organization-defined information system resources
+
+
+
+ organization-defined resources
+ organization-defined resources
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined internal communications traffic
+ organization-defined internal communications traffic
+
+
+ organization-defined external networks
+ organization-defined external networks
+
+
+ organization-defined authorized sources
+ organization-defined authorized sources
+
+
+ organization-defined authorized destinations
+ organization-defined authorized destinations
+
+
+ organization-defined host-based boundary protection mechanisms
+ organization-defined host-based boundary protection mechanisms
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined information security tools, mechanisms, and support components
+ organization-defined information security tools, mechanisms, and support components
+
+
+ organization-defined managed interfaces
+ organization-defined managed interfaces
+
+
+ organization-defined communication clients
+ organization-defined communication clients
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined missions and/or business functions
+ organization-defined missions and/or business functions
+
+
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+
+
+ organization-defined internal communications traffic
+ organization-defined internal communications traffic
+
+
+ organization-defined external networks
+ organization-defined external networks
+
+
+
+
+
+ organization-defined authorized sources
+ organization-defined authorized sources
+
+
+ organization-defined authorized destinations
+ organization-defined authorized destinations
+
+
+
+ organization-defined host-based boundary protection mechanisms
+ organization-defined host-based boundary protection mechanisms
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+
+ organization-defined information security tools, mechanisms, and support components
+ organization-defined information security tools, mechanisms, and support components
+
+
+
+ organization-defined managed interfaces
+ organization-defined managed interfaces
+
+
+
+
+
+
+
+ organization-defined communication clients
+ organization-defined communication clients
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined missions and/or business functions
+ organization-defined missions and/or business functions
+
+
+
+
+
+ organization-defined alternative physical safeguards
+ organization-defined alternative physical safeguards
+
+
+ organization-defined alternative physical safeguards
+ organization-defined alternative physical safeguards
+
+
+ organization-defined alternative physical safeguards
+ organization-defined alternative physical safeguards
+
+
+
+ organization-defined alternative physical safeguards
+ organization-defined alternative physical safeguards
+
+
+
+
+ organization-defined alternative physical safeguards
+ organization-defined alternative physical safeguards
+
+
+
+ organization-defined alternative physical safeguards
+ organization-defined alternative physical safeguards
+
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+ organization-defined security functions to include at a minimum, information system authentication and re-authentication
+ organization-defined security functions to include at a minimum, information system authentication and re-authentication
+
+
+
+
+ organization-defined requirements for key generation, distribution, storage, access, and destruction
+ organization-defined requirements for key generation, distribution, storage, access, and destruction
+
+
+
+
+
+
+
+
+ organization-defined cryptographic uses and type of cryptography required for each use
+ organization-defined cryptographic uses and type of cryptography required for each use
+
+
+
+
+
+
+
+
+ organization-defined exceptions where remote activation is to be allowed
+ organization-defined exceptions where remote activation is to be allowed
+
+
+ organization-defined information systems or information system components
+ organization-defined information systems or information system components
+
+
+ organization-defined secure work areas
+ organization-defined secure work areas
+
+
+ organization-defined online meetings and teleconferences
+ organization-defined online meetings and teleconferences
+
+
+
+
+
+ organization-defined information systems or information system components
+ organization-defined information systems or information system components
+
+
+ organization-defined secure work areas
+ organization-defined secure work areas
+
+
+
+ organization-defined online meetings and teleconferences
+ organization-defined online meetings and teleconferences
+
+
+
+ organization-defined security attributes
+ organization-defined security attributes
+
+
+
+
+ organization-defined certificate policy
+ organization-defined certificate policy
+
+
+
+ organization-defined unacceptable mobile code
+ organization-defined unacceptable mobile code
+
+
+ organization-defined corrective actions
+ organization-defined corrective actions
+
+
+ organization-defined mobile code requirements
+ organization-defined mobile code requirements
+
+
+ organization-defined unacceptable mobile code
+ organization-defined unacceptable mobile code
+
+
+ organization-defined software applications
+ organization-defined software applications
+
+
+ organization-defined actions
+ organization-defined actions
+
+
+
+ organization-defined unacceptable mobile code
+ organization-defined unacceptable mobile code
+
+
+ organization-defined corrective actions
+ organization-defined corrective actions
+
+
+
+ organization-defined mobile code requirements
+ organization-defined mobile code requirements
+
+
+
+ organization-defined unacceptable mobile code
+ organization-defined unacceptable mobile code
+
+
+
+ organization-defined software applications
+ organization-defined software applications
+
+
+ organization-defined actions
+ organization-defined actions
+
+
+
+
+
+
+
+
+
+
+
+ organization-defined randomness requirements
+ organization-defined randomness requirements
+
+
+ organization-defined certificate authorities
+ organization-defined certificate authorities
+
+
+
+
+
+ organization-defined randomness requirements
+ organization-defined randomness requirements
+
+
+
+
+ organization-defined certificate authorities
+ organization-defined certificate authorities
+
+
+
+ organization-defined known-state
+ organization-defined known-state
+
+
+ organization-defined types of failures
+ organization-defined types of failures
+
+
+ organization-defined system state information
+ organization-defined system state information
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+
+
+
+ organization-defined platform-independent applications
+ organization-defined platform-independent applications
+
+
+
+ organization-defined information at rest
+ organization-defined information at rest
+
+
+ organization-defined information
+ organization-defined information
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined information
+ organization-defined information
+
+
+
+ organization-defined information
+ organization-defined information
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+
+ organization-defined information
+ organization-defined information
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined concealment and misdirection techniques
+ organization-defined concealment and misdirection techniques
+
+
+ organization-defined information systems
+ organization-defined information systems
+
+
+ organization-defined time periods
+ organization-defined time periods
+
+
+ organization-defined techniques
+ organization-defined techniques
+
+
+ organization-defined processing and/or storage
+ organization-defined processing and/or storage
+
+
+ organization-defined time frequency
+ organization-defined time frequency
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined techniques
+ organization-defined techniques
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+
+
+ organization-defined techniques
+ organization-defined techniques
+
+
+
+ organization-defined processing and/or storage
+ organization-defined processing and/or storage
+
+
+ organization-defined time frequency
+ organization-defined time frequency
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+
+ organization-defined techniques
+ organization-defined techniques
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+
+ organization-defined values
+ organization-defined values
+
+
+ organization-defined subset of identified covert channels
+ organization-defined subset of identified covert channels
+
+
+
+
+ organization-defined values
+ organization-defined values
+
+
+
+ organization-defined subset of identified covert channels
+ organization-defined subset of identified covert channels
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined circumstances for physical separation of components
+ organization-defined circumstances for physical separation of components
+
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined applications
+ organization-defined applications
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined information system firmware components
+ organization-defined information system firmware components
+
+
+ organization-defined authorized individuals
+ organization-defined authorized individuals
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+
+
+ organization-defined information system firmware components
+ organization-defined information system firmware components
+
+
+ organization-defined authorized individuals
+ organization-defined authorized individuals
+
+
+
+
+ organization-defined processing and storage
+ organization-defined processing and storage
+
+
+ organization-defined distributed processing and storage components
+ organization-defined distributed processing and storage components
+
+
+
+ organization-defined distributed processing and storage components
+ organization-defined distributed processing and storage components
+
+
+
+ organization-defined out-of-band channels
+ organization-defined out-of-band channels
+
+
+ organization-defined information, information system components, or devices
+ organization-defined information, information system components, or devices
+
+
+ organization-defined individuals or information systems
+ organization-defined individuals or information systems
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined individuals or information systems
+ organization-defined individuals or information systems
+
+
+ organization-defined information, information system components, or devices
+ organization-defined information, information system components, or devices
+
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined individuals or information systems
+ organization-defined individuals or information systems
+
+
+ organization-defined information, information system components, or devices
+ organization-defined information, information system components, or devices
+
+
+
+ organization-defined operations security safeguards
+ organization-defined operations security safeguards
+
+
+
+ organization-defined multi-threaded processing
+ organization-defined multi-threaded processing
+
+
+
+
+ organization-defined multi-threaded processing
+ organization-defined multi-threaded processing
+
+
+
+ organization-defined wireless links
+ organization-defined wireless links
+
+
+ organization-defined types of signal parameter attacks or references to sources for such attacks
+ organization-defined types of signal parameter attacks or references to sources for such attacks
+
+
+ organization-defined level of protection
+ organization-defined level of protection
+
+
+ organization-defined level of reduction
+ organization-defined level of reduction
+
+
+ organization-defined wireless transmitters
+ organization-defined wireless transmitters
+
+
+
+ organization-defined level of protection
+ organization-defined level of protection
+
+
+
+ organization-defined level of reduction
+ organization-defined level of reduction
+
+
+
+
+ organization-defined wireless transmitters
+ organization-defined wireless transmitters
+
+
+
+ organization-defined connection ports or input/output devices
+ organization-defined connection ports or input/output devices
+
+
+ organization-defined information systems or information system components
+ organization-defined information systems or information system components
+
+
+
+ organization-defined exceptions where remote activation of sensors is allowed
+ organization-defined exceptions where remote activation of sensors is allowed
+
+
+ organization-defined class of users
+ organization-defined class of users
+
+
+ organization-defined sensors
+ organization-defined sensors
+
+
+ organization-defined measures
+ organization-defined measures
+
+
+ organization-defined sensors
+ organization-defined sensors
+
+
+ organization-defined environmental sensing capabilities
+ organization-defined environmental sensing capabilities
+
+
+ organization-defined facilities, areas, or systems
+ organization-defined facilities, areas, or systems
+
+
+
+ organization-defined sensors
+ organization-defined sensors
+
+
+
+ organization-defined measures
+ organization-defined measures
+
+
+ organization-defined sensors
+ organization-defined sensors
+
+
+
+ organization-defined environmental sensing capabilities
+ organization-defined environmental sensing capabilities
+
+
+ organization-defined facilities, areas, or systems
+ organization-defined facilities, areas, or systems
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+
+ organization-defined information system, system component, or location
+ organization-defined information system, system component, or location
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined benchmarks
+ organization-defined benchmarks
+
+
+ organization-defined security-relevant software and firmware updates
+ organization-defined security-relevant software and firmware updates
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined software and firmware components
+ organization-defined software and firmware components
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined benchmarks
+ organization-defined benchmarks
+
+
+
+
+ organization-defined security-relevant software and firmware updates
+ organization-defined security-relevant software and firmware updates
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+
+ organization-defined software and firmware components
+ organization-defined software and firmware components
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined action
+ organization-defined action
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined unauthorized operating system commands
+ organization-defined unauthorized operating system commands
+
+
+ organization-defined information system hardware components
+ organization-defined information system hardware components
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined remote commands
+ organization-defined remote commands
+
+
+ organization-defined tools and techniques
+ organization-defined tools and techniques
+
+
+
+
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+ organization-defined unauthorized operating system commands
+ organization-defined unauthorized operating system commands
+
+
+ organization-defined information system hardware components
+ organization-defined information system hardware components
+
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined remote commands
+ organization-defined remote commands
+
+
+
+ organization-defined tools and techniques
+ organization-defined tools and techniques
+
+
+
+ organization-defined monitoring objectives
+ organization-defined monitoring objectives
+
+
+ organization-defined techniques and methods
+ organization-defined techniques and methods
+
+
+ organization-defined information system monitoring information
+ organization-defined information system monitoring information
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined compromise indicators
+ organization-defined compromise indicators
+
+
+ organization-defined incident response personnel (identified by name and/or by role)
+ organization-defined incident response personnel (identified by name and/or by role)
+
+
+ organization-defined least-disruptive actions to terminate suspicious events
+ organization-defined least-disruptive actions to terminate suspicious events
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined encrypted communications traffic
+ organization-defined encrypted communications traffic
+
+
+ organization-defined information system monitoring tools
+ organization-defined information system monitoring tools
+
+
+ organization-defined interior points within the system (e.g., subnetworks, subsystems)
+ organization-defined interior points within the system (e.g., subnetworks, subsystems)
+
+
+ organization-defined activities that trigger alerts
+ organization-defined activities that trigger alerts
+
+
+ organization-defined interior points within the system (e.g., subsystems, subnetworks)
+ organization-defined interior points within the system (e.g., subsystems, subnetworks)
+
+
+ organization-defined additional monitoring
+ organization-defined additional monitoring
+
+
+ organization-defined sources
+ organization-defined sources
+
+
+ organization-defined additional monitoring
+ organization-defined additional monitoring
+
+
+ organization-defined additional monitoring
+ organization-defined additional monitoring
+
+
+ organization-defined probationary period
+ organization-defined probationary period
+
+
+ organization-defined authorization or approval processes
+ organization-defined authorization or approval processes
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined host-based monitoring mechanisms
+ organization-defined host-based monitoring mechanisms
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined compromise indicators
+ organization-defined compromise indicators
+
+
+
+
+ organization-defined incident response personnel (identified by name and/or by role)
+ organization-defined incident response personnel (identified by name and/or by role)
+
+
+ organization-defined least-disruptive actions to terminate suspicious events
+ organization-defined least-disruptive actions to terminate suspicious events
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined encrypted communications traffic
+ organization-defined encrypted communications traffic
+
+
+ organization-defined information system monitoring tools
+ organization-defined information system monitoring tools
+
+
+
+ organization-defined interior points within the system (e.g., subnetworks, subsystems)
+ organization-defined interior points within the system (e.g., subnetworks, subsystems)
+
+
+
+ organization-defined activities that trigger alerts
+ organization-defined activities that trigger alerts
+
+
+
+
+
+
+
+
+ organization-defined interior points within the system (e.g., subsystems, subnetworks)
+ organization-defined interior points within the system (e.g., subsystems, subnetworks)
+
+
+
+ organization-defined additional monitoring
+ organization-defined additional monitoring
+
+
+ organization-defined sources
+ organization-defined sources
+
+
+
+ organization-defined additional monitoring
+ organization-defined additional monitoring
+
+
+
+ organization-defined additional monitoring
+ organization-defined additional monitoring
+
+
+ organization-defined probationary period
+ organization-defined probationary period
+
+
+
+ organization-defined authorization or approval processes
+ organization-defined authorization or approval processes
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+ organization-defined host-based monitoring mechanisms
+ organization-defined host-based monitoring mechanisms
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+
+
+ organization-defined external organizations
+ organization-defined external organizations
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined elements within the organization
+ organization-defined elements within the organization
+
+
+ organization-defined external organizations
+ organization-defined external organizations
+
+
+
+
+ organization-defined security functions
+ organization-defined security functions
+
+
+ organization-defined system transitional states
+ organization-defined system transitional states
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined alternative action(s)
+ organization-defined alternative action(s)
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+ organization-defined software, firmware, and information
+ organization-defined software, firmware, and information
+
+
+ organization-defined software, firmware, and information
+ organization-defined software, firmware, and information
+
+
+ organization-defined transitional states or security-relevant events
+ organization-defined transitional states or security-relevant events
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined security-relevant changes to the information system
+ organization-defined security-relevant changes to the information system
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined other actions
+ organization-defined other actions
+
+
+ organization-defined devices
+ organization-defined devices
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined devices
+ organization-defined devices
+
+
+ organization-defined user-installed software
+ organization-defined user-installed software
+
+
+ organization-defined user-installed software
+ organization-defined user-installed software
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined software or firmware components
+ organization-defined software or firmware components
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+ organization-defined software, firmware, and information
+ organization-defined software, firmware, and information
+
+
+ organization-defined transitional states or security-relevant events
+ organization-defined transitional states or security-relevant events
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+
+
+ organization-defined security-relevant changes to the information system
+ organization-defined security-relevant changes to the information system
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+ organization-defined other actions
+ organization-defined other actions
+
+
+
+ organization-defined devices
+ organization-defined devices
+
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+ organization-defined devices
+ organization-defined devices
+
+
+
+ organization-defined user-installed software
+ organization-defined user-installed software
+
+
+
+ organization-defined user-installed software
+ organization-defined user-installed software
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+
+ organization-defined software or firmware components
+ organization-defined software or firmware components
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+
+
+
+
+
+ organization-defined information inputs
+ organization-defined information inputs
+
+
+ organization-defined inputs
+ organization-defined inputs
+
+
+ organization-defined authorized individuals
+ organization-defined authorized individuals
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined trusted sources
+ organization-defined trusted sources
+
+
+ organization-defined formats
+ organization-defined formats
+
+
+
+ organization-defined inputs
+ organization-defined inputs
+
+
+ organization-defined authorized individuals
+ organization-defined authorized individuals
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+
+
+ organization-defined trusted sources
+ organization-defined trusted sources
+
+
+ organization-defined formats
+ organization-defined formats
+
+
+
+ organization-defined personnel or roles
+ organization-defined personnel or roles
+
+
+
+
+ organization-defined information system components
+ organization-defined information system components
+
+
+ organization-defined MTTF substitution criteria
+ organization-defined MTTF substitution criteria
+
+
+ organization-defined fraction or percentage
+ organization-defined fraction or percentage
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined alarm
+ organization-defined alarm
+
+
+ organization-defined failover capability
+ organization-defined failover capability
+
+
+
+ organization-defined fraction or percentage
+ organization-defined fraction or percentage
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+
+ organization-defined time period
+ organization-defined time period
+
+
+ organization-defined alarm
+ organization-defined alarm
+
+
+
+ organization-defined failover capability
+ organization-defined failover capability
+
+
+
+ organization-defined information system components and services
+ organization-defined information system components and services
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+ organization-defined trusted sources
+ organization-defined trusted sources
+
+
+
+ organization-defined trusted sources
+ organization-defined trusted sources
+
+
+
+ organization-defined software programs and/or applications
+ organization-defined software programs and/or applications
+
+
+
+ organization-defined security safeguards
+ organization-defined security safeguards
+
+
+
+ organization-defined fail-safe procedures
+ organization-defined fail-safe procedures
+
+
+ organization-defined failure conditions occur
+ organization-defined failure conditions occur
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+ organization-defined frequency
+ organization-defined frequency
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
diff --git a/working/doc/mappings/ISO27002-screenshot.png b/working/doc/mappings/ISO27002-screenshot.png
new file mode 100644
index 0000000000..f68cf19c10
Binary files /dev/null and b/working/doc/mappings/ISO27002-screenshot.png differ
diff --git a/working/doc/mappings/SP800-53AtoOSCALmapping.xml b/working/doc/mappings/SP800-53AtoOSCALmapping.xml
new file mode 100644
index 0000000000..1238e588cb
--- /dev/null
+++ b/working/doc/mappings/SP800-53AtoOSCALmapping.xml
@@ -0,0 +1,155 @@
+
+
+
+
+
+
+ SP800-53A to OSCAL Mapping
+
+
SP800-53A element
+
OSCAL element
+
+
family
+
group[@class='family']/title
+
+
The assignment of each control to a control family is represented in the OSCAL by
+ locating the control in a group designated for the family. The title of the group
+ indicates the family.
+
+
+
SP800-53 has 18 families, from Access Control (AC) to System and Information
+ Integrity (SI).
+
+
+
+
control-class
+
prop[@class='control-class']
+
+
Three values appear in the data: Technical, Operational and
+ Management.
+
+
+
+
number
+
prop[@class='number']
+
+
Control numbers are composed by combining a code for the family (AC through SI) with a
+ (consecutive) number identifying the control. Control subcontrols are also numbered
+ hierarchically based on their position inside their containing controls (and
+ subcontrols).
+
+
+
+
control/title
+
control/title
+
+
+
priority
+
prop[@class='priority']
+
+
Values are P1 through P4.
+
+
+
+
description
+
part[@class='description']
+
+
In the XML, 800-53A has an element named description; in the PDF the section
+ is entitled Control. This is the normative description of the control.
+
+
+
+
supplemental-guidance
+
part[@class='guidance']
+
+
Note the normalization of supplemental guidance to guidance. This may align
+ the statement with others e.g. ISO27002 implementation guidance.
+
+
+
+
objectives
+
[none]
+
+
Wrapper element in XML can be removed, retaining its contents.
+
+
+
+
objective
+
subcontrol[@class='objective']
+
+
+
decisions
+
[none]
+
+
Wrapper element in XML can be removed, retaining its contents.
+
+
+
+
decision
+
subcontrol[@class='decision']
+
+
+
potential-assessments
+
[none]
+
+
Wrapper element in XML can be removed, retaining its contents.
+
+
+
+
potential-assessment
+
subcontrol[@class='assessment']
+
+
+
object
+
prop[@class='object']
+
+
In the source, object elements specify the (multiple) focuses of an
+ assessment (a kind of control subcontrol).
+
+
+
The property is not required by declaration to be a singleton.
+
+
+
+
references
+
references
+
+
The References section, with links to external documents.
+
+
+
+
reference
+
ref/*
+
+
An individual reference.
+
+
+
Produces a ref element containing std or citation.
+ Auto-extraction produces citation since not all references cite standards.
+ More often, stdwould be better.
+
+
+
+
control-subcontrols
+
[none]
+
+
Wrapper element in XML can be removed, retaining its contents.
+
+
+
+
control-subcontrol
+
subcontrol[@class='sp800-53-subcontrol]
+
+
+
baseline-impact
+
prop[@name='baseline-impact']
+
+
Values are always HIGH or MODERATE.
+
+
+
+
+
+
+
+
\ No newline at end of file
diff --git a/working/doc/mappings/cobit5-mapping.xml b/working/doc/mappings/cobit5-mapping.xml
new file mode 100644
index 0000000000..70663ba08e
--- /dev/null
+++ b/working/doc/mappings/cobit5-mapping.xml
@@ -0,0 +1,161 @@
+
+
+
+
+
+
+ COBIT 5 to OSCAL Mapping
+
+ Mapping COBIT 5 process reference model into OSCAL
+
COBIT process becomes OSCAL control with @class='process'. COBIT
+ practice (a component of a process) becomes OSCAL subcontrol with
+ @class='practice'.
+
+
+ Control organization
+
COBIT 5 higher level structure
+
OSCAL
+
+
Domain chapters
+
group with @class='domain'
+
+
COBIT 5 distinguishes groups of controls in five different domains.
+
+
+
+
Domain name
+
title inside group with @class='domain'e
+
+
+
Domain prefix
+
prop with @class='code'
+
+
+
+ Controls and components
+
COBIT 5 control (process) structure
+
OSCAL
+
+
Process
+
control with @class='process'
+
+
+
Process name
+
title inside control with @class='process'
+
+
+
Process label
+
prop with @class='number'
+
+
Combines the inherited domain code with a sequential two-digit number (padded zeros) e.g.
+ EDM01 for the first control in domain EDM (Evaluate, Direct and Monitor).
+
+
+
+
Process description
+
part with @class='description'
+
+
A normative description of the control (process).
+
+
+
+
Process purpose statement
+
part with @class='objectives'
+
+
+
IT-related goal table
+
subcontrol with @class='goal', containing 'scope' prop = 'IT'
+
+
Each IT goal presents an implicit link to an IT goal specified elsewhere in COBITS (the
+ Goals Cascade). Here, references to IT goals are indicated by a two-digit numeric
+ identifier (01-17) and a title, and glossed with a brief statement, Metrics. These
+ are captured inside the subcontrol as prop with @class='number',
+ title and part with @class='metrics'.
+
The fact that this is an IT-related goal (as opposed to any other type) is captured by
+ including a property prop with @class='scope' with the value
+ IT.
+
+
+
The control subcontrol used to describe this is the same as is used for (rows in) the
+ next table, the process-related goal table. Note however that the IT-related goals (as
+ indicated by the scope property) are implicit cross-links to elsewhere in
+ COBIT 5.
+
+
+
+
Process Goal and Metrics (table)
+
subcontrol with @class='goal', containing 'scope' prop ='process'
+
+
Like IT-related goals, each process-related goal has a number, title and Metrics
+ section. In this case, however, the scope property (prop with
+ @class='scope') has the value process.
+
+
+
+
Governance or Management Practice
+
subcontrol with @class=practice
+
+
+
Governance or Management Practice RACI assignments
+
subcontrol with @class='raci_index' inside 'practice' subcontrol
+
+
In COBIT 5, the RACI index is presented at the level of the process (control). Mapped to
+ OSCAL, this table's rows are allocated instead to the appropriate control subcontrol
+ (practice) to which they belong.
+
The RACI index subcontrol presents a simple list of properties, each one naming a party
+ designated for RACI indexing. The properties must have @class values of
+ responsible, accountable, consulted or
+ informed (exclusively of one another). More than one property is expected
+ to have any of these although guidelines suggest there should be only a single party
+ marked as accountable.
+
RACI tables for controls and across control sets and families can be constructed from
+ these values.
+
+
+
+
Practice inputs
+
subcontrol with @class='input'
+
+
Note that according to COBIT (p. 26) not all practice inputs are represented explicitly,
+ but only those that are specific to particular practices. So if a practice has an input
+ due to another practice having all or all EDM as an output (for example),
+ such an input is not listed. Only inputs designated for this particular control (practice)
+ are indicated.
+
Assuming we know which output settings are regarded as wildcards in this way, implicit
+ inputs can be detected by query.
+
+
+
+
Practice outputs
+
subcontrol with @class='output'
+
+
+
The number or label on any component
+
prop[@class='number']
+
+
+
The title or short descriptor of any component
+
title
+
+
+
A Metrics section
+
part[@class='metrics']
+
+
Appears in an item in a Goals table, a goal subcontrol.
+
+
+
+
A Description section
+
part[@class='description']
+
+
+
An Activities section
+
part[@class='activities']
+
+
Appears in an item (a goal subcontrol) in a Goals table.
+
+
+
+
\ No newline at end of file
diff --git a/working/doc/mappings/cobit5control1-screenshot.png b/working/doc/mappings/cobit5control1-screenshot.png
new file mode 100644
index 0000000000..a8bfc5a0e9
Binary files /dev/null and b/working/doc/mappings/cobit5control1-screenshot.png differ
diff --git a/working/doc/mappings/cobit5control2-screenshot.png b/working/doc/mappings/cobit5control2-screenshot.png
new file mode 100644
index 0000000000..4698e8527c
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diff --git a/working/doc/mappings/cobit5control3-screenshot.png b/working/doc/mappings/cobit5control3-screenshot.png
new file mode 100644
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Binary files /dev/null and b/working/doc/mappings/cobit5control3-screenshot.png differ
diff --git a/working/doc/mappings/iso-27002toOSCALmapping.xml b/working/doc/mappings/iso-27002toOSCALmapping.xml
new file mode 100644
index 0000000000..021438d9bb
--- /dev/null
+++ b/working/doc/mappings/iso-27002toOSCALmapping.xml
@@ -0,0 +1,123 @@
+
+
+
+
+
+ Mappings into OSCAL
+
+ ISO 27002
+
ISO 27002 layout structure
+
OSCAL element
+
+
Refer to published ISO 27002 or to screenshot in this directory.
+
+
+
Control category (section)
+
group[@type='control-category']
+
+
The control categories are the top level sections in the document, providing its
+ organization; they include high level categories such as Information security
+ policies, Organization of information security, Human resource
+ security, and so forth to Compliance. As published the document contains 14
+ such sections, numbered 5-14 (after four introductory sections).
+
+
+
Maintaining hierarchical organization supports autonumber checking on properties on
+ controls in the groupings. So this becomes a group containing groups (the clauses)
+ containing controls.
+
+
+
+
Control category title (section title)
+
group[@type='control-category']/title
+
+
In OSCAL, a title is a privileged kind of property (of a group or control) that doesn't
+ have to be declared. It's appropriate for the section header.
Second level down: the values are 5.1 (first clause inside category 5) through 18.2. They
+ are composed of splicing together the number of the containing group (control category)
+ with a number for the clause (section) within the category.
+
+
+
+
Control
+
control[@type='iso-27002']
+
+
In the document, a control appears as a section headed by its title and containing a
+ regular structure, including a subsection headed Control. The containing element
+ (structure) control is implicit.
+
+
+
All controls in ISO27002 appear inside clauses, so they are three levels down as
+ indicated by their assigned numbers. The standard includes 114 controls.
+
+
+
+
Control number
+
control[@type='iso-27002']/prop[@role='number']
+
+
Third level down: the values are 5.1.1 (first control inside category 5) through 18.2.3.
+ Like clause numbers, they splice together a counter with the number of the containing
+ structure (here, the clause).
+
+
+
+
Control title
+
control[@type='iso-27002']/title
+
+
Every control has its own title. NB since titles are also distinctive, they can serve as
+ an additional key or counter-check on retrieval of (for) the control.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
\ No newline at end of file
diff --git a/working/doc/mappings/readme.md b/working/doc/mappings/readme.md
new file mode 100644
index 0000000000..c9685632a2
--- /dev/null
+++ b/working/doc/mappings/readme.md
@@ -0,0 +1,27 @@
+# Mapping documentation
+
+OSCAL XML documents in this subdirectory describe mappings from published control catalogs into OSCAL. The OSCAL control catalogs themselves are not in this subdirectory: find them (with associated code) in other branches of this repository.
+
+By means of an XSLT 1.0 stylesheet (also included and referenced from the files), these documents, once downloaded, may be opened and displayed in a web browser. TBD are HTML and Markdown renditions of this transformation.
+
+However, as of 2017-08-25, these documents are *out of date* and must be reviewed and modified to reflect the current element set and mappings. Even so, they offer an idea of how it's done. (Edit this readme when mappings are current. Check their dates to see if this might have been done.)
+
+Mappings described:
+
+## NIST SP 800-53
+
+Sources for this information are available to us in NIST NVD XML format. The conversion of this XML into OSCAL is a straightforward crosswalk, with some small enhancements.
+
+## ISO 27002
+
+Controls described in the ISO/IEC 27002:2013 are enumerated in a source document available in published form from ISO: cf https://www.iso.org/standard/54533.html. We have written an "uphill conversion" (inferencing) transformation in XSLT to render these contents into OSCAL. In respect of IP restrictions, we have obfuscated the main contents in doing so. The mapping describes how contents of this document *as rendered in display* are described using OSCAL tagging.
+
+If/as this content becomes available in a more robust form (such as [NISO STS](http://www.niso.org/workrooms/sts/) rather than PDF, EPUB, or HTML), a more robust crosswalk into OSCAL should become technically feasible.
+
+## COBIT 5
+
+[COBIT 5: Enabling Processes](http://www.isaca.org/COBIT/Pages/default.aspx) is a set of security controls published by ISACA, an industry consortium and membership organization focused on enterprise IT. The OSCAL rendering of this control set was performed by hand with automated enhancement. Meant as a demonstration, it only covers five (5) controls (with 26 subcontrols or control enhancements) out of 37 controls (with over 200 subcontrols). Because this information is highly interlinked, a machine-readable OSCAL version will become practically useful only when the entire catalog is available.
+
+Again, this mapping describes how contents of this document *as rendered in display* may be described using OSCAL tagging. This mapping is provisional, as we have not yet performed an analysis to determine its comprehensiveness with regard to this complex specification.
+
+-----
diff --git a/working/doc/schema/oscal-docs-html.xsl b/working/doc/schema/oscal-docs-html.xsl
new file mode 100644
index 0000000000..54f452db06
--- /dev/null
+++ b/working/doc/schema/oscal-docs-html.xsl
@@ -0,0 +1,364 @@
+
+
+
+
+
+
+
+
+
+
+
+ <xsl:value-of select="descendant::oscal:title[1]"/>
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
\ No newline at end of file
diff --git a/working/doc/schema/oscal-docs.sch b/working/doc/schema/oscal-docs.sch
new file mode 100644
index 0000000000..f5148e298a
--- /dev/null
+++ b/working/doc/schema/oscal-docs.sch
@@ -0,0 +1,60 @@
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Schema declares
+
+ undocumented:
+
+
+
+
+
+ This element description corresponds to no declaration in
+
+
+
+
+ No control description
+ Description may contain only a single paragraph, with a sentence fragment (no periods)
+ Description contains a period
+
+
+
+
+ Improper element name
+
+
+
+ is empty
+
+
+
+
+
\ No newline at end of file
diff --git a/working/doc/schema/oscal-oscal.xml b/working/doc/schema/oscal-oscal.xml
new file mode 100644
index 0000000000..1aa34445e9
--- /dev/null
+++ b/working/doc/schema/oscal-oscal.xml
@@ -0,0 +1,677 @@
+
+
+
+
+
+
+
+ OSCAL: The Open Security Controls Assessment Language
+
+
+ OSCAL namespace
+
Conformant (valid) OSCAL documents will not contain elements not described in this document.
+ While OSCAL may be mixed with other tag sets or extended, neither of these uses is described
+ here: this document provides only basic information about the OSCAL core.
+
The element population of an OSCAL document (set) may be determined by means of XPath
+ distinct-values(//*/node-name()), or analogous query.
+
For its XML names, OSCAL uses the namespace XXX http://scap.nist.gov/schema/oscal XXX.
+ Commonly, this will be assigned to (unprefixed) names in an OSCAL document by default, and in
+ this document, OSCAL elements (and attributes, presumed to be in no-namespace) are referenced
+ without a prefix, oscal: or any other.
+
By design, OSCAL looks a lot like HTML on the inside. Transformations to HTML, however, should
+ always strip the OSCAL namespace to produce HTML in the appropriate namespace for the target
+ application. (Or the target application could learn to consume OSCAL.) Only some parts of
+ HTML, however, make their way into OSCAL, which is designed to address its own
+ requirements.
+
+
+ OSCAL organization
+
OSCAL catalogs are built out of controls. Essentially, OSCAL is a lightweight and free-form
+ documentary format, which includes semantic islands of structured information.
+ These are semantic not only because they are addressable in principle, but more
+ importantly because their organizations and values may be known before processing occurs,
+ at least with respect to certain operations and relations, and even (at the most general level)
+ before operations are designed and deployed. OSCAL offers a yin to the yang of query and
+ processing.
+
At the broadest level, control objects in OSCAL include controls, subcontrols, parts
+ of controls or subcontrols, and control groups. Each OSCAL application or application domain
+ will determine for itself how these correspond to entities or controls, formal processes, procedures and so forth, within that domain.
+
This organization is governed by an XML schema, which enforces containment constraints among
+ these elements. In particular, the OSCAL schema declares elements for group,
+ control, subcontrol and part. According to its rules,
+ either controls or groups may appear within groups (that is, groups may be nested or may
+ contain controls), while subcontrols may only appear within controls. Either controls or
+ subcontrols may be partitioned (may contain parts), and parts may contain their own parts.
+ While this design centers around controls and subcontrols, by means of the use of groups and
+ parts, OSCAL can support organizations of controls and their components with arbitrary
+ granularity -- as any of these objects may be used consistently to carry regular sets of
+ properties, with names and value spaces that may be known in advance or discovered
+ dynamically.
+
+
+ Interoperability with other data formats
+
OSCAL should map easily and straightforwardly to any generic XML or tag-based markup language
+ including HTML, Markdown and its variants, NISO JATS, DITA, etc. Additionally, OSCAL
+ documents may be taken as warrants for inference for serialization of linked data
+ objects or other application binding formats including JSON.
+
Because OSCAL is designed to carry richer and denser semantics than most markup languages as used, however, automated conversion into OSCAL from any of these formats (or at any rate, into a process-oriented and optimized OSCAL) is likely to require tuning or
+ customization per instance - that is, each one will be a one-off conversion.
+
+
+ Controls and control components
+
The foundations of OSCAL are in control objects, such as controls and subcontrols, and their
+ components, including both formal components (described here) and relatively uncontrolled or
+ free-form contents (described elsewhere as prose).
+
+ catalog
+ Catalog
+
+
Top-level element for a (canonical) control catalog
+
+
+
+ collection
+ Collection
+
+
Top-level element for a set of controls, not considered to be a catalog
+
+
+
Most often, a collection element will be used for a set of controls derived from one or
+ more control catalogs (such as a profile, baseline, or overlay), which do not themselves
+ serve as a catalog. However, collections may contain everything that catalogs may contain,
+ and OSCAL does not prohibit their use as (source or interim) catalogs for profiling,
+ although an individual application might.
+
+
+
+ control
+ Control
+
+
A structured information object representing a security control
+
+
+
Controls may be grouped using group, and controls may be partitioned using
+ either (formally) subcontrol or (informally) part.
+
+
+
+ subcontrol
+ Control extension
+
+
An associated control within a control
+
+
+
A nominal subcontrol or control extension permits catalogs to offer access to
+ structured control objects within controls. Further levels down can be achieved using
+ part (both controls and subcontrols may be partitioned), which may contain
+ their own parts; however, knowing in advance which controls and subcontrols
+ are especially significant is helpful.
+
+
+
+ prop
+ Property
+
+
A value with a name, attributed to the containing control, subcontrol, part, or group
+
+
+
The notation used by a property is up to an application; otherwise, properties are
+ distinguished in OSCAL by not permitting inline markup of any kind. They are
+ expected to be simple scalar values or to use machine-readable/parseable
+ notation (not XML), as defined by and for an application.
+
The lexical composition of properties may be constrained by declarations including
+ matching to regular expressions or declaring known datatype notations (tbd).
+
Because properties are often used as selectors or identifiers for OSCAL operations,
+ their values can be expected frequently to be flattened (markup stripped) and normalized
+ (e.g., with respect to whitespace) in use; however this is application defined.
+
For singletons (that is, the only element among siblings with its @class),
+ properties are especially useful as proxies (unique identifiers) for their controls, such
+ that controls may be returned one for one on queries for properties (name and value). The
+ robustness of such queries can be ensured by appropriate property declarations (as
+ singletons and as identifiers); cf property in the declarations model (which
+ also supports other constraints over property values).
+
Properties permit the deployment and management of arbitrary controlled values, with and
+ among control objects (controls and parts and extensions), for any purpose useful to an
+ application or implementation of those controls. Typically and routinely, properties will
+ be used to sort, select, order, and arrange controls or relate them to one another or to
+ class hierarchies, taxonomies, or external authorities.
+
+
+
+ param
+ Parameter
+
+
A parameter setting, to be propagated to points of insertion
+
+
+
+ part
+ Part
+
+
A component or partition in a control, subcontrol, or part
+
+
+
Like properties (prop) and parameters (param), parts can be
+ distinguished from other elements within their controls by their assigned
+ @class, such that they may be subjected to declarations logic using
+ these values as bindings (and thereby getting open-ended extensibility).
+
An assigned class may frequently provide for a header in display, such that
+ part[@class='objectives'] is displayed under a header Objectives,
+ etc. Unlike groups, controls, or subcontrols, however, they may not have title
+ element children (they are not first class objects in this sense). Thus, in OSCAL
+ if the components of your controls have their own titles, they are something else; to
+ accommodate data like this, consider using a property (e.g.,
+ prop[@class='part-title'] as an escape hatch.
+
+
+
+ link
+ Link
+
+
A line or paragraph with a hypertext link
+
+
+
Works like an HTML anchor (a) except this is a line-oriented (block)
+ element.
+
+
+
+
+
+ Functional elements
+
Functional elements appear inside control content to provide hooks to OSCAL
+ processors for retrievability, manipulation (including mapping and transformation), and
+ semantic traversal.
+
+ insert
+ Parameter insertion
+
+
A call (reference) to a parameter for dynamic content transclusion
+
+
+
+ withdrawn
+ Withdrawn
+
+
Indicates that a containing control or subcontrol is no longer applicable
+
+
+
Used to mark a control or subcontrol included in a catalog as a placeholder, to maintain
+ its semantic integrity even in obsolescence. Links should be provided to superseding
+ controls or components.
+
The functionality provided by this element might better be offered by a property or some
+ other controlled value, at which point it may be removed; it is included to support (some)
+ legacy content.
+
+
+
+
+
+
+ Declarations elements
+
By declaring constraints on control components, such as properties (prop), parts
+ (part) and links (link) within controls and subcontrols,
+ applications and operators can validate the regularity and composition of available controls.
+ By documenting constraints that are enforceable at need, declarations also serve as an
+ implicit semantic contract between a control catalog (or set of controls valid to a set
+ of OSCAL declarations).
+
In this way, the OSCAL declarations mechanism provides for a kind of on the fly
+ supertyping of control objects, by restriction (constraint) of the core OSCAL language.
+ The extent and degree to which declarations are used to impose order on controls is up to the
+ application and its methods. By no means are declarations necessary; rather, they serve as an
+ aid in modeling and in communicating expectations.
+
OSCAL declarations are enforced by a Schematron; the core schema stipulates their model but
+ does not enforce any of the constraints so declared. Developers should take note that these
+ constraints are all readily testable in XPath.
+
+ declarations
+ Declarations
+
+
For extra-schema validation of control components within controls
+
+
+
The OSCAL validation model supports not only validation against a formal schema
+ (describing elements, attributes, and their permitted contents, described generally and
+ generically), but also against a set of declarations provided specifically for the catalog
+ or catalog type within which they appear. Constraints described in these declarations, and
+ bound via assignments of @class (for control components) and
+ @context (indicating control, subcontrol or part wherein the components may
+ appear), enable automated checking for consistency of controls, subcontrols and their
+ parts, specific to the types or kinds of control items that appear within a particular
+ catalog or control collection.
Constraints applicable to a class or classes of p elements within a control
+ object
+
+
+
+ declare-p
+ Paragraph declaration
+
+
Indicates constraints to be enforced on paragraphs in context
+
+
+
+
+ declare-part
+ Part declaration
+
+
Indicates constraints to be imposed on parts in context
+
+
+
+ declare-link
+ Link declaration
+
+
Indicates constraints to be imposed on links in context
+
+
+
+ singleton
+ Singleton constraint
+
+
The declared component may occur only once in its context
+
+
+
When this element is present in the declaration of an OSCAL control component, the
+ component (prop, param, part) must be the only
+ component of that class given in its (group, control,
+ subcontrol, or part) context. In other words, no other element child of
+ the same parent may have the same @class value (at the level of syntax) or
+ be bound to the same component type (at the semantic level).
+
+
+
+ required
+ Requirement constraint
+
+
The declared component is required in its context
+
+
+
When this element is present in the declaration of an OSCAL control component, the
+ component (prop, param, stmt, or feat)
+ is required to appear, at least once, in its context.
+
+
+
+ identifier
+ Identifier constraint
+
+
The declared component has a value unique within the document, among components of the
+ same type
+
+
+
This constraint is generally only used for properties to be used as identifiers for their
+ control object (control, subcontrol, or part). Guaranteeing their uniqueness means that
+ these values can be used to effect one-to-one retrieval or reference to the objects to
+ which they are assigned.
+
+
+
+ regex
+ Regular expression constraint
+
+
Indicates that the value of a property (prop) or parameter
+ (param) must match the given regular expression
+
+
+
Matching against a regular expression is conducted on the normalized lexical value of the
+ given parameter or property: that is, with leading and trailing whitespace stripped,
+ interim whitespace (spaces, tabs, and line feeds) normalized to single spaces, and inline
+ markup stripped.
+
+
+
+ value
+ Value constraint
+
+
Indicates a permissible value for a parameter or property
+
+
+
In a declaration, value will commonly be given in groups, indicating a set
+ of enumerated permissible values (i.e., for an element to be valid to a value constraint,
+ it must equal one of the given values).
+
In a parameter, a value represents a value assignment to the parameter, overriding any
+ value given at the point of insertion. When parameters are provided in OSCAL profiles,
+ their values will override any values assigned lower down the stack.
Generates a formatted numeric value based on the position of a control object among its
+ siblings, the text contents providing a template for the numbering format (arabic,
+ alphabetic, roman, etc)
+
+
+
The text contents of autonum (not the value of any attribute), will be taken
+ by the processor to be a formatting code. The format should follow the spec for XSLT
+ xsl:number/@format. For example, if the value is A., then
+ numbering will appear in the sequence A., B., C., etc (as punctuated). Recognized formats
+ include upper- and lower-case alphabetic numbering, arabic numbering, and upper- and
+ lower-case roman numbering as described for XSLT.
+
+
+
+
+
+ inherit
+ Inherited value
+
+
Indicates that a value or text within a value should be inherited from a property on a
+ containing control object
+
+
+
inherit is typically used to enforce hierarchical numbering within control
+ objects. When given in a value in a declaration, inherit
+ indicates that the value of a property, or a segment of its value, must be the same as a
+ property (prop) higher in the containment hierarchy of a control object. That
+ is, if a property with @class='number' is constrained with
+ value/inherit, it must be the same as is assigned on the closest ancestor
+ (part, subcontrol, control, or
+ group) with the given property.
+
Usually, inherit is used in conjunction with autonum. Using the
+ two elements in combination, for example, the number (property) assigned to a subcontrol
+ appearing inside a control numbered A1 may be constrained to be A1-a,
+ A1-b, etc., depending on the position of the subcontrol within the control.
+
If a value must inherit from a property of a different class from the containing control
+ object, inherit/@from can be used to indicate the applicable property (by its
+ class). By default, inherit indicates a property value should match an
+ ancestor's property with the same @class (the most usual case).
+
+
+
+
+ desc
+ Parameter description
+
+
Indicates and explains the purpose and use of a parameter
For partitioning a catalog, collection or section therein
+
+
+
Echoes HTML5 section. May contain controls (control) or groups
+ of controls (group).
+
+
+
+ group
+ Group
+
+
Related controls or groups (of controls or groups)
+
+
+
In addition to controls or groups, groups may be titled and may have their own
+ properties, statements, parameter settings and references, subject to declaration. In this
+ respect they are like controls, subcontrols or parts, but their properties apply to the
+ entire group and must be acquired in processing via inheritance.
+
Unlike sections (section elements), groups may not contain arbitrary prose
+ (paragraphs and lists). They may, however, contain statements (stmt), which may be untyped
+ (no @class) and therefore unconstrained by declarations.
+
+
+
+
+ title
+ Title
+
+
A fallback for display and navigation, exclusive of more specific properties
+
+
+
+
+ references
+ References
+
+
A group of reference descriptions
+
+
+
+
+ ref
+ Reference
+
+
A reference, with one or more citations to standards, related documents or other
+ resources
+
+
+
+
+ std
+ Standard
+
+
Citation of a formal published standard
+
+
+
Echoes the NISO JATS (and NISO STS) std element
+
+
+
+ citation
+ Citation
+
+
Citation of a resource
+
+
+
Echoes the NISO JATS (and NISO STS) mixed-citation element.
+
For references to standards, std (qv) may be preferred.
+
+
+
+
+ Prose
+
Prose may ordinarily appear anywhere in a control, subcontrol, or part, or at a higher level.
+ Prose elements echo HTML semantics, although they provide only a deliberately and specifically
+ narrow subset of HTML element types.
+
Prose elements may be constrained by declarations like other control components, although
+ this may not often be as useful as imposing constraints over properties and parts. Frequently,
+ a part organization will be used to assign prose to specific known sections or
+ components of a control (modeled as part or
+ subcontrol).
+
+ p
+ Paragraph
+
+
Paragraph or paragraph fragment
+
+
+
This element echoes HTML p; as in HTML, it is not limited to indicating
+ complete or discrete (compositional or logical) paragraphs, but can be used for any text
+ set off on its own line.
+
+
+
+ pre
+ Preformatted text
+
+
Retains whitespace in display
+
+
+
Echoes HTML pre.
+
+
+
+ ol
+ Ordered List
+
+
Appears with numbering in ordinal position
+
+
+
Although this echoes HTML ol, renditional aspects of this element are not
+ offered by OSCAL. How lists are to be numbered is left to implementations; it
+ is likely that specific control catalogs will have their own schemes.
+
At present there is no support for continued lists, as we have not seen any in
+ documents in scope for analysis.
+
+
+
+ ul
+ Unordered list
+
+
A series of items kept in order but without indicators of sequence; likely bulleted
+
+
+
As in HTML, unordered does not indicate that the order of contained list items is
+ not respected, only that they are not displayed with any notation indicating their order:
+ that is, bullets, not numbers.
+
Note that when sequences or lists appear, it may be as common in OSCAL to list (and
+ control) them as sequences of properties or paragraphs, perhaps grouped in parts or
+ subcontrols. This is very much a display element, convenient when what we have is really
+ prose, not highly organized or semantic.
+
+
+
+ li
+ List item
+
+
An item demarcated with a bullet or numerator
+
+
+
+ em
+ Emphasis
+
+
Rhetorical emphasis as typically indicated by a font shift
+
+
+
In display, this element can be expected to toggle, i.e. provide for italics when
+ appearing within roman text, but roman when appearing within italic text.
+
Particular semantics (indicating types of emphasis for finer resolution in display or
+ retrieval) may be provided via @class.
+
+
+
+ i
+ Italics
+
+
Typographical shift to italics
+
+
+
An implementation may toggle, i.e., display contents using a roman face when the
+ surrounding text is already italic.
+
+
+
+ b
+ Bold
+
+
Typographical shift to bold
+
+
+
In display, when the surrounding text is already bold, an implementation may indicate
+ bold by means of double-bold or some other typographical distinction.
+
+
+
+ a
+ Anchor
+
+
An HTML-style anchor (inline linking element)
+
+
+
As in HTML, the link target is indicated by @href, with a '#' prefix for an
+ internal cross-reference matching an @id elsewhere in the document.
+
Anchors without @href are not invalid to the OSCAL schema (base validation),
+ but may be reported by a Schematron. An application may promote the contents of an
+ a element, when a valid URI, to serve as the link target if
+ @href is missing or not a URI.
+
+
+
+ q
+ Quoted text
+
+
An inline segment to appear within quotation marks
+
+
+
For practical purposes, this is a cosmetic element with no special semantics other than
+ to provide quotation marks in display.
+
+
+
+ code
+ Code
+
+
Inline code
+
+
+
Strictly, this element should identify formal code or code fragments.
+
+
+
+ sup
+ Superscript
+
+
Superscripted text
+
+
+
+ sub
+ Subscript
+
+
Subscripted text
+
+
+
+ span
+ Span
+
+
Generic inline container
+
+
+
As in HTML, an escape hatch for arbitrary (inline) semantic (or other) tagging.
+
+
+
+
+ Structural constraints
+
+
Over and above what can be validated with a grammar (in Level 0), there is a small set of
+ constraints governing usage. Validations enforcing them can be implemented via Schematron or
+ another process capable of static analysis of the data.
+
+
+ Order of items inside controls
+
+
Within a control, properties, parts, and parameters may occur in any order.
+
This specification does not govern how or whether an implementation may respect the order
+ of properties and statements given within a control type. Among properties, formal parts,
+ and parameters within a control, cardinality constraints (where enforced) can help ensure
+ a canonical order. An order may be imposed locally by an application (for example, using a
+ schema that requires all properties to appear before all parts), but this is for its
+ convenience, not because an order is mandated.
+
+
+
+
+
diff --git a/working/doc/schema/oscal-tag-library.html b/working/doc/schema/oscal-tag-library.html
new file mode 100644
index 0000000000..e2100b2aa7
--- /dev/null
+++ b/working/doc/schema/oscal-tag-library.html
@@ -0,0 +1,1232 @@
+
+
+ OSCAL: The Open Security Controls Assessment Language
+
+
+
+
OSCAL: The Open Security Controls Assessment Language
+
+
+
OSCAL namespace
+
Conformant (valid) OSCAL documents will not contain elements not described in this document.
+ While OSCAL may be mixed with other tag sets or extended, neither of these uses is described
+ here: this document provides only basic information about the OSCAL core.
+
The element population of an OSCAL document (set) may be determined by means of XPath
+ distinct-values(//*/node-name()), or analogous query.
+
For its XML names, OSCAL uses the namespace XXX http://scap.nist.gov/schema/oscal XXX.
+ Commonly, this will be assigned to (unprefixed) names in an OSCAL document by default, and in
+ this document, OSCAL elements (and attributes, presumed to be in no-namespace) are referenced
+ without a prefix, oscal: or any other.
+
By design, OSCAL looks a lot like HTML on the inside. Transformations to HTML, however, should
+ always strip the OSCAL namespace to produce HTML in the appropriate namespace for the target
+ application. (Or the target application could learn to consume OSCAL.) Only some parts of
+ HTML, however, make their way into OSCAL, which is designed to address its own
+ requirements.
+
+
+
OSCAL organization
+
OSCAL catalogs are built out of controls. Essentially, OSCAL is a lightweight and free-form
+ documentary format, which includes semantic islands of structured information.
+ These are semantic not only because they are addressable in principle, but more
+ importantly because their organizations and values may be known before processing occurs,
+ at least with respect to certain operations and relations, and even (at the most general level)
+ before operations are designed and deployed. OSCAL offers a yin to the yang of query and
+ processing.
+
At the broadest level, control objects in OSCAL include controls, subcontrols, parts
+ of controls or subcontrols, and control groups. Each OSCAL application or application domain
+ will determine for itself how these correspond to entities or controls, formal processes, procedures and so forth, within that domain.
+
This organization is governed by an XML schema, which enforces containment constraints among
+ these elements. In particular, the OSCAL schema declares elements for group,
+ control, subcontrol and part. According to its rules,
+ either controls or groups may appear within groups (that is, groups may be nested or may
+ contain controls), while subcontrols may only appear within controls. Either controls or
+ subcontrols may be partitioned (may contain parts), and parts may contain their own parts.
+ While this design centers around controls and subcontrols, by means of the use of groups and
+ parts, OSCAL can support organizations of controls and their components with arbitrary
+ granularity -- as any of these objects may be used consistently to carry regular sets of
+ properties, with names and value spaces that may be known in advance or discovered
+ dynamically.
+
+
+
Interoperability with other data formats
+
OSCAL should map easily and straightforwardly to any generic XML or tag-based markup language
+ including HTML, Markdown and its variants, NISO JATS, DITA, etc. Additionally, OSCAL
+ documents may be taken as warrants for inference for serialization of linked data
+ objects or other application binding formats including JSON.
+
Because OSCAL is designed to carry richer and denser semantics than most markup languages as used, however, automated conversion into OSCAL from any of these formats (or at any rate, into a process-oriented and optimized OSCAL) is likely to require tuning or
+ customization per instance - that is, each one will be a one-off conversion.
+
+
+
Controls and control components
+
The foundations of OSCAL are in control objects, such as controls and subcontrols, and their
+ components, including both formal components (described here) and relatively uncontrolled or
+ free-form contents (described elsewhere as prose).
+
+
+ catalog
+ Catalog
+
+
+
+
+
Top-level element for a (canonical) control catalog
+
+
+
+
+ collection
+ Collection
+
+
+
+
+
Top-level element for a set of controls, not considered to be a catalog
+
+
+
remarks
+
Most often, a collection element will be used for a set of controls derived from one or
+ more control catalogs (such as a profile, baseline, or overlay), which do not themselves
+ serve as a catalog. However, collections may contain everything that catalogs may contain,
+ and OSCAL does not prohibit their use as (source or interim) catalogs for profiling,
+ although an individual application might.
+
+
+
+
+ control
+ Control
+
+
+
+
+
A structured information object representing a security control
+
+
+
remarks
+
Controls may be grouped using group, and controls may be partitioned using
+ either (formally) subcontrol or (informally) part.
+
+
+
+
+ subcontrol
+ Control extension
+
+
+
+
+
An associated control within a control
+
+
+
remarks
+
A nominal subcontrol or control extension permits catalogs to offer access to
+ structured control objects within controls. Further levels down can be achieved using
+ part (both controls and subcontrols may be partitioned), which may contain
+ their own parts; however, knowing in advance which controls and subcontrols
+ are especially significant is helpful.
+
+
+
+
+ prop
+ Property
+
+
+
+
+
A value with a name, attributed to the containing control, subcontrol, part, or group
+
+
+
remarks
+
The notation used by a property is up to an application; otherwise, properties are
+ distinguished in OSCAL by not permitting inline markup of any kind. They are
+ expected to be simple scalar values or to use machine-readable/parseable
+ notation (not XML), as defined by and for an application.
+
The lexical composition of properties may be constrained by declarations including
+ matching to regular expressions or declaring known datatype notations (tbd).
+
Because properties are often used as selectors or identifiers for OSCAL operations,
+ their values can be expected frequently to be flattened (markup stripped) and normalized
+ (e.g., with respect to whitespace) in use; however this is application defined.
+
For singletons (that is, the only element among siblings with its @class),
+ properties are especially useful as proxies (unique identifiers) for their controls, such
+ that controls may be returned one for one on queries for properties (name and value). The
+ robustness of such queries can be ensured by appropriate property declarations (as
+ singletons and as identifiers); cf property in the declarations model (which
+ also supports other constraints over property values).
+
Properties permit the deployment and management of arbitrary controlled values, with and
+ among control objects (controls and parts and extensions), for any purpose useful to an
+ application or implementation of those controls. Typically and routinely, properties will
+ be used to sort, select, order, and arrange controls or relate them to one another or to
+ class hierarchies, taxonomies, or external authorities.
+
+
+
+
+ param
+ Parameter
+
+
+
+
+
A parameter setting, to be propagated to points of insertion
+
+
+
+
+ part
+ Part
+
+
+
+
+
A component or partition in a control, subcontrol, or part
+
+
+
remarks
+
Like properties (prop) and parameters (param), parts can be
+ distinguished from other elements within their controls by their assigned
+ @class, such that they may be subjected to declarations logic using
+ these values as bindings (and thereby getting open-ended extensibility).
+
An assigned class may frequently provide for a header in display, such that
+ part[@class='objectives'] is displayed under a header Objectives,
+ etc. Unlike groups, controls, or subcontrols, however, they may not have title
+ element children (they are not first class objects in this sense). Thus, in OSCAL
+ if the components of your controls have their own titles, they are something else; to
+ accommodate data like this, consider using a property (e.g.,
+ prop[@class='part-title'] as an escape hatch.
+
+
+
+
+ link
+ Link
+
+
+
+
+
A line or paragraph with a hypertext link
+
+
+
remarks
+
Works like an HTML anchor (a) except this is a line-oriented (block)
+ element.
+
+
+
+
+
+
Functional elements
+
Functional elements appear inside control content to provide hooks to OSCAL
+ processors for retrievability, manipulation (including mapping and transformation), and
+ semantic traversal.
+
+
+ insert
+ Parameter insertion
+
+
+
+
+
A call (reference) to a parameter for dynamic content transclusion
+
+
+
+
+ withdrawn
+ Withdrawn
+
+
+
+
+
Indicates that a containing control or subcontrol is no longer applicable
+
+
+
remarks
+
Used to mark a control or subcontrol included in a catalog as a placeholder, to maintain
+ its semantic integrity even in obsolescence. Links should be provided to superseding
+ controls or components.
+
The functionality provided by this element might better be offered by a property or some
+ other controlled value, at which point it may be removed; it is included to support (some)
+ legacy content.
+
+
+
+
+
+
+
Declarations elements
+
By declaring constraints on control components, such as properties (prop), parts
+ (part) and links (link) within controls and subcontrols,
+ applications and operators can validate the regularity and composition of available controls.
+ By documenting constraints that are enforceable at need, declarations also serve as an
+ implicit semantic contract between a control catalog (or set of controls valid to a set
+ of OSCAL declarations).
+
In this way, the OSCAL declarations mechanism provides for a kind of on the fly
+ supertyping of control objects, by restriction (constraint) of the core OSCAL language.
+ The extent and degree to which declarations are used to impose order on controls is up to the
+ application and its methods. By no means are declarations necessary; rather, they serve as an
+ aid in modeling and in communicating expectations.
+
OSCAL declarations are enforced by a Schematron; the core schema stipulates their model but
+ does not enforce any of the constraints so declared. Developers should take note that these
+ constraints are all readily testable in XPath.
+
+
+ declarations
+ Declarations
+
+
+
+
+
For extra-schema validation of control components within controls
+
+
+
remarks
+
The OSCAL validation model supports not only validation against a formal schema
+ (describing elements, attributes, and their permitted contents, described generally and
+ generically), but also against a set of declarations provided specifically for the catalog
+ or catalog type within which they appear. Constraints described in these declarations, and
+ bound via assignments of @class (for control components) and
+ @context (indicating control, subcontrol or part wherein the components may
+ appear), enable automated checking for consistency of controls, subcontrols and their
+ parts, specific to the types or kinds of control items that appear within a particular
+ catalog or control collection.
+
+
+
+
+ declare-property
+ Property declaration
+
+
+
+
+
Constraints applicable to a class or classes of p elements within a control
+ object
+
+
+
+
+ declare-p
+ Paragraph declaration
+
+
+
+
+
Indicates constraints to be enforced on paragraphs in context
+
+
+
+
+
+ declare-part
+ Part declaration
+
+
+
+
+
Indicates constraints to be imposed on parts in context
+
+
+
+
+ declare-link
+ Link declaration
+
+
+
+
+
Indicates constraints to be imposed on links in context
+
+
+
+
+ singleton
+ Singleton constraint
+
+
+
+
+
The declared component may occur only once in its context
+
+
+
remarks
+
When this element is present in the declaration of an OSCAL control component, the
+ component (prop, param, part) must be the only
+ component of that class given in its (group, control,
+ subcontrol, or part) context. In other words, no other element child of
+ the same parent may have the same @class value (at the level of syntax) or
+ be bound to the same component type (at the semantic level).
+
+
+
+
+ required
+ Requirement constraint
+
+
+
+
+
The declared component is required in its context
+
+
+
remarks
+
When this element is present in the declaration of an OSCAL control component, the
+ component (prop, param, stmt, or feat)
+ is required to appear, at least once, in its context.
+
+
+
+
+ identifier
+ Identifier constraint
+
+
+
+
+
The declared component has a value unique within the document, among components of the
+ same type
+
+
+
remarks
+
This constraint is generally only used for properties to be used as identifiers for their
+ control object (control, subcontrol, or part). Guaranteeing their uniqueness means that
+ these values can be used to effect one-to-one retrieval or reference to the objects to
+ which they are assigned.
+
+
+
+
+ regex
+ Regular expression constraint
+
+
+
+
+
Indicates that the value of a property (prop) or parameter
+ (param) must match the given regular expression
+
+
+
remarks
+
Matching against a regular expression is conducted on the normalized lexical value of the
+ given parameter or property: that is, with leading and trailing whitespace stripped,
+ interim whitespace (spaces, tabs, and line feeds) normalized to single spaces, and inline
+ markup stripped.
+
+
+
+
+ value
+ Value constraint
+
+
+
+
+
Indicates a permissible value for a parameter or property
+
+
+
remarks
+
In a declaration, value will commonly be given in groups, indicating a set
+ of enumerated permissible values (i.e., for an element to be valid to a value constraint,
+ it must equal one of the given values).
+
In a parameter, a value represents a value assignment to the parameter, overriding any
+ value given at the point of insertion. When parameters are provided in OSCAL profiles,
+ their values will override any values assigned lower down the stack.
+
+
+
+
+ autonum
+ Autonumbered (generated) value
+
+
+
+
+
Generates a formatted numeric value based on the position of a control object among its
+ siblings, the text contents providing a template for the numbering format (arabic,
+ alphabetic, roman, etc)
+
+
+
remarks
+
The text contents of autonum (not the value of any attribute), will be taken
+ by the processor to be a formatting code. The format should follow the spec for XSLT
+ xsl:number/@format
+ . For example, if the value is A., then
+ numbering will appear in the sequence A., B., C., etc (as punctuated). Recognized formats
+ include upper- and lower-case alphabetic numbering, arabic numbering, and upper- and
+ lower-case roman numbering as described for XSLT.
+
+
+
+
+
+
+ inherit
+ Inherited value
+
+
+
+
+
Indicates that a value or text within a value should be inherited from a property on a
+ containing control object
+
+
+
remarks
+
+ inherit is typically used to enforce hierarchical numbering within control
+ objects. When given in a value in a declaration, inherit
+ indicates that the value of a property, or a segment of its value, must be the same as a
+ property (prop) higher in the containment hierarchy of a control object. That
+ is, if a property with @class='number' is constrained with
+ value/inherit, it must be the same as is assigned on the closest ancestor
+ (part, subcontrol, control, or
+ group) with the given property.
+
Usually, inherit is used in conjunction with autonum. Using the
+ two elements in combination, for example, the number (property) assigned to a subcontrol
+ appearing inside a control numbered A1 may be constrained to be A1-a,
+ A1-b, etc., depending on the position of the subcontrol within the control.
+
If a value must inherit from a property of a different class from the containing control
+ object, inherit/@from can be used to indicate the applicable property (by its
+ class). By default, inherit indicates a property value should match an
+ ancestor's property with the same @class (the most usual case).
+
+
+
+
+
+ desc
+ Parameter description
+
+
+
+
+
Indicates and explains the purpose and use of a parameter
+
+
+
+
+
+
Structural elements
+
+
+ section
+ Section
+
+
+
+
+
For partitioning a catalog, collection or section therein
+
+
+
remarks
+
Echoes HTML5 section. May contain controls (control) or groups
+ of controls (group).
+
+
+
+
+ group
+ Group
+
+
+
+
+
Related controls or groups (of controls or groups)
+
+
+
remarks
+
In addition to controls or groups, groups may be titled and may have their own
+ properties, statements, parameter settings and references, subject to declaration. In this
+ respect they are like controls, subcontrols or parts, but their properties apply to the
+ entire group and must be acquired in processing via inheritance.
+
Unlike sections (section elements), groups may not contain arbitrary prose
+ (paragraphs and lists). They may, however, contain statements (stmt), which may be untyped
+ (no @class) and therefore unconstrained by declarations.
+
+
+
+
+
+ title
+ Title
+
+
+
+
+
A fallback for display and navigation, exclusive of more specific properties
+
+
+
+
+
+ references
+ References
+
+
+
+
+
A group of reference descriptions
+
+
+
+
+
+ ref
+ Reference
+
+
+
+
+
A reference, with one or more citations to standards, related documents or other
+ resources
Echoes the NISO JATS (and NISO STS) mixed-citation element.
+
For references to standards, std (qv) may be preferred.
+
+
+
+
+
Prose
+
Prose may ordinarily appear anywhere in a control, subcontrol, or part, or at a higher level.
+ Prose elements echo HTML semantics, although they provide only a deliberately and specifically
+ narrow subset of HTML element types.
+
Prose elements may be constrained by declarations like other control components, although
+ this may not often be as useful as imposing constraints over properties and parts. Frequently,
+ a part organization will be used to assign prose to specific known sections or
+ components of a control (modeled as part or
+ subcontrol).
+
+
+ p
+ Paragraph
+
+
+
+
+
Paragraph or paragraph fragment
+
+
+
remarks
+
This element echoes HTML p; as in HTML, it is not limited to indicating
+ complete or discrete (compositional or logical) paragraphs, but can be used for any text
+ set off on its own line.
Although this echoes HTML ol, renditional aspects of this element are not
+ offered by OSCAL. How lists are to be numbered is left to implementations; it
+ is likely that specific control catalogs will have their own schemes.
+
At present there is no support for continued lists, as we have not seen any in
+ documents in scope for analysis.
+
+
+
+
+ ul
+ Unordered list
+
+
+
+
+
A series of items kept in order but without indicators of sequence; likely bulleted
+
+
+
remarks
+
As in HTML, unordered does not indicate that the order of contained list items is
+ not respected, only that they are not displayed with any notation indicating their order:
+ that is, bullets, not numbers.
+
Note that when sequences or lists appear, it may be as common in OSCAL to list (and
+ control) them as sequences of properties or paragraphs, perhaps grouped in parts or
+ subcontrols. This is very much a display element, convenient when what we have is really
+ prose, not highly organized or semantic.
+
+
+
+
+ li
+ List item
+
+
+
+
+
An item demarcated with a bullet or numerator
+
+
+
+
+ em
+ Emphasis
+
+
+
+
+
Rhetorical emphasis as typically indicated by a font shift
+
+
+
remarks
+
In display, this element can be expected to toggle, i.e. provide for italics when
+ appearing within roman text, but roman when appearing within italic text.
+
Particular semantics (indicating types of emphasis for finer resolution in display or
+ retrieval) may be provided via @class.
+
+
+
+
+ i
+ Italics
+
+
+
+
+
Typographical shift to italics
+
+
+
remarks
+
An implementation may toggle, i.e., display contents using a roman face when the
+ surrounding text is already italic.
+
+
+
+
+ b
+ Bold
+
+
+
+
+
Typographical shift to bold
+
+
+
remarks
+
In display, when the surrounding text is already bold, an implementation may indicate
+ bold by means of double-bold or some other typographical distinction.
+
+
+
+
+ a
+ Anchor
+
+
+
+
+
An HTML-style anchor (inline linking element)
+
+
+
remarks
+
As in HTML, the link target is indicated by @href, with a '#' prefix for an
+ internal cross-reference matching an @id elsewhere in the document.
+
Anchors without @href are not invalid to the OSCAL schema (base validation),
+ but may be reported by a Schematron. An application may promote the contents of an
+ a element, when a valid URI, to serve as the link target if
+ @href is missing or not a URI.
+
+
+
+
+ q
+ Quoted text
+
+
+
+
+
An inline segment to appear within quotation marks
+
+
+
remarks
+
For practical purposes, this is a cosmetic element with no special semantics other than
+ to provide quotation marks in display.
+
+
+
+
+ code
+ Code
+
+
+
+
+
Inline code
+
+
+
remarks
+
Strictly, this element should identify formal code or code fragments.
+
+
+
+
+ sup
+ Superscript
+
+
+
+
+
Superscripted text
+
+
+
+
+ sub
+ Subscript
+
+
+
+
+
Subscripted text
+
+
+
+
+ span
+ Span
+
+
+
+
+
Generic inline container
+
+
+
remarks
+
As in HTML, an escape hatch for arbitrary (inline) semantic (or other) tagging.
+
+
+
+
+
Structural constraints
+
+
+
Over and above what can be validated with a grammar (in Level 0), there is a small set of
+ constraints governing usage. Validations enforcing them can be implemented via Schematron or
+ another process capable of static analysis of the data.
+
+
+ Order of items inside controls
+
+
+
Within a control, properties, parts, and parameters may occur in any order.
+
This specification does not govern how or whether an implementation may respect the order
+ of properties and statements given within a control type. Among properties, formal parts,
+ and parameters within a control, cardinality constraints (where enforced) can help ensure
+ a canonical order. An order may be imposed locally by an application (for example, using a
+ schema that requires all properties to appear before all parts), but this is for its
+ convenience, not because an order is mandated.
+
+
+
+
+
+
+
diff --git a/working/doc/schema/oscal-tag-library.md b/working/doc/schema/oscal-tag-library.md
new file mode 100644
index 0000000000..45d2b7b8e9
--- /dev/null
+++ b/working/doc/schema/oscal-tag-library.md
@@ -0,0 +1,499 @@
+
+
+[OSCAL: The Open Security Controls Assessment Language](#)
+
+[OSCAL namespace](#oscal-namespace)
+
+[OSCAL organization](#oscal-organization)
+
+[Interoperability with other data formats](#interoperability-with-other-data-formats)
+
+[Controls and control components](#controls-and-control-components)
+
+[<catalog> Catalog](#catalog-catalog)
+
+[<collection> Collection](#collection-collection)
+
+[<control> Control](#control-control)
+
+[<subcontrol> Control extension](#subcontrol-control-extension)
+
+[<prop> Property](#prop-property)
+
+[<param> Parameter](#param-parameter)
+
+[<part> Part](#part-part)
+
+[<link> Link](#link-link)
+
+[Functional elements](#functional-elements)
+
+[<insert> Parameter insertion](#insert-parameter-insertion)
+
+[<withdrawn> Withdrawn](#withdrawn-withdrawn)
+
+[Declarations elements](#declarations-elements)
+
+[<declarations> Declarations](#declarations-declarations)
+
+[<declare-property> Property declaration](#declare-property-property-declaration)
+
+[<declare-p> Paragraph declaration](#declare-p-paragraph-declaration)
+
+[<declare-part> Part declaration](#declare-part-part-declaration)
+
+[<declare-link> Link declaration](#declare-link-link-declaration)
+
+[<singleton> Singleton constraint](#singleton-singleton-constraint)
+
+[<required> Requirement constraint](#required-requirement-constraint)
+
+[<identifier> Identifier constraint](#identifier-identifier-constraint)
+
+[<regex> Regular expression constraint](#regex-regular-expression-constraint)
+
+[<value> Value constraint](#value-value-constraint)
+
+[<autonum> Autonumbered (generated) value](#autonum-autonumbered-(generated)-value)
+
+[<inherit> Inherited value](#inherit-inherited-value)
+
+[<desc> Parameter description](#desc-parameter-description)
+
+[Structural elements](#structural-elements)
+
+[<section> Section](#section-section)
+
+[<group> Group](#group-group)
+
+[<title> Title](#title-title)
+
+[<references> References](#references-references)
+
+[<ref> Reference](#ref-reference)
+
+[<std> Standard](#std-standard)
+
+[<citation> Citation](#citation-citation)
+
+[Prose](#prose)
+
+[<p> Paragraph](#p-paragraph)
+
+[<pre> Preformatted text](#pre-preformatted-text)
+
+[<ol> Ordered List](#ol-ordered-list)
+
+[<ul> Unordered list](#ul-unordered-list)
+
+[<li> List item](#li-list-item)
+
+[<em> Emphasis](#em-emphasis)
+
+[<i> Italics](#i-italics)
+
+[<b> Bold](#b-bold)
+
+[<a> Anchor](#a-anchor)
+
+[<q> Quoted text](#q-quoted-text)
+
+[<code> Code](#code-code)
+
+[<sup> Superscript](#sup-superscript)
+
+[<sub> Subscript](#sub-subscript)
+
+[<span> Span](#span-span)
+
+[Structural constraints](#structural-constraints)
+
+[Order of items inside controls](#)
+
+# OSCAL: The Open Security Controls Assessment Language
+
+## OSCAL namespace
+
+Conformant (valid) OSCAL documents will not contain elements not described in this document. While OSCAL may be mixed with other tag sets or extended, neither of these uses is described here: this document provides only basic information about the OSCAL "core".
+
+The element population of an OSCAL document (set) may be determined by means of XPath `distinct-values(//*/node-name())`, or analogous query.
+
+For its XML names, OSCAL uses the namespace XXX http://scap.nist.gov/schema/oscal XXX. Commonly, this will be assigned to (unprefixed) names in an OSCAL document by default, and in this document, OSCAL elements (and attributes, presumed to be in no-namespace) are referenced without a prefix, `oscal:` or any other.
+
+By design, OSCAL looks a lot like HTML on the inside. Transformations to HTML, however, should always strip the OSCAL namespace to produce HTML in the appropriate namespace for the target application. (Or the target application could learn to consume OSCAL.) Only some parts of HTML, however, make their way into OSCAL, which is designed to address its own requirements.
+
+## OSCAL organization
+
+OSCAL catalogs are built out of controls. Essentially, OSCAL is a lightweight and free-form "documentary" format, which includes semantic "islands" of structured information. These are semantic not only because they are addressable in principle, but more importantly because their organizations and values may be known before processing occurs, at least with respect to certain operations and relations, and even (at the most general level) before operations are designed and deployed. OSCAL offers a yin to the yang of query and processing.
+
+At the broadest level, "control objects" in OSCAL include controls, subcontrols, parts of controls or subcontrols, and control groups. Each OSCAL application or application domain will determine for itself how these correspond to entities or "controls", formal processes, procedures and so forth, within that domain.
+
+This organization is governed by an XML schema, which enforces containment constraints among these elements. In particular, the OSCAL schema declares elements for group, control, subcontrol and part. According to its rules, either controls or groups may appear within groups (that is, groups may be nested or may contain controls), while subcontrols may only appear within controls. Either controls or subcontrols may be partitioned (may contain parts), and parts may contain their own parts. While this design centers around controls and subcontrols, by means of the use of groups and parts, OSCAL can support organizations of controls and their components with arbitrary granularity -- as any of these objects may be used consistently to carry regular sets of properties, with names and value spaces that may be known in advance or discovered dynamically.
+
+## Interoperability with other data formats
+
+OSCAL should map easily and straightforwardly to any generic XML or tag-based markup language including HTML, Markdown and its variants, NISO JATS, DITA, etc. Additionally, OSCAL documents may be taken as "warrants for inference" for serialization of linked data objects or other application binding formats including JSON.
+
+Because OSCAL is designed to carry richer and denser semantics than most markup languages as used, however, automated conversion into OSCAL from any of these formats (or at any rate, into a process-oriented and optimized OSCAL) is likely to require tuning or customization per instance - that is, each one will be a one-off conversion.
+
+## Controls and control components
+
+The foundations of OSCAL are in control objects, such as controls and subcontrols, and their components, including both formal components (described here) and relatively uncontrolled or free-form contents (described elsewhere as [prose](#prose)).
+
+### <catalog> Catalog
+
+Top-level element for a (canonical) control catalog
+
+### <collection> Collection
+
+Top-level element for a set of controls, not considered to be a catalog
+
+##### remarks
+
+Most often, a collection element will be used for a set of controls derived from one or more control catalogs (such as a profile, baseline, or overlay), which do not themselves serve as a catalog. However, collections may contain everything that catalogs may contain, and OSCAL does not prohibit their use as (source or interim) catalogs for profiling, although an individual application might.
+
+### <control> Control
+
+A structured information object representing a security control
+
+##### remarks
+
+Controls may be grouped using group, and controls may be partitioned using either (formally) subcontrol or (informally) part.
+
+### <subcontrol> Control extension
+
+An associated control within a control
+
+##### remarks
+
+A nominal subcontrol or "control extension" permits catalogs to offer access to structured control objects within controls. Further levels down can be achieved using part (both controls and subcontrols may be partitioned), which may contain their own parts; however, knowing in advance which "controls" and "subcontrols" are especially significant is helpful.
+
+### <prop> Property
+
+A value with a name, attributed to the containing control, subcontrol, part, or group
+
+##### remarks
+
+The notation used by a property is up to an application; otherwise, properties are distinguished in OSCAL by not permitting inline markup of any kind. They are expected to be simple scalar values or to use machine-readable/parseable notation (not XML), as defined by and for an application.
+
+The lexical composition of properties may be constrained by declarations including matching to regular expressions or declaring known datatype notations (tbd).
+
+Because properties are often used as selectors or identifiers for OSCAL operations, their values can be expected frequently to be flattened (markup stripped) and normalized (e.g., with respect to whitespace) in use; however this is application defined.
+
+For singletons (that is, the only element among siblings with its `@class`), properties are especially useful as proxies (unique identifiers) for their controls, such that controls may be returned one for one on queries for properties (name and value). The robustness of such queries can be ensured by appropriate property declarations (as singletons and as identifiers); cf `property` in the declarations model (which also supports other constraints over property values).
+
+Properties permit the deployment and management of arbitrary controlled values, with and among control objects (controls and parts and extensions), for any purpose useful to an application or implementation of those controls. Typically and routinely, properties will be used to sort, select, order, and arrange controls or relate them to one another or to class hierarchies, taxonomies, or external authorities.
+
+### <param> Parameter
+
+A parameter setting, to be propagated to points of insertion
+
+### <part> Part
+
+A component or partition in a control, subcontrol, or part
+
+##### remarks
+
+Like properties (prop) and parameters (param), parts can be distinguished from other elements within their controls by their assigned `@class`, such that they may be subjected to "declarations logic" using these values as bindings (and thereby getting open-ended extensibility).
+
+An assigned class may frequently provide for a header in display, such that `part[@class='objectives']` is displayed under a header *Objectives*, etc. Unlike groups, controls, or subcontrols, however, they may not have title element children (they are not "first class objects" in this sense). Thus, in OSCAL if the components of your controls have their own titles, they are something else; to accommodate data like this, consider using a property (e.g., `prop[@class='part-title']` as an escape hatch.
+
+### <link> Link
+
+A line or paragraph with a hypertext link
+
+##### remarks
+
+Works like an HTML anchor (a) except this is a line-oriented (block) element.
+
+## Functional elements
+
+Functional elements appear inside control content to provide "hooks" to OSCAL processors for retrievability, manipulation (including mapping and transformation), and semantic traversal.
+
+### <insert> Parameter insertion
+
+A "call" (reference) to a parameter for dynamic content transclusion
+
+### <withdrawn> Withdrawn
+
+Indicates that a containing control or subcontrol is no longer applicable
+
+##### remarks
+
+Used to mark a control or subcontrol included in a catalog as a placeholder, to maintain its semantic integrity even in obsolescence. Links should be provided to superseding controls or components.
+
+The functionality provided by this element might better be offered by a property or some other controlled value, at which point it may be removed; it is included to support (some) legacy content.
+
+## Declarations elements
+
+By declaring constraints on control components, such as properties (prop), parts (part) and links (link) within controls and subcontrols, applications and operators can validate the regularity and composition of available controls. By documenting constraints that are enforceable at need, declarations also serve as an implicit "semantic contract" between a control catalog (or set of controls valid to a set of OSCAL declarations).
+
+In this way, the OSCAL declarations mechanism provides for a kind of "on the fly supertyping" of control objects, by restriction (constraint) of the core OSCAL language. The extent and degree to which declarations are used to impose order on controls is up to the application and its methods. By no means are declarations necessary; rather, they serve as an aid in modeling and in communicating expectations.
+
+OSCAL declarations are enforced by a Schematron; the core schema stipulates their model but does not enforce any of the constraints so declared. Developers should take note that these constraints are all readily testable in XPath.
+
+### <declarations> Declarations
+
+For extra-schema validation of control components within controls
+
+##### remarks
+
+The OSCAL validation model supports not only validation against a formal schema (describing elements, attributes, and their permitted contents, described generally and generically), but also against a set of declarations provided specifically for the catalog or catalog type within which they appear. Constraints described in these declarations, and bound via assignments of `@class` (for control components) and `@context` (indicating control, subcontrol or part wherein the components may appear), enable automated checking for consistency of controls, subcontrols and their parts, specific to the types or kinds of control items that appear within a particular catalog or control collection.
+
+### <declare-property> Property declaration
+
+Constraints applicable to a class or classes of p elements within a control object
+
+### <declare-p> Paragraph declaration
+
+Indicates constraints to be enforced on paragraphs in context
+
+### <declare-part> Part declaration
+
+Indicates constraints to be imposed on parts in context
+
+### <declare-link> Link declaration
+
+Indicates constraints to be imposed on links in context
+
+### <singleton> Singleton constraint
+
+The declared component may occur only once in its context
+
+##### remarks
+
+When this element is present in the declaration of an OSCAL control component, the component (prop, param, part) must be the only component of that class given in its (group, control, subcontrol, or part) context. In other words, no other element child of the same parent may have the same `@class` value (at the level of syntax) or be bound to the same component type (at the semantic level).
+
+### <required> Requirement constraint
+
+The declared component is required in its context
+
+##### remarks
+
+When this element is present in the declaration of an OSCAL control component, the component (prop, param, `stmt`, or `feat`) is required to appear, at least once, in its context.
+
+### <identifier> Identifier constraint
+
+The declared component has a value unique within the document, among components of the same type
+
+##### remarks
+
+This constraint is generally only used for properties to be used as identifiers for their control object (control, subcontrol, or part). Guaranteeing their uniqueness means that these values can be used to effect one-to-one retrieval or reference to the objects to which they are assigned.
+
+### <regex> Regular expression constraint
+
+Indicates that the value of a property (prop) or parameter (param) must match the given regular expression
+
+##### remarks
+
+Matching against a regular expression is conducted on the normalized lexical value of the given parameter or property: that is, with leading and trailing whitespace stripped, interim whitespace (spaces, tabs, and line feeds) normalized to single spaces, and inline markup stripped.
+
+### <value> Value constraint
+
+Indicates a permissible value for a parameter or property
+
+##### remarks
+
+In a declaration, value will commonly be given in groups, indicating a set of enumerated permissible values (i.e., for an element to be valid to a value constraint, it must equal one of the given values).
+
+In a parameter, a value represents a value assignment to the parameter, overriding any value given at the point of insertion. When parameters are provided in OSCAL profiles, their values will override any values assigned "lower down the stack".
+
+### <autonum> Autonumbered (generated) value
+
+Generates a formatted numeric value based on the position of a control object among its siblings, the text contents providing a template for the numbering format (arabic, alphabetic, roman, etc)
+
+##### remarks
+
+The text contents of autonum (not the value of any attribute), will be taken by the processor to be a formatting code. The format should follow the spec for XSLT `xsl:number/@format`. For example, if the value is "A.", then numbering will appear in the sequence A., B., C., etc (as punctuated). Recognized formats include upper- and lower-case alphabetic numbering, arabic numbering, and upper- and lower-case roman numbering as described for XSLT.
+
+### <inherit> Inherited value
+
+Indicates that a value or text within a value should be inherited from a property on a containing control object
+
+##### remarks
+
+inherit is typically used to enforce hierarchical numbering within control objects. When given in a value in a declaration, inherit indicates that the value of a property, or a segment of its value, must be the same as a property (prop) higher in the containment hierarchy of a control object. That is, if a property with `@class='number'` is constrained with `value/inherit`, it must be the same as is assigned on the closest ancestor (part, subcontrol, control, or group) with the given property.
+
+Usually, inherit is used in conjunction with autonum. Using the two elements in combination, for example, the number (property) assigned to a subcontrol appearing inside a control numbered "A1" may be constrained to be "A1-a", "A1-b", etc., depending on the position of the subcontrol within the control.
+
+If a value must inherit from a property of a different class from the containing control object, `inherit/@from` can be used to indicate the applicable property (by its class). By default, inherit indicates a property value should match an ancestor's property with the same `@class` (the most usual case).
+
+### <desc> Parameter description
+
+Indicates and explains the purpose and use of a parameter
+
+## Structural elements
+
+### <section> Section
+
+For partitioning a catalog, collection or section therein
+
+##### remarks
+
+Echoes HTML5 section. May contain controls (control) or groups of controls (group).
+
+### <group> Group
+
+Related controls or groups (of controls or groups)
+
+##### remarks
+
+In addition to controls or groups, groups may be titled and may have their own properties, statements, parameter settings and references, subject to declaration. In this respect they are like controls, subcontrols or parts, but their properties apply to the entire group and must be acquired in processing via inheritance.
+
+Unlike sections (section elements), groups may not contain arbitrary prose (paragraphs and lists). They may, however, contain statements (stmt), which may be untyped (no `@class`) and therefore unconstrained by declarations.
+
+### <title> Title
+
+A fallback for display and navigation, exclusive of more specific properties
+
+### <references> References
+
+A group of reference descriptions
+
+### <ref> Reference
+
+A reference, with one or more citations to standards, related documents or other resources
+
+### <std> Standard
+
+Citation of a formal published standard
+
+##### remarks
+
+Echoes the NISO JATS (and NISO STS) std element
+
+### <citation> Citation
+
+Citation of a resource
+
+##### remarks
+
+Echoes the NISO JATS (and NISO STS) `mixed-citation` element.
+
+For references to standards, std (qv) may be preferred.
+
+## Prose
+
+Prose may ordinarily appear anywhere in a control, subcontrol, or part, or at a higher level. Prose elements echo HTML semantics, although they provide only a deliberately and specifically narrow subset of HTML element types.
+
+Prose elements may be constrained by declarations like other control components, although this may not often be as useful as imposing constraints over properties and parts. Frequently, a part organization will be used to assign prose to specific known "sections" or "components" of a control (modeled as part or subcontrol).
+
+### <p> Paragraph
+
+Paragraph or paragraph fragment
+
+##### remarks
+
+This element echoes HTML p; as in HTML, it is not limited to indicating complete or discrete (compositional or logical) paragraphs, but can be used for any text set off on its own line.
+
+### <pre> Preformatted text
+
+Retains whitespace in display
+
+##### remarks
+
+Echoes HTML pre.
+
+### <ol> Ordered List
+
+Appears with numbering in ordinal position
+
+##### remarks
+
+Although this echoes HTML ol, renditional aspects of this element are not offered by OSCAL. How lists are to be numbered is left to implementations; it is likely that specific control catalogs will have their own schemes.
+
+At present there is no support for "continued lists", as we have not seen any in documents in scope for analysis.
+
+### <ul> Unordered list
+
+A series of items kept in order but without indicators of sequence; likely bulleted
+
+##### remarks
+
+As in HTML, "unordered" does not indicate that the order of contained list items is not respected, only that they are not displayed with any notation indicating their order: that is, bullets, not numbers.
+
+Note that when sequences or lists appear, it may be as common in OSCAL to list (and control) them as sequences of properties or paragraphs, perhaps grouped in parts or subcontrols. This is very much a display element, convenient when what we have is really prose, not highly organized or "semantic".
+
+### <li> List item
+
+An item demarcated with a bullet or numerator
+
+### <em> Emphasis
+
+Rhetorical emphasis as typically indicated by a font shift
+
+##### remarks
+
+In display, this element can be expected to "toggle", i.e. provide for italics when appearing within roman text, but roman when appearing within italic text.
+
+Particular semantics (indicating types of emphasis for finer resolution in display or retrieval) may be provided via `@class`.
+
+### <i> Italics
+
+Typographical shift to italics
+
+##### remarks
+
+An implementation may toggle, i.e., display contents using a roman face when the surrounding text is already italic.
+
+### <b> Bold
+
+Typographical shift to bold
+
+##### remarks
+
+In display, when the surrounding text is already bold, an implementation may indicate "bold" by means of double-bold or some other typographical distinction.
+
+### <a> Anchor
+
+An HTML-style anchor (inline linking element)
+
+##### remarks
+
+As in HTML, the link target is indicated by `@href`, with a '#' prefix for an internal cross-reference matching an `@id` elsewhere in the document.
+
+Anchors without `@href` are not invalid to the OSCAL schema (base validation), but may be reported by a Schematron. An application may promote the contents of an a element, when a valid URI, to serve as the link target if `@href` is missing or not a URI.
+
+### <q> Quoted text
+
+An inline segment to appear within quotation marks
+
+##### remarks
+
+For practical purposes, this is a cosmetic element with no special semantics other than to provide quotation marks in display.
+
+### <code> Code
+
+Inline code
+
+##### remarks
+
+Strictly, this element should identify formal code or code fragments.
+
+### <sup> Superscript
+
+Superscripted text
+
+### <sub> Subscript
+
+Subscripted text
+
+### <span> Span
+
+Generic inline container
+
+##### remarks
+
+As in HTML, an escape hatch for arbitrary (inline) semantic (or other) tagging.
+
+## Structural constraints
+
+####
+
+Over and above what can be validated with a grammar (in Level 0), there is a small set of constraints governing usage. Validations enforcing them can be implemented via Schematron or another process capable of static analysis of the data.
+
+### Order of items inside controls
+
+Within a control, properties, parts, and parameters may occur in any order.
+
+This specification does not govern how or whether an implementation may respect the order of properties and statements given within a control type. Among properties, formal parts, and parameters within a control, cardinality constraints (where enforced) can help ensure a canonical order. An order may be imposed locally by an application (for example, using a schema that requires all properties to appear before all parts), but this is for its convenience, not because an order is mandated.
\ No newline at end of file
diff --git a/working/doc/schema/oscal.css b/working/doc/schema/oscal.css
new file mode 100644
index 0000000000..7ed7dea649
--- /dev/null
+++ b/working/doc/schema/oscal.css
@@ -0,0 +1,164 @@
+* { display: block }
+
+catalog { max-width: 48em }
+
+declarations { font-family: sans-serif; font-size: 80%;
+ padding: 0.5em; margin: 0.5em; border: thin solid black; background-color: gainsboro;
+ -oxy-foldable: true; -oxy-not-foldable-child: title }
+
+declarations:before { font-weight: bold; content: "Declarations " attr(href) }
+
+property, statement, parameter, part_declaration
+ { padding: 0.2em; margin: 0.2em; border: thin outset black;
+ -oxy-foldable: true; -oxy-not-foldable-child: title }
+
+property { border: thin outset pink; background-color: #FDDDE6; margin-top: 0.5em; color: black }
+part_declaration { border: thin outset blue }
+parameter { border: thin dotted green; background-color: lightgreen }
+
+parameter:before { content: '(parameter) "' attr(class) '" on ' attr(context) ' ' }
+property:before { content: '(property) "' attr(class) '" on ' attr(context) ' ' }
+part_declaration:before { content: '(statement) "' attr(class) '" on ' attr(context) ' '}
+part_declaration { background-color: cornsilk; margin-top: 0.5em; color: black }
+
+
+/* value is also used inside param */
+declarations value { display: inline-block; background-color: ivory; border: thin outset pink;
+ margin: 2px; padding: 2px; font-weight: bold; font-size: 80% }
+
+regex { display: inline; font-family: monospace; font-size: 90%; white-space: nowrap;
+ background-color: ivory; border: thin outset green }
+
+regex:before { content: "matching (regex) "; font-family: sans-serif }
+
+
+identifier:before { content: "is an identifier"
+ }
+
+singleton { content: oxy_label(text, "singleton", width, 4em, color, inherit)
+}
+
+inherit, autonum { display: inline }
+required { content: oxy_label(text, "required", width, 4em, color, inherit)
+}
+
+inherit:before { content: oxy_label(text, "inherit", width, 4em, color, inherit)
+}
+autonum:before { content: oxy_label(text, "autonumber ", width, 4em, color, inherit)
+}
+
+group, section, references, extensions
+ { padding: 0.5em; margin: 0.5em; border: thin solid black;
+ -oxy-foldable: true; -oxy-not-foldable-child: title }
+
+references:before { content: "References"; font-size: 120%; font-family: sans-serif; font-weight: bold }
+
+ref { border-left: thick solid silver; padding-left: 0.5em; margin-top: 0.5ex }
+
+control, subcontrol, part { padding: 0.5em; margin: 0.5em; border: medium double black;
+ -oxy-foldable: true; -oxy-not-foldable-child: title }
+
+subcontrol { border: thin solid black }
+part, purpose, guidance, remarks, information { border: thin dotted black;
+ background-color: gainsboro }
+
+group:before { content: attr(class) " (group)"; font-weight: bold; font-family: sans-serif; font-size: 80% }
+
+control:before { content: attr(class) " (control)"; font-weight: bold; font-family: sans-serif; font-size: 80% }
+
+control > title { font-size: 110% }
+
+
+subcontrol:before { content: attr(class) " (subcontrol)"; font-weight: bold; font-size:80%; font-family: sans-serif }
+
+group:before { content: oxy_capitalize(attr(class)); font-weight: bold; font-size:90%; font-family: sans-serif }
+
+title { font-weight: bold; font-family: sans-serif }
+catalog > title { font-size: 150% }
+group > title { font-size: 130% }
+group > group > title { font-size: 120% }
+control > title { font-size: 110% }
+subcontrol > title { font-size: 90%; font-style: italic }
+part > title { font-size: 80% }
+
+part:before { font-size:90%; font-family: sans-serif;
+ font-weight: bold; content: oxy_capitalize(attr(class)) }
+
+param:before { font-weight: bold; font-style: normal; content: 'parameter ' attr(class) ' [' attr(id) '] ' }
+param { background-color: #B5EAAA; border: thin outset darkgreen;
+ margin: 2px; padding: 2px; font-family: sans-serif; font-size: 80%; font-style: italic }
+
+desc:before { font-style: normal; content: 'Description: ' }
+default:before { font-style: normal; content: 'Default: ' }
+param value:before { font-style: normal; content: 'Value: ' }
+
+prop:before { content: attr(class) ': '; font-weight: bold; font-size:90%; font-family: sans-serif }
+
+prop { display:block; background-color: #FDDDE6; border: thin outset pink;
+ margin: 2px; padding: 2px; font-size: 90% }
+
+
+/* SP800-53
+part[class=supplemental-guidance]:before { content: "Supplemental guidance" } */
+
+/* ISO 27002
+purpose:before,part[class=purpose]:before { content: "Purpose/s"; font-weight: bold; color: midnightblue; font-family: sans-serif }
+guidance:before,[class=guidance]:before { content: "Guidance"; font-weight: bold; color: midnightblue; font-family: sans-serif }
+information:before,part[class=information]:before { content: "Other information"; font-weight: bold; color: midnightblue; font-family: sans-serif }
+remarks:before,part[class=remarks]:before { content: "Remarks"; font-weight: bold; color: midnightblue; font-family: sans-serif }
+ */
+
+
+p { margin-top: 0.5em }
+
+italic { display: inline; font-style: italic }
+
+ol, list { padding-left: 2em }
+ol { list-style-type: decimal }
+ol ol { list-style-type: l }
+
+li, list-item { display: list-item; margin-top: 0.5em }
+li > p, list-item > p { margin-top: 0.5em }
+
+std[href]:before, citation[href]:before {
+ content:
+ oxy_urlChooser(
+ edit, "@href",
+ columns 53);
+}
+
+q { display: inline;
+
+ quotes: "“" "”" "‘" "’";
+}
+q:before {
+ content: open-quote;
+}
+q:after {
+ content: close-quote;
+}
+std, citation { margin-top: 0.5em }
+std { color: darkred }
+citation { color: purple }
+
+em { font-style: italic; display: inline }
+xref, a { display: inline; color: blue }
+
+link { color: blue; font-size: 90%; font-weight: bold }
+
+withdrawn { display: inline; font-style: italic }
+
+code { display: inline; font-family: monospace; font-size: 90% }
+
+insert, select { display: inline; font-family: sans-serif; background-color: white;
+ font-size: 80%; font-style: italic; font-weight: bold; border: thin solid pink;
+ content: oxy_popup(
+ edit, '@param-id',
+ values, oxy_xpath("string-join(ancestor-or-self::*/param/@id,',')"),
+ selectionMode, single) }
+
+insert:before { content: 'Insert parameter ' }
+select:before { content: 'Selection ' }
+
+select { display: inline }
+choice { display: table-row; margin-top: 0.4em; background-color: white; padding: 0.1ex }
\ No newline at end of file
diff --git a/working/doc/schema/readme.md b/working/doc/schema/readme.md
new file mode 100644
index 0000000000..8ab255cf80
--- /dev/null
+++ b/working/doc/schema/readme.md
@@ -0,0 +1,11 @@
+# OSCAL schema documentation
+
+This subdirectory contains [documentation, in OSCAL XML format](oscal-oscal.xml), of the OSCAL schema and related resources such as Schematron constraint sets.
+
+See an [OSCAL Tag Library](oscal-tag-library.md) (element definitions) in this subdirectory, produced from that file. Currently, only elements are described; TBD are attribute definitions along with more background and perhaps examples.
+
+The XML also serves as an example of OSCAL, but for more correct or realistic examples with richer semantics, see [subdirectories under 'working'](../..), including [NIST SP800-53](../../SP800-53), [ISO 27002](../../ISO-27002), and [COBIT 5](../../COBIT5).
+
+The publication version of the OSCAL schema may be found in the [lib/XSD](../../lib/XSD) directory as file [oscal-documented.xsd](../../lib/XSD/oscal-documented.xsd). This file is produced via an automated process [as described there](../../lib/XSD/readme.md).
+
+-----
diff --git a/working/lib/CSS/oscal-author.css b/working/lib/CSS/oscal-author.css
new file mode 100644
index 0000000000..96704b3924
--- /dev/null
+++ b/working/lib/CSS/oscal-author.css
@@ -0,0 +1,9 @@
+@import 'oscal.css';
+
+
+a:after { content:
+ oxy_urlChooser(
+ edit, '@href',
+ columns, 40 )
+ }
+
diff --git a/working/lib/CSS/oscal-cobit5.css b/working/lib/CSS/oscal-cobit5.css
new file mode 100644
index 0000000000..110fd18f90
--- /dev/null
+++ b/working/lib/CSS/oscal-cobit5.css
@@ -0,0 +1,40 @@
+@import 'oscal.css';
+
+
+prop { display:block; background-color: lavender; border: thin outset blue;
+ margin: 2px; padding: 2px; font-size: 90% }
+
+subcontrol[class~=practice]:before { content: oxy_xpath('ancestor::group/prop[@class="area"]/string(.)') " Practice" }
+
+feat[class~=process-goal]:before { content: "Process goal" }
+feat[class~=IT-goal]:before { content: "IT-related goal" }
+
+feat[class~=input]:before { content: "Input" }
+feat[class~=output]:before { content: "Output" }
+
+feat { background-color: inherit }
+
+control:before { content: '' }
+control > feat[class~=description]:before { content: 'Process Description' }
+control > feat[class~=objectives]:before { content: 'Process Purpose Statement' }
+
+subcontrol > feat[class~=description]:before { content: '' }
+subcontrol > feat[class~=description] { -oxy-foldable: false }
+
+feat[class~=metrics]:before { content: 'Related Metrics' }
+
+prop[class~=metric]:before { content: '' }
+
+prop[class~=metric] { display: list-item; border: none; padding: 0px; background-color: inherit }
+
+feat[class~=raci_index]:before { content: 'RACI chart' }
+
+feat[class~=raci_index] > prop:before {
+ content:
+ oxy_combobox(
+ edit, '@class',
+ editable, true,
+ values, 'responsible, accountable, consulted, informed' )
+}
+
+references:before { content: 'Related Guidance' }
diff --git a/working/lib/CSS/oscal-mapping.css b/working/lib/CSS/oscal-mapping.css
new file mode 100644
index 0000000000..762bfcad94
--- /dev/null
+++ b/working/lib/CSS/oscal-mapping.css
@@ -0,0 +1,8 @@
+@import 'oscal.css';
+
+catalog { max-width: 100% }
+
+
+group { display: table }
+control { display: table-row }
+control > * { display: table-cell }
\ No newline at end of file
diff --git a/working/lib/CSS/oscal-ui.css b/working/lib/CSS/oscal-ui.css
new file mode 100644
index 0000000000..f227c6ba2e
--- /dev/null
+++ b/working/lib/CSS/oscal-ui.css
@@ -0,0 +1,103 @@
+@import 'oscal.css';
+
+declarations:before { content:
+ "Declarations "
+ oxy_textfield(edit, '@href', columns, 30)
+ }
+
+value, regex { display: block }
+
+identifier, required, regex, autonum {
+ display: block; visibility: -oxy-collapse-text }
+
+inherit {
+ display: inline; visibility: -oxy-collapse-text }
+
+autonum { display: inline }
+
+property:before { content:
+ oxy_label(text, "property ", styles, "font-weight:bold")
+ oxy_textfield(edit, '@class', columns, 12)
+ ' on '
+ oxy_textfield(edit, '@context', columns, 20)
+ }
+
+parameter:before { content:
+ oxy_label(text, "parameter ", styles, "font-weight:bold")
+ oxy_textfield(edit, '@class', columns, 30)
+ ' on '
+ oxy_textfield(edit, '@context', columns, 20)
+ }
+
+value:before { content:
+ oxy_label(text, "value ", styles, "font-weight:normal")
+ }
+
+regex:before { content:
+ oxy_label(text, "matching (regex) ", styles, "font-weight:normal")
+ oxy_textfield(edit, '#text', columns, 50)
+ }
+
+autonum:before { content:
+ oxy_label(text, "format like ", styles, "font-weight:normal")
+ oxy_textfield(edit, '#text', columns, 6)
+ }
+
+inherit:before { content:
+ oxy_label(text, "inherit from (ancestor property) ", styles, "font-weight:normal")
+ oxy_textfield(edit, '@from', columns, 6)
+
+ }
+
+part_declaration:before { content:
+ oxy_label(text, "part ", styles, "font-weight:bold")
+ oxy_textfield(edit, '@class', columns, 20)
+ ' on '
+ oxy_textfield(edit, '@context', columns, 20)
+ }
+
+
+control:before { content: 'control: ' oxy_textfield(
+ edit, '@class',
+ columns, 10); }
+
+
+subcontrol:before { font-weight: bold; color: darkred; font-family: sans-serif;
+ content:
+ oxy_capitalize(attr(class)) ' '
+ oxy_combobox(
+ edit, '@class',
+ editable, true )
+}
+
+prop:before { content: oxy_textfield(
+ edit, '@class',
+ columns, 15); }
+
+part:before { font-weight: bold; color: midnightblue; font-family: sans-serif;
+ content:
+ oxy_capitalize(attr(class)) ' '
+ oxy_combobox(
+ edit, '@class',
+ editable, true,
+ values, 'description, objectives, guidance, information, remarks' )
+}
+
+param:before { content: 'param targets ' oxy_textfield(
+ edit, '@target',
+ columns, 10)
+ 'class ' oxy_textfield(
+ edit, '@class',
+ columns, 10); }
+inject:before { content: 'id ' oxy_textfield(
+ edit, '@id',
+ columns, 7); }
+
+
+a:after { content:
+ oxy_urlChooser(
+ edit, '@href',
+ columns, 50 )
+ }
+
+
diff --git a/working/lib/CSS/oscal.css b/working/lib/CSS/oscal.css
new file mode 100644
index 0000000000..bda6267930
--- /dev/null
+++ b/working/lib/CSS/oscal.css
@@ -0,0 +1,191 @@
+* { display: block }
+
+catalog { max-width: 48em }
+
+declarations { font-family: sans-serif; font-size: 80%;
+ padding: 0.5em; margin: 0.5em; border: thin solid black; background-color: gainsboro;
+ -oxy-foldable: true; -oxy-not-foldable-child: title }
+
+declarations:before { font-weight: bold; content: "Declarations " attr(href) }
+
+property, statement, parameter, part_declaration
+ { padding: 0.2em; margin: 0.2em; border: thin outset black;
+ -oxy-foldable: true; -oxy-not-foldable-child: title }
+
+property { border: thin outset pink; background-color: #FDDDE6; margin-top: 0.5em; color: black }
+part_declaration { border: thin outset blue }
+parameter { border: thin dotted green; background-color: lightgreen }
+
+parameter:before { content: '(parameter) "' attr(class) '" on ' attr(context) ' ' }
+property:before { content: '(property) "' attr(class) '" on ' attr(context) ' ' }
+part_declaration:before { content: '(statement) "' attr(class) '" on ' attr(context) ' '}
+part_declaration { background-color: cornsilk; margin-top: 0.5em; color: black }
+
+
+/* value is also used inside param */
+declarations value { display: inline-block; background-color: ivory; border: thin outset pink;
+ margin: 2px; padding: 2px; font-weight: bold; font-size: 80% }
+
+regex { display: inline; font-family: monospace; font-size: 90%; white-space: nowrap;
+ background-color: ivory; border: thin outset green }
+
+regex:before { content: "matching (regex) "; font-family: sans-serif }
+
+
+identifier:before { content: "is an identifier"
+ }
+
+singleton { content: oxy_label(text, "singleton", width, 4em, color, inherit)
+}
+
+inherit, autonum { display: inline }
+required { content: oxy_label(text, "required", width, 4em, color, inherit)
+}
+
+inherit:before { content: oxy_label(text, "inherit", width, 4em, color, inherit)
+}
+autonum:before { content: oxy_label(text, "autonumber ", width, 4em, color, inherit)
+}
+
+group, section, references, extensions
+ { padding: 0.5em; margin: 0.5em; border: thin solid black;
+ -oxy-foldable: true; -oxy-not-foldable-child: title }
+
+references:before { content: "References"; font-size: 120%; font-family: sans-serif; font-weight: bold }
+
+ref { border-left: thick solid silver; padding-left: 0.5em; margin-top: 0.5ex }
+
+control, subcontrol, part { padding: 0.5em; margin: 0.5em; border: medium double black;
+ -oxy-foldable: true; -oxy-not-foldable-child: title }
+
+subcontrol { border: thin solid black }
+part, purpose, guidance, remarks, information { border: thin dotted black;
+ background-color: gainsboro }
+
+group:before { content: attr(class) " (group)"; font-weight: bold; font-family: sans-serif; font-size: 80% }
+
+control:before { content: attr(class) " (control)"; font-weight: bold; font-family: sans-serif; font-size: 80% }
+
+control > title { font-size: 110% }
+
+
+subcontrol:before { content: attr(class) " (subcontrol)"; font-weight: bold; font-size:80%; font-family: sans-serif }
+
+group:before { content: oxy_capitalize(attr(class)); font-weight: bold; font-size:90%; font-family: sans-serif }
+
+title { font-weight: bold; font-family: sans-serif }
+catalog > title { font-size: 150% }
+group > title { font-size: 130% }
+group > group > title { font-size: 120% }
+control > title { font-size: 110% }
+subcontrol > title { font-size: 90%; font-style: italic }
+part > title { font-size: 80% }
+
+part:before { font-size:90%; font-family: sans-serif;
+ font-weight: bold; content: oxy_capitalize(attr(class)) }
+
+param:before { font-weight: bold; font-style: normal; content: 'parameter ' attr(class) ' [' attr(id) '] ' }
+param { background-color: #B5EAAA; border: thin outset darkgreen;
+ margin: 2px; padding: 2px; font-family: sans-serif; font-size: 80%; font-style: italic }
+
+desc:before { font-style: normal; content: 'Description: ' }
+default:before { font-style: normal; content: 'Default: ' }
+param value:before { font-style: normal; content: 'Value: ' }
+
+prop:before { content: attr(class) ': '; font-weight: bold; font-size:90%; font-family: sans-serif }
+
+prop { display:block; background-color: #FDDDE6; border: thin outset pink;
+ margin: 2px; padding: 2px; font-size: 90% }
+
+
+/* SP800-53
+part[class=supplemental-guidance]:before { content: "Supplemental guidance" } */
+
+/* ISO 27002
+purpose:before,part[class=purpose]:before { content: "Purpose/s"; font-weight: bold; color: midnightblue; font-family: sans-serif }
+guidance:before,[class=guidance]:before { content: "Guidance"; font-weight: bold; color: midnightblue; font-family: sans-serif }
+information:before,part[class=information]:before { content: "Other information"; font-weight: bold; color: midnightblue; font-family: sans-serif }
+remarks:before,part[class=remarks]:before { content: "Remarks"; font-weight: bold; color: midnightblue; font-family: sans-serif }
+ */
+
+
+p { margin-top: 0.5em }
+
+italic { display: inline; font-style: italic }
+
+ol, list { padding-left: 2em }
+ol { list-style-type: decimal }
+ol ol { list-style-type: l }
+
+li, list-item { display: list-item; margin-top: 0.5em }
+li > p, list-item > p { margin-top: 0.5em }
+
+std[href]:before, citation[href]:before {
+ content:
+ oxy_urlChooser(
+ edit, "@href",
+ columns 53);
+}
+
+q { display: inline;
+
+ quotes: "“" "”" "‘" "’";
+}
+q:before {
+ content: open-quote;
+}
+q:after {
+ content: close-quote;
+}
+std, citation { margin-top: 0.5em }
+std { color: darkred }
+citation { color: purple }
+
+em { font-style: italic; display: inline }
+xref, a { display: inline; color: blue }
+
+link { color: blue; font-size: 90%; font-weight: bold }
+
+withdrawn { display: inline; font-style: italic }
+
+code { display: inline; font-family: monospace; font-size: 90% }
+
+insert, select { display: inline; font-family: sans-serif; background-color: white;
+ font-size: 80%; font-style: italic; font-weight: bold; border: thin solid pink;
+ content: oxy_popup(
+ edit, '@param-id',
+ values, oxy_xpath("string-join(ancestor-or-self::*/param/@id,',')"),
+ selectionMode, single) }
+
+insert:before { content: 'Insert parameter ' }
+select:before { content: 'Selection ' }
+
+select { display: inline }
+choice { display: table-row; margin-top: 0.4em; background-color: white; padding: 0.1ex }
+
+profile
+
+
+invoke, include, exclude { padding: 0.5em; margin: 0.5em; border: medium double black;
+ -oxy-foldable: true }
+
+invoke:before {
+ content: 'Invoke catalog '
+ oxy_urlChooser(
+ edit, "@href",
+ columns 53);
+}
+
+call[control-id] { color: blue; font-weight: bold; content: oxy_textfield(
+ edit, '@control-id',
+ columns, 20) }
+
+call[subcontrol-id] { color: green; content: oxy_textfield(
+ edit, '@subcontrol-id',
+ columns, 20) }
+
+call[param-id] { color: darkorange; content: oxy_textfield(
+ edit, '@subcontrol-id',
+ columns, 20) }
+
+all { content: "All" }
\ No newline at end of file
diff --git a/working/lib/Schematron/oscal-as-declared.sch b/working/lib/Schematron/oscal-as-declared.sch
new file mode 100644
index 0000000000..65f78d1ff6
--- /dev/null
+++ b/working/lib/Schematron/oscal-as-declared.sch
@@ -0,0 +1,209 @@
+
+
+
+
+
+
+
+
+
+
+
+
+
+ No declarations found (properties will not be checked).
+
+
+
+
+
+
+
+
+
+
+ Declaration clashes with another declaration.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Required
+
+ missing: expecting
+ on
+
+
+
+
+
+
+
+ Required
+
+ missing: expecting
+ on
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ More than one matching declaration found for (signatures )
+
+ No declaration found for in this location
+
+
+
+
+ Value of property '' is expected to match regex
+
+ '
+
+
+
+
+
+
+ Value of property () is expected to be unique to this property (instance) within the document.
+
+
+
+
+
+
+ Value of property () is expected to be unique to this property (instance) within the document.
+
+
+
+
+
+
+
+
+
+
+ Value of property is expected to be
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ [RESOLUTIONFAIL]
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
\ No newline at end of file
diff --git a/working/lib/Schematron/oscal-links.sch b/working/lib/Schematron/oscal-links.sch
new file mode 100644
index 0000000000..1062d6d45a
--- /dev/null
+++ b/working/lib/Schematron/oscal-links.sch
@@ -0,0 +1,23 @@
+
+
+
+
+
+
+
+
+
+
+ missing @href
+ An @href must be a URI
+ Internal link is broken.
+
+
+
+
+
+
+
+
\ No newline at end of file
diff --git a/working/lib/Schematron/oscal-parameters.sch b/working/lib/Schematron/oscal-parameters.sch
new file mode 100644
index 0000000000..a49c15b10b
--- /dev/null
+++ b/working/lib/Schematron/oscal-parameters.sch
@@ -0,0 +1,102 @@
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Insertion has no parameter
+
+ Indicated parameter '' is not in scope
+ Indicated parameter '' has no value given
+
+
+
+
+ Parameter is used nowhere.
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Add parameter for assignment
+
+
+
+
+ Parameter id
+
+
+
+
+ Parameter value
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Add parameter value
+
+
+
+ Parameter value
+
+
+
+
+
+
+
+
+
+
+
\ No newline at end of file
diff --git a/working/lib/Schematron/oscal-profile.sch b/working/lib/Schematron/oscal-profile.sch
new file mode 100644
index 0000000000..0057e35ec7
--- /dev/null
+++ b/working/lib/Schematron/oscal-profile.sch
@@ -0,0 +1,41 @@
+
+
+
+
+
+
+
+
+
+ Catalog '' not found
+
+
+
+
+ Referenced catalog ''
+ has no control with @id ''
+ Referenced catalog ''
+ has no subcontrol with @id ''
+
+
+
+
+ Parameter has no valid @id
+
+
+ Referenced catalog ''
+ has no parameter with @id ''
+
+
+
+
+
+
+ Referenced parameter '' has a different description: ""
+
+
+
+
+
\ No newline at end of file
diff --git a/working/lib/Schematron/oscal-strict.sch b/working/lib/Schematron/oscal-strict.sch
new file mode 100644
index 0000000000..c38530e778
--- /dev/null
+++ b/working/lib/Schematron/oscal-strict.sch
@@ -0,0 +1,60 @@
+
+
+
+
+
+
+
+
+
+
+
+
+ Controls may not appear inside controls
+ Controls may not appear inside parts
+
+
+ Subcontrols may not appear outside controls
+ Subcontrols may not appear inside parts
+
+
+
+
+
+
+
+
+
+
+ @class
+
+ not allowed.
+
+
+
+
+
+
+
+
+
+
+
\ No newline at end of file
diff --git a/working/lib/Schematron/readme.md b/working/lib/Schematron/readme.md
new file mode 100644
index 0000000000..e3391bed50
--- /dev/null
+++ b/working/lib/Schematron/readme.md
@@ -0,0 +1,24 @@
+# OSCAL Schematron
+
+This subdirectory contains various Schematron constraint sets for application to OSCAL.
+
+As of 2017-08-25, these are still provisional and subject to change. For more information see the Schematrons themselves (including embedded comments - but don't trust them entirely either).
+
+## Overview
+
+[oscal-strict.sch](oscal-strict.sch)
+ : Extra-schema constraints that should apply to any OSCAL document. Given schema declarations, this may include constraints that are redundant and/or "paranoid".
+
+[oscal-parameters.sch](oscal-parameters.sch)
+ : Special constraints (with Quickfix logic) applicable to parameters and their assignments (`insert` elements).
+
+[oscal-links.sch](oscal-parameters.sch)
+ : Link checking including the detection of broken internal links (but not external links).
+
+[oscal-as-declared.sch](oscal-as-declared.sch)
+ : Validation of an OSCAL document against its own declarations, i.e., this is an implementation of semantics related to OSCAL declarations.
+
+[oscal-profile.sch](oscal-profile.sch)
+ : Constraints applicable to OSCAL profiles, including referential integrity with respect to their source catalog(s). Under development.
+
+-----
diff --git a/working/lib/XSD/oscal-documented.xsd b/working/lib/XSD/oscal-documented.xsd
new file mode 100644
index 0000000000..dc871d6374
--- /dev/null
+++ b/working/lib/XSD/oscal-documented.xsd
@@ -0,0 +1,653 @@
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Catalog Top-level element for a (canonical) control catalog
+
+
+
+
+
+ Collection Top-level element for a set of controls, not considered to be a catalog
+
+
+
+
+
+ Declarations For extra-schema validation of control components within controls
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Property declaration Constraints applicable to a class or classes of p elements within a control
+ object
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Identifier constraint The declared component has a value unique within the document, among components of the
+ same type
+
+
+
+
+
+
+ Part declaration Indicates constraints to be imposed on parts in context
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Paragraph declaration Indicates constraints to be enforced on paragraphs in context
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Link declaration Indicates constraints to be imposed on links in context
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Singleton constraint The declared component may occur only once in its context
+
+
+
+
+
+
+ Requirement constraint The declared component is required in its context
+
+
+
+
+
+
+ Regular expression constraint Indicates that the value of a property (prop) or parameter
+ (param) must match the given regular expression
+
+
+
+
+
+
+
+ Value constraint Indicates a permissible value for a parameter or property
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Inherited value Indicates that a value or text within a value should be inherited from a property on a
+ containing control object
+
+
+
+
+
+
+
+
+ Autonumbered (generated) value Generates a formatted numeric value based on the position of a control object among its
+ siblings, the text contents providing a template for the numbering format (arabic,
+ alphabetic, roman, etc)
+
+
+
+
+
+ Section For partitioning a catalog, collection or section therein
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Group Related controls or groups (of controls or groups)
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Control A structured information object representing a security control
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Control extension An associated control within a control
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Part A component or partition in a control, subcontrol, or part
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Title A fallback for display and navigation, exclusive of more specific properties
+
+
+
+
+
+
+
+
+
+
+ Link A line or paragraph with a hypertext link
+
+
+
+
+
+
+
+
+
+
+ Parameter A parameter setting, to be propagated to points of insertion
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Parameter description Indicates and explains the purpose and use of a parameter
+
+
+
+
+
+
+
+
+
+
+ Value constraint Indicates a permissible value for a parameter or property
+
+
+
+
+
+
+
+ Property A value with a name, attributed to the containing control, subcontrol, part, or group
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ References A group of reference descriptions
+
+
+
+
+
+
+
+
+
+
+ Reference A reference, with one or more citations to standards, related documents or other
+ resources
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Standard Citation of a formal published standard
+
+
+
+
+
+
+
+
+
+
+
+
+ Citation Citation of a resource
+
+
+
+
+
+
+
+
+
+
+
+
+ Paragraph Paragraph or paragraph fragment
+
+
+
+
+
+
+
+
+
+
+ Preformatted text Retains whitespace in display
+
+
+
+
+
+
+
+
+
+
+
+
+ Ordered List Appears with numbering in ordinal position
+
+
+
+
+
+
+
+
+
+
+ List item An item demarcated with a bullet or numerator
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Unordered list A series of items kept in order but without indicators of sequence; likely bulleted
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Quoted text An inline segment to appear within quotation marks
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Code Inline code
+
+
+
+
+
+
+
+
+
+ Emphasis Rhetorical emphasis as typically indicated by a font shift
+
+
+
+
+
+
+
+
+
+
+
+
+ Italics Typographical shift to italics
+
+
+
+
+
+
+
+
+
+
+
+
+ Bold Typographical shift to bold
+
+
+
+
+
+
+
+
+
+
+
+
+ Subscript Subscripted text
+
+
+
+
+
+
+
+
+ Superscript Superscripted text
+
+
+
+
+
+
+
+
+ Span Generic inline container
+
+
+
+
+
+
+
+
+
+
+
+
+ Anchor An HTML-style anchor (inline linking element)
+
+
+
+
+
+
+
+
+ Emphasis Rhetorical emphasis as typically indicated by a font shift
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Withdrawn Indicates that a containing control or subcontrol is no longer applicable
+
+
+
+
+
+
+
+
+ Parameter insertion A call (reference) to a parameter for dynamic content transclusion
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
diff --git a/working/lib/XSD/oscal-interim.xsd b/working/lib/XSD/oscal-interim.xsd
new file mode 100644
index 0000000000..bd5ff9c526
--- /dev/null
+++ b/working/lib/XSD/oscal-interim.xsd
@@ -0,0 +1,568 @@
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
diff --git a/working/lib/XSD/oscal-oscal-blank.xml b/working/lib/XSD/oscal-oscal-blank.xml
new file mode 100644
index 0000000000..e30d79ff92
--- /dev/null
+++ b/working/lib/XSD/oscal-oscal-blank.xml
@@ -0,0 +1,261 @@
+
+
+
+ catalog
+ catalog -- element
+
+
+
+
+ collection
+ collection -- element
+
+
+
+
+ declarations
+ declarations -- element
+
+
+
+
+ parameter
+ parameter -- element
+
+
+
+
+ singleton
+ singleton -- element
+
+
+
+
+ property
+ property -- element
+
+
+
+
+ identifier
+ identifier -- element
+
+
+
+
+ regex
+ regex -- element
+
+
+
+
+ value
+ value -- element
+
+
+
+
+ inherit
+ inherit -- element
+
+
+
+
+ autonum
+ autonum -- element
+
+
+
+
+ statement
+ statement -- element
+
+
+
+
+ required
+ required -- element
+
+
+
+
+ feature
+ feature -- element
+
+
+
+
+ group
+ group -- element
+
+
+
+
+ div
+ div -- element
+
+
+
+
+ control
+ control -- element
+
+
+
+
+ subcontrol
+ subcontrol -- element
+
+
+
+
+ feat
+ feat -- element
+
+
+
+
+ title
+ title -- element
+
+
+
+
+ link
+ link -- element
+
+
+
+
+ param
+ param -- element
+
+
+
+
+ prop
+ prop -- element
+
+
+
+
+ stmt
+ stmt -- element
+
+
+
+
+ references
+ references -- element
+
+
+
+
+ ref
+ ref -- element
+
+
+
+
+ std
+ std -- element
+
+
+
+
+ citation
+ citation -- element
+
+
+
+
+ p
+ p -- element
+
+
+
+
+ pre
+ pre -- element
+
+
+
+
+ ol
+ ol -- element
+
+
+
+
+ li
+ li -- element
+
+
+
+
+ ul
+ ul -- element
+
+
+
+
+ em
+ em -- element
+
+
+
+
+ i
+ i -- element
+
+
+
+
+ b
+ b -- element
+
+
+
+
+ xref
+ xref -- element
+
+
+
+
+ q
+ q -- element
+
+
+
+
+ code
+ code -- element
+
+
+
+
+ withdrawn
+ withdrawn -- element
+
+
+
+
+ assign
+ assign -- element
+
+
+
+
+ select
+ select -- element
+
+
+
+
+ choice
+ choice -- element
+
+
+
+
diff --git a/working/lib/XSD/produce-xsd-oscal.xsl b/working/lib/XSD/produce-xsd-oscal.xsl
new file mode 100644
index 0000000000..55c8489e38
--- /dev/null
+++ b/working/lib/XSD/produce-xsd-oscal.xsl
@@ -0,0 +1,30 @@
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ -- element
+
+
+
+
+
\ No newline at end of file
diff --git a/working/lib/XSD/readme.md b/working/lib/XSD/readme.md
new file mode 100644
index 0000000000..c285ace20a
--- /dev/null
+++ b/working/lib/XSD/readme.md
@@ -0,0 +1,15 @@
+# OSCAL Schema Resources
+
+## Schema production
+
+The publication version of the OSCAL schema is maintained here as [oscal-documented.xsd](oscal-documented.xsd).
+
+The OSCAL schema is currently maintained in RNC format (RelaxNG compact syntax ISO/IEC 19757-2); see information on RelaxNG at http://relaxng.org. This approach to maintenance permits rapid development with low process overhead. For use by applications without support for RelaxNG, we convert this schema into W3C XSD using an open source tool, [Trang](http://www.thaiopensource.com/relaxng/trang.html). Its results appear here as [oscal-interim.xsd](oscal-interim.xsd).
+
+Additionally, we process this file with an XProc pipeline [schema-production.xpl](schema-production.xpl) to merge it with documentation [maintained elsewhere](../../doc/schema) (in OSCAL format), producing artifacts including (a) an XSD with embedded documentation (the [publication version](oscal-documented.xsd) named above), and (b) external documentation in HTML and Markdown formats. See the [doc/schema](../../doc/schema) subdirectory for these resources.
+
+A RelaxNG version of the schema (XML syntax) is not currently maintained but could be provided if needed (or produced from the working RNC version using Trang). A compatible DTD is not planned (although it is not technically infeasible).
+
+## Validation of OSCAL goes beyond the schema
+
+The XSD schema (and its RNC source) enforce only some of the constraints that make an OSCAL document fit for use. Other constraints may be described and enforced using ISO Schematron, or at the application (implementation) level of the system. See the [lib/Schematron](../../lib/Schematron) subdirectory for more information.
diff --git a/working/lib/XSD/schema-production.xpl b/working/lib/XSD/schema-production.xpl
new file mode 100644
index 0000000000..6c790b5238
--- /dev/null
+++ b/working/lib/XSD/schema-production.xpl
@@ -0,0 +1,80 @@
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
\ No newline at end of file
diff --git a/working/lib/XSD/xsd-merge-docs.xsl b/working/lib/XSD/xsd-merge-docs.xsl
new file mode 100644
index 0000000000..5f06bcaa72
--- /dev/null
+++ b/working/lib/XSD/xsd-merge-docs.xsl
@@ -0,0 +1,83 @@
+
+
+
+
+
+
+
+
+
+
+
+
+
+ ../../doc/schema/oscal-oscal.xml
+
+
+
+
+
+
+
+
+
+
+
+
+
+ No description found for {@name}
+
+
+
+
+
+
+
+
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+
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+
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+
+
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+
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+
+
+
\ No newline at end of file
diff --git a/working/lib/XSLT/OSCAL-finalize.xsl b/working/lib/XSLT/OSCAL-finalize.xsl
new file mode 100644
index 0000000000..5b47f03e44
--- /dev/null
+++ b/working/lib/XSLT/OSCAL-finalize.xsl
@@ -0,0 +1,40 @@
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ href="../lib/oscal-working.rnc" type="application/relax-ng-compact-syntax"
+
+ type="text/css" href="../lib/CSS/oscal.css" title="Basic" alternate="yes"
+
+ type="text/css" href="../lib/CSS/oscal-ui.css" title="Wiring" alternate="yes"
+
+
+
+
+
+
+
+
+
diff --git a/working/lib/XSLT/OSCAL-simple-fo.xsl b/working/lib/XSLT/OSCAL-simple-fo.xsl
new file mode 100644
index 0000000000..59813af80d
--- /dev/null
+++ b/working/lib/XSLT/OSCAL-simple-fo.xsl
@@ -0,0 +1,208 @@
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
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+
+
+
+
+
+ page
+
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+
+
+
+
+
+
+ :
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+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ References
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ .
+
+
+
+
+
+
+
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+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ Extensions
+
+
+
+
+
+
+
+
+
+
+
+
diff --git a/working/lib/XSLT/expand-oscal-profile.xsl b/working/lib/XSLT/expand-oscal-profile.xsl
new file mode 100644
index 0000000000..d6ea694e25
--- /dev/null
+++ b/working/lib/XSLT/expand-oscal-profile.xsl
@@ -0,0 +1,116 @@
+
+
+
+ no
+ no
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ href="../lib/oscal-profile-working.rnc" type="application/relax-ng-compact-syntax"
+
+ href="../lib/Schematron/.sch" type="application/xml" schematypens="http://purl.oclc.org/dsdl/schematron"
+
+
+
+
+
+
+
+
+
+
+
+
+
+
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+
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+
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+
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+
+
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+
+
+
+
+
+
+
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+
+
+
+
+
+
+
+
+
+
+
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+
+
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+
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+
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+
+
+
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+
+
+
\ No newline at end of file
diff --git a/working/lib/XSLT/generic-filter-by-prop.xsl b/working/lib/XSLT/generic-filter-by-prop.xsl
new file mode 100644
index 0000000000..7c68d5ce65
--- /dev/null
+++ b/working/lib/XSLT/generic-filter-by-prop.xsl
@@ -0,0 +1,31 @@
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
\ No newline at end of file
diff --git a/working/lib/XSLT/html-to-markdown.xsl b/working/lib/XSLT/html-to-markdown.xsl
new file mode 100644
index 0000000000..1e5affca35
--- /dev/null
+++ b/working/lib/XSLT/html-to-markdown.xsl
@@ -0,0 +1,88 @@
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ #
+
+
+
+
+
+
+
+
+
+
+
+ <
+
+
+ >
+
+
+
+ `
+
+ `
+
+
+
+ *
+
+ *
+
+
+
+ "
+
+ "
+
+
+
+
+
+
+
+ [
+
+ ]
+ (#
+
+ )
+
+
+
+ ```
+
+
```
+
+
+
+
+
+
+
+
+
+
+
\ No newline at end of file
diff --git a/working/lib/XSLT/literalizer.xsl b/working/lib/XSLT/literalizer.xsl
new file mode 100644
index 0000000000..7aa737d572
--- /dev/null
+++ b/working/lib/XSLT/literalizer.xsl
@@ -0,0 +1,53 @@
+
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+
\ No newline at end of file
diff --git a/working/lib/XSLT/oscal-basic-display.xsl b/working/lib/XSLT/oscal-basic-display.xsl
new file mode 100644
index 0000000000..5ff7e02ea5
--- /dev/null
+++ b/working/lib/XSLT/oscal-basic-display.xsl
@@ -0,0 +1,244 @@
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ #
+
+
+
+ @
+
+
+
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+
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+
+
+
+
+
+
+
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+
+
+
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+
+
\ No newline at end of file
diff --git a/working/lib/XSLT/oscal-functions.xsl b/working/lib/XSLT/oscal-functions.xsl
new file mode 100644
index 0000000000..a310be5d78
--- /dev/null
+++ b/working/lib/XSLT/oscal-functions.xsl
@@ -0,0 +1,20 @@
+
+
+
+
+
+
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+
+
+
+
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+
+
\ No newline at end of file
diff --git a/working/lib/XSLT/oscal-write-declarations.xsl b/working/lib/XSLT/oscal-write-declarations.xsl
new file mode 100644
index 0000000000..0dd6722393
--- /dev/null
+++ b/working/lib/XSLT/oscal-write-declarations.xsl
@@ -0,0 +1,71 @@
+
+
+
+
+
+
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+
+
+
+
+
+
+
+
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+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+ AT LEAST ONCE EVERY FULL MOON
+
+
+
+ MOON
+
+
+
\ No newline at end of file
diff --git a/working/lib/XSLT/produce-oscal-profile.xsl b/working/lib/XSLT/produce-oscal-profile.xsl
new file mode 100644
index 0000000000..e1b9146758
--- /dev/null
+++ b/working/lib/XSLT/produce-oscal-profile.xsl
@@ -0,0 +1,167 @@
+
+
+
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+
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+
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+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
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+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
diff --git a/working/lib/XSLT/profile-basic-display.xsl b/working/lib/XSLT/profile-basic-display.xsl
new file mode 100644
index 0000000000..ff09a943d2
--- /dev/null
+++ b/working/lib/XSLT/profile-basic-display.xsl
@@ -0,0 +1,19 @@
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
+
\ No newline at end of file
diff --git a/working/lib/architecture-notes.txt b/working/lib/architecture-notes.txt
new file mode 100644
index 0000000000..ab79fa399c
--- /dev/null
+++ b/working/lib/architecture-notes.txt
@@ -0,0 +1,61 @@
+
+
+Link to paper on SWISS:
+
+https://www.ncbi.nlm.nih.gov/books/NBK430699/
+https://videocast.nih.gov/summary.asp?Live=23182&start=13045
+
+OSCAL will be a little thing we can drop into STS documents
+
+Rules for OSCAL
+
+Must conform to strawman schema (XSD) - qv
+In addition
+ Uniqueness constraints over 'nb'
+
+Three purposes of schemas (in XML for data interchange):
+ system configuration / pre-optimization
+ checkpoint testing of documents to support workflow
+ contracts definition btw parties to data interchange
+
+But a 'schema' that can serve all these purposes must be more than an XSD
+ (For one thing, a schema is not complete without its spec. For another,
+ unassisted XSD cannot address all the requirements for the above. But XSD
+ is not the only tool in the XML toolkit.)
+
+Three levels to validation (the 'declaration of constraints')
+ Formal, grammar-based
+ Formal, query (assertion) based
+ Environment setup (UI, 'lore')
+
+A formal, grammar-based schema looks down at documents from on high: it is the 'god's eye view' defining what can exist
+ It is what you need when you are starting out and have nothing.
+A query-based assertion-based approach to validation looks "bottom up", from the data. Its question is not,
+ can I exist, but rather, given that I exist, of what quality am I.
+A capable language needs both.
+It also needs the third layer, the "social" layer (which is indeed what it lives and dies by)
+
+The 'schema' that does all these will (today) be a combination or hybrid between
+ XSD (or RNG or DTD) to serve the functions of the tag grammar
+ Schematron or a workalike (XPath based) to provide assertion-based validation
+ CSS+oxygen extensions or XForms to configure the top layer (operational environment)
+
+
+
+Rules for strawman OSCAL
+
+
+prp/@name is not repeatable w/in parent's scope including children of sibling groups
+ (which are, however, like named among themselves)
+within a group, all prp/@name or nb/@flag must be the same
+
+(this way we know what is repeatable b/c we have oscal:prp('x') will be either control/prp or control/group/prp depending on repeatability
+
+The order of properties and statements is not formally constrained (by the XSD or other means) - because each one has a label (its name) that identifies it among its siblings, any desired order can always be reconstructed.
+
+
+
+
+1. A control (element) must have nb (element) w/ values 'x','y'
+2. A control/nb may not have any values except 'x' 'y'
+(3. 'x' and 'y' are unique is implicit in general rule 3)
diff --git a/working/lib/dev-notes.txt b/working/lib/dev-notes.txt
new file mode 100644
index 0000000000..2f7ba27510
--- /dev/null
+++ b/working/lib/dev-notes.txt
@@ -0,0 +1,67 @@
+
+http://www.iso.org/schema/isosts/
+ Tag Library http://www.iso.org/schema/isosts/v1.1/doc/index.html
+
+As you can see, very similar to JATS
+
+NISO press release: http://www.niso.org/news/pr/view?item_key=f74de7db56828abfd977e90c2546babc91fdf27d
+Launch page for NISO STS http://www.niso-sts.org/
+Tag Library at http://www.niso-sts.org/TagLibrary/niso-sts-TL-0-2-html/index.html
+
+JATS-Con presentation (video, works in FF but not Chrome)
+ https://videocast.nih.gov/summary.asp?Live=23180&start=1372
+
+Interesting paper by vendor of services in the engineering sector on applications of NISO STS
+ https://videocast.nih.gov/summary.asp?Live=23182&start=13045
+to do list:
+ SP800-53 element analysis
+
+criterion
+rule
+regime/regimen (rule+)
+test
+control
+assertion
+
+Heads-up comparison btw SP800 and OSCAL v0?
+
+
+OSCAL v0 catalog mechanism?
+SP800 catalog mechanism?
+
+What is the need we are going to address?
+ What about SP800-53 is good
+ (What about other standards are good?)
+ Where is the gap
+
+How do we approach modeling?
+ From scratch?
+ SP800-53 schemas?
+ Or current (draft) OSCAL models?
+
+Schema development
+Data sampling / mockups/conversion/prototyping/testing
+Component / UI / application development
+
+
+
+
+NIST SP800-53 BASELINES
+FedRAMP
+ISO/IEC 27002
+ISO/IEC 27001
+NIST CSF (cyber security framework)
+PCI (security standards council for financial account data protection)
+HIPAA (health info)
+COBIT (enterprise IT governance)
+CIS (Center for Internet Security)
+
+Commitments Summer 2017
+
+STS conference May 31 - June 2 (so, week of May 29 Mem Day)
+July 12 - 16 (so, week of July 10) - Capon Springs
+Week of July 31 - Aug 4 - Balisage
+Plus possibly also week after Aug 7 - 11 (or: into mid-August)
+Plus, conference prep for two papers!
+
+Plus: Coko, JATSKit / Pellucid Lit / Pause Press, DHQ
diff --git a/working/lib/old-notes.txt b/working/lib/old-notes.txt
new file mode 100644
index 0000000000..dc6392736d
--- /dev/null
+++ b/working/lib/old-notes.txt
@@ -0,0 +1,246 @@
+
+x merge 'implementation' sections from 800-53A (PDF!) into draft control
+o pull in more data from PDFs e.g. in 800-53 control enhancements
+ Maybe do all of section AC (account controls)
+o "Media Protection" section
+ x Review shows there are discrepancies btw published PDF/Word and 800-53A XML,
+ but also doesn't readily show anything that doesn't fit in OSCAL
+ (missing numbering is missing; more detail on enhancements is given)
+
+x xrefs and linking
+ We are linking using a simple web-friendly notation. An href is a URL,
+ adopting the # notation for internal (id) references.
+ Note that @id is subject to rewrite by an application! so a robust
+ linking mechanism under OSCAL would rely on controlled properties
+ not (solely) on href plus they could be cross-checked against each other
+ (binding+lock mechanism for linking)
+
+x induction of implicit cross-references from SP800-53?
+ e.g. inside supplemental guidance
+
+x Implement parameters
+ w/ parameter declarations?
+
+x Define an ID assignment protocol and add IDs (to samples so far)?
+ o implement as refactoring XSLT?
+ taking numbering format as runtime parameter?!
+
+o assignment/parameter support
+ Implement 'assign' checking as Schematron (specific to catalog / control types)
+ checks against normative versions in the background!?
+Implement 'select' checking as detecting any select without selected/
+ select/selected/choice
+ select/available/choice
+
+x 'preamble' section including declarations
+ x control-spec (describing the structure of a control)
+ x param-spec (naming permissible/recognized parameters)
+ o authority (referencing external authorities / sources)
+
+LAYERED VALIDATION MODEL
+ 0. element grammar
+ 1. OSCAL constraints (what makes a control catalog in OSCAL terms) - DON'T NEED?
+ 2. OSCAL profile constraints (OSCAL declarations)
+ 3. locally implemented extensions and customizations
+ 4. implicit/runtime/'culture' constraints (implementation-level)
+
+TRANSFORMATIONS
+ 1. Selecting or filtering controls
+ 2. Expanding/resolving assignments
+
+Define mapping format in OSCAL?
+ e.g. a document that maps several catalog types over into OSCAL
+ w/ tools for comparison
+
+Implement OSCAL audit?
+ producing a diff/compare btw a profile and its catalog showing all mods
+ based on a simple diff btw processing results and catalog :-)
+
+Expand filter rewrites all assign or select elements with their inherited param values?
+
+Runtime declarations?
+ x parameter value assignments
+ o semantic associations / merge-map?
+ (e.g. formal mappings between control properties)
+
+NEXT UP July 2017
+X collapse @role and @type to @class and revise tools
+ including implementation of declarations/(prop|stmt|param)/singleton
+ x did everything but implementing singleton declaration
+ o but - stress test (unit test?) validations
+ write up specs
+o documentation -
+ o sp800-53 mapping
+ o tag library
+ o declarations model
+o COBIT survey and analysis (write a log)
+
+Profiles take different forms
+ One of them is an "active profile in use" as it were, in a documented "OSCAL application"
+ Tailoring for a single organization
+ Another is "secondary (derived) catalog
+ Tailoring (profiling) for an industry, domain, or application space
+ Extending a base catalog
+ Mapping and reconciling prior catalogs into new catalogs
+
+CONTESTABLE DESIGN NOTES
+
+Every profile is based on a catalog or multiple catalogs. A catalog is indeed (in one respect) nothing more than a "standalone" profile, that is, a profile that makes reference to no catalog but itself. We distinguish a catalog from a profile in use mainly because we hope we don't have to start from scratch; we generally base our work on earlier work or at least make reference to it - hence we are less interested in making a new catalog from scratch, than in creating a profile of (documenting a relation with) a catalog provided as a reference. Nonetheless, catalogs and profiles are made from the same stuff: the difference is in how we are using it.
+
+We expect to have standard catalogs, so we don't have to produce them from scratch -- whereas we also expect we need to be able to do our own thing, hence the need for profiling.
+
+With respect to content models, catalogs and profiles are isomorphic except wrt the presence of element 'authority'. One way to produce a profile (a 'null' profile ready for editing) of a given catalog, is to rename 'catalog' to 'profile' and add 'authority' pointing to the original catalog. (There are better ways to do this but it works.)
+
+x Also declarations of properties/statements on groups (again by type)
+
+modeling 'selections' via XML containment
-
- 
- Cannot retrieve contributors at this time
- 
